Records Management for Teaching Assistants Abigail Nye, Interim Head of Archives August 21, 2017 Records Management for Teaching Assistants

What is Records Management? Control of records throughout their life cycle to ensure efficiency in their creation, use, maintenance, and disposition Defines groups of records and their retention times Protects UWM and its employees against audits/litigation As a Teaching Assistant, you are subject to Wisconsin Records Laws!

Student Records at UWM Created whenever you interact with students Gradebooks Student Coursework Email Correspondence Retained for grade appeals, audits Privacy laws and concerns: dictates disclosure

What is a Student Record? Any Record created in the course of dealing with students or their information Vital Transcripts, accounts, enrollment lists Administrative Transcripts, Add/Drop forms, etc. Advising Case files, disciplinary files, email or written correspondence Academic Grades, Coursework, Exams, etc.

What is not a “record”? Personal materials Working notes and drafts Once a draft is shared with colleagues, it becomes a “record” Envelopes and routing slips Duplicate copies Includes vast majority of “cc” email

Student Records: Academic Records created for use in academic course Usually held by individual instructors Very high administrative value; almost no long-term value

Academic Records: Why keep at all? Academic and Grade Appeals! UWM Select Policies S-28 and S-29 Students have up to one year to appeal grades Records kept through ALL levels of appeals Academic Records must show: No error made in grade calculation Grade conforms to announced grading policy Work done by students removing incomplete Consistent grade calculation for new incompletes

Academic Records: Examples Grade Books: 2 years after grades assigned Student Coursework: 1 year after grades assigned Usually final exams the only example of these materials that are retained Copies of papers, midterms, etc. fall under this Course Syllabi: 2 years after semester ends and transfer to archives Why? Proof of grading policy consistency

D2L UWSA Record Schedule “Examinations, coursework, assignments, etc. as retained by academic departments to serve as source documents for submitted official grades.” Retention time: 6 months after grades submitted n.b. If D2L records are ONLY copy of grade records, save for 1 year after submission instead Export, export, export!

Where should I store my e-records? Online (within D2L or PAWS system) Convenient, but may involve access restrictions Off-line (Print out) Most reliable, but most unwieldy Near-line (PantherFile or OneDrive) Reliable, moderately accessible Don’ t rely on one location Ask your department for a backup! Security Settings! (esp. important for OneDrive)

A quick note on email Email correspondence with students IS a record (UWCOMM001) If you discuss grading policy/rationale with students, that correspondence CAN be used in appeal or litigation If in doubt, discuss grades only in person

Family Educational Rights and Privacy Act (FERPA) Students have right to view educational records Educational records are only accessible to student Student may authorize disclosure Directory Information may be made available Exception: if a student has opted-out

FERPA: Educational Records All records pertaining to students maintained at UWM Presumption of confidentiality Major exceptions: Instructor personal/sole possession notes Employment Records Campus Security Records Alumni records

Who has unrestricted access? Individual Students UWM Employees with “Genuine Educational Interest” Exempted classes Financial Aid Providers Other educational institutions (for transfers, etc.) Specifically exempted officials (FERPA Manual) Accrediting groups/student study groups

Just don’t do it! Release FERPA-protected information to parents Exception: if student is under 18 Post test or course grades using social security numbers Provide records to UWM staff without “legitimate educational interest”

Can I use student writing as in-class examples? Yes! But make sure first: You have the student’s permission; OR You have redacted any identifying information from copies displayed or distributed

Social Media! Social Media can help you “reach students where they are”. Some caveats, however: Consider an account specifically for student interaction NEVER post FERPA-protected info on social media Don’t post complaints about your students. You don’t want to have that tweet/post that goes viral.

If in doubt re: FERPA disclosure Do not disclose student information if you have ANY doubt re: permissions Contact Legal Affairs for guidance Advise requestor to direct request to Public Records Custodian Current Legal Affairs stance: presume ALL student information is private Why? Directory Info “Opt Outs”

Resources UWM FERPA Guide http://www4.uwm.edu/academics/ferpa.cfm UWM Select Policy 29: Grade Records and Retention https://www4.uwm.edu/secu/docs/other/S29.htm UWSA General Records Schedule for Academic Records https://www.wisconsin.edu/general-counsel/download/public_records/records_schedules/Reference-Chart.pdf

Resources, cont’d. UWM General Records Schedules http://uwm.edu/libraries/archives/uwm-records-management/common-records-schedules/ Records Management Guidelines http://uwm.edu/libraries/archives/uwm-records-management/guidelines-laws-and-policies/ D2L Cleanup http://uwm.edu/cetl/resources/d2l-course-cleanup/

Thank You For more information, please contact UWM Records Management: askarch@uwm.edu 414-229-5402 http://uwm.edu/libraries/archives/uwm-records-management/