All Employee Basic Records Management Training

Training Overview

1. Training Objectives

2. Clark County RIM Program

3. Key Concepts

4. Employee Responsibilities

5. Program Resources

6. FAQs

• To understand the key components of the County’s Records and Information Management (RIM) Policy and Program

• To be able to identify what is, and is not, a Record

• To know your responsibilities for creating “good” records, when e-mails are considered records, and when & how to dispose of records

Training Objectives

• To understand destruction holds and what to do with “holds”

• To know where to go to if you have additional questions or need more information

Training Objectives, cont.

Training Overview

1. Training Objectives

2. Clark County RIM Program

3. Key Concepts

4. Employee Responsibilities

5. Program Resources

6. FAQs

The Federal, State and County Governments require us to have a 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 Records and Information Management (RIM)

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. Clark County RIM Program

3. Key Concepts

4. Employee Responsibilities

5. Program Resources

6. FAQs

• Policy Statement

• Public Records

• Records vs. Non-Records

• Records Retention Schedule

• Deletion, Destruction, Disposal, Disposition

• Destruction Hold

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?

A Record is information created or received, and is evidence of business activities, transactions, operations, policies, procedures, decisions, and/or obligations.

A Record may contain one/several/all of these values: business, legal, operational, compliance.

A Record represents 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 and Patient Complaints

Examples of Records, cont.

Examples of Record Formats

• Correspondence, Memos• Databases• Emails• Faxes• Instant Messages• Photographs and film• Presentations• Voicemail

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 schedule. 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 email or other personal records

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

NRS 239.125, NAC 239.155

What is a Records Retention Schedule?

Example of a Clark County 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

• 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.

Materials that Should Be Destroyed As Soon As Possible

• Notes, correspondence and email 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.

Materials that Should Be Destroyed As Soon As Possible, cont.

A requirement to preserve all pertinent business information until a potential or pending lawsuit, investigation or audit is resolved.

Once the matter is resolved, or the threat passes without issue, the resumption of routine destruction may proceed.

What is a Destruction Hold?

Training Overview

1. Training Objectives

2. Clark County RIM Program

3. Key Concepts

4. Employee Responsibilities

5. Program Resources

6. FAQs

Every Clark County employee is responsible for managing the records in their custody according to the guidelines, rules, and procedures established by their department consistent with the Records and Information Management (RIM) policy.

Action Items:• Review and understand the RIM Policy and related

Procedures

• Attend ongoing RIM training sessions

Employee Responsibilities: Policies

Know whether each document you create and/or receive in connection with business operations is a Record or Non-Record.

Action Items:• Review and understand your Department’s Records Retention

Schedule• Practice classifying the information you work with every day into

Record and Non-Record categories• Ask your Department Records Liaison if you have questions about

records and non-records

Employee Responsibilities: Records vs. Non-Records

Maintaining the confidentiality of proprietary and sensitive Clark County information.

Action Items:• Review and understand the confidential records identified in your

department’s Retention Schedule • Make sure that you do not leave confidential information in view in

your workspace when you are not there• Ask your Department Records Liaison if you have questions about

confidential information

Employee Responsibilities: Public vs. Confidential Information

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 your Department Records Liaison or manager for advice

Employee Responsibilities: Protecting Historical Records

Destroy or permanently delete all records that have satisfied their retention requirement and are not subject to Destruction Holds.

Action Items:• Review and understand your Department’s Retention Schedule and

the retention periods for each of the records of which you have custody

• Destroy or permanently delete the records in your custody that have satisfied their retention requirement and are not subject to destruction holds

• Destroy or permanently delete the records in your custody• Ask your Department Records Liaison if you have questions about

destroying or deleting records

Employee Responsibilities: Records Destruction

Comply with the Destruction Hold policy and related procedures.

Action Items:• Review and understand Clark County’s Destruction Hold policy and

related procedures • Ask your Department Records Liaison if there are any Destruction

Holds currently in place for records in your department, take the necessary actions if you have records related to any active holds

• Ask your Department Records Liaison if you have questions about Destruction Holds

Employee Responsibilities: Destruction Holds

Training Overview

1. Training Objectives

2. Clark County RIM Program

3. Key Concepts

4. Employee Responsibilities

5. Program Resources

6. FAQs

Clark County Administrative Guideline 14

Clark County Records Management Intranet Site:

http://www2/department/administrative_services/AdminGuidelines/admin_guideline_home.htm

State of Nevada Records Management Web Site: http://nevadaculture.org/nsla/index.php?option=com_content&task=view&id=508&Itemid=80

Department Records Liaisons; 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. FAQs

FAQs

What should I do if my department’s retention schedule does not have a listing for the record that I am looking for?

Ask your Department Records Liaison for help. If necessary, he/she will have the item submitted and it will be added to the Department Retention Schedule

FAQs

Is e-mail a record or a non-record?

E-mail is a method of communicating. Whether it is a record or non-record is based on its content, not its format.

FAQs

Do I need to go back through all of my electronic records and e-mails and delete the items that have met their retention periods?

Yes, there will be an overall County-wide effort to address the application of retention to existing records; your Department Records Liaison will communicate the specifics about this initiative to you.

FAQs

Can I keep records longer than the retention period in the Department Retention Schedule?

No, once a record has met the retention period, unless it is subject to a Destruction Hold or if management determines that there is an overriding business need to retain it longer, ALL copies should be disposed of according to the record retention schedule.