and
Formally
Adopted by the
President's Advisory Committee
on the University Archives and Records Center
11 April 2002
Introduction
The University of Pennsylvania and the University of Pennsylvania Health
System are committed to protecting the security and confidentiality of
certain types of records and information created or obtained in the fulfillment
of their missions of higher education and health care. Recognizing the
need to codify this intention, the Trustees of the University, on 22 June
1990, adopted an institutional archival and records management policy,
established an administrative mandate for its implementation and maintenance,
and designated the University Archives and Records Center as the single
office within the University responsible for the administration of the
policy. The full text of the "Protocols for the University of Pennsylvania
Archives and Records Center" - including its Mission, Administrative
Mandate, Collections Policy, and Access Policy - may be viewed at the
web site of the University Archives and Records Center: http://www.archives.upenn.edu/home/protocols.html
In accordance with the "Protocols," the University Records
Center provides records retention and retrieval services that assist faculty
and administrative staff in the ongoing operation of the University and
the Health System. The Records Center provides secure storage facilities
for academic, administrative, employment, financial, historical, and health
care records in all formats. The great bulk of University and Health System
records are paper, but the Records Center also provides storage facilities
for formats other than paper, such as electronic and machine-readable
records, still and motion picture film, microfilm, audio and video tape,
photographs and prints. The offices of the Records Center and its primary
storage facility are located in the University-owned building at 4015
Walnut Street. An off-campus storage facility is located in a University-owned
building at 5001 Lancaster Avenue in West Philadelphia. For a full discussion
of the Records Center and the services it offers to the University and
the Health System, visit its web page at http://www.archives.upenn.edu/urc/urc.html
In May 1997 the University Archives and Records Center formed a partnership
with the Office of Audit and Compliance and the Office of General Counsel
in order to develop comprehensive records retention schedules for the
University and the Health System. A task force was formed, outside counsel
was engaged, an extraordinary research effort undertaken, and in January
2001, after careful review by all parties, Penn's first, comprehensive
set of records retention schedules was published on-line at http://www.archives.upenn.edu/urc/recrdret/entry.html
The "Guidelines for Destruction of Confidential Records" which
follow below build upon and represent a predictable extension of existing
archival and records management policy and practice at Penn. They are
the work of the continuing partnership of the Office of Audit and Compliance,
the Office of General Counsel, and the University Archives and Records
Center.
Statement of Purpose
To strengthen safeguards against the unauthorized or accidental disclosure
of confidential records and information at the University of Pennsylvania
and the University of Pennsylvania Health System.
To define confidential records and clarify that definition as needed.
To define appropriate measures for reasonable care in the disposal of
confidential information, including its protection during storage, transportation,
handling and destruction.
Confidential Records
- In accordance with the "Protocols," the following
types of records will be absolutely confidential:
a) individual education records of living students or living former
students, as defined by the Family Educational Rights and Privacy
Act of 1974, as amended, unless the student or former student grants
access in writing (in accordance with the University "Guidelines
on the Confidentiality of Student Records" as published in
the undergraduate and graduate Academic Bulletin);
b) individual employment records of living current or former faculty
members, administrators or other staff members, including records
which concern hiring, appointment, promotion, tenure, salary, performance,
termination or other circumstances of employment, unless the faculty
member, administrator, or staff member grants access in writing
(in accordance with University Personnel Policy Manual Policy No.
101);
c) records that include "protected health information"
as the same is defined by the Health Insurance Portability and Accountability
Act of 1996 (HIPAA), 42 U.S.C. 1171 et seq. and regulations promulgated
thereunder;
d) other records where usage might constitute an invasion of privacy;
e) records the use of which has been restricted by contract.
- In accordance with the "Protocols," the following
types of records generally will be treated as confidential:
a) all administrative records of the University for twenty-five
years from the date of their creation, with certain exceptions,
such as those which must be open in conformance with law;
b) records of a sitting administration;
c) records the disclosure of which might expose the University
to legal liability.
