Cross-Functional Action Team Final Report. Records Management

Transcription

1 Cross-Functional Action Team Final Report Records Management March 10, 2010

2 Team Charge The team will evaluate current records management policies and procedures and recommend strategies to address areas of risk, fill identified gaps and recommend changes to support the optimal creation, use, maintenance and disposition of district records. Team Members Sponsor Dr. Alexis Kirijan, Chief Strategy Officer Facilitator Panya Lei Yarber, Program Manager for Process Improvement Members Monica Bolden, Senior Human Resources Assistant James Carter, Logistics Supply Supervisor Glenda Clark, Records Center Liaison Sophia Clark, Assistant General Counsel Abbie Coker, Accounts Payable Supervisor Santhia Curtis, Deputy General Counsel Elwood Duckworth, Special Assistant to the Deputy Superintendent of Operations Bernice Graham-Fain, Administrative Manager Myra Guy, Director, Information Technology Dr. Marilyn Hughes, Director of Nutrition Administration Gia Jennings, Human Resources Manager Herb Joseph, Director of Administration & Management Rebecca Kaye, Director, Policy and Government Relations Teresa Reese, Employee Relations Officer Denise Revels, Interim Coordinator of Social Work Services Valeria R. Richardson, HR Information Specialist Elbert Stringer, Jr., Assistant Director of Security Seana Goodson-Tucker, Paralegal, Office of the Chief of Staff Rome Williams, Systems Support Page 2 of 11

3 Team Objective The team will provide a comprehensive solution to improve records management processes at APS, ensuring that the district has a records management program, which is cost-effective, compliant and operationally efficient. Recommendations Recommendation 1 Present for board approval, a records management policy, and for the Superintendent s approval, a regulation which outlines a records management program and district retention guidelines. Recommendation 2 Pursuant to existing law, create a records retention schedule, which reflects legal and operational requirements. Recommendation 3 Conduct and complete a district inventory to include the identification of records in administrative offices, SRT offices, warehouses, buildings, schools and any other areas that may house records. Recommendation 4 Create a centralized records management department for student and operational records that provides for the management and release of all student and business records, in all formats and media types, to meet the legal, operational and historical preservation needs of the district. Recommendation 5 Select and deploy an enterprise records management software solution to aid in digitizing district records, support compliance and provide secure and efficient document retrieval capabilities, while integrating with current district applications. Recommendation 6 Design and implement a centralized registration process for all APS students. Page 3 of 11

4 Problem Statement A cost-effective records management program is critical for Atlanta Public Schools (APS) to operate efficiently, minimize fiscal risk, and ensure regulatory compliance. As a state entity, APS must facilitate easy access to records for business continuity and public information purposes. Consistent records management practices will enable APS to preserve organizational history and meet stakeholder s expectations through improved service delivery to constituents. Systematic and uniform records management practices and a centralized registration process are needed district-wide, to address the creation, use, maintenance and eventual disposition of records. Records must be adequately tracked and labeled, accurately maintained, easily accessed and retained as required by retention guidelines. Additionally, paper-intensive processes should be kept to a minimum by appropriately leveraging technology. Developing a formal, improved approach to records management supports two of the district s strategic objectives to improve the effectiveness and efficiency of district processes and improve internal and external customer service. Improving APS records management processes will support the alignment of resources with strategic priorities, which will allow APS to better support improved student achievement. Current Status Currently, inconsistent records management processes and procedures are used throughout the district. In addition, there is an opportunity to improve the efficiency of existing registration processes. The district retains a significant amount of sensitive information that must be maintained in a secure and confidential manner. Records are stored in several locations throughout the district, rather than in a central repository, and district record volumes are large. Current Gaps Employees should be more aware of state retention policies. There is a great deal of inconsistency in records management procedures. Ownership of records management is centered within divisions and departments, without a centralized manager of the district-wide process for records management and without standardized guidelines. There should be one designated district owner for records and more cross-divisional coordination. Student registration should be more efficient and aligned with best practices. Information Studied Prior to development of recommendations, the team studied and considered the following: The school district s current records management processes; Team members perspectives of current records management processes; Team members experiences with current records management processes; Benchmarking against the records management processes in Forsyth County Schools, Fulton County Schools, Paulding County Schools, Gwinnett County Public Schools, and Seattle Public Schools; The team s visit to Forsyth County Schools in Cumming, Georgia; Research from Iron Mountain and the Corporate Executive Board; A review of records management processes in Curriculum and Instruction, Operations, Technology, Finance, Human Resources, Communications, Legal, Strategy and Development and the Office of the Chief of Staff; Page 4 of 11

