Seminar Leaders: Kaushika Patel, Director of Technology, Rockland BOCES

Caroline MacDonald, Records Management, Rockland BOCES

Ginny Butler, Education Specialist, General Code

Managing the Paper MountainManaging the Paper MountainNYSSBA October 2006NYSSBA October 2006

AgendaAgenda

IntroductionsIntroductions Guidelines for Effective Records Guidelines for Effective Records

ManagementManagement Questions and AnswersQuestions and Answers

RecordsRecords

““AAny book, paper, map, photograph, or other ny book, paper, map, photograph, or other information-recording device, regardless of information-recording device, regardless of physical form or characteristic, that is made, physical form or characteristic, that is made, produced, executed, or received by any local produced, executed, or received by any local government or officer thereof pursuant to law government or officer thereof pursuant to law or in connection with the transaction of public or in connection with the transaction of public business. Record as used herein shall not be business. Record as used herein shall not be deemed to include library materials, extra deemed to include library materials, extra copies of documents created only for copies of documents created only for convenience of reference, and stocks of convenience of reference, and stocks of publications.” publications.” (Arts and Cultural Affairs Law, § (Arts and Cultural Affairs Law, § 57.17, Subdivision 4)57.17, Subdivision 4)

Records Come in Different Records Come in Different FormsForms

PaperPaper Microfilm/MicroficheMicrofilm/Microfiche Electronic DocumentsElectronic Documents E-MailE-Mail Web PagesWeb Pages

Examples of Records in Examples of Records in EducationEducation

Student FilesStudent Files Attendance RecordsAttendance Records Student Medical Student Medical

RecordsRecords Report CardsReport Cards IEP’sIEP’s Policies and Policies and

ProceduresProcedures Purchase OrdersPurchase Orders Official E-MailOfficial E-Mail

Environmental and Environmental and Safety Safety AssessmentsAssessments

Grant ProposalsGrant Proposals Personnel FilesPersonnel Files School Board School Board

MinutesMinutes BudgetsBudgets Student PortfoliosStudent Portfolios Evacuation PlanEvacuation Plan

Classes of RecordsClasses of Records

VitalVital Essential to Essential to continued continued operationoperation

IrreplaceableIrreplaceable

ImportantImportant Important to Important to continued continued operationoperation

Replaceable Replaceable (sometimes at (sometimes at considerable considerable expense)expense)

UsefulUseful Loss would Loss would temporarily temporarily inconvenience inconvenience organizationorganization

ReplaceableReplaceable

NonessentiNonessentialal

No real valueNo real value Ought to be Ought to be destroyeddestroyed

Inactive Inactive RecordsRecords

Inventory

InventoryS

tore

Sto

re

Archive

ArchiveD

estr

oy

Des

troy

ArchivalArchivalRecordsRecords

Stor

eSt

ore

InventoryInventory

Rev

iew

Rev

iew

MigrateMigrate

Backup

Backup

Active Active RecordsRecords

CreateCreate

Sto

reS

tore

Retrieve

Retrieve

The Lifecycle The Lifecycle ConceptConcept

Records LifecycleRecords Lifecycle

ActiveActive CurrentCurrent Frequently Frequently accessedaccessed

InactiveInactive Older; must be Older; must be retainedretained

Rarely accessedRarely accessed

ArchivalArchival Of important Of important historical historical significancesignificance

Occasionally Occasionally accessed, usually accessed, usually for researchfor research

Record SeriesRecord Series

““A group of related records (such as minutes of a A group of related records (such as minutes of a board, payrolls, and purchase orders) that are board, payrolls, and purchase orders) that are normally used and filed as a unit and that normally normally used and filed as a unit and that normally have the same retention requirementshave the same retention requirements.” .” (NY SARA (NY SARA Glossary of Terms)Glossary of Terms)

Records Retention and Disposition Records Retention and Disposition ScheduleSchedule

