Records Management Training - Department Records Liaison

Training Overview 1.Training Objectives 2.RIM Program Overview 3.Key Concepts 4.Department Record Liaison Responsibilities 5.Program Resources 6.FAQs

To understand the key components of Clark County’s Records and Information Management (RIM) Program To understand your role and responsibility as liaison - your department’s record coordinator To know where to go to if you have additional questions or need more information Training Objectives

Training Overview 1.Training Objectives 2.RIM Program Overview 3.Key Concepts 4.Department Record Liaison Responsibilities 5.Program Resources 6.FAQs

Federal, State and County governments require Clark County to have a Records Management Program Are we Required to Have a Program for Managing our Records?

Integrated policies and procedures for the management of records and information from their creation or receipt to their ultimate disposition, consistent with Clark County’s business requirements, and in compliance with applicable laws and regulations. Clark County Administrative Guideline 14, Effective 3/1/2009 What is Clark County’s RIM Records and Information Management Program?

Compliance with all applicable regulatory and legal requirements regarding document retention Preservation of records which are vital to Clark County’s continued operations Protection of the confidentiality and privacy of Clark County’s records Meeting Clark County’s obligations to the general public Reduction of costs by preventing the unnecessary accumulation of information, data and documents Clark County Administrative Guideline 14, Effective 3/1/2009 County RIM Program Objectives

Training Overview 1.Training Objectives 2.RIM Program Overview 3.Key Concepts 4.Department Record Liaison Responsibilities 5.Program Resources 6.FAQs

RIM Policy Statement Record vs. Non-Record Records Inventory Records Retention Schedule Deletion, Destruction, Disposal, Disposition Destruction Hold Public Records Requests RIM Key Concepts

It is Clark County’s policy to provide for efficient, economical, and effective controls over the creation, organization, maintenance, use, distribution, and disposition of all Clark County’s records and information through a comprehensive program of integrated policies and procedures for the management of records and information from creation to their ultimate disposition, consistent with Clark County’s business requirements, and in compliance with applicable laws and regulations, particularly the provisions of NRS Chapter 239. Clark County Administrative Guideline 14, Effective 3/1/2009 Policy Statement

Records created or received in the course of business by a local government are considered public records and must be maintained and disposed of according to the terms of the Nevada Public Records Act, NRS Chapter 239. Unless the law restricts public records for reasons of confidentiality, they must be made reasonably accessible to the public. Nevada Revised Statutes, Chapter 239 What is a Public Record?

Information created or received, and is evidence of business activities, transactions, operations, policies, procedures, decisions, and/or obligations. They may contain business, legal, operational, compliance, or historical values, and they represent Clark County’s official position on the matter contained in the record. What is a Record?

Examples of Records Contracts - agreements, addendums Journal entry backup Employee files – applications, performance reviews Project records – timelines, strategies, plans Board of County Commissioner’s meeting minutes

Correspondence Medical Records Customer or Patient Complaints Examples of Records, cont.

Examples of Record Formats Correspondence, Memos Databases s Faxes Instant Messages Photographs and film Presentations Voic

Non-records are documents, work papers or other information that does not have ongoing business value and is not subject to any other legal requirement to be retained. Therefore, it is not designated as a Record, or retained in accordance with the record retention rules. However, a Non-Record is subject to a Destruction Hold. What is a Non-Record?

Examples of Non-Records Drafts of most documents Convenience copies of records Reference material from conferences and public web sites Personal or other personal records

A comprehensive listing of each Department’s categories of records. It includes record title, description, media, location and other pertinent information. An inventory forms the basis for the development of a Records Retention Schedule. What is Records Inventory?

A Records Retention Schedule identifies the time period the listed records must be retained. Records disposition may not occur before the time period expires. State law and regulation require the use of retention schedules when disposing of records. Without a schedule in place, there is no legal authority to dispose of records. NRS , NAC What is a Records Retention Schedule?

Example of a Clark County Records Retention Schedule

Terms used interchangeably to describe the process of purging or destroying Records, whether in paper or electronic form, so that the information they contain is no longer available. Deletion, Destruction, Disposal, Disposition

Materials that Should Be Destroyed As Soon As Possible Non-essential documents such as letters and notes which require neither acknowledgment nor follow-up, such as letters of transmittal, notes of appreciation, routing slips, congratulations, and plans of meetings. Preliminary drafts or copies of a document, if the signed or final original copy is already being retained. Notes, correspondence and of a personal nature. Miscellaneous material with no discernible commercial, legal or other institutional value, such as communications regarding office social events or bulletins posted on bulletin boards that are not related to business issues.