5 The results of a nationwide records management survey, created by the team, of urban public school districts. Highlights of Information Studied Establishing a centralized records management function provides a single point of contact for all records management activities and better consistency in records management processes. Districts with centralized records management programs are able to track, identify, protect, and disposition records more consistently. An enterprise approach to records management, with significant cross-departmental consideration, is required to fully capture the benefits of utilizing a records management software system that helps to minimize paper and automates the processing of documents. Digitizing records helps to improve customer service and shift resources away from tedious retrieval-related tasks to higher value activities, allowing better response to time sensitive requests and an ability to focus more resources on improving student achievement. The information studied indicates that customer service would be improved if APS staff would not have to manage large amounts of paper in their offices. Additionally, the ability to quickly answer inquiries without leaving their desks would similarly enhance customer service. An initial, important step in records management is to inventory each type of record within an organization, looking across business units, formats and systems, and obtain a complete and accurate listing of the locations and contents of the organization s records. This records inventory then becomes the basis for a retention schedule. Key steps in creating a records management program are developing a single records retention schedule, to be implemented across the organization, creating and applying records management policies and procedures consistently, and formalizing the timely disposition of records, disposing of them consistently and systematically. Effective communication of records management policies and procedures, including retention guidelines, is imperative. Records management organizations in other school districts are housed in a variety of divisions, including Information Technology, Finance, Legal, Operations and Communications. Current APS records management processes are costly. In addition to the cost of physically storing records at APS sites and offsite, it can be costly to the district when staff is unable to locate and retrieve a record in a timely manner. Inefficient retrieval processes put the district at risk of litigation and contempt of court. Additionally, the ability to quickly and efficiently retrieve records better supports the district s desire to be viewed as a top-performing urban school district. Desired Status The desired status is an overall reduction in paper and in manual paper processes, which will result in enhanced customer service and the elimination of activities that slow business transactions. The members of the team envision a compliant records management program that proactively manages all district information, and projects an image of good faith, responsiveness and transparency to the community. Page 5 of 11

6 Recommendations Recommendation 1 Present for board approval, a records management policy, and for the Superintendent s approval, a regulation which outlines a records management program and district retention guidelines. 1 of 6 The Records Management Cross-Functional Action team conducted a review of the state of records management within APS. This review revealed many challenges: 1. APS has a decentralized approach to managing the district s significant amount of confidential and sensitive financial, student and personnel information. 2. Records are stored throughout the district and are sometimes stored insecurely or labeled improperly. 3. APS lacks both a central repository for records and a centralized means of tracking records. 4. Many staff members are unaware of how long records should be kept and which state or district policies are relevant to the records in their area. 5. There are significant challenges around records retrieval it can often be difficult and take a significant amount of time to locate records of all types. 6. Stakeholders throughout the district manage a large amount of paper in their offices and there is a need to more efficiently and quickly retrieve documents. The challenges associated with records management at APS represent significant risks. These risks can be costly and affect the district s reputation; consequently, addressing these gaps requires immediate corrective action. To begin managing this risk appropriately, divisions must work together to proactively create a sound records management program. Establishing a policy and a corresponding regulation is foundational to the design of a comprehensive and compliant records management program at APS. When communicated clearly and consistently, policies and regulations serve as the basis for best-in-class records management practices by governing the creation (or receipt), use, retention, preservation and destruction of records. Once the policy and regulation are approved, it is important that they are universally applied throughout APS. This can be achieved through appropriate communication and training. This updated policy and new regulation will address paper-based documents as well as electronic records. Specifically addressing electronic information is critical, as in the last several years, the volume of electronic information has significantly increased, potentially increasing the level of risk to the district if improperly managed. Electronic information brings with it a variety of complexities associated with managing , documents, databases, audio files, videos and digital images. Establishing the administrative records policy is a first, critical step in mitigating the risks associated with records management and a necessary step to achieve the team s vision for records management at APS. The team is recommending a policy to include the following statement: To have an enterprise records management program that is efficient, cost-effective and compliant. Costs: N/A Potential Funding: N/A Page 6 of 11

