Presentation on theme: "Organize Your Files & Records the Penn State Way"— Presentation transcript:
1Organize Your Files & Records the Penn State Way 4/12/2017Organize Your Files & Records the Penn State WayJackie Esposito, Penn State University ArchivistRobyn Dyke, Penn State University Records ManagerKaren Pipta, Penn State University Inactive Records Center Manager
2What 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
3What 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.
4THE RECORDS MANAGEMENT PROGRAM ENCOMPASSES: 4/12/2017THE RECORDS MANAGEMENT PROGRAM ENCOMPASSES:Compliance with Federal Laws and Regulations Relative to Records ManagementPolicies, Procedures and Retention and Disposition SchedulesVital Records ManagementElectronic Records ManagementFiles Management System Design and DevelopmentProcedures for Sending Records to the University Archives and/or Inactive Records Center
5RMAC “Records Management Advisory Committee” Dawn Boyer, Administrative Information Systems/System Design SpecialistRobyn Dyke, University Records ManagerJackie Esposito, University Archivist and Head of Records Management ServicesJan Grasser, Administrative Information Systems/System Design SpecialistBrenda Hameister, Office of Provost/Special AssistantDaniel Heist, Internal Auditing/Director [Elaine Meder]Mike Furlough, University Libraries/Associate DeanKathy Kimball, Information Technology Services/Security OperationsGary Langsdale, Risk Management/DirectorMike Leach, Information Technology Services/Security OperationsMairead Martin, Digital Library Technologies/DirectorAmy McCall, Office of General CounselSarah Morrow, Privacy ManagerDona Oberheim, Registrar’s Office/RecordsKaren Pipta, Inactive Records Center/ManagerTom Poole, President’s Office/Special Assistant [Sharon Becker]Ron Rash, Administrative Information Systems/Senior DirectorSteve Savard, Administrative Information Systems/Information Technology ManagerKen Schroyer, Administrative Information Systems/Information Technology ManagerJenn Stewart, Information Technology Services/Security OperationsShawnee Wagner, Office of Human Resources/RecordsKristina Wahl, Office of Physical Plant/Facilities Resource Management/Real Estate AssistantRick Witmer, Corporate Controller/Systems and ProceduresSusan Youtz, University Faculty Senate Executive Director
6FEDERAL LAWS (RELATIVE to RECORDS MANAGEMENT) 4/12/2017FEDERAL LAWS (RELATIVE to RECORDS MANAGEMENT)
7FERPA – Family Educational Rights and Privacy Act (Buckley Amendment), signed into law August 21, 1974; effective November 19, 1974Protects 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.
8POLICY AD11 – UNIVERSITY POLICY ON CONFIDENTIALITY OF STUDENT RECORDS How Penn State complies with FERPA.Protects students privacy in telling “us” how to handle student records.Transcript is the official student record.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.]*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.
9Privacy 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.
104/12/2017Health Insurance Portability and Accountability Act (HIPAA) Privacy Rule effective August 21, 1996; revised August 14, 2002Established 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.Income Tax Records: Unless being audited you only have to keep for 3 years.
11Federal Rules on E-Discovery Passed December 2006Requires procedures for and access to electronic business records in their original format within 30 days of receipt of subpoenaThis may require confiscation of individual records or entire systems depending on the scope of the subpoena.
12Paperwork 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 maximizethe 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.
13LIFE 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]
14Historical 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.
15PENN STATE UNIVERSITY ARCHIVES What are Historical and Archival RecordsWe create records to remember and to communicate information. Usually theinformation we record gradually becomes less important to save. Thus, most recordscan 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 whoseinformation continues to be useful to society long into the future. Such records may beletters, 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 therecord, 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 benefitsthese records provide to us depend on our ability to retain them in useable condition.
16ITEMS THAT ARE COLLECTED BY THE UNIVERSITY ARCHIVES: Correspondence (In organizations, particularly of officers)Charter, ByLaws, or ConstitutionLegal DocumentsMinutes of MeetingsReports of Committees and Records of their activitiesAnnual ReportsPosition PapersOne copy of every PublicationTestimony before Legislative or Investigative BodiesMembership RecordsPhotographs, Scrapbooks, AlbumsArticles about Person/OrganizationWritingsAddresses, Speeches, and TalksDiaries and JournalsMoving Image and Sound (Films, Videotapes, Audiotapes, CDs, DVDs)Reminiscences or Interview Transcripts and TapesFunded Research Proposals and Project Documentation
17POLICY AD35 – UNIVERSITY ARCHIVES AND RECORDS MANAGEMENT In existence since May 1991Mandatory compliance effective as of October 30, 2007Liability policy to protect the University.AD35 provides rules for the capture, use, storage, anddisposition of all University records and to assureeffective access to those records which aredesignated as archival.This policy is applicable to all areas of the University.*Certain areas may have individual guidelines which supplement,but do NOT supplant this policy.
18Records LiaisonsUnder 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.
19Duties for Records Liaisons Share records retention information with your staffInteract with Records Management staff to handle office records appropriatelyLink resources including security, privacy, audit, and records management to your staffStay abreast of records issues not records rumors
22Trying to find the appropriate retention period for a specific record can sometimes be difficult. Remsby will show you where to look.
