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. |