7 Measurement/Evaluation: An approved policy and regulation. Recommendation 2 Pursuant to existing law, create a records retention schedule, which reflects legal and operational requirements. 2 of 6 During the team s review of the status of records management at APS, the team found that while the state of Georgia has a records retention schedule that would apply to the district, many district employees are unaware of the schedule. Different departments and individuals have acted on their own with regard to records retention. Because many are unaware of the appropriate length of time to retain a record, some records could be destroyed or disposed of too soon and some could be stored for unnecessary lengths of time. Retaining records beyond the required retention date represents a risk to the district and can result in costs to APS in the form of exposure to liability, legal expenses and damage to reputation. In short, having an APS retention schedule that is approved and widely communicated would help to ensure: 1. Better compliance with state retention policies 2. The district will store less paper, making more space available to be utilized for other purposes rather than being used to store records that should have been destroyed 3. Better documentation of disposition activities, affording legal protection and risk mitigation as records that have no ongoing business value or usefulness are dispositioned 4. Unnecessary costs associated with storage and personnel are avoided 5. Accountability by demonstrating that APS has a clear schedule and that all destruction takes place only in accordance with proper procedures The team has created a records retention schedule, for Senior Cabinet approval, as a result of this recommendation. It is critical that this retention schedule be kept up-to-date to ensure ongoing compliance with regulatory requirements. Costs: N/A Potential Funding: N/A Measurement/Evaluation: 1. Track the number of records destroyed. 2. Track percent reduction of records. Page 7 of 11

8 Recommendation 3 Conduct and complete a district inventory to include the identification of records in administrative offices, SRT offices, warehouses, buildings, schools and any other areas that may house records. 3 of 6 The team determined that it is vital to conduct a district-wide inventory now. A complete listing of district records, their condition and their corresponding locations is critical, as this would identify and quantify all of the records created and handled throughout the organization. Once there is an accurate and complete listing of records, it is possible to use that inventory as the basis for a comprehensive retention schedule. In Phase I, the team conducted an inventory of central office records across all divisions. For Phase II, should this recommendation be accepted, the team is recommending that the inventory effort be expanded to include records at all schools. Costs: N/A Potential Funding: N/A Measurement/Evaluation: Page 8 of 11

