Records Information Management

Transcription

1 Information Systems Sciences Records Information Management Region V Spring Conference March 26, 2015 Was I supposed to keep that 1

2 Where did we store that 2

3 Space Issues. Need storage space for a classroom Natural Disasters Fire Tornado Flood 3

4 Reality Check. Management of records has become increasingly complicated due to the wide variety of formats we work with: paper, electronic files, , instant messages, social media and more. As the number of laws and severity of punishment related to records retention continues to increase, it s critical that organizations implement and execute proper records and information management. (FOIA) Now, more than ever, school districts need to have solid records management practices in place for all record types. Records Vital to the operation of any organization Must be readily available at all times Serve as the organization s memory Evidence for past events Basis for future actions May be valuable from a historical standpoint and need to be retained permanently in the archives of the district 4

5 Records Are vital for the continuity of the district May be of transient administrative, legal, and financial value Some need to be kept permanently No longer required records should be disposed of to make room for those of continuing value Are protected by Minnesota Statutes and Federal requirements School District General Record Retention Schedule Administered by the State of Minnesota Department of Administration Provides a plan for managing governmental records by giving continuing authority to dispose of records under Minnesota Statutes Establishes minimum retention periods for school records based on their administrative, fiscal, legal, and historical value. Lists records common to school districts and how long to keep them. 5

6 School District General Record Retention School districts can either adopt the state s retention schedule or adopt its own approved schedule Schools without an approved retention schedule DO NOT have the authority to destroy records without seeking approval to destroy specific records pursuant to Minnesota Statutes Destruction of records without approval is a violation of the law. The law provides for litigation of the person in charge of maintaining data and its security (usually the Superintendent) See Online Handout for Retention Schedule. Retention Period Examples Minimum Retention periods Most curriculum records: 1 year Food services records: 3 years Most transactional financial records, most payroll records: 6 years Board minutes, building blueprints, annual reports, payroll registers, student cumulative records, special education records: permanent retention 6

7 School District General Record Retention Schedule Questions about retention schedules or data practices: Department of Administration Information Policy Analysis Division 305A Centennial Office Building 658 Cedar Street St. Paul, MN Voice: 651/ / Fax: 651/ RIM Best Practices Retention Schedule The heart of records management is the Record Retention Schedule. It supports the district s efforts to: Meet requirements Manage intellectual property Control information storage costs Locate and retrieve documents Dispose of end life documents RIM = Record Information Management 7

8 RIM Best Practices Accountability An awareness of RIM at every level of the school district is required in order achieve compliance. Each employee should be required to acknowledge that they have read and understood the RIM policies and procedures. RIM Best Practices Processes and Procedures Incorporate all media types, including and social media Establish a system of record for centralized management Align back up policies with retention policy Establish procedures for systematic records destruction Preserve records with long term retention requirements in appropriate archival conditions Institute procedures for onsite, offsite, and electronic records 8

9 Records can be created by way of websites, blog posts, instant messages, wikis, Twitter, Facebook and other communication platforms. We can t avoid these new communication platforms, but we must be aware if records are created within them, and if so, how they will be captured, retained and destroyed per the Records Retention Schedule. Social Media: The Next Generation of Archiving Social media content and messages are no different than . They are subject to a wide range of compliance rules, liability, and electronic discovery requirements. Organizations need to treat social media activity just like any other electronic communication and always be prepared to secure and retrieve content. New software programs are now available to assist with this type of archiving. 9

10 Question 1: What is record retention? Answer: Government entities, such as public school districts, are required to maintain records under Minnesota Statutes. The maintenance of records is a legal requirement and is important for documenting the activities on which State and Federal tax money was expended. Records also make policies transparent and preserve the history and knowledge of government entities. Question 2: What is a Record Retention Schedule? Answer: A Record Retention Schedule protects both the district's interests and the public's rights by providing guidance to the district about the management of records. A retention schedule tells the district how long to keep certain records and gives the district authority to destroy records when appropriate. It specifies how long records must be kept and includes references to laws that govern the retention period for particular documents. School district personnel should follow their district's record retention schedule regarding the destruction and retention of all records collected, created, received, maintained, or disseminated by a district. 10

