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Records Management

Department of English

Records Management Procedures

Revised Spring 2012

Records Management (Including:  storage, transfer, retention and destruction policies/procedures)

 

As custodians of university information—including records pertaining to students, faculty, staff, as well as  vendors—we are required to adhere with full compliance the management of all sensitive information according to state and federal guidelines.

http://louisville.edu/library/archives/recmgmt

 

Retention

 

All records generated in the course of business at the University of Louisville are governed by the State University Model Records Retention Schedules, which are approved by the Kentucky State Archives and Records Commission for the retention and destruction of records created by all of the public colleges and universities in the Commonwealth.  http://kdla.ky.gov/records/recretentionschedules/Documents/State%20Records%20Schedules/KYUniversityModel.PDF

 

Secure Storage

 

The Department of English has determined all confidential/sensitive paperwork, or computer hardware/software including such files be securely stored at all times.  (Securely stored means: To be in a storage area such as a locked file cabinet or locked computer whenever an appropriate staff worker is not present.  Secondly, ‘securely stored’ includes ensuring that every workspace (ie: desktop or table) is properly cleared when not occupied, or keeping that area neatly arranged while working in that area so that all items are present and accounted for, as well as inaccessible to anyone unauthorized.  Lastly, ‘securely stored’ pertains to WHO has access to such files, or information—this pertains specifically in knowing ‘what’ can be properly delegated to ‘who’ such as a student worker, faculty member, or a fellow staff co-worker. )

 

Staff personnel are responsible to ensure their working files, folders, and bits of information possess full integrity, or are inclusive of only the appropriate information that should be residing within that spoken file/folder.  Misfiling of unrelated information is considered inappropriate.

 

Destruction

 

Any file/folder/document selected for destruction should be reviewed according to the current retention of records policy set by the university, state and federal guidelines.

 

Routine Maintenance

 

Routine maintenance, updates, and spot check of folders and files is highly recommended, as well as periodic review of university policies and procedures for proper information storage and department confidentiality.

Access

 

Access or release of information (Includes: keys, drawers, cabinets, offices, documents) is permissible based upon departmental case by case decisions—whether or not the action bears a “legitimate working purpose”, and does not create a conflict of interest, or compromise laws regarding  confidentiality.   Access or release of information is based upon the following criteria: “Legitimate Working Purposes” (evaluated on a case-by-case basis).  Further questions or information can be directed to the University Legal Counsel within the Provost’s Office.  http://louisville.edu/provost/universitycounsel/

 

 

Confidentiality

 

Confidentiality of certain information (financial, personnel, and student) within the English Department must comply with all existing applicable laws (ie: FERPA) and internal policies including university and departmental guidelines.

Note: By English Department Policy, Student Workers are excluded from access to all Undergraduate English Student records, in order to avoid conflicts of interest.

 

FERPA (Family Educational Rights and Privacy Act)

 

If you manage any kind of student information, you should be conscious of the data you may intentionally or unintentionally make available as it relates to the legal rights and privacy of students' information.

http://louisville.edu/web/docs/guidelines/ferpa.html

 

 

Key Access

 

Key access to the key cabinet (which houses keys to the building’s classrooms, department/faculty offices, and selected cabinets) is locked when not in use and key assignments are tracked by means of sign in/out log.  It is restricted to:

1)  The Unit Business Manager

2)  Program Coordinator

3)  Undergraduate & Graduate Program Assistants Senior

 

 

Access of information based upon Legitimate Working Purpose

  1. 1. Merit Folders and Binders.
    1. Program Coordinator
    2. Unit Business Manager
    3. Personnel Committee Chair
    4. Department Chair
    5. Department Vice-Chair (Under Acting Circumstances)
  2. 2. New hire paperwork.
    1. Designated staff members
    2. Program Coordinator
    3. Unit Business Manager
    4. Department Chair
    5. Department Vice-Chair (Under Acting Circumstances)
  3. 3. Faculty search folders.
    1. Cover Letters, CV’s, Letters of Recommendation, Teaching Philosophy, Course Proposals

i.      Designated staff members

ii.      Program Coordinator

iii.      Unit Business Manager

iv.      Department Chair

v.      Department Vice-Chair (Under Acting Circumstances)

vi.      Search Committee Members

vii.      Full-time, voting Faculty during faculty vote regarding candidate.

viii.      Student workers (Except for faculty votes.)

  1. Hiring paperwork including PCN numbers, Salaries, Letters of Offer.

i.      Designated staff members

ii.      Program Coordinator

iii.      Unit Business Manager

iv.      Department Chair

v.      Department Vice-Chair (Under Acting Circumstances)

  1. Hiring paperwork including Employment Applications, Transcripts, and Criminal Background Checks.

i.      Designated staff members

ii.      Program Coordinator

iii.      Unit Business Manager

iv.      Department Chair

v.      Department Vice-Chair (Under Acting Circumstances)

  1. 4. Staff Review Paperwork.
    1. Designated Supervisors
    2. Program Coordinator
    3. Unit Business Manager
    4. Department Chair
    5. Department Vice-Chair (Under Acting Circumstances)
    6. Directors of Appropriate Programs (Responsible ONLY for direct reports within that said program.)

