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

2. 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!

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

4. 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, or written correspondence
Academic
Grades, Coursework, Exams, etc.

5. 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”

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

7. 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

8. 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

9. 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!

10. 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)

11. A quick note on
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

12. 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

13. 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

14. 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

15. 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”

16. 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

17. 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.

18. 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”

19. Resources UWM FERPA Guide http://www4.uwm.edu/academics/ferpa.cfm
UWM Select Policy 29: Grade Records and Retention
UWSA General Records Schedule for Academic Records

20. Resources, cont’d. UWM General Records Schedules
Records Management Guidelines
D2L Cleanup

21. Thank You For more information, please contact UWM Records Management: