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
Records
“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)
Records Come in Different
Forms





Paper
Microfilm/Microfiche
Electronic Documents
E-Mail
Web Pages
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
Classes of Records
Vital
Important
Essential to
Irreplaceable
continued operation
Important to
Replaceable
continued operation (sometimes at
considerable expense)
Useful
Loss would
temporarily
inconvenience
organization
Nonessential No real value
Replaceable
Ought to be
destroyed
The Lifecycle
Concept
Active
Records
Inactive
Records
Archival
Records
Records Lifecycle
Active
Current
Frequently accessed
Inactive
Older; must be
retained
Rarely accessed
Archival
Of important
historical
significance
Occasionally
accessed, usually
for research
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)
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
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))
Records Management
Provides control over records from
creation to destruction
Ensures that records are retained and
usable through their mandatory retention
periods.
Ensures that records are destroyed at the
end of their retention periods.
Who Is Responsible for Records
Management?
The Records Management Officer
EVERYONE
Business




Records Storage Space
Accessibility
Sharing of Information
Demands for Instant
Information
Legal





FERPA
HIPAA
IDEA
NCLB
FOIL
Major Components of a
Records Management System




Records
Plan
Training
Responsibility
Records


Determine which things
are “records”
Group by Records Series
A Plan





Filing Structure
Naming and Indexing
Access
Security
Retention and
Disposition
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
Paper
Film
Electronic Records
How Can BOCES
Records Management
Help?





Needs Assessment
Planning
In-service Training
Electronic System Implementation
Ongoing management assistance
QUESTIONS AND ANSWERS
Thank you
Kaushika Patel
(845) 627-4735
Ginny Butler
(800) 836-8834
Caroline MacDonald
(845) 627-4854