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.