Training for University College CIS Contacts

1
Training for University College CIS Contacts

• Introduction and Overview

2
Scope of Training

• CIS Common Uses Chuck Gaede, Interim Director,
  MEC Assoc. Dir. DIIA
• Texas Open Records Act and FERPA issues Jeff
  Graves, Assoc Vice President, J.D
• Official Documents Retention Maryrose
  Hightower-Coyle, Information Specialist
• Questions and Answers

3
CIS System

• Current CIS system was approved and implemented
  in Fall 2000
• University-wide comparisons using two forms,
  Basic and Expanded
• Three-tiered system university level, college
  level, and individual instructor level
• Student written comments section

4
Common Uses

• Improvement of instruction
• Assist students in making wise academic choices
• Personnel evaluation
• Public evaluation of university (Texas)

5
Strive for a Timely Return

• Striving for timely return of documents so as to
  facilitate all of the uses

6
Spring 2005 CIS Processing Procedures

• College/school completes documented local
  procedures for management of official records by
  April 1, 2005.
• College/school procedures must identify deans
  level CIS contact
• MEC will review procedures to ensure compliance
  with university-wide guidelines
• A summary of management responsibility for
  records retention and safeguarding of master and
  convenience documents will accompany the return
  of summary results and completed forms
• MEC will deliver blank CIS forms for
  administration to deans office CIS contact
• Survey administration must be completed by the
  last class day the end of the official survey
  period
• Deans office CIS contact will arrange for return
  of completed CIS forms to MEC for processing
• All completed forms need to be returned to the
  MEC within 5 business days of the last class day
• MEC will return summary results and completed
  forms to deans office contact for distribution
  to faculty and other handling in accordance with
  established college/school procedures for
  management and retention of CIS official records

7
Introduction to Records Management and Retention
Services

• Records Management and Retention Services for the
  UT Austin campus is part of the Office of
  Accounting

8
Record Retention Schedule

• The current University of Texas Records Retention
  Schedule (RRS) is adopted as an administrative
  rule of the University of Texas and is certified
  by the Texas State Library and Archives
  Commission as of September 29, 2004.
• This retention schedule indicates the minimum
  length of time listed records series must be
  retained before destruction or archival
  preservation.  The retention periods given in the
  RRS are required minimums. They are also
  recommended as appropriate maximum retention
  periods.

9
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10
RRS Components

• Inclusion in the RRS confers official State
  Record status.
• Each type of record is categorized and issued a
  records series title.
• The records series is assigned relevant
• Retention codes
• Medium codes
• Security codes
• Archival codes
• Comments may be included

11
The Life of a Record

• An official state record captures and preserves
  interactions between official entities and
  citizens.
• Remains available for retrieval from the time it
  is created till its final disposition.
• The life of an official state record can only end
  one of two ways!
• Destruction, which follows a documented approval
  process. Confidential records must be destroyed
  in a manner that preserves confidentiality.
• Archival storage it is determined when a
  record series is created if a document should be
  archived or reviewed for archival value.

12
Master Record vs. Convenience Copy

• Master records are the official records retained
  as the original, and subject to the retention
  schedule. These require a Request for Internal
  Approval to Dispose of State Records Form when
  retention requirements have been met.
• Convenience copies are all other copies of the
  record created for convenience, reference, or
  research. Convenience copies can be destroyed at
  any time and no approval for doing so is
  required.

13
Convenience Copy Caution

• Do not retain or distribute copies after the
  retention period!
• A convenience copy retained AFTER the master
  record is destroyed BECOMES the master record.
• It is best practice to destroy convenience copies
  at or before the end of the retention period or
  as soon as they have served their purpose.

14
Course Instruction Survey Documents

• Currently designated in records series MEC408
  with a ten year retention period.
• The MEC408 records can be retained in electronic
  or paper media formats.
• The records must be readily retrievable for the
  entire retention period.

15
Request to Dispose of State Records

• Procedures, form, and instructions can be found
  at the Office of Accounting web site
  http//www.utexas.edu/business/accounting/retentio
  n/dispose.html
• Records Management staff will assist and support
  in the request and approval process.
• Records Management staff contact information
  http//www.utexas.edu/business/accounting/contact/
  ret.html

16
Disposing of Confidential State Records

• Confidential records are any state records to
  which public access is or may be restricted or
  denied under the Texas Public Information Act,
  Chapter 552, or other state or federal law.
• Security controls must be developed and
  maintained for the life of the record.
• They must be disposed in a manner that preserves
  confidentiality.
• Departmental procedures must be developed if the
  records are destroyed in-house.

