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Organize Your Files & Records the Penn State Way Jackie Esposito, Penn State University Archivist Robyn Dyke, Penn State University Records.

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Presentation on theme: "Organize Your Files & Records the Penn State Way Jackie Esposito, Penn State University Archivist Robyn Dyke, Penn State University Records."— Presentation transcript:

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2 Organize Your Files & Records the Penn State Way Jackie Esposito, Penn State University Archivist Robyn Dyke, Penn State University Records Manager Karen Pipta, Penn State University Inactive Records Center Manager

3 What is Records Management? The application of systematic and scientific controls to recorded information required in the operation of an organization’s business. Robek, Brown & Stephens

4 What is a Record? According to the Pennsylvania Right-to-Know Law: Record – Information, regardless of physical form or characteristics, that documents a transaction or activity of an agency and that is created, received or retained pursuant to law or in connection with a transaction, business or activity of the agency.

5 THE RECORDS MANAGEMENT PROGRAM ENCOMPASSES:  Compliance with Federal Laws and Regulations Relative to Records Management  Policies, Procedures and Retention and Disposition Schedules  Vital Records Management  Electronic Records Management  Files Management System Design and Development  Procedures for Sending Records to the University Archives and/or Inactive Records Center

6 RMAC “Records Management Advisory Committee”  Dawn Boyer, Administrative Information Systems/System Design Specialist  Robyn Dyke, University Records Manager  Jackie Esposito, University Archivist and Head of Records Management Services  Jan Grasser, Administrative Information Systems/System Design Specialist  Brenda Hameister, Office of Provost/Special Assistant  Daniel Heist, Internal Auditing/Director [Elaine Meder]  Mike Furlough, University Libraries/Associate Dean  Kathy Kimball, Information Technology Services/Security Operations  Gary Langsdale, Risk Management/Director  Mike Leach, Information Technology Services/Security Operations  Mairead Martin, Digital Library Technologies/Director  Amy McCall, Office of General Counsel  Sarah Morrow, Privacy Manager  Dona Oberheim, Registrar’s Office/Records  Karen Pipta, Inactive Records Center/Manager  Tom Poole, President’s Office/Special Assistant [Sharon Becker]  Ron Rash, Administrative Information Systems/Senior Director  Steve Savard, Administrative Information Systems/Information Technology Manager  Ken Schroyer, Administrative Information Systems/Information Technology Manager  Jenn Stewart, Information Technology Services/Security Operations  Shawnee Wagner, Office of Human Resources/Records  Kristina Wahl, Office of Physical Plant/Facilities Resource Management/Real Estate Assistant  Rick Witmer, Corporate Controller/Systems and Procedures  Susan Youtz, University Faculty Senate Executive Director

7 FEDERAL LAWS (RELATIVE to RECORDS MANAGEMENT)

8 FERPA – Family Educational Rights and Privacy Act (Buckley Amendment), signed into law August 21, 1974; effective November 19, 1974 Protects the privacy of student education records. The Act affords parents the right to access and seek to amend their children’s educational records up to the age of 18. When a student turns 18, or enters a postsecondary institution (at any age), the rights transfer from the parents to the student. FERPA allows the student to have some control over the disclosure of personally identifiable information from the educational record.

9 POLICY AD11 POLICY AD11 – UNIVERSITY POLICY ON CONFIDENTIALITY OF STUDENT RECORDS o How Penn State complies with FERPA. o Protects students privacy in telling “us” how to handle student records. o Transcript is the official student record. o The Department of Education monitors FERPA – said that you can get rid of everything else when they graduate. [Five years after they left the University.] o *November 4, Minor changes made in these sections: Student Record Policy, Student Educational Records, Definition of Student, Public Information Regarding Students, and University Officers Responsible for Student Records. Significant additions made to Disclosure of Information to Third Parties and Disclosure Under Emergency Conditions sections. Addition of a new section entitled Disclosures Concerning Sex Offenders.

10 Privacy Act of 1974 effective September 27, 1975 Omnibus code of fair information practices. Regulates the collection, maintenance, use and dissemination of personally identifiable information. The purpose of the Privacy Act is to restrict disclosure of information about individuals with the rights of the individuals to be protected against unwarranted invasions of their privacy.

