Records Retention and Destruction

1. Records Retention and Destruction

5. Introduction of Participants • What is on your business card? • What are your expectations for this course? • Do you have any particular concerns?

6. Structure of Two-Day Seminar • Receipt of written materials • Discussion schedule • 8:30 a.m. – 12:00 morning session • 1:00 p.m. – 4:00 p.m. afternoon session • Two 20-minute breaks a day • Instructor available after each day to answer individual questions • Questions from participants are always encouraged!

7. Goals of Seminar • Identify what a record is and why we would need to retain or destroy it! • Discuss unique situation of records in Indian Country • Familiarize participants with relevant legislation, Acts, etc. • Provide practical suggestions for implementing a records retention and destruction policy • Discuss confidentiality concerns • Examine sample retention schedules

8. Review Content of Written Materials • Written materials available for reference • Presentation will not strictly follow written materials, but will refer to them • How materials are organized

9. Agenda • What is a record? • Why records management? • Identifying types of records • Preparing your records for organization • Filing records • Storing records • Creating retention and retrieval policies • Forms and reports management

10. What Is a Record? • Any form of recorded information created by or communicated to the tribe or tribal organization: • Paper—sticky notes, memos, etc. • Emails, voicemails, instant messages • CDs, tapes, disks • Photographs • Enrollment documents, health records, ledgers, budgets • Others?

11. The 4 Phase Record Life Cycle • Control of four (4) phase record life cycle

12. Why Records Management? • What is the alternative?

13. Why Records Management? • Files are categorized & preserved appropriately • Eliminate creation & retention • Unnecessary records & copies • Efficient & economical use • Files can be found and returned easily

14. Why Records Management? • Efficient retrieval of record • Uniform system for all tribal entities • Central retention location • Reduction of “lost records” • Scheduled retention periods • Specified & controlled destruction • Cost effective • Offers a systematic process for a potentially chaotic problem

15. Group Activity • Goals for this class • For me to consider my attendance at this class a success, I need to learn • The types of records I am responsible for include… • What I need to be able to bring back from this class is…

16. Where To Begin • An inventory of current policies and procedures • Do you have: • Forms & forms controls? • Retention and destruction policies & procedures? • A uniform tribal records management system? • A systematic records destruction policy? • A records management manual? • A records management training program?

17. Where are you on this spectrum?

18. Inherent Problems • Control of information production • Separation of useful from not so useful • Organization & maintenance for availability & accessibility • Streamlining the process to promote consistent implementation and usage • Up-front costs • Piles of papers on your desk are free, right? • Others?

19. To Be Effective, a Records Management System Must Include: • Forms control • Reports management & control • Active & inactive file management • Mail/email/voicemail management • Records management manual/policies management • Training program • Support of the leadership

20. Records Management Identifying the Types of Records

21. Types of Records • Vital records– permanent retention • Cannot be replaced • Essential for the tribe or tribal organization’s welfare

22. Vital Records • Deeds/charters • Legal documents – constitutions, resolutions, court cases, compacts • Enrollment documents • General ledgers • Operating agreements

23. Vital Records • Tribal historic documents • Tax documents • Vital contracts • Drawings & blueprints

24. Types of Records • Important records– long retention period • These are records that are: • Necessary for operations • Cost & labor intensive to replace or reproduce

25. Important Records • Both active and inactive files • Active files are kept in work area– these are files that need to be accessed regularly • Specified period for inactive files to be retained in work area, then sent to central record retention area – this may be on-site or off-site – we’ll talk more about that soon

26. Important Records • Financial statements • Credit histories • Reports • Statistical records • Sales/performance records • Personnel files • Diplomas • Others?

