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  • KEEP It, FILE It, Share It, DELETE It, SHRED It or Archive It

    What to do with UNCW Records and When to do it

    Spring 2010 Workshop

    Steve Miller - University Counsel Adina Riggins - University Archivist

    Steve Perry - Information Security Officer

  • AGENDA

    • Public Records - University Counsel

    • Records Retention and Disposition University Archivist

    • Management of Electronic Records Information Security Officer

  • Public Records

  • 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

  • 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

  • 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

  • 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)

  • 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

  • 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)

  • 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)

  • Records Retention

  • 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.

  • 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

  • RECORDS RETENTION SCHEDULE

    • Online PDF: check current version 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”

  • Quiz

    1) How long do I need to keep student employee timesheets?

    GU205 2) How about travel reimbursements?

    GU99 3) Work schedules?

    GU48

  • 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

  • True/False • Archives can’t accept paper records because of

    space problems.

    Quiz

    FALSE!

  • 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

  • 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.

  • Concern

    • If I send my materials to Archives, how do I know they’ll be safe there?

    • Preservation • Security • Access

  • 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.

  • Historically Significant Information

    • Accreditation self-studies • Council, committee, task force information • Speeches • Historical memorabilia • University code • Commencement programs • Biographical information – faculty/staff

  • More Historically Significant Info

    • Student publications • Correspondence • In-house manuals • Athletic programs • Films/videotapes • Audit reports • Annual reports • Budget reports

  • 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!

  • We Like Visitors

    • Archives hours, by appt. • Call 910-962-4233 • Room 2008, Randall Library • [email protected] • Adina Riggins

  • Management of Electronically Stored Information

    • UNCW Responsible Use Policy • Sensitive Information • Electronically Stored Data Management

  • UNCW Responsible Use Policy

    • 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

  • 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

  • A. Harassment, 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 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

  • HANDLING SENSITIVE INFORMATION

  • 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

  • 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

    File Management

    Refer to this l