11 Health Insurance Portability and Accountability Act (HIPAA) Privacy Rule effective August 21, 1996; revised August 14, 2002 Established a set of national standards for the protection of certain health information. The Privacy Rule addresses the use and disclosure of individuals’ health information as well as standards for individuals’ privacy rights to understand and control how their health information is used.

12 Federal Rules on E-Discovery Passed December 2006 Requires procedures for and access to electronic business records in their original format within 30 days of receipt of subpoena This may require confiscation of individual records or entire systems depending on the scope of the subpoena.

13 Paperwork Reduction Act effective September 30, 1995 (revised from 1977) Minimizes the paperwork burden for individuals, offices, businesses, contractors, governments, and other persons. Ensures the greatest possible benefit from and maximize the utility of information created, collected, maintained, used, shared and disseminated. Coordinate, integrate and make uniform policies and practices as a means to improve productivity, efficiency, and effectiveness of information collected. Provide for the dissemination of information on a timely basis, on equitable terms and in a manner that promotes the utility of the information.

14 LIFE CYCLE OF RECORDS YEAR 1 (use documents all of the time) YEAR 2 (Reference – in file cabinet) YEAR 3 (old records – keep in attic, basement, etc.) YOU NEED TO MAKE A DECISION AFTER 3 YEARS! [ARCHIVE,INACTIVE RECORDS CENTER, TOSS OR SHRED]

15 Historical Records Act effective June 19, 1934 Any record created more than 20 years ago may have historical or evidentiary value and should be reviewed by the Archives for possible long-term retention.

16 PENN STATE UNIVERSITY ARCHIVES  What are Historical and Archival Records We create records to remember and to communicate information. Usually the information we record gradually becomes less important to save. Thus, most records can and should be discarded within a few years of their creation. However there is a small percentage of any person’s or institution’s records whose information continues to be useful to society long into the future. Such records may be letters, reports, or other types of written documents, or they may be audiotapes, videotapes, maps/blueprints, photographs, computer data, or any of a myriad of formats. These records are referred to as historical and archival. The determination that a record has historical or archival value rests not on the form of the record, but rather on the fact that it contains information of enduring administrative, legal, fiscal, or cultural value to the creating institutions or to researchers. The benefits these records provide to us depend on our ability to retain them in useable condition.

17 ITEMS THAT ARE COLLECTED BY THE UNIVERSITY ARCHIVES: Correspondence (In organizations, particularly of officers) Charter, ByLaws, or Constitution Legal Documents Minutes of Meetings Reports of Committees and Records of their activities Annual Reports Position Papers One copy of every Publication Testimony before Legislative or Investigative Bodies Membership Records Photographs, Scrapbooks, Albums Articles about Person/Organization Writings Addresses, Speeches, and Talks Diaries and Journals Moving Image and Sound (Films, Videotapes, Audiotapes, CDs, DVDs) Reminiscences or Interview Transcripts and Tapes Funded Research Proposals and Project Documentation

18 POLICY AD35 POLICY AD35 – UNIVERSITY ARCHIVES AND RECORDS MANAGEMENT o In existence since May 1991 o Mandatory compliance effective as of October 30, 2007 o Liability policy to protect the University. o AD35 provides rules for the capture, use, storage, and disposition of all University records and to assure effective access to those records which are designated as archival. o This policy is applicable to all areas of the University. o *Certain areas may have individual guidelines which supplement, but do NOT supplant this policy.

19 Records Liaisons Under revisions to AD35, approved as of October 30, 2007, every unit of the University MUST appoint a records liaison to work directly with Records Management staff to ensure compliance with AD35. Who is your Records Liaison? Master list maintained by Robyn Dyke.

20 Duties for Records Liaisons Share records retention information with your staff Interact with Records Management staff to handle office records appropriately Link resources including security, privacy, audit, and records management to your staff Stay abreast of records issues not records rumors

21 BEFORE THERE WAS “RECORDS MANAGEMENT”

22 AFTER THERE WAS “RECORDS MANAGEMENT”

23 Trying to find the appropriate retention period for a specific record can sometimes be difficult. Remsby will show you where to look.