A requirement to preserve all pertinent business information until a potential or pending lawsuit, investigation or audit is resolved and the Destruction Hold is properly terminated. Destruction Holds

Nevada Law provides that if the general public policy mandating disclosure outweighs competing public policies justifying non- disclosure, then requested information is a “public book” or “public record”. All records are at first strongly presumed to be public. Specifically, NRS Requires that public records custodians, YOU, respond not later than the end of the fifth business day after receiving a written request from a person to inspect or copy public books or records. At the County intranet site, there is a standard entitled “Responding to Public Records Requests”. You should refer to it when preparing to respond to a Public Records Request. Public Records Requests

Training Overview 1.Training Objectives 2.RIM Program Overview 3.Key Concepts 4.Department Record Liaison Responsibilities 5.Program Resources 6.FAQs

The Department Records Liaison is responsible for understanding the County’s RIM Program and its components so that they can provide guidance and support within their department. Action Items: Review and understand the RIM Policy and related Procedures Network with other Department Records Liaisons to learn from their RIM Program efforts and successes Attend ongoing RIM training sessions Records Liaison Responsibilities: RIM Program Knowledge

Communicate on a regular basis with your Department Director to inform him/her of the status and updates to the County’s RIM Program and Department activities related to the RIM Program. Action Items: Set up regular meetings with your Department Director to report on RIM program activities Solicit advice from your Department Director for items such as business retention requirements, legal holds, etc. Records Liaison Responsibility: Communication with Management

Reach out to Department Employees to support them with their efforts to be compliant with the RIM Program. Action Items: Inform Department Employees of RIM training opportunities Work with new employees to help them understand the RIM Program and their responsibilities Solicit input from Department Employees regarding their questions and concerns about the RIM Program Records Liaison Responsibility: Support Department Employees

Maintain the Records Retention Schedule for the Department on a regular basis, at minimum annually. Action Items: Review the Department’s Records Inventory, maintain changes as necessary. Respond to Department employee questions about understanding the Records Inventory. Communicate with your Department Director and/or the Records Manager if you have questions about the Records Inventory. Records Liaison Responsibility: Inventory Maintenance

Maintain the Records Retention Schedule for the Department on a regular basis; conduct a Department- wide review at minimum annually. Action Items: Review significant changes and additions with the Department Director, submit to the Records Manager, distribute approved changes to all Department Employees Respond to Department employee questions about using and understanding the Records Retention Schedule Records Liaison Responsibility: Records Retention Schedule

Understand the policies and procedures for Destruction Holds, assist the Department Director to ensure department-wide compliance. Action Items: Work with the Department Director to develop appropriate department-level destruction hold procedures consistent with the RIM Policy and related procedures Assist employees with identifying records pertinent to Destruction Holds. Records Liaison Responsibility: Destruction Holds

Ensure the protection of confidential and sensitive County information in your Department. Action Items: Review and understand the confidential records identified in the Department’s Records Retention Schedule Make sure that Department Employees do not leave confidential information in view in their workspace when they are not there Records Liaison Responsibility: Confidential Information

Example of Clark County Confidential Records

Identify any potential historically significant records for permanent retention. Action Items: Review and understand the records in your Department’s Retention Schedule that have Permanent retention If you have a question about whether a record could be historical, ask the Department Director or Records Manager Records Liaison Responsibilities: Historical Records

Understand the policies and procedures related to responding to public records requests. Action Items: Work with Department Director to determine appropriate department-level response to each public records request Monitor department handling of public records requests Assist employees with the identification of records responsive to public records requests Records Liaison Responsibilities: Public Records Requests

Training Overview 1.Training Objectives 2.RIM Program Overview 3.Key Concepts 4.Department Record Liaison Responsibilities 5.Program Resources 6.FAQs

Clark County Administrative Guideline 14 Clark County Records Management Intranet Site: Guidelines/admin_guideline_home.htm State of Nevada Records Management Web Site: ntent&task=view&id=508&Itemid=80 Department Records Liaisons; County Records Manager, Office of the District Attorney, Chief Information Officer Program Resources

Training Overview 1.Training Objectives 2.Clark County RIM Program 3.Key Concepts 4.Employee Responsibilities 5.Program Resources 6.A Few FAQs

FAQs Does the RIM Policy apply to ? Yes. The Clark County Policy (Technology Directive 2), effective November 1, 2009, contains the expectations of records management regarding . You can also contact the County Records Manager or the CIO. Non-record and personal records may be deleted.

FAQs What types of information about the RIM program should I be sharing with my Department Director? Status of the Records Retention Schedule, Records Inventory, and Records Disposition activities Employee RIM Program compliance status and issues Status of destruction holds and public records requests

FAQs How should I monitor my department employees’ compliance with the RIM Program? On a regular basis, visit with each employee and do a brief audit of both their paper and electronic records. Discuss any needed remediation actions with the employee and Department Director, as required.

FAQs What should I do if I am not getting the support I need from my Department Director to meet my responsibilities as the Department Record Liaison? Discuss the situation with the Records Manager and achieve consensus on next steps.

FAQs What should I do if a Department employee wants to keep records longer than the retention period in the Department Retention Schedule? Remind them of the approved RIM Policy that does not provide for exceptions except for Destruction Holds. If necessary, escalate to the Department Director, the Records Manager and Office of the District Attorney.

Questions?