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Records Management and Records Retention Case Study

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Ron Davis

on 28 October 2013

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Transcript of Records Management and Records Retention Case Study

Records Management
Records Retention
Case Study

Julie Ray
Chief Financial Officer
Mount Paran Christian School
Ron Davis
Sivad Business Solutions
Why and where did we start?
The Problem That Pushed Us Forward
As we began our research we realized that there were challenges and risks ahead of us
Establish a team of records owners:
Human Resources
Business office

Eliminate unnecessary data collection

Eliminate duplicate data collection
Documenting my plan
Board resolution
Employee handbook
Request forms
Paper trail
Annual review/update
Annual training
Crafting a Plan:
What did MPCS do?

Evaluate law, insurance, and school use

Judges have been known to overrule a statute of limitations

Keep permission slips, clinic records, and student accident insurance records together

Specify in the policy/procedure how you calculate destruction dates

Decide the number of days allowed to complete destruction

Change day-to-day filing habits: the more handling it takes to prep for scanning, the higher the cost

Tape small paper to 8.5x11 (sticky notes, receipts, etc.), use minimal fasteners

Garbage in, garbage out
Questions and Answers
Ron Davis
Sivad Solutions
What role should technology play?
Basic Technology 101 When Starting
Creating business efficiency through process automation
Automated Capture
Electronic Forms
Application integration
Reporting / analytics
What do I need to know?
Everyone keeps
giving me different
ideas on what to do next.
It has to fit your school
Expect to get dirty
Begin with the end in view
Change is constant
Focus on the school's mission
Transfer risk away
Make a few people look like an army
Decide which hills to die on
Our Research Sources
Online articles/documents
Vendors of document management services
Public school document retention schedules for our state
Other school document retention schedules
Association retention schedules
Federal retention schedules
Attorney recommendations
Auditor recommendations
What Came out of our Research
Varying degrees of detail: one-page schedules to1/2-inch thick

Different documents included/excluded

Different terms for retention

Different legal references

Different descriptions for the same document
Our Decision:
focus on finding an expert that could:
Meet us where we were at a cost we could absorb as we developed our strategies,
solutions, and budget to address the issue
Educate us on our options from simplest to most complex
Offer us immediate relief in getting our growing paper issue under control
Provide us documentation of the disposition of our documents
Paper processes
No expertise
Different philosophies
Paper storage space
Limited in-house resources
Server storage space
Awareness and buy-in
Juggling projects
Time pressure
Turf issues
Collecting unnecessary information
Keeping paper records secure
Purging too soon
Purging without procedures
Scanning with leased machines
Vendors' privacy practices
Staff behavior

Legal compliance
Liability protection - school, staff, officers, board
Work smarter
Saves space
Secures access
Streamlined purge

Communicate, communicate, communicate
Do you start your plan from today or go back to the beginning?
Deciding on a retention
Whatever you say you do, you have to actually do! It affects:

Cyberliability coverage

General liability coverage

School reputation

School operation
Legal risks:
Competing legal requirements: privacy vs. retention
Legal complexity
Changing legal interpretation
Form 990 requirement and compliance
 Review samples

 Compile useful samples into one document

 Assign documents to departmental “owners”

 Distribute department document lists to “owners” to rank them:
We do this today
We don’t do this but should
This is done, but by another department
We don’t do this, and it doesn’t apply to our school

 Review feedback - SANITY CHECK!

 Research legal authority
Backfile vs. day-forward
In-house vs. outsourced
Document preparation
What to do with the paper
Julie Ray
Director, Business and Finance
Mount Paran Christian School
770-578-0182, extension 2072

Eliminate unnecessary pages (junk mail inserts, multiple copies)

Don't scan static system reports

Do back-ups and have disaster recovery plans

If you change database systems keep software and instructions to access and use the old system if needed

Destruction is as important as retention: do what you say you are going to do, or you can void the legal protection and risk control intended by your policy overall
Getting greater control of your documents
Electronic Document Management Software
Better Security and control
More consistent naming structures
Built in document retention
Broader search options
Document history / audit trails
Technology 101
Desktop scanners
Where Do I Start?
Technology 101
Adobe Standard or Professional
Bundled with scanner or MFP
Technology 101
Storage and back-up
External Hard Drive
How much paper do I have?
Case of Paper (new) 5,000
Standard Archive Box 15 2,250-3,000
Bankers Box 24 3,600-4,800
File Cabinet Drawer 18 2,700-3,600
File Cabinet Drawer 26 3,900-5,200
Lateral File Drawer 30 4,500-6,000
Lateral File Drawer 42 6,300-8,400
Full transcript