23Records Management Guidelines “Is this a record?” Questions to ask:Does this document help me perform my job?Is this the original, non-note, non-draft copy of the document?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
24Retention, Disposition and Destruction Schedule - Definition GURU Administrative Schedules 18 & 21 represent PSU’s General and Financial Retention schedulesSchedules provide guidance to ALL university offices for the LEGAL period of time to retain, dispose of, and destroy University records. Schedules represent LEGAL minimums.
25Records Series TYPES OF DOCUMENTS RETENTION PERIOD Class Lists 3 years Staff Review and Development Evaluations3 years after supersededAdmission Applications (Images)7 yearsGrade Sheets1 year after grade assignedCommencement Programs5 years; Permanently Maintained in ArchivesNews Releases3 years; Transfer to ArchivesBudget ReportsCurrent fiscal year plus one yearCredit Card ReceiptsOperating Fund ReconciliationCurrent fiscal year plus two yearsWage payroll time slips or time clock cardsCurrent fiscal year
28Records Management is: Preserving yesterday, Managing today, Preparing for tomorrow.Ensuring access to essential information.Knowing what to retain and why.Increasing efficiency, reducing costs.The only profession that knows in advance what it is going to forget.
29What 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
30Characteristics of an Electronic Record There are four essential characteristics:1) Authenticity – must be what it purports to be2) Reliability – full and accurate representation of transactions3) Integrity – complete and unaltered data4) Usability – able to be located, retrieved, presented and interpretedAuthenticity + Reliability = TRUST
31Digital Preservation and Nuclear Disaster: An Animation Digital Preservation TEAM video:Preservation and Nuclear Disaster: An Animation
32UNIVERSITY GUIDELINES ON RETENTION OF E-MAIL If an message is a University record (as defined in AD-35) it issubject to the same retention period as the paper equivalent.messages which require long-term retention should be either retainedelectronically on retrievable media or printed, including all header andtransmission information, and filed with their electronic or paperequivalents by the sender/recipient.Liability for can become involved when such documents(paper or electronic) are not available to be provided during some segmentsof litigation. Be aware that your decision to retain or destroy anmessage may become an issue in a court situation.
33Data Handling Procedures E-Records must be secure including proper authentication, authorizations, and audit trailsPut limits on data collection – “do you really need all of that information”Limit data display and disclosure, i.e. SSNsKnow where your data is – data securityInvest in Protection – Firewalls and Network Security
34Usability – Accessing Information “…Information that cannot be found is…worthless.” Robek, Brown and StephensData needs to be findable, searchable and usable for its entire life cycleIncorporate retention requirements in all use casesCreate a routine back-up systemDetermine the level of emergency restoration in your system
35Destroy Records when authorized by retention schedules Why Destroy Records?Destroy Records when authorized by retention schedulesDestroy Records systematically in all formatsDestroy Records in a timely manner reduces legal liability
37INACTIVE RECORDS CENTER Karen Pipta, Manager, kmp33 (814 865-3276) 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.
38Security 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.
39All confidential documents are immediately placed in the caged area upon arrival to the Inactive Records Center
40The alarm system is armed when there are no employees in the warehouse area
41Security Cameras are located throughout the warehouse and are continually monitored
42Storage of DocumentsPlace documents into cubic foot-size “Banker’s Boxes” -- they are available through General StoresDO NOT USE – Xerox boxes or odd shaped boxes because they do not fit on the shelves and have to be re-boxed.
43Records management forms Complete a “Box Contents” form (or use a computerized spreadsheet ) to be placed in each boxComplete a “Records Center Transmittal” form to accompany boxes being sent to IRC
44Records management box transmission instructions Contact IRC via phone or kmp33 to let us know you have boxes ready to be picked up for storageOnce 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 recordsYou will be invoiced quarterly for boxes stored, retrieval services and courier services
46Blue Bag – Confidential Records Shredding Services 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.
47Blue Bag Shredding http://green.psu.edu/ Over 6,000 pounds of confidential, inactive records are shredded weekly from the Blue Bag program.Before Blue Bags ArriveAfter Blue Bags Arrive
48BLUE BAG - FAQSWHO 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 program.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.
49What should be sent in Blue Bags? All documents containing sensitive student, faculty or employee information such as:Social Security NumbersPSU ID NumbersMedical RecordsPersonal InformationCredit Card Information
50What Should Not be sent in Blue Bags? All mixed office paper that does not have sensitive information on itFood wrappers or boxesPlastic bagsCouponsSoda bottles, coffee cups, pill bottlesNapkins, tissues, paper towelsMagazines, pamphlets, brochures, booksPaper that has already been shredded
51You’ll never know what you may find in a Blue Bag
54What to put in White Bags ALL MEDIA TYPE SDVD’SCD’SVHS TAPESAUDIO CASSETTE TAPES3 ¼’ FLOPPY DISKSFILMS AND SLIDE MATERIALS
55Planning for Tomorrow Be Aware of User Patterns ALWAYS refer to Retention SchedulesSet Aside Time Weekly to Organize FilesUse and Share your Established StructureFile and Index for Maximum AccessAnd, ALWAYS Remember, You are YOUR OWN Best Customer!!
56FACEBOOK – Penn State University Records Management InformationCategory: 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.
57Following the Records Management Program will allow for clear sailing ahead…..
58Organize Your Files & Records the Penn State Way 4/12/2017THANK YOUOrganize Your Files & Records the Penn State WayJackie Esposito, Penn State University ArchivistRobyn Dyke, Penn State University Records ManagerKaren Pipta, Penn State University Inactive Records Center Manager