24 Records Management Guidelines “Is this a record?” Questions to ask: 1. Does this document help me perform my job? 2. Is this the original, non-note, non-draft copy of the document? 3. Am I the creator and/or the designated records holder?  If the answer to all three is YES: Record! (Needs to be scheduled)  If the answer to any of these is NO: Non-Record! (Can be discarded at your convenience) Records Management Webpage

25 Retention, Disposition and Destruction Schedule - Definition GURU Administrative Schedules 18 & 21 represent PSU’s General and Financial Retention schedules1821 Schedules provide guidance to ALL university offices for the LEGAL period of time to retain, dispose of, and destroy University records. Schedules represent LEGAL minimums.

26 Records Series TYPES OF DOCUMENTSRETENTION PERIOD Class Lists3 years Staff Review and Development Evaluations 3 years after superseded Admission Applications (Images)7 years Grade Sheets1 year after grade assigned Commencement Programs5 years; Permanently Maintained in Archives News Releases3 years; Transfer to Archives Budget ReportsCurrent fiscal year plus one year Credit Card Receipts7 years Operating Fund ReconciliationCurrent fiscal year plus two years Wage payroll time slips or time clock cards Current fiscal year

27 Messy office- 1 st place winner

28 Messy Office- 2 nd place winner

29 Records Management is: o Preserving yesterday, Managing today, Preparing for tomorrow. o Ensuring access to essential information. o Knowing what to retain and why. o Increasing efficiency, reducing costs. o The only profession that knows in advance what it is going to forget.

30 What is Electronic Records Retention? The act of retaining computer-based records in digital storage media for specified, predetermined periods of time commensurate with their value, with subsequent disposal or permanent preservation as a matter of official organizational policy. Stephens and Wallace

31 Characteristics of an Electronic Record There are four essential characteristics: 1) Authenticity – must be what it purports to be 2) Reliability – full and accurate representation of transactions 3) Integrity – complete and unaltered data 4) Usability – able to be located, retrieved, presented and interpreted Authenticity + Reliability = TRUST

32 Digital Preservation and Nuclear Disaster: An Animation Digital Preservation TEAM video: Preservation and Nuclear Disaster: An Animation

33 UNIVERSITY GUIDELINES ON RETENTION OF If an message is a University record (as defined in AD-35) it is subject to the same retention period as the paper equivalent. messages which require long-term retention should be either retained electronically on retrievable media or printed, including all header and transmission information, and filed with their electronic or paper equivalents by the sender/recipient. Liability for can become involved when such documents (paper or electronic) are not available to be provided during some segments of litigation. Be aware that your decision to retain or destroy an message may become an issue in a court situation.

34 Data Handling Procedures E-Records must be secure including proper authentication, authorizations, and audit trails Put limits on data collection – “do you really need all of that information” Limit data display and disclosure, i.e. SSNs Know where your data is – data security Invest in Protection – Firewalls and Network Security

35 Usability – Accessing Information “…Information that cannot be found is…worthless.” Robek, Brown and Stephens Data needs to be findable, searchable and usable for its entire life cycle Incorporate retention requirements in all use cases Create a routine back-up system Determine the level of emergency restoration in your system

36 Why Destroy Records? Destroy Records when authorized by retention schedules Destroy Records systematically in all formats Destroy Records in a timely manner reduces legal liability

37 Online Curriculum Archives

38 INACTIVE RECORDS CENTER INACTIVE RECORDS CENTER Karen Pipta, Manager, kmp33 ( )  On June 1, 2008 IRC became part of the Records Management Program.  This service has a fee since the records are not archival or (permanent) records.  Offers storage and retrieval services for inactive records that need to be maintained for a period of time but do not have permanent retention value (not archival).  Offices can access these records during regular business hours, or records can be delivered as needed.  Offers – records shredding including the Blue Bag Program.  All records are stored in a security-controlled environment.

39 Security at the Inactive Records Center  First and foremost all employees working at the Inactive Records Center and handling any confidential information have been trained and certified in FERPA, HIPPA, and Federal/State Privacy Laws which are mandated to guarantee security for confidential records.  Only authorized personnel are permitted to enter the secured area & handle confidential material.