17
University of Texas Records Management and
Retention Services

• Contact Information
• Karen Griffin 232-5648
• Maryrose Hightower-Coyle 232-5647
• Email recordsmgmt_at_austin.utexas.edu
• Fax [phone]
• K-5300Office of AccountingRecords
  ManagementMai 2102
• URLs
• General Information http//www.utexas.edu/busines
  s/accounting/retention/
• Retention Schedule http//www.utexas.edu/business
  /accounting/retention/ret.html
• Request to Dispose of State Records
  http//www.utexas.edu/business/accounting/retentio
  n/dispose.html
• Electronic Imaging Guidelines and Considerations
  http//www.utexas.edu/business/accounting/retentio
  n/guidelines.html

18
Electronic Records

• Standards and Procedures

19
Scanning as Solution

• Converting paper documents to electronic
  documents through scanning/imaging technology can
  offer several key advantages
• First and foremost it saves physical space.
• Time and resources spent in file maintenance and
  retrieval may be significantly reduced.
• The scanning solution requires a range of
  considerations in its planning and inception.

20
Whether Paper or Electronic

• Records must be accessible and retrievable
  throughout the retention period.
• Confidential Records must be secured such that
  only authorized personnel can view them.
• Therefore

21
Important Considerations

• Hardware/Software
• Format
• Consistent Naming conventions
• Documentation and training
• Quality Assurance

22
Hardware Considerations

• Scanning equipment
• Must be capable of performing at levels up to
  industry standards
• Storage and retrieval equipment
• Accommodates future growth.
• Stored on a central server rather than an
  individual desk-top.
• Back-up and secure storage of back-up files
  should be part of initial planning.
• Can provide selective access to protect
  confidential files.
• Can be migrated through successive upgrades for
  the life of the record.

23
Format Considerations

• Images must be stored with the expectation that
  they will be readable over time
• Avoid proprietary formats
• TIFF is the current industry standard
• PDF though a proprietary format is becoming more
  and more accepted as a long-term storage format
  option
• Beware of variations in compression formats

24
Naming Convention Considerations

• Accessibility
• Indexing/Naming conventions
• semester date
• record title series
• Unique/course number
• Designation to indicate the security status of
  the documents
• Confidential
• Open

25
Documentation Considerations

• You must develop and document departmental
  procedures for all aspects of departmental
  records management responsibilities.
• Appropriate designation of documents as State
  Records/Records Inventory
• Request for Disposal of State Records
• Scanning quality control and best practice
• Shredding
• You must be able to demonstrate that you have
  made a reasonable attempt to comply with records
  management requirements through training in
  equipment and procedures.
• Designation of Records Management contact
  recommended and supported, though not required at
  this time.
• Guidelines available.

26
Scanning Quality Assurance Measures

• Verification scanning should be followed up by a
  review of each document for the following
  criteria
• Consistent naming and indexing, if automatically
  named by scanning software. Otherwise the naming
  and indexing is manually added at this time.
• Correct and correlating number of pages, this is
  a check for overlaps and missed documents
• Each page is legible
• Validation
• The verification process is repeated by someone
  other than the person who performed the
  verification. It is standard practice to have a
  two reviews of each document, by at least two
  different people.

27
Overall Process Assurance

• Controls for documents secure chain of custody
• Check that documents are stored where and as
  planned
• Monitor access

28
Sources for Quality Standards

• Texas State Library
• http//www.tsl.state.tx.us/slrm/recordspubs/bullet
  in1.pdf
• University of Texas Austin
• http//www.utexas.edu/business/accounting/retentio
  n/guidelines.html
• Contact Records Management and Retention Services
  for further support and assistance.
  http//www.utexas.edu/business/accounting/contact/
  ret.html
• Industry Standard for Information and Image
  Management
• ANSI/AIIM MS 44-1988 Recommended Practice for
  Quality Control of Image Scanners

29
Roles and Responsibilities

• Texas State Library Mandates state agencies to
  enact Records Management programs in accordance
  with State and Federal guidelines.
• UT System Records Management Officer Mary
  Hilliard Agency-wide supervision of component
  Records Management Programs.
• UT Austin Records Management Jane Goss, Karen
  Griffin and Maryrose Hightower-Coyle Assist and
  support departmental Records Management Programs,
  process and approve Requests to Dispose of State
  Records, and are responsible for development and
  management of UTRRS.
• Department/Division Heads Designate Departmental
  Records Management contact, review and sign
  Requests to Dispose of State Records.
• Departmental Records Management contact Develop
  and maintain departmental procedures, prepare
  Request for Disposal of State Records forms
  document, oversee disposal of documents.