Managing the Paper Mountain NYSSBA October 2006 Seminar Leaders: Kaushika Patel, Director of Technology, Rockland BOCES Caroline MacDonald, Records Management, Rockland BOCES Ginny Butler, Education Specialist, General Code

Agenda Introductions Guidelines for Effective Records Management Questions and Answers

Effective Records Management “Any book, paper, map, photograph, or other information-recording device, regardless of physical form or characteristic, that is made, produced, executed, or received by any local government or officer thereof pursuant to law or in connection with the transaction of public business. Record as used herein shall not be deemed to include library materials, extra copies of documents created only for convenience of reference, and stocks of publications.” (Arts and Cultural Affairs Law, § 57.17, Subdivision 4) Keys: Format irrelevant – any format Local govt – school district is considered one Transaction of public business

Records Come in Different Forms Effective Records Management Records Come in Different Forms Paper Microfilm/Microfiche Electronic Documents E-Mail Web Pages Also voice recordings, videos, etc.

Examples of Records in Education Effective Records Management Examples of Records in Education Student Files Attendance Records Student Medical Records Report Cards IEP’s Policies and Procedures Purchase Orders Official E-Mail Environmental and Safety Assessments Grant Proposals Personnel Files School Board Minutes Budgets Student Portfolios Evacuation Plan Ask attendees to think of some

Effective Records Management Classes of Records Vital Essential to continued operation Irreplaceable Important Important to continued operation Replaceable (sometimes at considerable expense) Useful Loss would temporarily inconvenience organization Replaceable Nonessential No real value Ought to be destroyed Groups put 1 or 2 types in each category

Effective Records Management The Lifecycle Concept Archival Records Store Inventory Review Migrate Backup Active Records Create Store Retrieve Inactive Records Inventory Store Archive Destroy Start on top of circles Talk about documents moving through the document stream

Records Lifecycle Active Current Frequently accessed Inactive Older; must be retained Rarely accessed Archival Of important historical significance Occasionally accessed, usually for research

Effective Records Management Record Series “A group of related records (such as minutes of a board, payrolls, and purchase orders) that are normally used and filed as a unit and that normally have the same retention requirements.” (NY SARA Glossary of Terms) Often match the way you file your records now

Effective Records Management Records Retention and Disposition Schedule “A list or other instrument describing records and their retention periods which is issued by the commissioner of education.” (Arts and Cultural Affairs Law, § 57.17, Subdivision 6) http://www.archives.nysed.gov/a/nysaservices/ns_mgr_pub_ed1.shtml Schedule ED-1 records retention and disposition schedule ED-1 (1988; rev. 2004), as set forth in section 185.12 of this Part and Appendix I of this Title, for school districts, boards of cooperative educational services, teacher resource and computer training centers and county vocational education and extension boards. ED-1 must be adopted by the board to be effective Others need to be at least as restrictive Also “Office Retention Schedules” can make management easier

Records Management Program Effective Records Management Records Management Program A records management program includes, but is not limited to: the legal disposition of obsolete records the identification and administration of and access to records of enduring value filing and indexing systems the use of computer or other technology information the storage and management of inactive records no longer needed for the conduct of day-to-day business in the office the microfilming of records the oversight of the creation and use of forms, correspondence and other records and the provision for protecting vital records (8 NYCRR, §185.1(b)) Lots of components; not need to all be done by a single person; distributed management is better – but must have a Records Management Officer who is responsible Define Vital Records – critical to continued operation (like Emergency Management Plan, Contracts, etc.)

Effective Records Management Provides control over records from creation to destruction Ensures that records are retained and usable through their mandatory retention periods. Usable = Available to those who should have access and ONLY those who should have access Easily accessible Readable (microfilm readers all broken) Ensures that records are destroyed at the end of their retention periods.

Who Is Responsible for Records Management? Effective Records Management Who Is Responsible for Records Management? The Records Management Officer EVERYONE Everyone who creates, amends, reviews, accesses, reads, files, copies, routes, deletes

Business Records Storage Space Accessibility Sharing of Information Demands for Instant Information

Effective Records Management Legal FERPA HIPAA IDEA NCLB FOIL The Family Educational Rights and Privacy Act (FERPA) (20 U.S.C. § 1232g; 34 CFR Part 99) Protects the privacy of student education records. The law requires a school district to provide a parent with access to their child's educational records, provide a parent the opportunity to request correction of records that are believed to be inaccurate or misleading, and obtain the written permission of the parent before disclosing information contained in the student's educational record. The law applies to all schools that receive funds under an applicable program of the U.S. Department of Education. Health Insurance Portability and Accountability Act (HIPAA) (Public Law 104-191) Protects the privacy of patients' medical records and other health information provided to health plans, doctors, hospitals and other health care providers. This act also provides patients with access to their medical records and more control over how their personal health information is used and disclosed. Improving Education Results for Children with Disabilities Act (federal, 1975, 1997, reformulated in 2004) – the right to a free appropriate public education (FAPE) for all children with disabilities, including children suspended or expelled from school; and the procedural safeguards rights for these children and their parents. No Child Left Behind (federal, 2002) – stronger accountability for results Freedom of Information Law (Article 6, Sections 84 - 90) Outlines the rights of the public to access public records. Regulations of the Commissioner of Education Part 185, 8NYCRR Details the responsibilities of records management officers (RMOs) and the Local Government Records Advisory Council (LGRAC), covers the issuance of records retention and disposition schedules, sets procedures for the disposition of records not listed on schedules and for records rendered unusable by disasters, provides standards for microfilm and electronic records media, provides criteria for contracted records storage facilities, and establishes eligibility criteria for local governments applying for Local Government Records Management Improvement Fund (LGRMIF) grants.

Major Components of a Records Management System Effective Records Management Major Components of a Records Management System Records Plan Training Responsibility Records – everyone has (or you wouldn’t be here) People (again, you have that) Plan – Need a plan for creation, storage, retrieval, and disposition Plan B – Need a plan for backup and disaster recovery, also for data migration Training - for everyone involved, with updates and refreshers as needed Responsibility - designated to a person and others as needed (law requires designation of a records officer)

Effective Records Management Determine which things are “records” Group by Records Series Do these documents meet criteria to be “records” Records Series often = current filing cabinet setups State requires you to have an inventory of your records to provide public interested in accessing records Point out SARA Inventory Worksheet in packet Discuss “office retention schedules” – dual function as Inventory

Effective Records Management A Plan Filing Structure Naming and Indexing Access Security Retention and Disposition Structure: applies to paper, electronic Naming/indexing – same Business processes: who creates, how do they arrive/start in the process, wofiles, where do they file, how do they file, quality assurance, adding additional pages, etc. Access – who should? Public access? Security- those who should, but only those who should – files currently open to everyone? HIPAA? Know retention periods; have disposition plan (current storage/file storage)

Best Practices Create and save ONLY records you need Retain necessary records; dispose of obsolete records Store records safely and securely Be able to retrieve records quickly and easily Keep the process for sharing information simple Have documented procedures and good training for everyone Use technology appropriately Have a Disaster Recovery Plan – and USE it

Total Record Solutions Effective Records Management Total Record Solutions Paper Film Electronic Records

Useful Resources

How Can BOCES Records Management Help? Needs Assessment Planning In-service Training Electronic System Implementation Ongoing management assistance

Vendor Resources

QUESTIONS AND ANSWERS Thank you Kaushika Patel Caroline MacDonald (845) 627-4735 (845) 627-4854 Ginny Butler (800) 836-8834