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Records Management: The Big
Picture
Presented by: Wendy Kilgore and Reid Kisling AACRAO Consulting
Tuesday, April 16, Time 03:45
Session ID 1644
Source: powerpointninja.com
Goals for this Session
• Elements of Records Management
• Governing Principles
• How, who and what
• Examples from the field
• Engaging discussion!
feather : peacock :: scale :
A. shark
B. dolphin
C. whale
D. bass
shark
dolphin
whale bas
s
0% 0%0%0%
Records Management is Fun!
A. Way cool!
B. Nerdville
C. Boring
D. Taking the 5th
Way
cool!
Nerdvil
le
Boring
Taking th
e 5th
0% 0%0%0%
Elements of Records Management
Source: http://www.studiomountain.com/records-cartoons.html
Governing Principles
State or Province
Discipline Specific
Our Records Practices
There are some things we do because there is a regulation and others we do because of best practice.
You have a develop a policy that addresses both.
Who Has Institutional Responsibility?
• Registrar
• Information Technology
• Financial Aid
• Human Resources
• Admissions
• Staff
• Faculty
• Join the crowd!
Which hat do you wear?
A. Registrar
B. Admissions
C. Financial Aid
D. Faculty
E. Advising
F. Information Tech
G. Other Regist
rar
Admiss
ions
Financia
l Aid
Facu
lty
Advising
Info
rmatio
n TechOth
er
0% 0% 0% 0%0%0%0%
Definition of Student Record in U.S.
“Records that are directly related to a student and maintained by an educational agency or institution or by a party acting for an agency or institution, if certain a conditions are met.” 2013 FERPA Quick Guide - AACRAO
Do you have a records retention and destruction policy?
A. Yes
B. No
C. I don’t know
YesNo
I don’t
know
0% 0%0%
Does everyone with access to student records follow the policy?
A. Yes
B. No
C. Maybe . . depends on who is asking
YesNo
Mayb
e . . d
epends on w
h...
0% 0%0%
If you have one, when was it last updated?
A. < 1 year ago
B. 1-3 years ago
C. 4-7 years ago
D. More than “C”
E. During the last ice age
< 1 year a
go
1-3 ye
ars a
go
4-7 ye
ars a
go
More
than “C
”
During t
he last
ice ag
e
0% 0% 0%0%0%
Record Types
What type of records do you have?
A. SIS/ERP
B. Imaged
C. Microfiche, film or paper
D. Both A and B
E. A, B and C
F. Stone carvings SIS/
ERP
Imaged
Micr
ofiche, f
ilm o
r paper
Both A
and B
A, B a
nd C
Stone ca
rvin
gs
17% 17% 17%17%17%17%
Don’t Forget!
Regardless of the record format, the records retention guidelines apply.
Institutional Risk and Liability
• When you retain everything forever, you effectively have no retention policy.
• Data breach exposure increases.
• Not purging all versions records increases liability risk.
and . . .
Disaster Recovery
Construct or Remodel Your
Retention Schedule
Step 1: Identify Need
Do you know where your records are?
A. All of them
B. Some
C. Most
D. I think so . . .
All of t
hemSom
eM
ost
I thin
k so . .
.
0% 0%0%0%
Step 2: Inventory Your Records Where are they kept, in what format and how secure?
Faculty Offices
Advising Office
Mass Paper Storage
Electronic Records
Step 3: Appraise/Categorize
Function
Registrar
Retention Category
Transactional
Permanent
Record Type
Registration History
Change of Address
Grades
Catalog
Courses
Step 4: Create A Schedule
Got a Risk Averse Culture?
A. Strongly Agree
B. Agree
C. Somewhat Agree
D. Neutral
E. Somewhat Disagree
F. Disagree
G. Strongly Disagree
Strongly
Agree
Agree
Somew
hat Agr
ee
Neutral
Somew
hat Disa
gree
Disagre
e
Strongly
Disagre
e
0% 0% 0% 0%0%0%0%
Step 5: Publicize and Train
Step 6: Review and Update
Examples From The Field
• At least one state has a requirement by statute for paper records
• Updating state records requirements
Examples From The Field
• At least one state has a requirement by statute for paper records
• Updating state records requirements
• Imaging – the cart before the horse
• Application at private institutions
Please complete the session evaluation form using the AACRAO Mobile App or the paper form provided in your conference bag.