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/recmgmtlink to external site

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.PDFlink to new Windows

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/link to external site

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/advising/advisors/training/ferpa.htmllink to external site

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. Merit Folders and Binders.

      Program Coordinator

      Unit Business Manager

      Personnel Committee Chair

      Department Chair

      Department Vice-Chair (Under Acting Circumstances)

        2. New hire paperwork.

          Designated staff members

          Program Coordinator

          Unit Business Manager

          Department Chair

          Department Vice-Chair (Under Acting Circumstances)


          3. Faculty search folders.

          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.)

          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)

          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)


          4. Staff Review Paperwork.

          Designated Supervisors

          Program Coordinator

          Unit Business Manager

          Department Chair

          Department Vice-Chair (Under Acting Circumstances)

          Directors of Appropriate Programs (Responsible ONLY for direct reports within that said program.)


          5. Student Evaluations.

          Program Coordinator

          Unit Business Manager

          Program Assistants (Of the related program, such as Composition.)

          Department Chair

          Department Vice-Chair (Under Acting Circumstances)

          The appropriate faculty member who has been the instructor of the class.

          Personnel Committee Chair (During Review Period)

          Personnel Committee Member assigned to the said faculty instructor (During Review Period)

          Student workers.  (Except for working on individual student comments.)

          6. Faculty Personnel Files.

          Department Chair

          Unit Business Manager

          Program Coordinator

          Individual faculty can see their file.

          7. Department Financials.

          Department Chair

          Vice Chair

          Unit Business Manager

          Program Coordinator

          8. Procard, Speedtype, Vendor and Employee ID numbers.

          Program Coordinator

          Unit Business Manager

          Tier I Representative (respectively, for IT needs)

          Department Chair

          Department Vice-Chair (Under Acting Circumstances)

          Program Assistants (Only those working on appropriate projects or tasks)

          Authorized purchasers (Those who have filled out ProCard Authorization Form.)

          9. Financial documents such as requisitions, receipts, account reports.

          Program Coordinator

          Unit Business Manager

          Department Chair

          Department Vice-Chair (Under Acting Circumstances)

          Program Directors (Of the appropriate Speedtype or Program.)

          Program Assistants (Of the appropriate Speedtype or Program.)

          10. Payroll documents for both Faculty and Staff.

          Designated Supervisors

          Program Coordinator

          Unit Business Manager

          Department Chair

          Department Vice-Chair (Under Acting Circumstances)

          11. Listserv Information. (Given access and/or remove access)

          Program Coordinator (ENGFAC, ENGMEET, ENGTERM, ENGCREATE)

          Unit Business Manager

          Program Assistants Senior (Undergrad for ENGMAJOR & ENGMINOR, Grad for ENGGRADRADUATE)

          Tier 1 Representative (all listservs)

          Department Chair

          Department Vice-Chair (Under Acting Circumstances)

          Student Workers (gathering-organizing information when not in conflict with FERPA.)

          12. Website Information. (Resolving technical issues or updating data on the department website that includes Plone,

          JavaScript, and Coldfusion)

          Program Coordinator

          Unit Business Manager

          Program Assistants Senior (content editor rights related to respective areas)

          Tier 1 Representative

          Department Chair

          Department Vice-Chair (Under Acting Circumstances)

          Student Workers (gathering-organizing information)

          Appointed Webmaster.

          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)

          Tier I

          HelpDesk and Security Enterprise Representatives

          Department Chair

          Department Vice-Chair

          14. Encryption Information (Install Guardian Edge on all workstations)

          Tier I

          HelpDesk and Security Enterprise Representatives

          Department Chair

          Department Vice-Chair

          15. Sharepoint Information

          Tier I

          Authorized Owners & Users (Program Assistants Senior or Program Coordinator)

          Help Desk and Next Gen Service Representatives

          Department Chair

          Department Vice-Chair

          16. Network Access Information

          Tier I

          Help Desk and Printing Representatives

          Department Chair

          Department Vice-Chair

          17. Network Printing Access Information (Paper Cut to track paper usage, GPO for all CAI Labs)

          Tier I

          Composition Administrative Assistant Representative

          Department Chair

          Department Vice-Chair

          18. Office Workstations and printers

          Tier I

          Help Desk Representative

          Department Chair

          Department Vice-Chair

          19. Inventory Information (IT equipment)

          Tier I

          Program Coordinator

          Unit Business Manager

          Department Chair

          Department Vice-Chair

          20. Reset Password Information

          Tier I

          UofL HelpDesk Representative

          21. Major/Minor Advising Files (Per FERPA guidelines)

          Director of Undergraduate or Graduate Studies respectively

          Designated English Department Advisers

          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

          22. Scholarship Files (Per FERPA guidelines)

          Members of respective English Dept. Scholarship Committees.

          Undergraduate or Graduate Program Assistants Senior respectively

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

          23. Intern Files (Per FERPA guidelines)

          Director of the English Internship Program

          Undergraduate or Graduate Program Assistants Senior respectively

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

          24. Exit Survey Data (Per FERPA guidelines)

          Director of Undergraduate or Graduate Studies in English respectively

          Designated English Department Advisers

          Undergraduate or Graduate Program Assistants Senior respectively

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

          25. Student Learning Outcomes Portfolios (Per FERPA guidelines)

          Director of Undergraduate or Graduate Studies in English respectively

          Members of the English Undergraduate or Graduate Committee respectively

          Undergraduate or Graduate Program Assistant Senior respectively

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