11 Question 3: Are Record Retention Schedules required by law? Answer: Yes. Minnesota Statutes, Section , Subdivision 7, require every government entity to have a retention schedule to govern the retention and destruction of all records. Public school districts are government entities; therefore, all public school districts in Minnesota must have a Record Retention Schedule that is approved by the Records Disposition Panel, the state entity that approves the record retention schedules of government entities. Question 4: How do I find out if my district has a Record Retention Schedule? Answer: District personnel should consult with the individual in their district who handles data practices related matters to determine whether a record retention schedule exists. Your district may already have a record retention schedule that you should follow to maintain and destroy your records. 11

12 Question 5: What if my district does not have a Record Retention Schedule? Answer: If your district does not have a Record Retention Schedule, one should be created. State law requires all public school districts, including charter schools, to have a record retention schedule. If your district does not have an approved Record Retention Schedule, no records can be destroyed or discarded before one is completed. Question 6: How do I get my Record Retention Schedule approved? Answer: Record Retention Schedules must be reviewed and approved by the Records Disposition Panel. School districts may choose to either adopt the School District General Records Retention Schedule in full or in part, or draft their own Record Retention Schedule. Regardless of how a school district creates its record retention schedule, all districts should follow the instructions attached to the School District General Records Retention Schedule to obtain approval for their retention schedule. Obtaining approval for their retention schedule gives a district continual authority to appropriately dispose of records according to that schedule. 12

13 Question 7: How Do I Use a Record Retention Schedule? Answer: A Record Retention Schedule should be consulted to determine how long a school or district must retain various records that the district collects, creates, receives, maintains, or disseminates. Different types of records are retained for varying lengths of time. A retention schedule provides guidance to school staff about whether a district has a particular set of data when responding to a data request and whether certain records need to be kept when cleaning and organizing. A retention schedule also helps districts comply with record management requirements that may be necessary to receive Federal and State financial support such as grants or other monetary allocations. Question 8: Are there any legal guidelines that control the length of time records must be kept? Answer: Yes. Federal and State laws and guidance documents exist that set out guidelines controlling the length of time records must be kept. School districts should become familiar with federal and state record retention guidelines and consult their district s legal counsel or data practices professional for further assistance in setting the retention periods for records. Districts can also consult the School District General Records Retention Schedule. 13

14 Question 9: Are there specific guidelines about the retention of Special Education records? Answer: Yes. In addition to the general 5 year minimum recommended for education records that relate to programs supported by Federal funds, additional guidance exists about the retention of Special Education records. If records involve Special Education, the district must inform parents when personally identifiable information collected, maintained or used is no longer needed to provide educational services to the child. Information must be destroyed at the request of the parents when it is no longer needed to provide services to the child. A permanent record of a student s name, address, and phone number, his or her grades, attendance record, classes attended, grade level completed, and year completed may be maintained without time limitation even if the district destroys other special education records at the parents request. Question 10: Our district is trying to save space and be green in our records management. Can districts retain records in an electronic format? Answer: Yes. Records can be maintained in any format, including an electronic format, as long as records are maintained in an accessible manner and can be retrieved if needed or if a data request is made. For digital records, districts may choose to keep backups of digital databases or paper document copies of certain records. Districts should be consistent in the approach they take to retaining data and, this approach should be documented in the district s policy and procedures. 14

15 Question 11: Our district has changed the records we keep and the format in which we keep our records. What should we do? Answer: Records will change over time as programs and technology change. The format in which records are kept will also change over time. Retention schedules are flexible documents. If new records or information is being created and maintained by the district, these changes should be documented in the district s Record Retention Schedule and the updated retention schedule should be submitted for approval. If a district changes only the format in which a record is kept this change should also be documented in the district s record retention schedule. However, the district does not need to submit the updated retention schedule for approval by the Records Disposition Panel. Question 12: How long must districts keep student records? How long must districts keep records for students who graduate, transfer, or pass away? How long must districts keep cumulative records? Answer: Districts must keep any and all records according to their record retention schedule, including any records that relate to a student. Minn. Stat , Subdivision

