1. KEEP It, FILE It, Share It, DELETE It, SHRED It or Archive It What to do with UNCW Records and When to do it Fall 2008 Workshop Eileen Goldgeier / Steve Miller - University Counsel Adina Riggins - University Archivist Zachery S. Mitcham - Information Security Officer

2. AGENDA Public Records - University Counsel Records Retention and Disposition University Archivist Management of Electronic Records Information Security Officer

3. Public Records

4. NC Public Records Act (N.C.G.S.§132-1) “Public Record” is any documentary material or artifact Regardless of physical form or characteristics (paper, electronic, video, film, digital, photograph, audio, etc.) Made or received In the course of university business Also, computer database indices

5. EMAIL AS A PUBLIC RECORD Electronic mail is a public record when sent or received in the course of university business Email of a temporary or rapidly diminishing value may be deleted when its reference value has ended Departing employee’s computer records Dept. of Cultural Resources guidance http://www.ah.dcr.state.nc.us/records/e_records/default.htm

6. Key Exceptions to Disclosure of Public Records = Confidential Student educational records and FERPA Personnel records and the NC Personnel Records Act Trade secrets Certain law enforcement records Library user records Medical and psychological records Social security numbers, credit card numbers, etc. Bids for State contracts prior to award of the contract Attorney-client privileged documents Minutes of closed meetings

7. Exceptions to the Key Exceptions Student records (FERPA directory information and ~15 exceptions) Personnel File (name, age, compensation, title and office, date of employment, date of most recent salary change, date of most recent action, date employment began, and employment contract)

8. NC Public Records Act May be inspected by anyone for any reason University must respond “as promptly as possible” Make sure no confidential information is disclosed (the exceptions) http://www.uncw.edu/policies/02-110-publicrecordspolicy.htm

9. Public Records Lawsuits In a case to compel release of public records, a court order for attorney’s fees may issue against a particular state employee who has failed to disclose a public record, unless that particular state employee has relied on legal counsel’s advice and followed it. (N.C.G.S. §132-9)

10. LEGAL OBLIGATION TO RETAIN PUBLIC RECORDS It is a crime to destroy, sell, loan or otherwise dispose of public records except as allowed by law. (N.C.G.S. §132-3)

11. Records Retention

12. University Records Retention and Disposition Schedule In April 2007, the State of NC, Dept of Cultural Resources and UNC GA approved a new university schedule for university records. It covers public and confidential records.

13. Handout Government Records Branch – linked from UNCW University Counsel website and UNCW Archives>Records Management website Email Records Schedule – linked from Government Records Branch and UNCW Archives>Records Management

14. RECORDS RETENTION SCHEDULE Online PDF: check current version http://library.uncw.edu/web/collections/archives/management/index.html http://library.uncw.edu/web/collections/archives/management/index.html Schedule has broad categories of records, many of which may be relevant to your work May be required to keep records longer than scheduled if notified by the General Counsel or the Internal Auditor of a litigation “hold” or audit “hold”

15. Quiz 1) How long do I need to keep student employee timesheets? GU205 2) How about travel reimbursements? GU99 3) Work schedules? GU48

16. Quiz True or False? Archives will store your permanent records, your confidential records, and your records that need to be destroyed at a later date. FALSE

17. True/False Archives can’t accept paper records because of space problems. Quiz FALSE!

18. Myth Buster #1 I have a database of speakers that my department has brought in to speak on campus, OR a database of trees and plants on campus, OR a database of groups that have used a certain room or building for programs

19. Myth Buster #1 Is it important for me to share this information with University Archives, since it gets backed up by ITSD (provided you are saving it right)? YES! Adina would still like to talk to you about sharing reports and other e-records with Archives.

20. Concern If I send my materials to Archives, how do I know they’ll be safe there? Preservation Security Access

21. Myth Buster #2 I have some old newsletters from other departments or university offices. Should I send them to Archives? I am not the creator of these documents so I am not responsible for them. True, you are not responsible for them, but you are a GEM for thinking of Archives. Please send/include when you transfer your departmental records to us.