27. Types of Records • Useful Records—Impact operations for a more limited period, but are still useful • Inconvenient, but not dire, if lost • Limited retention based on usefulness

28. Useful Records • Can include: • Letters • Memos • Business reports • Monthly tracking spreadsheets • E-mails • Meeting notes

29. Types of Records • Nonessential records: • No predictable value • Very limited useful life • In-office files only • Never sent to record retention – they are dealt with before this would happen

30. Nonessential Records • Routine letters • Publications • Form letters • Interoffice memos • Some e-mails • Sticky notes

31. Nonessential Records • Same document redundancy • ****Extra copies***** • Two departments call one record two different things and keep two different documents for the same records

32. When Classifying Records… • Content is what is important— not format.

33. Records Management Benefits • Space savings – +40% reduction on average • Reduction in misfiles and lost files • Reduced equipment/supplies costs • Faster retrieval • Ability to furnish current, accurate & complete information • Increased accountability– if everyone knows their role in the records management process, they won’t be able to just “blame the records manager!

34. Records Management Benefits • Reduced liability • Maximum service to requestor • Compliance with tribal policy • Compliance with contractual & legal retention requirements

35. Records Management Benefits • Control record creation & misuse • Control of records retained – only those necessary • Protection of records

36. Records Management Benefits • Uniform system • Minimized training • Reduction of labor hours • Optimization of personnel

37. Practice Exercise • Per your current environment: • Column 1 – insert current major records categories • Column 2 – what categories you would add • Column 3 – category deletions • Column 4 – deletion rationale

38. Basic Steps to Records Retention • Get a team together • Even if you’re a one-person records department, you can get others involved • Get attorney support • This is especially important for tribes and tribal org, as the laws that will apply to your situation will vary based on compacts, grants, etc. • Compose your document list and categorize/assess your documents • Create your rules, regulations, and retention schedule • Go electronic

39. Preparing Your Records for Organization

40. Preparation of Records • Critical for proper filing & preservation • Review • Indexing & coding: • Where is it filed? • Under what heading/name? • This is important when there is more than one meaningful way to organize your files

41. Preparation of Records • Cross referencing: • File may be called for under two (2) or more categories or titles • Thinking back to the instructor confirmation letters– this file might need to be cross-referenced as both Instructor Information and Class Information

42. Cross Reference Sample Original Card Hart, Mrs. Ethel Kain Mrs. Ethel Louise Hart 136 Fork Avenue Cheyenne, MT 59101 Cross Reference Card Kain, Ms. Ethel Louise See: Hart, Mrs. Ethel Louise

43. Cross Reference Sample • Original Card Sprecksville Towing Mr. James Dillen, owner operator 2254 W. 8th St. Pendleton, OR 62843 Cross Reference Card Dillen, Mr. James Owner operator Sprecksville Towing 2254 W. 8th St. Pendleton, OR 62843

44. Cross Reference Sample CROSS REFERENCE SHEET: Name or Subject: File No. Regarding: SEE: Name or Subject: File No.

45. Preparation of Records • Attaching small pieces of paper to full sheet • Utilization of proper repair/preservation materials: • Archival quality • Tape, sheet protectors, etc.

46. Preparation of Records • Removal of all unnecessary: • Staples • Paper Clips • Exception: Packages • Copies • Especially if you are going electronic, or if that’s a goal of your organization – this will majorly simplify things later!

47. Preparation of Records • One department at a time • Sorting - by category of records (what kind of record is this?) • Releasing mark – initials of person coding material – the person doing the inventory • Preparing labels • Filing materials in appropriate section of folder

48. Filing Methods

49. Filing Methods • Many options – we’ll discuss the most common • Dependant upon types of record you are organizing • It wouldn’t make sense to organize patient files first by the date of last visit, would it? • At the same time, does it make sense to keep the records of every patient who ever visited in the office forever? • How it will be retrieved • Other organization-sensitive information

50. Filing Methods • Types of filing systems: • Alphabetic – (personnel, medical records) • Geographic – (housing/schools, multiple locations) • Numeric – (enrollment, drawings, contracts, grants) • Subject – (education, health, social services, EPA, regulatory, gaming, non-gaming) • Chronologic – (most current date) • Combination – (alpha-numeric, alpha-chronologic, etc.)