Created May 2, Division of Public Health Managing Records What is a Record? What is a Records Retention & Disposition Schedule? Why is this Important?

Created May 2, Agenda  Introductions  Public Records Overview  Records Management Concepts  DPH Records Management Project  Q & A

Created May 2, Chapter 1 Records/Laws  What is a Record  Record Types  Public Records Laws  State Agency Responsibilities

Created May 2, What is a Record? A file/document that serves as evidence of an organization’s business activities  all documents, papers, letters, , notes, electronic data, maps, etc.  everything you do in the course of a day to perform your job

Created May 2, Record Types  Paper  X-Ray, Film, Microfilm  Electronic

Created May 2, Records Lifecycle Create/Transfer/ ReceiveCapture CloseRetireDestroy ActiveInactive

Created May 2, Comply with Laws  Required records available for audits or litigation  Obsolete records destroyed in a timely manner  Confidential records are protected

Created May 2, Records Value Descriptions  Short term value: fax sheets; reservations & confirmations; routing slips; personal messages (including electronic mail) not related to official business; documents downloaded from websites; rough drafts of working documents w/no specific value  Long term value: Grants - specific federal funding; program may have more than one funding source (retention of records dependent on funding resources) Program schedules – records series types; Medicaid provider records (5 years after last date of service), adoption files (retained permanently)  Historical: Document significant events, actions, decisions, conditions, relationships & similar developments Administrative, legal, fiscal or evidential importance for the government or its citizens

Created May 2, State Agency Responsibilities  Public access  Personal privacy  Admissibility requirements authentic accurate complete timely system integrity controlled access

Created May 2, State Agency Responsibilities  Security (confidential records) paper records - locked; controlled access electronic records - password protected  Retention  Preservation  Keep schedule & records current

Created May 2, Chapter 1 Recap  Record – file/document serves as evidence of business activity  Record Types – paper, microfilm, electronic  Short-Term, Long-Term, Historical Value  Public Records Laws - federal and state  State Agency Responsibilities

Created May 2, Chapter 2 Concepts of Records Management  Roles & Responsibilities  Benefits of a Schedule  General Schedule  Program Schedule

Created May 2, Roles & Responsibilities  Public Health Staff – manage records & schedules  DPH Program Records Contacts – ensures office maintains program schedule  DPH Records Officer – coordinator for all records activities, programs and reports  DHHS Office of the Controller – semi-annually issues the DHHS Records Retention & Disposition Schedule for grants; authorizes when records may be destroyed  Department of Cultural Resources – State Records Center – work with agencies to develop workable schedule and disposition; archive records.

Created May 2, What is a Records Schedule? Tool that:  inventories records  defines retention period  specifies means of disposition

Created May 2, Records Schedules  General  Program  DHHS Controller’s Office authorization (semi-annually)  Destroy records past disposition

Created May 2, Benefits of Records Schedule  Ensures important records are organized, identifiable & maintained for easy retrieval  Helps preserve records that are valuable for historical research (State Records Center; Archives and History)  Conserves office space and saves money by regular disposition of inactive files  Stabilizes growth of records

Created May 2, General Schedule  All state agencies  Common records HR files, announcement files, budget records Standard retention period, disposition  No transfers to the State Record Center (SRC)

Created May 2, General Schedule (common records)

Created May 2, Program Records Schedule  Most offices will require a Program Schedule Describes records unique to your office/program (i.e. patient files, test results, statistical reports, certificates of live births)  Records may be transferred to State Records Center (SRC)

Created May 2, DPH Program Schedules  One for each PROGRAM in the PMD May have multiple separate schedules under large programs  Records contacts assigned for each program  All DPH staff need to be trained in basic records management

Created May 2, Program Schedule (records specific to your office)

Created May 2, Chapter 2 Recap  What is my Role? Manage Records & Schedules  General Schedule – common records to all offices, may not transfer to SRC  Program Schedule – records unique to my “office”, may transfer to SRC  Preserve Historical Records – State Records Center; Archives and History

Created May 2, Chapter 3 Process & Procedures  Completing a Schedule  Managing your Records & Schedule  Resources

Created May 2, What do I Do?  Develop Schedule (inventory records) Public Records Series Listing Form (GRB 99S)  Disposition instructions tailored to your particular needs, regulations and requirements Or  Update Schedule Public Records Series Listing Form (GRB 99S)  Ensure all records are correct  Add, update, or discontinue records as needed

Created May 2, Defining your Program Schedule  What records are unique to your “program”?  What is in the file?  How long is retention?  What is the disposition (i.e., shred, burn, bury)?  What systems support your program?  What grants support your program?  What does the grant require for: records retention confidentiality destruction

Created May 2, Public Records Series Listing

Created May 2, How do I Handle Electronic Records?  Program schedule = content  IT schedule = system operations  All systems databases should be included

Created May 2, Guidelines Ask yourself? File ItToss It issues policy; states decisions reservations for travel outlines proceduresconfirms appointments shows action; gives guidance personal messages unique; not surejunk mail

Created May 2, Now What? Your records are all scheduled and your files are clean, and then you...  Receive a media request for information  Discover some really old records  Receive a Notice of Destruction

Created May 2, Chapter 3 Recap  What do I do? - Develop Schedule or Update Schedule  How do I do it? – Inventory Records in the Office  Check the DHHS Office of the Controller Memo – Semi-annually

Created May 2, How do I Manage my Records & Schedule?  What is a schedule? This document is a tool for employees in an office to use to manage the records in their office. Lists records commonly found in an office and gives an assessment of value by indicating when records may be destroyed.  Why do I have to have a schedule? It is the law. According to G.S and G.S , you may only destroy public records with the consent of the Department of Cultural Resources. DCR can only give consent if there is a schedule.  Who? All Programs of DPH are required to have a Records Retention & Disposition Schedule.  How? If you do not have a Records Retention & Disposition Schedule, you must develop one. Complete the “Public Records Series Listing” form and return to the State Records Center.  When? Schedules should be reviewed annually and inventory records. If the schedule needs updating (i.e., records no longer in use, disposition changes), complete the “Public Records Series Listing” form and return to the State Records Center.

Created May 2, Resources  For questions regarding records, schedules, process and procedures call: Donna Gregory, DPH Records Officer ( )  For questions regarding records scheduled for transfer and storage call: Al Hargrove, State Records Center ( )  DPH Employee Toolkit (  Government Records Branch of NC Laws, Value, Agencies, Retention Schedules, Storage  State Agency Records General Schedule, Record Officers, Forms, Workshops  State Records Center Promotes efficient records management through training and development of retention guidelines Provides storage for inactive and semi-active public records ( )

Created May 2, Q & A  Questions  Comments  Dismiss