ISU Records Center Operations Policies and Guide
Records and Information Management Program
Mission Statement: Records and Information Management at Idaho State University is an independent and objective records administration unit. Our mission is to ensure access to present, past, and future public records and information created and maintained by the University in pursuit of its goals as an institution of higher education, research, and public service. This is accomplished by providing records valuation, process analysis, procedural and policy development, and advisory services throughout the University.
Program Goal & Objectives:
The goal of ISU's Records and Information Management Program is to
fulfill legal requirements by bringing each academic and administrative
unit of the University into basic compliance with relevant laws and
requirements. Records can be effectively managed throughout their life
cycle (creation, maintenance and use, and disposition). Records
management techniques include managing files, determining retention
periods, furnishing inexpensive storage, and disposing of records or
transferring records to University Archives.
Location:
Records Center
Continuing Education Building [#84]
1001 N. 7th , Pocatello , ID 83201
Office - Room 209
Fax: 208-282-1041 or 208-282-3251
Records Center Policy:
Temporary records of the University that exceed the storage capacity of their office of origin, shall be transferred to the Records Center for storage until time for their destruction. Records shall be prepared in accordance with the Records Center Guide instructions on transfers. Temporary records status shall be based upon the ISU-Specific Records Retention Schedule.
Security/Access Policy
Violating the rules and procedures for accessing the Records Center and its contents may be grounds for internal disciplinary action, and may constitute grounds for civil and criminal charges (re: student, personnel and patient records).
Overview
Operating a facility for the storage of inactive records is a significant part of an institution's records management program. The effectiveness of a facility, however, is directly dependent upon how soundly and securely it is administered. Managing inactive records does not have to be an elaborate process, but it needs to be systematic and consistent, with each process clearly defined. The purpose of this publication is to outline the steps necessary to ensure efficient and effective operation of inactive records storage.
Specific Objectives:
- Meet legal, fiscal, administrative and historical requirements by managing records throughout their life cycle.
- Furnish inexpensive storage space for inactive records.
- Provide efficient reference service for inactive records.
- Obtain authorization for timely disposal of records.
- Assist campus offices with training in preparation of inactive records for storage.
- Assist in establishing and maintaining sound file management practices.
- Minimize acquisition of new filing equipment and save campus office storage space.
Operating Procedures
Access
Access to records stored in the Records Center will be managed/administered by the ISU Records Manager.
Days and Times when the Records Center will be accessible:
- Hours of regular operation will be held between 9:00 a.m. and 4:00 p.m., Monday through Friday, in accordance with the University's holiday and closure schedules. The Records Center will be staffed only on certain days per week. This schedule will be determined and reviewed at least annually by the RMAC.
- For approved personnel, their key cards will provide them access 24-7 to room 210.
Who has access?
- Physical access to the Records Center will be strictly limited as a means of reducing liability due to the content of the boxes in storage (ex: client/patient records, financial records including SSN/Bengal Id #s, FERPA regulated records, etc.).
- Personnel given physical access privileges agree to abide by the procedures for accessing the Records Center and the records stored therein.
The personnel with access privileges include:
- The Records Manager
- The University Archivist, as alternate to the Records Manager
- The Controller, the Associate and Assistant Controller for Financial Services (to handle financial audit response requirements)
- The Facility Planner, as escort for required inspections (fire, physical plant, security)
Student, Work Study or Temporary employees working for any departments with physical access privileges (including Records Management) shall be:
- employed under confidentiality agreements (see Registration and Records website -list url);
- be escorted by a person with physical access privileges
- posted to the entry log for personnel entering with escort(s).
Departmental Access
Departments may access their stored records by working through their Records Coordinator(s). The RC can contact Records Management in one of the following ways:
- By phone (records are retrieved by RM and facts read off to requester)
- By fax (records are retrieved by RM and pages faxed to requester)
- By email (records are scanned and routed electronically to requester)
- By return request (records will be returned to office of origin) either by in-person pickup (by appointment only), or campus mail (depending on records type and quantity)
- Records shall be released only to authorized persons with proper identification.
Security
The security of the records stored in the Center will be maintained by the following measures: limiting the number of people with access privileges, tracking date and time of entry, while also tracking boxes from date received until their destruction.
How will access be restricted?
- All access to the Records Center , room 210, will be through the North entrance to the room.
- This door will be secured by use of a key card swipe device, in lieu of traditional keys.
