Records Management for Teaching Assistants - PowerPoint Presentation

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Records Management for Teaching Assistants

Abigail Nye, Interim Head of Archives

August

21, 2017

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!

Student Records at UWM

Created whenever you interact with students

Gradebooks

Student Coursework

Email Correspondence

Retained for grade appeals, auditsPrivacy laws and concerns: dictates disclosure

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, email or written correspondence

Academic

Grades, Coursework, Exams, etc.

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 copiesIncludes vast majority of “cc” email

Student Records: Academic

Records created for use in academic course

Usually held by individual instructors

Very high administrative value; almost no long-term value

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

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 archivesWhy? Proof of grading policy consistency

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!

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 accessibleDon’ t rely on one locationAsk your department for a backup!Security Settings! (esp. important for OneDrive)

A quick note on email

Email 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

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

FERPA: Educational Records

All records pertaining to students maintained at UWM

Presumption of confidentiality

Major exceptions:

Instructor personal/sole possession notes

Employment RecordsCampus Security RecordsAlumni records

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

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”

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

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.

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”

Resources

UWM FERPA Guide

http://www4.uwm.edu/academics/ferpa.cfm

UWM Select Policy 29: Grade Records and Retention

https://www4.uwm.edu/secu/docs/other/S29.htm

UWSA General Records Schedule for Academic Records

https://www.wisconsin.edu/general-counsel/download/public_records/records_schedules/Reference-Chart.pdf

Resources, cont’d.

UWM General Records Schedules

http://

uwm.edu/libraries/archives/uwm-records-management/common-records-schedules

/

Records Management Guidelineshttp://uwm.edu/libraries/archives/uwm-records-management/guidelines-laws-and-policies/D2L Cleanup

http://uwm.edu/cetl/resources/d2l-course-cleanup/

Thank You

For more information, please contact

UWM Records Management:

askarch@uwm.edu

414-229-5402http://uwm.edu/libraries/archives/uwm-records-management/