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Managing Graduate Students’ Managing Graduate Students’ RecordsRecords

University of TorontoArchives and Records Management Services

March 21, 2013

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Objectives

To introduce basic principles and practices of records management.

To provide an overview of the University of Toronto Records Management program.

To review best practices for managing graduate students’ records.

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Outline

U of T Archives and Records Management Services

Records Management Defined

Best Practices for Managing Graduate Students’ Records

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University of Toronto Archives University of Toronto Archives andand

Records Management ServicesRecords Management Services

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University of Toronto Archives and University of Toronto Archives and Records Management ServicesRecords Management Services

• Provide consulting services and site visits

• Conduct training sessions on records management topics

• Develop Retention and Disposition Schedules

• Develop the RM website as an information resource for administrators

• Maintain the U. of T. File Plan to aid control and disposition of University administrative records

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Records Management DefinedRecords Management Defined

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What isWhat is Records Management?Records Management?

The systematic control of all records, regardless of media format, from their initial creation to final disposition.

The development and application of systematic standards to recorded information.

Standards - ISO 15489, Information and documentation - Records management

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Records’ Lifecycle

Active Semi-Active Inactive

•classify •store •destroy

•transfer to Archives

•schedule

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Why is records Why is records management importantmanagement important??

• AccessAccess

• Efficiency Efficiency

• Decision-makingDecision-making

• ContinuityContinuity

• AccountabilityAccountability

• LiabilityLiability

• HistoryHistory

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Best Practices for Managing Best Practices for Managing Graduate Student RecordsGraduate Student Records

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Student Record Activities Active record keeping

– Access/privacy– Filing

Semi-active record keeping– Retention and Disposition Schedules– Storage

Inactive record keeping– Transfer to Archives– Destruction of records

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Active Record Keeping

• Active student records: students currently registered

• Activities include:

1. fulfilling access / privacy requirements pursuant to University policy and provincial legislation

2. developing filing systems

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Active Record Keeping

Access and Privacy Law and Policies

Ontario Freedom of Information and Protection of Privacy Act

University of Toronto Access to Information and Protection of Privacy

• http://www.utoronto.ca/govcncl/pap/policies/academicrecords.htm

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Active Record KeepingActive Record Keeping

Freedom of Information and Protection of Privacy Act (FIPPA)

What is FIPPA?• The Freedom of Information and Protection of Privacy Act, 1990 (FIPPA) applies to

Ontario universities as of June 10, 2006.• Gives broad access to information and protects the privacy of personal

information. • Applies to all information unless specifically exempted.

What is excluded from FIPPA?• Employment and labour information• Research and teaching materials• Other discretionary exemptions may apply

What does the Act require of offices? • Implement records systems which adequately protect personal privacy.• Assist in locating records requested.• Maintain personal information for a minimum of one year. • Make records available, deny access, or cite extraordinary circumstances resulting

in delay within 30 days of receipt of a request.

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Active Record KeepingActive Record Keeping Freedom of Information and Protection

of Privacy Act (FIPPA)

U. of T. Freedom of Information & Protection of Privacy Office

• Email: rafael.eskenazi@utoronto.ca

• Website: www.fippa.utoronto.ca

Q & A's for Instructors under FIPPA

• Website:http://www.provost.utoronto.ca/Assets/Provost+Digital+Assets/Provost/fippa+Q$!26A+for+Faculty.pdf

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Active Record KeepingFiling

Goals of filing:• facilitate retrieval• facilitate application of retention and

disposition schedules

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Active Record Keeping Filing

Case files:

• Separate PhDs from MAs.

• Arrange alpha by student last name within these.

• Some documents have shorter retention periods (e.g. Test Scores).

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Case File System

A rn o ld 's A p p lica tio n F o rm A rn o ld 's P re v U T ra n sc ip ts

A rn o ld B u rfie ld E tc.

P h ds

A n d e rson B ra n d on E tc.

M A s

G ra d u a te S tud e n t R e co rds

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Semi-active Record Keeping

• Semi-active records: student has graduated, withdrawn, or failed to show up

• Activities include:

1. Following retention and disposition schedules

2. Ensuring appropriate storage

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Semi-active Record Keeping

• How long should you keep graduate student records?

• Graduate student records retention schedules 34-0001, 34-0002, 56-0003 and 56-0004

• Postdoctoral fellow records retention schedule 56-0005

• Graduate awards records retention schedule 56-0006.