- The key card system will track time in and out information for all individuals using ID cards to enter.
- All approved personnel will have programming added to their staff Bengal ID cards to enable their use of the entry key card swipe.
Who determines access privileges?
- The Records Management Advisory Committee (RMAC) will consider and recommend approval of physical access by additional persons based on a formal request documenting their need. Note: RMAC includes the General Counsel and Risk Manager so that legal considerations will be part of the review. Final approval of personnel with access will be made by the University President.
- All approved personnel will be expected to sign access agreements documenting their understanding of the limits to their privileges. (See details below)
Loss of privileges -
Access privileges may be lost for any of the following reasons:
- Records Center door(s) left unlocked, propped open without a room attendant present;
- Allowing unapproved personnel to use pass cards to enter the Records Center (room 210)
- Unauthorized removal of records, files or boxes, from the Records Center
- If found to be accessing boxes of a department other than the one(s) designated as yours, without prior approval.
Internal Security / Databases & Logs
- Access to databases that house inventories shall be restricted; bi-annual audits will be performed.
- Written database procedures will be used to ensure consistent entry of boxes into the system. Access to the database will be compatible with room 210 access privileges.
- Keycard Logs: Entry logs and related document will be established and maintained by Records Management.
Box Tracking
Record boxes will be tracked using a database or spreadsheet to assist in retrieval and to identify which boxes are due for destruction. Within the first year of operation, the option of posting a read-only version of non-sensitive box tracking information to a shared folder for pre-approved personnel, for example, the Records Coordinators for departments with records in the Center, will be investigated, and initiated if deemed appropriate.
Transferring Records
When a department exceeds their capacity for storing their records that are awaiting the end of their retention period, the department Records Coordinator, or authorized staff member, needs to prepare the records for transfer to the Records Center.
Records Retention - Temporary records may not be transferred until after a department has completed a records survey working with the Records Manager. A survey will establish the retention periods for your department's records. If you have questions about your eligibility to transfer records, or what sort of records qualify for the Records Center , please contact the Records Manager.
- Files must be transferred into BANKERS BOX®, Scotty-type boxes, Fellowes 703. These are available from Stores, either as singles or in boxes of a dozen. Do not attempt to transfer records in other boxes, as they will not fit properly on the shelving. Do not use the longer version of the Banker's box, for the same reason.
- To make it possible to retrieve files efficiently, all files in boxes must be labeled and listed on a Box Contents List. A Contents List form is available at the Records Management website [insert link/url], or you may use your own list. Note: Each file folder or individual item (ex: binder) must be listed. Departments should retain a copy of each list for future reference and retrieval requests
- Each box must be labeled to identify the origin of the enclosed records. A box label is available from the Records Management website {url}. Instructions on box labeling appear with the form. Once the basic information on a form is completed at the website, it can be saved to the department's computer for future use.
- Once the box is labeled, and the Contents List enclosed, fill out a Request for Records Transfer Approval form, get your manager's signature approving the transfer, and route to the Records Manager at Campus Box 8089. A 'heads up' by email, identifying the number of boxes to be moved, would be appreciated (stanrobi@isu.edu ).
- Once the request is received, arrangements will be made for the pickup of the department's boxes.
- If you are planning to deliver boxes yourself, be certain to make an appointment as the Records Center is not staffed at all times.
- If you want the boxes to be picked up, be sure to include times and days that a pickup can be performed on your form. Also, remember to include an account number for the cost of transportation.
- Once your boxes are received at the Records Center , they will be assigned locations on the shelving. This information will be shared with you to keep on file with your box lists. With this information, you can request retrieval of a file(s) at a future date.
Storage Containers
- Recommended Containers - Box description: 15 x 12 x 10 inches - available from Stores 'Scotty box' or Fellowes 703
- Containers Not Recommended for Use - records boxes over 15 inches in length; copier paper boxes, odd-sized cardboard boxes
- Some alternative containers may be used if pre-approved (ex: for data storage media)
Records Destruction
When the retention period for your records is met, a notice will be sent to the Records Coordinator for the office of origin requesting final destruction approval.
This is to allow for the possibility that the status of the records has changed since their transfer and that they need to be held for longer.
Any changes to the status of records (destroy sooner or later than originally defined) must be provided in writing and signed by the appropriate manager.
Records Destruction Expense:
The cost of final destruction of records stored in the Records Center will be the responsibility of the ISU Records Program.