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
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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
Quiz
True/False
• Archives can’t accept paper records because of
space problems.
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
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Accreditation self-studies
Council, committee, task force information
Speeches
Historical memorabilia
University code
Commencement programs
Biographical information – faculty/staff
More Historically Significant Info
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Student publications
Correspondence
In-house manuals
Athletic programs
Films/videotapes
Audit reports
Annual reports
Budget reports
Not For Archives
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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
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Archives hours, by appt.
Call 910-962-4233
Room 2008, Randall Library
rigginsa@uncw.edu
Adina Riggins
Management of Electronically Stored Information
• UNCW Responsible Use Policy
• Sensitive Information
• Electronically Stored Data Management
RESPONSIBLE USE POLICY
PURPOSE
• 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.
UNCW Responsible Use Policy
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.
B.
C.
D.
E.
F.
H.
I.
J.
Harassment, Threats, stalking an similar threats
Interfering with the Rights of Others and Email Abuse
Downloading, or posting to university computers,
Illegal P2P or Peer-to-Peer file sharing
Using university intellectual property (i.e. logos, word marks, or
other symbols of the university)
Creating pages which contain direct links to pages that violate
this policy
Abusing , Damaging, or destroying Electronic Resources,
Viruses and Hoaxes
Accessing or attempting to access, use, or modify resources or
data (User Accounts and Authorized Access; Security;
Confidentiality and Privacy)
Engaging in activities that are illegal
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
SENSITIVE INFORMATION
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
Refer to this link for more information
File Management
DATA MANAGEMENT
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
UNCW DISK SPACE ALLOCATION
Department Space
(Shared Disk Space)
* Not Private
People Space
(Non-Shared Disk Space)
* Private
5 GB
410 GB
500 MB
SAN (Sammy)
410 GB
Refer to this link for more information
http://www.uncw.edu/itsd/help/instructions/Sammy.html
Data Backup Procedure
1.
2.
3.
4.
5.
Double click on the “My Computer” icon
Double click on “Local Disk C:”
Double click on the “Documents and Settings” folder
Double click on your username folder (ie. “Jonesnp”)
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
Remember!
When It Comes To
Sec+U+R+IT+Y
Questions