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Semi-active Record KeepingTo summarize the records schedules:

1. Master and Doctoral programs (up to 30 June 1999):See schedules 34-0001 and 34-0002.i. Records that are duplicated at SGS – until the student graduates + 2 years

and then destroy.ii. Records used for OCGS appraisal – until the student graduates + 7 years and

then destroy.iii. Records not covered by points i and ii – until the student graduates + 7 years

and then destroy.It is assumed that most offices will preserve all of the record for until the student

graduates + 7 years.

2. Master and Doctoral programs (1July 1999-current):See schedules 56-0003 and 56-0004.Maintain records current (until the student graduates) + 7 years. Then destroy

M.A. students’ records and transfer Ph.D. students’ records to the University Archives.

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Semi-active Record KeepingTo summarize the records schedules:

3. Postdoctoral programs:See schedule 56-0005.• Maintain records current (until the postdoctoral fellow leaves) + 7 years.

Then transfer the records to the University Archives.

4. Graduate awards records:• See schedule 56-0006.

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Semi-Active Record Keeping

Retention and Disposition Schedule

Example:

1. Application form

SGS Dept Retention Disposal

C X C+7 (PhD) A

C+7(MA) D

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Semi-Active Record KeepingApplying Schedules: Recommendations

• Pull files of students who fail to register and maintain separately (see Schedule 56-0001).

• Pull files when student graduates, withdraws, or fails to show.

• Determine retention period and final disposition of file.

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Semi-Active Record KeepingApplying Schedules: Recommendations

• Box together files that share same disposition date and same disposition action.

• Number boxes, create file lists for each box, and note disposition date and disposition action (i.e. archive or destroy) by box.

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Semi-Active Record KeepingApplying Schedules: Recommendations

• Maintain box lists in electronic format for easy searching.

• Store boxes until disposition date.

• Retrieve re-activated files as necessary and update box lists.

• Once reach disposition date, either destroy or transfer to Archives as appropriate.

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Semi-active Record KeepingSemi-active Record Keeping

Storage

• On-site areas• Off-site areas

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Semi-active Record KeepingSemi-active Record KeepingOn-site storage areasminimum requirements …

• dry, water tight area, above ground to avoid flooding

• fire suppression system (smoke detectors, sprinklers) hooked into alarm system

• lockable entry doors

• equipment, such as metal shelving, suitable for storing records

• no windows (or windows with closed blinds)

• stable temperature and humidity environment

• adequate floor strength

• adequate supply of standard record storage boxes (approx. 1.2 cu. ft. in capacity)

• safety ladder for retrieval of boxes

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Semi-active Record KeepingSemi-active Record KeepingOff-site storage / Private Vendor process:

Office responsibilities:• Packing• Listing• Costs

Private Vendor responsibilities:• Accessioning• Secure storage• Retrieval/reshelving

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Inactive Record Keeping

• End of retention period

• Activities include:

1. Transferring records to Archives

2. Destroying

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Inactive Record Keeping Transfer to Archives

Roles and responsibilities1. Office: • listing, packing

2. UTARMS• Pick up, appraisal, access, use and preservation

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Inactive Record KeepingTransfer to Archives

1. Separate records and pack in 1.2 cu. ft. records boxes (bankers boxes).

2. List records by box.

3. Send list to Archives.

4. Archives will arrange for records’ shipment.

5. Archives prepares accession record which confirms transfer.

6. After transfer to Archives, records are subject to Archives’ access and use policies.

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Inactive Record KeepingSecure Destruction

• Student files contain confidential information, therefore must be destroyed securely.

• Files scheduled for destruction should be shredded, not placed in garbage or recycling bins.

• For most secure destruction, hire a professional shredding company and observe shredding process.

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Inactive Record KeepingSecure Destruction

Office responsibilities:• contacting vendor• costs• preparing records• listing records• filing certificate of destruction

Vendor responsibilities: • shredding safely and securely• providing certificate of destruction

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Summary

Responsibility for graduate student records is shifting.

Responsibilities include different records management activities.

Being organized at the outset will facilitate easier management of records throughout their lifecycle.

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Further Information Further training sessions:

– Records Management Fundamentals: 9:30-12:00, April 4

– U of T File Plan: 9:30-12:00, April 12– Electronic Records and Desktop Management:

9:30-12:00, April 25

Loryl MacDonald, University Archivist– 416-978-7656 – loryl.macdonald@utoronto.ca

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Further InformationWeb sites:

• University Archives: www.library.utoronto.ca/utarms

• Retention and Disposition Schedules Database:http://142.150.193.8/dbtw-wpd/textbase/webschedule/

• U of T Freedom of Information and Protection of Privacy Office:www.fippa.utoronto.ca

• University Policy on Access to Student Academic Records:http://www.utoronto.ca/govcncl/pap/policies/academicrecords.htm