22. Historically Significant Information Accreditation self-studies Council, committee, task force information Speeches Historical memorabilia University code Commencement programs Biographical information – faculty/staff

23. More Historically Significant Info Student publications Correspondence In-house manuals Athletic programs Films/videotapes Audit reports Annual reports Budget reports

24. Not For Archives Unsuccessful bids Successful bids Returned checks Bank statements Deposit slips, cash register slips, receipts Course evaluations by students EXCEPT if pre-1970, then check w/ me!

25. We Like Visitors Archives hours, by appt. Call 910-962-4233 Room 2008, Randall Library rigginsa@uncw.edu Adina Riggins

26. Management of Electronically Stored Information UNCW Responsible Use Policy Sensitive Information Electronically Stored Data Management

27. http://www.uncw.edu/policies/07-100-useelectronicres.htm Outlines the responsible and appropriate use of the university’s electronic computing and communication resources and services Ensure optimum security and integrity of systems and data. Ensure the protection of personal identity of faculty, staff and students. Ensure that resources of the university are not utilized to cause harm to any entity or individual. Ensure 100% legality in every aspect of the use of electronic resources at the university. PURPOSE RESPONSIBLE USE POLICY

28. KEY POINTS The University of North Carolina at Wilmington regards e-mail as an official method of communication with student, staff and faculty. Accepting any account and/or using university EDPE constitutes agreement on behalf of the user or other individual accessing such information systems to abide and be bound by the provisions Actions that violate the Responsible use Policy (RUP) can result in immediate disabling, suspension, and/or revocation of the account owner's privileges Unauthorized or illegitimate use of EDPE including computer accounts, resources or facilities may subject violators to disciplinary, criminal and/or legal action by the university and/or the State of NC. RESPONSIBLE USE POLICY

29. A. Harassment, Threats, stalking an similar threatsHarassment, Threats, stalking an similar threats B. Interfering with the Rights of Others and Email Abuse C. Downloading, or posting to university computers, D. Illegal P2P or Peer-to-Peer file sharing. *Illegal P2P or Peer-to-Peer file sharing* E. Using university intellectual property (i.e. logos, word marks, or other symbols of the university) F. Creating pages which contain direct links to pages that violate this policy H. Abusing, Damaging, or destroying Electronic Resources, Viruses and Hoaxes I. Accessing or attempting to access, use, or modify resources or data (User Accounts and Authorized Access; Security; Confidentiality and Privacy) J. Engaging in activities that are illegal RESPONSIBLE USE POLICY

30. HANDLING SENSITIVE INFORMATION

31. SENSITIVE INFORMATION What is SENSITIVE INFORMATION? Patient Health Information (PHI) - HIPAA i.e. Physicals Student Records – FERPA i.e. Student Grades Payment Card Information – (PCI) i.e. Credit Card Information Social Security Numbers – Identity Theft Protection Act (Banking information etc) Employment Records - (Privacy Act) i.e. Employee disciplinary actions

32. Do not store personal or sensitive information on shared disk space location Departmental folders Web Server folders Store private / personal information on Personal Disk Space Personal Folder on Sammy http://www.uncw.edu/itsd/Web-internal.htm Refer to this link for more information SENSITIVE INFORMATION

33. DATA MANAGEMENT

34. DEFINITIONS Backup does not equal Archival Archival is the process of retaining data long-term Backup is the process of copying large volumes of data onto alternative storage

35. 5 GB 500 MB People Space (Non-Shared Disk Space) Department Space (Shared Disk Space) * Not Private 410 GB SAN (Sammy) 410 GB UNCW DISK SPACE ALLOCATION http://www.uncw.edu/itsd/fileservices.htm * Private Refer to this link for more information

36. 1. Double click on the “My Computer” icon 2. Double click on “Local Disk C:” 3. Double click on the “Documents and Settings” folder 4. Double click on your username folder (ie. “Jonesnp”) 5. Here are the files to save: Desktop Favorites My Documents To save Outlook (.PST) Email files go here: Local Settings Application Data Microsoft Outlook (and save the whole folder) Copy all of these folders to a CD, DVD, External Hard Drive or Memory Stick for safe storage. If the data is too large to place on a single CD, consider saving Desktop and Favorites to one CD and My Documents and Outlook to a second one. For Assistance Call the TAC @ 962 4357 Data Backup Procedure

37. Remember! When It Comes To Sec+ +YU+R+IT

38. Questions