2. 1 Managing Graduate Students’ Records University of Toronto Archives and Records Management Services March 21, 2013

3. 2 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.

4. 3 Outline  U of T Archives and Records Management Services  Records Management Defined  Best Practices for Managing Graduate Students’ Records

5. 4 University of Toronto Archives and Records Management Services

6. 5 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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8. 7 Records Management Defined

9. 8 What is 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

10. 9 Records’ Lifecycle Active Semi-ActiveInactive classify storedestroy transfer to Archives schedule

11. 10 Why is records management important? Access Access EfficiencyEfficiency Decision-makingDecision-making ContinuityContinuity AccountabilityAccountability LiabilityLiability HistoryHistory

12. 11 Best Practices for Managing Graduate Student Records

13. 12 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

14. 13 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

15. 14 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/ac ademicrecords.htm

16. 15 Active Record Keeping Active 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.

17. 16 Active Record Keeping Active 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.carafael.eskenazi@utoronto.ca Website: www.fippa.utoronto.cawww.fippa.utoronto.ca Q & A's for Instructors under FIPPA Website: http://www.provost.utoronto.ca/Assets/Provost+Digital+A ssets/Provost/fippa+Q$!26A+for+Faculty.pdf

18. 17 Active Record Keeping Filing Goals of filing: facilitate retrieval facilitate application of retention and disposition schedules

19. 18 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).

20. 19 Case File System

21. 20 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

22. 21 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.

23. 22 Semi-active Record Keeping To 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.

24. 23 Semi-active Record Keeping To 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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28. 27 Semi-Active Record Keeping Retention and Disposition Schedule Example: 1. Application form SGSDeptRetentionDisposal CXC+7 (PhD)A C+7(MA)D

29. 28 Semi-Active Record Keeping Applying 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.

30. 29 Semi-Active Record Keeping Applying 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.

31. 30 Semi-Active Record Keeping Applying 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.

32. 31 Semi-active Record Keeping Storage On-site areas Off-site areas

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35. 34 Semi-active Record Keeping On-site storage areas minimum 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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42. 41 Semi-active Record Keeping Off-site storage / Private Vendor process: Office responsibilities: Packing Listing Costs Private Vendor responsibilities: Accessioning Secure storage Retrieval/reshelving

43. 42 Inactive Record Keeping End of retention period Activities include: 1.Transferring records to Archives 2.Destroying

44. 43 Inactive Record Keeping Transfer to Archives Roles and responsibilities 1. Office: listing, packing 2. UTARMS Pick up, appraisal, access, use and preservation

45. 44 Inactive Record Keeping Transfer 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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47. 46 Inactive Record Keeping Secure 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.

48. 47 Inactive Record Keeping Secure Destruction Office responsibilities: contacting vendor costs preparing records listing records filing certificate of destruction Vendor responsibilities: shredding safely and securely providing certificate of destruction

49. 48 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.

50. 49 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.caloryl.macdonald@utoronto.ca

51. 50 Further Information Web sites: University Archives: www.library.utoronto.ca/utarmswww.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