16 Question 13: How do we use our Record Retention Schedule when we receive a data request from an individual or entity, such as parent or another district? Answer: A Record Retention Schedule helps a district respond to a data request because a district can quickly determine if they still have the data being requested. For example, a request is received for a student s special education record that is ten years old and the district s Record Retention Schedule states that special education records are kept for seven years. If the district has appropriately destroyed the student s special education records after the 7 year timeframe has ended, the district knows that it no longer possesses the records being requested. The district can respond to the data request efficiently and appropriately after relying on its Record Retention Schedule. Question 14: Do I have to document destruction of records? Answer: Yes. Minnesota government entities are required by state law to maintain a list of records destroyed. Documenting the disposal of records according to an established Record Retention Schedule demonstrates compliance with the law. Disposing of records that are no longer needed is also a best practice. 16

17 Question 15: I still have more questions about record retention and data practices. Whom can I contact for assistance? Answer: If you have additional questions about data practices and record retention, you can contact the MDE Division of Government Relations at For additional data practices question see the School District General Records Retention Schedule. You can also contact the Information Policy Analysis Division (IPAD) of the Department of Administration at or For questions about records with historical value, contact the State Archives Department of the Minnesota Historical Society at Records and Information Management Services Provide solutions to manage and protect your information assets Ensure that your business records are secure and easily accessible Vault backup on any media at a secure facility or back up data through a secure Internet connection with electronic vaulting Climate controlled, secure facilities are designed to protect irreplaceable documents like building blueprints, student cumulative records, Special Ed records, trusts, contracts, and other notarized and certified records 17

18 Hard Copy RIM Service Example RIM Service Provider sends box labels to the school district for box labeling The boxes are labeled by the school RIM Service Provider picks up boxes or school delivers boxes to RIM Service Site RIM Service Provider scans the boxes once they enter the RIM storage facility The boxes are placed on racks labeled with exact rack location The location and box are then scanned again RIM Service Example for Hard Copies RIM Service Provider Portal access Management Software Log In to keep track of each box and file contents Documents expiration of documents Document retrieval via electronic request and a return scan Boxes returned upon request 18

19 RIM Service Example for Electronic Data Any information created, retained, or maintained in any digitized configuration on a mainframe, PC, hard disk, tape, cassette, floppy disk or any other magnetic storage format electronic image (optical disk, CD ROM) or other optical technology, or any other type of electronic technology. RIM Service Example for Electronic Data RIM Service Provider sends box labels to school district for labeling electronic media boxes The school labels electronic media boxes RIM Service Provider picks up boxes or school delivers boxes to RIM Service Site RIM Service Provider scans the boxes once they enter the RIM storage facility Boxes are placed on racks labeled with exact rack location The location and box are then scanned again 19

20 RIM Service Example for Electronic Media RIM Service Provider Portal access Management Software Log In to keep track of each box and electronic contents Documents expiration of electronic media Document retrieval via electronic request and a return scan Boxes returned upon request RIM Service Example for Electronic Transmission Electronic transmission, also known as remote backup, is a method of offsite data storage in which files, folders, or the entire contents of a hard drive are regularly backed up on a remote server. Electronic file backups may be transmitted daily, weekly, or on an ongoing basis. 20

21 RIM Service Site for Disaster Recovery Backups of your systems and data are essential to recover from a disaster, but some disasters leave you with no equipment to restore backup data to. If your primary equipment is no longer functional, it can take days to obtain and provision new servers, firewall, network equipment, etc. Sometimes you need a place to recover the data a fire or tornado may have made your primary site unusable for weeks or longer. Information Systems Sciences ISS offers all records management services mentioned during this presentation along with disaster recovery planning and disaster recovery site services. We also offer a complete technology solution from infrastructure design, installation services, technical support, cloud services, remote data backup, managed hosting, and remote infrastructure monitoring to training services to make the most of your technology purchases. Our professionals have experience with K 12 education and small businesses. 21

22 Thank you! For Additional Info and Assistance Contact: Information Systems Sciences Be Sure to Take A Flyer and Business Card! 22