40 All confidential documents are immediately placed in the caged area upon arrival to the Inactive Records Center

41 The alarm system is armed when there are no employees in the warehouse area

42 Security Cameras are located throughout the warehouse and are continually monitored

43 Storage of Documents DO NOT USE – Xerox boxes or odd shaped boxes because they do not fit on the shelves and have to be re-boxed. Place documents into cubic foot- size “Banker’s Boxes” -- they are available through General Stores

44 Complete a “Box Contents” form (or use a computerized spreadsheet ) to be placed in each box Complete a “Records Center Transmittal” form to accompany boxes being sent to IRC Records management forms

45 Records management box transmission instructions Contact IRC via phone or kmp33 to let us know you have boxes ready to be picked up for storage Once boxes are placed in a specific location at IRC you will receive a copy of the Transmittal form with the locations of the boxes for your records You will be invoiced quarterly for boxes stored, retrieval services and courier services

46 IRC record carton shelving

47 ONLY refers to confidential paper records. Includes records with personally identifiable information such as Social Security numbers or Penn State Identification numbers, Budget and Fund numbers, or information related to a specific person who maintains an expectation of privacy. Do NOT have to have paper clips removed. Manila folders are accepted within Blue Bags IF confidential information is written on the folder itself. Pendaflexs are NOT accepted. Do not over fill your Blue Bags. Blue Bags MUST be maintained in a safe and secure storage location while awaiting pickup. Blue Bag – Confidential Records Shredding Services

48 Blue Bag Shredding  Over 6,000 pounds of confidential, inactive records are shredded weekly from the Blue Bag program. Before Blue Bags ArriveAfter Blue Bags Arrive

49 BLUE BAG - FAQS WHO can participate: Departments who actively participate in the University’s Recycling Program. WHAT is the process: Department contacts Jim Brown to arrange drop off and pick up of Blue Bags. Bags will be picked up, on average, once every two weeks (1 & 3 or 2 & 4 Thursdays) or upon demand if volume warrants. Empty bags are dropped off when ¾ full bags are picked up. All bags are delivered to the University’s Inactive Records Storage Center where they are shredded and added to the University’s mixed office paper recycling WHERE are Blue Bags Located: Awaiting pick up bags are to be kept in a safe and secure storage location. WHEN can Blue Bags be picked up: Bags will be picked up, on average, once every two weeks (1 & 3 or 2 & 4 Thursdays) or upon demand if volume warrants. WHY: To provide safe and secure confidential records destruction throughout the University.

50 What should be sent in Blue Bags?  All documents containing sensitive student, faculty or employee information such as:  Social Security Numbers  PSU ID Numbers  Medical Records  Personal Information  Credit Card Information

51 What Should Not be sent in Blue Bags?  All mixed office paper that does not have sensitive information on it  Food wrappers or boxes  Plastic bags  Coupons  Soda bottles, coffee cups, pill bottles  Napkins, tissues, paper towels  Magazines, pamphlets, brochures, books  Paper that has already been shredded

52 You’ll never know what you may find in a Blue Bag

53 “CHOMPERS” “SALLY”

54 Bags of shredded paper

55 What to put in White Bags ALL MEDIA TYPE S DVD’S CD’S VHS TAPES AUDIO CASSETTE TAPES 3 ¼’ FLOPPY DISKS FILMS AND SLIDE MATERIALS

56 Planning for Tomorrow Be Aware of User Patterns ALWAYS refer to Retention Schedules Set Aside Time Weekly to Organize Files Use and Share your Established Structure File and Index for Maximum Access And, ALWAYS Remember, You are YOUR OWN Best Customer!!

57 FACEBOOK – Penn State University Records Management Information Category: Common Interest - Activities Description: This group discusses current University policies, practices and procedures related directly to Records Management issues. Privacy Type: Closed: Limited public content. Members can see all content.

58 Following the Records Management Program will allow for clear sailing ahead…..

59 Organize Your Files & Records the Penn State Way Jackie Esposito, Penn State University Archivist Robyn Dyke, Penn State University Records Manager Karen Pipta, Penn State University Inactive Records Center Manager


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