9 Recommendation 4 Create a centralized records management department for student and operational records that provides for the management and release of all student and business records, in all formats and media types, to meet the legal, operational and historical preservation needs of the district. 4 of 6 A new organizational structure is needed to meet the records management challenges that exist at APS. Due to the variety of records present in the district, it would be advantageous to have one records management department that is accountable for the oversight and management of all APS records. The advantages: 1. There would greater consistency in the application of records policies and procedures. 2. More accountability and control over the storage and retrieval of records. 3. One department would manage records centrally and consistently, mitigating the risk of records being managed inconsistently in different departments. 4. There would be one place to go to with records management requests, questions and concerns. This new records management department would manage student and operational records and would, organizationally, fall under the oversight of the Chief Information Officer. The department will be led by a certified Records Manager and include in its employ an archivist and appropriate staffing levels to support the department s role in managing student and administrative records. One team will focus on business records and another team will focus on student records. This new department would be in one physical space that will house inactive student and departmental records as well as a museum for noncurrent records which have continuing value. This new department would: 1. Ensure ongoing records management training, for existing staff and new employees, that will support the proper management and protection of district records. 2. Create a manual, to be available in electronic form, which includes consistent procedures for staff to follow on how to appropriately create, maintain, store and disposition records. 3. Review and update the procedures manual on a regular basis. 4. Ensure the maintenance of the new records management department through periodic reviews and audits of the program. Although the recommendation is that Records Management be in the Information Technology division, it is a shared responsibility. We are recommending that each year, each division appoint a staff member to act as that division s liaison and subject matter expert for records management. This liaison will be the division s point of contact for records management issues and will facilitate communication between the records management department and divisions. The Records Management liaison will distribute communication about records management in his or her division and be familiar with all applicable laws and district policies and procedures. This liaison will also submit changes to the retention schedule to IT for district-wide publication. Costs: N/A Potential Funding: N/A Measurement/Evaluation: Page 9 of 11

10 Recommendation 5 Select and deploy an enterprise records management software solution to aid in digitizing district records, support compliance and provide secure and efficient document retrieval capabilities, while integrating with current district applications. 5 of 6 Once the foundation has been laid and appropriate policies, regulations and retention schedules have been communicated throughout the district, an enterprise records management software solution would help APS move from being a paper-driven organization, to an organization with the ability to create, accept, control and dispose of records electronically. Digitizing records and managing these records electronically will help APS to: 1. Centralize all records in one location, rather than having them scattered across many physical sites records will be located in a single, electronic repository 2. Begin eliminating paper - freeing up valuable space that is currently being used to store paper records 3. More easily and quickly retrieve records with the ability to allow authorized staff to immediately access records and eliminate the need to conduct time-intensive searches for paper records across several work locations 4. Lower the cost of paper-based discovery and e-discovery 5. Automate the management of a record throughout its lifecycle - from its creation or acceptance to final disposition 6. Easily run reports on records district-wide, enabling staff to have a clear view of where records are located and who has been accessing records 7. Automate retention policies 8. Maximize proper retention of records and provide convenient and less intrusive access to records related to litigation matters 9. Protect records from disasters such as fires and flood electronic records can utilize a redundant storage system, be backed up and restored if needed 10. Digitize historical records to promote the preservation of APS history While initial implementations of software can be expensive, over the long-term, digitizing records will help APS to increase productivity and save money, allowing the district to use the time and cost-savings in support of its core mission increasing student achievement. Costs: TBD Potential Funding: TBD Measurement/Evaluation: 1. Track the number of student records digitized for students graduated or withdrawn from Atlanta Public Schools. These records would be digitized and archived. 2. Track digitization of departmental records. 3. Measure reduction in record retrieval time. 4. Measure physical space saved. 5. Track the number of records released digitally. Page 10 of 11

11 Recommendation 6 Design and implement a centralized registration process for all APS students. 6 of 6 Centralizing registration will further strengthen records management practices at APS and enhance the district s ability to offer exceptional customer service. Centralizing registration will provide for the following: 1. Greater consistency in registration practices and control in the creation of a student record, which will aid the district in introducing quality information into the district s systems and providing quality data to schools 2. An opportunity for parents to register all children at one location, rather than having to travel to multiple school sites 3. Improvements in the ability to provide more accurate staffing projections, textbook order forecasts, and assessments of transportation needs 4. Expedite the free and reduced lunch process (only one application will need to be completed per family) 5. School-level staff will be able to focus more on school-level and instructional concerns, rather than on registration processes 6. More equity and consistency in the school choice process Costs: TBD Potential Funding: TBD Measurement/Evaluation: 1. Measure school and parent satisfaction with new registration process through customer surveys. 2. Track the number of free and reduced lunch applications. Page 11 of 11