 

  1. 5. Student Evaluations.
    1. Program Coordinator
    2. Unit Business Manager
    3. Program Assistants (Of the related program, such as Composition.)
    4. Department Chair
    5. Department Vice-Chair (Under Acting Circumstances)
    6. The appropriate faculty member who has been the instructor of the class.
    7. Personnel Committee Chair (During Review Period)
    8. Personnel Committee Member assigned to the said faculty instructor (During Review Period)
    9. Student workers.  (Except for working on individual student comments.)
  2. 6. Faculty Personnel Files.
    1. Department Chair
    2. Unit Business Manager
    3. Program Coordinator
    4. Individual faculty can see their file.
  3. 7. Department Financials.
    1. Department Chair
    2. Vice Chair
    3. Unit Business Manager
    4. Program Coordinator
  4. 8. Procard, Speedtype, Vendor and Employee ID numbers.
    1. Program Coordinator
    2. Unit Business Manager
    3. Tier I Representative (respectively, for IT needs)
    4. Department Chair
    5. Department Vice-Chair (Under Acting Circumstances)
    6. Program Assistants (Only those working on appropriate projects or tasks)
    7. Authorized purchasers (Those who have filled out ProCard Authorization Form.)
  5. Financial documents such as requisitions, receipts, account reports.
    1. Program Coordinator
    2. Unit Business Manager
    3. Department Chair
    4. Department Vice-Chair (Under Acting Circumstances)
    5. Program Directors (Of the appropriate Speedtype or Program.)
    6. Program Assistants (Of the appropriate Speedtype or Program.)
  6. 10. Payroll documents for both Faculty and Staff.
    1. Designated Supervisors
    2. Program Coordinator
    3. Unit Business Manager
    4. Department Chair
    5. Department Vice-Chair (Under Acting Circumstances)
  7. 11. Listserv Information. (Given access and/or remove access)
    1. Program Coordinator (ENGFAC, ENGMEET, ENGTERM, ENGCREATE)
    2. Unit Business Manager
    3. Program Assistants Senior (Undergrad for ENGMAJOR & ENGMINOR, Grad for ENGGRADRADUATE)
    4. Tier 1 Representative (all listservs)
    5. Department Chair
    6. Department Vice-Chair (Under Acting Circumstances)
    7. Student Workers (gathering-organizing information when not in conflict with FERPA.)
  8. 12. Website Information. (Resolving technical issues or updating data on the department website that includes Plone, JavaScript, and Coldfusion)
    1. Program Coordinator
    2. Unit Business Manager
    3. Program Assistants Senior (content editor rights related to respective areas)
    4. Tier 1 Representative
    5. Department Chair
    6. Department Vice-Chair (Under Acting Circumstances)
    7. Student Workers (gathering-organizing information)
    8. Appointed Webmaster.
  9. 13. Active Directory Information (Join Workstations to U of L Active Directory, Download/Install Forfront and Outlook via SCCM, Implement Group Policies such as utilizing it to push out software to workstations)
    1. Tier I
    2. HelpDesk and Security Enterprise Representatives
    3. Department Chair
    4. Department Vice-Chair
  10. 14. Encryption Information (Install Guardian Edge on all workstations)
    1. Tier I
    2. HelpDesk and Security Enterprise Representatives
    3. Department Chair
    4. Department Vice-Chair
  11. 15. Sharepoint Information
    1. Tier I
    2. Authorized Owners & Users (Program Assistants Senior or Program Coordinator)
    3. Help Desk and Next Gen Service Representatives
    4. Department Chair
    5. Department Vice-Chair
  12. 16. Network Access Information
    1. Tier I
    2. Help Desk and Printing Representatives
    3. Department Chair
    4. Department Vice-Chair
  13. 17. Network Printing Access Information (Paper Cut to track paper usage, GPO for all CAI Labs)
    1. Tier I
    2. Composition Administrative Assistant Representative
    3. Department Chair
    4. Department Vice-Chair
  14. 18. Office Workstations and printers
    1. Tier I
    2. Help Desk Representative
    3. Department Chair
    4. Department Vice-Chair
  15. 19. Inventory Information (IT equipment)
    1. Tier I
    2. Program Coordinator
    3. Unit Business Manager
    4. Department Chair
    5. Department Vice-Chair
  16. 20. Reset Password Information
    1. Tier I
    2. UofL HelpDesk Representative
  17. 21. Major/Minor Advising Files (Per FERPA guidelines)
    1. Director of Undergraduate or Graduate Studies respectively
    2. Designated English Department Advisers
    3. Undergraduate or Graduate Program Assistants Senior respectively

d.   College of Arts & Sciences Academic Advisers

e.   As permitted by FERPA to English department faculty/staff  members and external parties

 

 

  1. 22. Scholarship Files (Per FERPA guidelines)
    1. Members of respective English Dept. Scholarship Committees.
    2. Undergraduate or Graduate Program Assistants Senior respectively
    3. As permitted by FERPA to English department faculty/staff  members and external parties
  2. 23. Intern Files (Per FERPA guidelines)
    1. Director of the English Internship Program
    2. Undergraduate or Graduate Program Assistants Senior respectively
    3. As permitted by FERPA to English department faculty/staff  members and external parties


 

 

  1. 24. Exit Survey Data (Per FERPA guidelines)
    1. Director of Undergraduate or Graduate Studies in English respectively
    2. Designated English Department Advisers
    3. Undergraduate or Graduate Program Assistants Senior respectively
    4. As permitted by FERPA to English department faculty/staff  members and external parties
  2. 25. Student Learning Outcomes Portfolios (Per FERPA guidelines)
    1. Director of Undergraduate or Graduate Studies in English respectively
    2. Members of the English Undergraduate or Graduate Committee respectively
    3. Undergraduate or Graduate Program Assistant Senior respectively
    4. As permitted by FERPA to English department faculty/staff  members and external parties

 

 

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