Organize Your Files & Records the Penn State Way

1. Organize Your Files & Records the Penn State Way Jackie Esposito, Penn State University Archivist jxe2@psu.edu Robyn Dyke, Penn State University Records Manager rdd3@psu.edu Karen Pipta, Penn State University Inactive Records Center Manager kmp33@psu.edu

2. 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

3. 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.

4. POLICY 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, 2009 - 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.

5. 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.

6. Health Insurance Portability and Accountability Act (HIPAA) Privacy Ruleeffective 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.

7. 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.

8. Paperwork Reduction Acteffective 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.

9. LIFE CYCLE OF RECORDS

10. Historical Records Acteffective 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.

11. Vanashing – in the next half- Century Snail mail – Revenue will dry up for the U.S. Postal Service as we continue to trend toward Electronic Correspondence. Home phones – People will drop their land-line plans and opt for cell-only. Eventually we will be talking on mini-computers the size of cellphones. Physical Media – Goodbye CDs, DVDs, Blu-Rays, thumb drives, video game discs – and their players. Electronic entertainment will be bought and played directly from internet. Desktops – Employees will all have laptops, saving to a “cloud” – virtual server for data storage accessed through the Internet. Soon, all of the computing power we need will fit onto our phones. Analog clocks – Our cellphones, synched perfecting to satellites, never forget to spring forward. Cursive – Hawaii, Indiana, Illinois and Ohio have officially dropped handwriting as an educational requirement.

12. 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.

13. 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

14. POLICY AD35 – UNIVERSITY ARCHIVES AND RECORDS MANAGEMENT • In existence since May 1991 • Mandatory compliance effective as of October 30, 2007 • Liability policy to protect the University. • 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. • This policy is applicable to all areas of the University. • *Certain areas may have individual guidelines which supplement, but do NOT supplant this policy.

15. 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.

16. Records 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)

17. Retention, Disposition and Destruction Schedule - Definition GURU Administrative Schedules 18 & 21 represent PSU’s General and Financial Retention schedules 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.

18. Records Series

19. Top 10 Reasons to not get Organized! Hunting for important documents adds excitement to a boring schedule. Stacking papers on your desk protects it from ultraviolet radiation. Being as confused as everyone else helps you fit in. Moving piles of paper keeps you in shape. If you understood what you were doing, you would be terrified. Confusion brings out the best in you. Organization kills creativity. Shuffling papers prevents dust from piling up. Your coworkers will never find what they’re seeking. Clutter magnifies your importance.

20. Records Management is: • Preserving yesterday, Managing today, Preparing for tomorrow. • Ensuring access to essential information. • Just saying “No!” to chaos. • Knowing what to throw away. • Increasing efficiency, reducing costs. • The only profession that knows in advance what it is going to forget.

21. Born Digital – Definition & Consequences of BORN DIGITAL – Any records created and maintained electronically including email, webpages, datasets, newsletters, correspondence, etc. CONSEQUENCES – If a record created electronically is identified as a University record, it MAY be subject to retention, disposition, and destruction electronically.

22. UNIVERSITY GUIDELINES ON RETENTION OF E-MAIL If an e-mail message is a University record (as defined in AD-35) it is subject to the same retention period as the paper equivalent. E-mail 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 email 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 e-mail message may become an issue in a court situation.

23. Email Etiquette Be informal, not sloppy – use standard writing protocols Keep messages brief and to the point Use blind (bcc) and courtesy copy (cc) appropriately Remember email isn’t private Be sparing with group emails Use the subject field to indicate content and purpose – this practice will help sort and apply retention periods Use a signature that includes contact information Summarize long discussions

24. EMAIL – Steps YOU Can Take to Better Management your Inbox • Close your Email Client – Keeping your email client open all day, leaves you vulnerable to distraction every time a message arrives. • Set Specific Times to Check your Email – By setting specific times and adhering to them, you will greatly reduce the distraction of email. • Reduce Attachment Spam – Only send attachments to those who need it. Alternatively use a link instead of an attachment. • Touch Each Message Only Once – File it, respond to it, take action related to it, defer it, delete it, etc. • Don’t use email as a filing cabinet – Email systems are “designated to send, route, receive, and store messages for short periods – they are not designed to be the final repository for information.” • Use the Right Tool for the Job – Wikis are better tools for collaboration. Blogs (and Twitter) are better ways to stay informed. Check the clutter at the door.

25. RECORDS MANAGEMENT TIPS • Use Colors – Color-Code File categories for easier identification and classification. Use “primary colors”. • Be Retention Conscious – File your records according to their retention period. All records that can be disposed in 2 years should be filed together NOT with records that have a longer retention. • Label Folders with Disposal Date: When records are filed, they should be maintained with the disposal date and action clearly identified. • Create a File Structure – Decide on a specific system for your files (alpha, subject, numeric, functional, etc.), codify it, and post it for all staff members to utilize when filing. • Keep No Secrets – Label all incoming correspondence with its file category for the first time you see it. Like multiple-choice quizzes, your first choice is usually the correct one. • Remember the 20-Year Rule – Any record created more than 20 years ago MUST be transferred to the University Archives to review.

26. INACTIVE 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 (permanent) • Offers storage and retrieval services for inactive records that need to be maintained for longer than three years but do not have permanent retention value (not archival). • All records are stored in a security-controlled environment. • Offices can access these records during regular business hours, or records can be delivered as needed. • Offers – records shredding including the Blue Bag Program.

27. Blue 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.

28. BLUE BAG - FAQS WHOcan participate: Departments who actively participate in the University’s Recycling Program. WHAT is the process: Department contacts Al Matyasovsky (aem3@psu.edu) 863-4719 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. WHENcan 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.

29. 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!!

30. 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.

31. THANK YOU Organize Your Files & Records the Penn State Way Jackie Esposito, Penn State University Archivist jxe2@psu.edu Robyn Dyke, Penn State University Records Manager rdd3@psu.edu Karen Pipta, Penn State University Inactive Records Center Manager kmp33@psu.edu