Presentation on theme: "Managing the Paper Mountain NYSSBA October 2006"— Presentation transcript:
1 Managing the Paper Mountain NYSSBA October 2006 Seminar Leaders:Kaushika Patel, Director of Technology, Rockland BOCESCaroline MacDonald, Records Management, Rockland BOCESGinny 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 formatLocal govt – school district is considered oneTransaction of public business
4 Records Come in Different Forms Effective Records ManagementRecords Come in Different FormsPaperMicrofilm/MicroficheElectronic DocumentsWeb PagesAlso voice recordings, videos, etc.
5 Examples of Records in Education Effective Records ManagementExamples of Records in EducationStudent FilesAttendance RecordsStudent Medical RecordsReport CardsIEP’sPolicies and ProceduresPurchase OrdersOfficialEnvironmental and Safety AssessmentsGrant ProposalsPersonnel FilesSchool Board MinutesBudgetsStudent PortfoliosEvacuation PlanAsk attendees to think of some
6 Effective Records Management Classes of RecordsVitalEssential to continued operationIrreplaceableImportantImportant to continued operationReplaceable (sometimes at considerable expense)UsefulLoss would temporarily inconvenience organizationReplaceableNonessentialNo real valueOught to be destroyedGroups put 1 or 2 types in each category
7 Effective Records Management The Lifecycle ConceptArchivalRecordsStoreInventoryReviewMigrateBackupActiveRecordsCreateStoreRetrieveInactiveRecordsInventoryStoreArchiveDestroyStart on top of circlesTalk about documents moving through the document stream
8 Records Lifecycle Active Current Frequently accessed Inactive Older; must be retainedRarely accessedArchivalOf important historical significanceOccasionally 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-1records 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 effectiveOthers need to be at least as restrictiveAlso “Office Retention Schedules” can make management easier
11 Records Management Program Effective Records ManagementRecords Management ProgramA records management program includes, but is not limited to:the legal disposition of obsolete recordsthe identification and administration of and access to records of enduring valuefiling and indexing systemsthe use of computer or other technology informationthe storage and management of inactive records no longer needed for the conduct of day-to-day business in the officethe microfilming of recordsthe oversight of the creation and use of forms, correspondence and other recordsand 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 responsibleDefine Vital Records – critical to continued operation (like Emergency Management Plan, Contracts, etc.)
12 Effective Records Management Provides control over records from creation to destructionEnsures 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 accessEasily accessibleReadable (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 ManagementWho Is Responsible for Records Management?The Records Management OfficerEVERYONEEveryone 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 LegalFERPAHIPAAIDEANCLBFOILThe 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; andthe procedural safeguards rights for these children and their parents.No Child Left Behind (federal, 2002) – stronger accountability for resultsFreedom of Information Law (Article 6, Sections ) Outlines the rights of the public to access public records.Regulations of the Commissioner of EducationPart 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 ManagementMajor Components of a Records Management SystemRecordsPlanTrainingResponsibilityRecords – everyone has (or you wouldn’t be here)People (again, you have that)Plan – Need a plan for creation, storage, retrieval, and dispositionPlan B – Need a plan for backup and disaster recovery, also for data migrationTraining - for everyone involved, with updates and refreshers as neededResponsibility - designated to a person and others as needed (law requires designation of a records officer)
17 Effective Records Management Determine which thingsare “records”Group by Records SeriesDo these documents meet criteria to be “records”Records Series often = current filing cabinet setupsState requires you to have an inventory of your records to provide public interested in accessing recordsPoint out SARA Inventory Worksheet in packetDiscuss “office retention schedules” – dual function as Inventory
18 Effective Records Management A PlanFiling StructureNaming and IndexingAccessSecurityRetention andDispositionStructure: applies to paper, electronicNaming/indexing – sameBusiness 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 recordsStore records safely and securelyBe able to retrieve records quickly and easilyKeep the process for sharing information simpleHave documented procedures and good training for everyoneUse technology appropriatelyHave a Disaster Recovery Plan – and USE it
20 Total Record Solutions Effective Records ManagementTotal Record SolutionsPaperFilmElectronic Records