Recommended Procedures for Confidential Destruction
- Retention Period
Only those records retained for a period of time greater than the
applicable retention schedule may be disposed of in accordance with
these guidelines. Penn's institutional records retention schedules
may be viewed on-line at the web site of the University Records
Center: http://www.archives.upenn.edu/urc/recrdret/entry.html
- Suspension of Record Destruction in the Event of a Claim,
Lawsuit, Government Investigation, Subpoena, Summons or Other Ongoing
Matters
Upon services of legal process (subpoena, summons or the like),
or upon learning of an investigation or audit, or if a claim is
made, whether formal or informal, or a dispute arises, the records
retention schedules reference above shall be suspended an records
related to the legal process, claim, dispute, investigation or audit
should not be destroyed.
- Destruction Authorization
The destruction of University and Health System records should
be authorized jointly by the senior officer of each administrative
or academic office of origin and by the Director of the University
Archives and Records Center. Should these individuals be unable
to agree, destruction will be stayed pending review and final determination
by the Advisory Committee on the University Archives and Records
Center.
- Safe and Secure Disposal
Under Penn's archival and records management policy, it is anticipated
that most confidential records destruction will be arranged and
directed by the University Archives and Records Center. University
and Health System records which have passed through the active phase
of their life cycle and are no longer needed in their office of
origin for the day-to-day operation of that office, should be identified
by office staff, transferred to the University Records Center, and
placed on a records retention schedule. When those records have
reached the conclusion of their retention period, the office of
origin will authorize their destruction. Records Center staff then
implement all destruction authorizations.
It is therefore recommended that all University and Health System
offices contact the University Records Center to arrange for safe
and secure destruction of confidential records. The Records Center
knows the destruction policies and procedures thoroughly and has
extensive experience in managing these transactions. The Records
Center may be reached by telephone at 215.898.9432; by fax at 215.573.2035;
or by e-mail at uarc@pobox.upenn.edu
It is nevertheless important for University and Health System officers
and staff responsible for confidential records to be familiar with
methods which do not permit recovery, reconstruction and future
use of confidential information. An overview of these methods follows
below.
Paper records containing confidential information
should be shredded and/or pulped, not simply thrown out with other
classes of records or with miscellaneous trash. It is recommended
that confidential destruction services, including shredding and
pulping, be arranged through the University Records Center.
Electronic or machine-readable records containing
confidential information require a two-step process for assured,
confidential destruction. Deletion of the contents of digital files
and emptying of the desktop "trash" or "waste basket"
is the first step. It must be kept in mind, however, that reconstruction
and restoration of "deleted" files are quite possible
in the hands of computer specialists. With regard to records stored
on a "hard drive," it is recommended
that commercially available software applications be utilized to
remove all data from the storage device. When properly applied,
these tools prevent the reconstruction of any data formerly stored
on the hard drive. With regard to floppy disks
and back-up tapes, it is recommended that these
storage devices be physically destroyed. These recommended methods
of confidential destruction may be arranged through the University
Records Center.
Film, audio and videotapes containing confidential
information should also be physically destroyed, not simply thrown
away. It is possible to overwrite audio and videotapes with other,
non-confidential sound and images, but if this is done, it is recommended
that it be done by an authorized member of the staff in the office
of origin. Confidential destruction of film, audio and videotapes
may also be arranged through the University Records Center.
- Confidential Destruction by commercial or non-profit vendor
Confidential destruction performed by approved commercial or non-profit
vendors shall be subject to such contractual obligations as required
by the Office of Audit and Compliance, the Office of General Counsel,
and the University Archives and Records Center. In no case shall
such contractual arrangements introduce standards, policy, or procedures
less protective of confidential records than those rules which are
described in these guidelines and which apply to all University
and Health System officers and staff.
- Destruction Record
A destruction record is an inventory describing and documenting
those records, in all formats, authorized for destruction, as well
as the date, agent, and method of destruction. The destruction record
itself shall not contain confidential information. It is anticipated
that in most cases two copies of the destruction record shall be
retained: one at the Records Center and one in the office of origin.
The destruction record may be retained in paper, electronic, or
other formats.
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