““AA list or other instrument describing records list or other instrument describing records and their retention periods which is issued by and their retention periods which is issued by the commissioner of education.” the commissioner of education.” (Arts and (Arts and Cultural Affairs Law, § 57.17, Subdivision 6)Cultural Affairs Law, § 57.17, Subdivision 6)

http://www.archives.nysed.gov/a/nysaservices/http://www.archives.nysed.gov/a/nysaservices/ns_mgr_pub_ed1.shtmlns_mgr_pub_ed1.shtml

Records Management ProgramRecords Management Program

A records management program includes, but is not limited to:A records management program includes, but is not limited to: the legal disposition of obsolete recordsthe legal disposition of obsolete records the identification and administration of and access to records the identification and administration of and access to records

of enduring valueof enduring value filing and indexing systemsfiling and indexing systems the use of computer or other technology information the use of computer or other technology information the storage and management of inactive records no longer the storage and management of inactive records no longer

needed for the conduct of day-to-day business in the officeneeded for the conduct of day-to-day business in the office the microfilming of recordsthe microfilming of records the oversight of the creation and use of forms, correspondence the oversight of the creation and use of forms, correspondence

and other records and other records and the provision for protecting vital recordsand the provision for protecting vital records

(8 NYCRR, §185.1(b))(8 NYCRR, §185.1(b))

Records ManagementRecords Management

Provides control over records Provides control over records from creation to destructionfrom creation to destruction

Ensures that records are retained and Ensures that records are retained and usable through their mandatory usable through their mandatory retention periods.retention periods.

Ensures that records are destroyed at Ensures that records are destroyed at the end of their retention periods.the end of their retention periods.

Who Is Responsible for Records Who Is Responsible for Records Management?Management?

The Records Management OfficerThe Records Management Officer

EVERYONEEVERYONE

Records Storage SpaceRecords Storage Space AccessibilityAccessibility Sharing of InformationSharing of Information Demands for Instant Demands for Instant

InformationInformation

BusinessBusiness

FERPAFERPA HIPAAHIPAA IDEAIDEA NCLBNCLB FOILFOIL

LegalLegal

Major Components of a Major Components of a Records Management SystemRecords Management System

RecordsRecords PlanPlan TrainingTraining ResponsibilityResponsibility

Determine which thingsDetermine which things

are “records”are “records” Group by Records SeriesGroup by Records Series

RecordsRecords

Filing StructureFiling Structure Naming and IndexingNaming and Indexing AccessAccess SecuritySecurity Retention andRetention and

DispositionDisposition

A PlanA Plan

Best PracticesBest Practices Create and save ONLY records you needCreate and save ONLY records you need Retain necessary records; dispose of Retain necessary records; dispose of

obsolete recordsobsolete records Store records safely and securelyStore records safely and securely Be able to retrieve records quickly and Be able to retrieve records quickly and

easilyeasily Keep the process for sharing information Keep the process for sharing information

simplesimple Have documented procedures and good Have documented procedures and good

training for everyonetraining for everyone Use technology appropriatelyUse technology appropriately Have a Disaster Recovery Plan – and USE itHave a Disaster Recovery Plan – and USE it

Total Record SolutionsTotal Record Solutions

PaperPaper

FilmFilm

Electronic RecordsElectronic Records

How Can BOCES How Can BOCES Records Management Records Management

Help?Help?

Needs AssessmentNeeds Assessment PlanningPlanning In-service TrainingIn-service Training Electronic System ImplementationElectronic System Implementation Ongoing management assistanceOngoing management assistance

QUESTIONS AND ANSWERSQUESTIONS AND ANSWERS

Thank youThank you

Kaushika Patel Kaushika Patel Caroline Caroline MacDonaldMacDonald

(845) 627-4735(845) 627-4735 (845) 627-4854(845) 627-4854

Ginny ButlerGinny Butler

(800) 836-8834(800) 836-8834