How Long Do I Keep That? How To Use Your Records Retention Schedule

Transcription

1 How Long Do I Keep That? How To Use Your Records Retention Schedule Thomas C. Nield Local Records Division Office of the Secretary of State MSBA s Board Secretary Workshop 01 October 2015

2 Local Records Division Part of the Secretary of State s Office Started in 1990 Main office in Jefferson City Ten mobile field archivists throughout the state Provides free records consultations to local tax supported entities Records Management advice Preservation of permanent, historic records Competitive Grant Program 2

3 Local Records Board Establishes retention schedules for local government Derives authority from RSMo and At least 12 members, as outlined by statute Local government officials from all classes of counties and cities, elementary and secondary education, higher education and a representative from a historical society Three year terms Meets annually in August 3

4 Common Questions How are electronic records classified? Which is the official copy, the electronic or hard copy version? Is a record? What happens when the retention period is met? How do you read the records schedule? 4

5 Life Cycle of Records Creation (Capture/Storage) Use (Manage/Deliver) Final Disposition/Archival Preservation 5

6 Records Continuum Records are still dispositioned: either destroyed or preserved. There is an expectation that preserved data will need to be transformed in a way that will maintain accessibility. For records to remain accessible description and preservation must be actively thought about throughout the records life.

7 Is a Record? is a system that delivers messages Giving the ability send and receive messages via implicitly grants the authority to declare whether the message is a record or not Create an usage policy and strictly enforce it 7

8 Records Schedules Records Schedules are created or updated with your input Schedules are approved by the Local Records Board The Missouri Secretary of State publishes the schedules The General Records Retention Schedule (GRS) is used by everyone and each office has a specific schedule 8

9 GS 012 Correspondence - General Also Called: Letters, Memoranda, Function: Correspondence that pertains to routine matters handled in accordance with existing policies and procedures. Does not contain significant information about office policies or programs. Content: May include: incoming and outgoing letters, memoranda, notes, acknowledgements, notices, non- Sunshine requests for information or publications, enclosures, and attachments. Minimum Retention: 1 year Disposition: Destroy Note: See also GS 013 Correspondence-Policy; GS 066 Public Information Requests and Documentation Approval Date: August 15, 2001; Revised August 23,

10 GS Correspondence - Transitory Also Called: Letters, Memoranda, Function: Documents of short-term interest that have no documentary or evidentiary value, which are not included in another record series Content: May include: correspondence which requires no administrative action, policy decision, special compilation or research; quasi-official notices that do not serve as the basis of official action, such as holiday notices, reminders of charitable campaigns, upcoming events, unsolicited vendor solicitations, etc. Minimum Retention: None Disposition: Destroy Note: See also: GS 012 Correspondence-General; GS 013; GS 066 Approval Date: August 25, 2009; Revised August 23,

11 GS 013 Correspondence - Policy Also Called: Letters, Memoranda, Function: Correspondence which state or form the basis of policy, set important precedents or record important events in the operational and organizational history of the governmental body. Content: May include: incoming and outgoing letters, memoranda, notes, reports, studies, and other records. Minimum Retention: Permanent Disposition: Archive. Microfilm for preservation Note: This form of correspondence will come exclusively from elected officials, administrators, managers, or supervisors. See also GS 012; GS Approval Date: August 15, 2001; Revised August

12 GS 007 Accounts Payable Records Also Called: Invoices, Vouchers, Warrants, Billing Records, Refund File Function: Records documenting payment of bills for goods and services received. Payment from general accounts. Content: May include: correspondence, reports, invoices, statements, vouchers, purchase orders, payment authorizations, receipt records, canceled checks or warrants, and similar documents. Minimum Retention: Completion of audit* Disposition: Destroy Note: *Per RSMo (2), County Clerks must keep these records for five (5) years Approval Date: August 15,

13 GS 021 Meeting Records (for Boards, Commissions, Committees, or Other Public Bodies) Also Called: Function: Documents the proceedings of public bodies described in RSMo (4). Content: May include: minutes, agendas, exhibits, resolutions, indexes, staff reports, correspondence, related documentation, audio or visual recordings. Minimum Retention: Permanent - Minutes, agendas, exhibits, resolutions, and indexes (not retained permanently elsewhere); Other records - 1 year Disposition: Permanent records - Archive. Microfilm for preservation. Other records - Destroy. Note: See also: GS 085 Meeting Records (internal agency staff/committee) Approval Date: August 19,

14 SCH174 Medical Treatments, Reports, and Evaluations Also Called: Clinic Record; Nursing Documentation; Medication Record; Treatment Records; Physician Orders for Specialized Treatments/Procedures; Behavioral Assessment Tool*; Accident Reports#; Child Abuse/Neglect Documentation; Screening Reports of Medical Professionals; Sports Medicine Records Function: Documents treatments, drug distribution and other services through school nurse's office Content: Individual documentation of each clinic visit/assessment/care provided. May include: Asthma peak flow records; seizure logs; catheterization records; G-tube feeding record; Medical reports from accidents (diagnosis, hospital records, audiology reports, etc.) Retention: Until Student reaches age 23 Disposition: Destroy Note: *To assess drug/alcohol use; #Physician releases to return to school/sports participation or to be excluded from such. Replaces SCH055, 056, 058, 059, 064, 065, 066, 067 Approval Date: August 20, 2013; Updated August 25,

15 SCH180 Student Physical Records Also Called: Athletic Physicals; Extracurricular Activities Schedules Function: Annual physicals documenting fitness to participate in school sponsored extracurricular activities Content: Retention: 1 Year Disposition: Destroy Securely Note: Confidential Records Approval Date: August 25,

16 SCH181 Student Drug/Alcohol Testing Records Also Called: Drug Screening Records Function: Documents the testing of students for controlled substances prohibited by policy, procedure or statute. Content: Records may include but are not limited to the documentation of test results, the collection process, the random sample process. Retention: Retain positive test results until student graduates or leaves district; retain negative test 1 Year Disposition: Destroy Securely Note: Confidential Records Approval Date: August 25,

17 Physical Records Storage Use uniform boxes Standard 10 x12 x15 cubic foot records storage boxes No banker s boxes Do uniform labeling Records Series Inclusive dates Retention and/or disposal date Avoid mixing record series if possible 17

18 Physical Records Disposition Disposal should be done in the normal course of business Create list of records disposed of Disposal lists are permanent records Record authorization to dispose of records in city/county minutes Destroy closed records securely Shred Burn Pulp Policy is legal protection for your actions 18

19 Managing Electronic Records Electronic INFORMATION is subject to discovery (Rule 34, Federal Rules of Civil Procedure, Management principles are the same as for paper records Retentions do not vary with format of information Backing up to CD or tape is not a substitute for active management The more time spent up front setting up a system, the fewer headaches later 19

20 Electronic Records Disposition Destruction Re-use magnetic tape Physically destroy optical disks Physically destroy hard disk drives OR use overwrite software Archiving Use a stable file format Maintain multiple copies Budget for maintenance contracts for hardware/software 20

21 Summary Using the Records Retention Schedule will help you save money and time managing your records Managing records is linked to accountability 21

22 Missouri Secretary of State Archives & Records>Records Management>Record Resources Digital imaging guidelines guidelines Missouri Records Law Sunshine Law Archives & Records>Local Records Grant program Guidelines for microfilming public records Planning a records center Retention schedules Missouri Local Government Records Management Guidelines 22

23 Local Records Preservation Program Phone: (573) Website: Pubs: Help!! 23