1. 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

2. Agenda Introductions Guidelines for Effective Records Management
Questions and Answers

3. 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

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

5. 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
Environmental and Safety Assessments
Grant Proposals
Personnel Files
School Board Minutes
Budgets
Student Portfolios
Evacuation Plan
Ask attendees to think of some

6. 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

7. 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

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

9. 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

10. 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)
Schedule ED-1
records retention and disposition schedule ED-1 (1988; rev. 2004), as set forth in section 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

11. 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.)

12. 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.

13. 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

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

15. 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 ) 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 ) 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.

16. 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)

17. 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

18. 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)

19. 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

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

21. Useful
Resources

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

23. Vendor
Resources

24. QUESTIONS AND ANSWERS Thank you Kaushika Patel Caroline MacDonald
(845) (845)
Ginny Butler
(800)