外文文献原稿和译文
原 稿
Introduction
The creation and maintenance of records relating to the students of an institution are essential to:
. managing the relationship between the institution and the student; . providing support and other services and facilities to the student;
. controlling the student’s academic progress and measuring their achievement, both at the institution and subsequently;
. providing support to the student after they leave the institution.
In addition, student records contain data which the institution can aggregate and analyse to inform future strategy, planning and service provision.
The number of students in HEIs has increased rapidly in the last twenty years. An institution’s relationship with an individual student has also become increasingly complex because of the range of support services institutions now provide to students and life long learning initiatives. Consequently, the volume and complexity of student records have also increased, as have the resources required to create, maintain, use, retain and dispose of them, irrespective of the format in which they are kept. Ensuring that the personal data contained in student records is controlled and managed in line with the principles of the Data Protection Act 1998 creates an additional complication.
Institutions should, therefore, establish a policy on managing student records to ensure that they are handled consistently and effectively wherever they are held and whoever holds them. This policy should ensure that:
. records relating to an individual student are complete, accurate and up to date; . duplication of student data is deliberate rather than uncontrolled and kept to the minimum needed to support effective administration;
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. records are held and stored securely to prevent unauthorised access to them; . records relating to the academic aspects of the student’s relationship with the institution are clearly segregated from those dealing with financial, disciplinary, social, support and contractual aspects of that relationship. This will enable differential retention periods to be applied to each of these to meet business and regulatory requirements. What are student records?
Records are documents or other items which: . contain recorded information;
. are produced or received in the initiation, conduct or completion of an activity; . are retained as evidence of that activity, or because they have other informational value.
The recorded information may be in any form (e.g. text, image, sound) and the records may be in any medium or format.
Student records – records associated with managing the relationship between an institution and its students – can be organised into three broad categories, each of which may be additionally divided:
1. Records documenting the contractual relationship between the student and the institution
e.g. records documenting admission and enrolment, payment of tuition fees, non-academic disciplinary proceedings.
2. Records documenting the student as a learner
e.g. records documenting programmes undertaken, academic progress and performance, awards.
3. Records documenting the student as an individual and consumer of services provided by the institution
e.g. records documenting use of accommodation services, counseling services, library and IT support services, careers and employment services.
Most records in categories 1 and 3 have specific retention periods triggered by the formal end of a student’s direct relationship with an institution, although the information they contain may be aggregated and analyzed to provide data requested by third parties1 or
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to support the institution’s planning and development activities. An institution will need to retain some of the records in category 2 to provide confirmatory information to potential employers, professional bodies and associations, and to bodies which regulate entry to medical and other professions and which assess and maintain evidence of fitness to practice in those professions.
Who is responsible for managing student records?
HEI organizational structures vary considerably. As a result, it is difficult to specify exactly where these responsibilities should lie in any one institution.
Responsibility for managing student records should be clearly defined and documented. It is important to define the responsibilities of staff involved in:
. managing the institution’s general, contractual relationship with the student; . managing the institution’s relationship with the student as a learner; . providing technical and personal support services to the student;
for creating, maintaining, using, retaining and disposing of records documenting those activities during the student’s time at the institution.
Institutions should also designate one clear point of responsibility for maintaining complete, accurate and up to date records on every student, covering all aspects of the relationship. They should also define the minimum content of the core student record so that the institution can, if required:
. demonstrate, within the provisions of limitation statutes, that its implied contract with the student has been fulfilled;
. provide information on the student’s academic performance and award(s) to potential employers, to licensing/regulatory bodies (normally first registration only)which control entry to professions and to other organizations (e.g. those providing chartered status) as well as to the student;
. provide information on the student as an individual as a means of enabling the institution, or others acting on its behalf, to analyse and aggregate student data for planning and developing its future programmes, recruitment activities and the facilities and services required to support future students.
Where and how should student records be stored?
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The nature of student records and the personal information they contain demands that they should be stored in facilities and equipment (‘hard copy’ records) or electronic systems (digital records) which are, above all, secure and accessible only to authorized staff whose work requires them to have access. In addition, the facilities and equipment should provide:
. adequate space for all the records which need to be produced and retained; . appropriate environmental conditions for the record media used.
Storage facilities and systems should meet the same standards irrespective of where they are located and who is responsible for managing them.
Authorized staff should maintain a record of:
. the content, format and location of all student records;
. the names and designations of all staff with access to student records, and any limitations on that access;
. student records which have been transferred to another part of the institution, particularly after the student has left;
. organizations, professional bodies, statutory regulators to whom personal data relating to the student has been provided.
Student records should be stored and indexed so that they can be identified and retrieved quickly and easily.
. Paper records should be housed in durable containers which carry only an impersonal code number related to a restricted-access list or index to prevent casual, unauthorised access. These containers should be stored in locked equipment or rooms when they are not being used to ensure that the personal data they contain is protected in line with the requirements of the Data Protection Act 1998.
. Digital records should be uniquely identified and protected with passwords and other electronic security measures. In all cases, access should be limited to those staff who have ‘a need to know’. If electronic systems are not centrally managed, designated staff should make back-up copies to prevent loss of records through accidental or intentional damage.
Whatever its format, the ‘core student record’ should be treated as a vital record and action taken to protect it from disaster or systems failure by copying and dispersal.
Student records will become relatively inactive once the student leaves the institution.
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They may then be transferred to other storage facilities or systems. At this point, duplicates of records created for administrative convenience should be destroyed so that only the designated official records survive.
Who should have access to student records?
Institutions should tightly control access to student records to prevent unauthorised use, alteration, removal or destruction of the records themselves and unauthorised disclosure of the information they contain. Only those members of staff who need them to do their work should have access to student records and, their access should be restricted to records of the direct relationship and not to the content of the whole file.
Student records contain personal data and are therefore subject to the provisions of the Data Protection Act 1998, including the provision that the student, as the data subject, should be given access to personal data held, whether in digital or hard copy form. In addition, the ‘core student record’ as defined by the KCL study includes personal data on the student’s parents which is also subject to the provisions of the Act. How long should student records be kept?
In general, student records should be kept only for as long as is necessary to: . fulfill and discharge the contractual obligations established between the institution and the student, including the completion of any non-academic disciplinary action;
. provide information on the academic career and achievements of the student to employers, licensing/regulatory bodies and other organizations, as well as to the student as part of their lifelong learning record;
. record the activities of the student as an individual and as a consumer of student support and other institutional services as a means of managing those services and planning and developing them in the future.
The nature of the activities which give rise to these categories of records drives their retention.
. The contractual relationship between the institution and the student is subject to the same statutory limitations on action as any other contract. This will include records of disciplinary action taken against the student. The records should be disposed of accordingly. The date at which the student leaves the institution normally provides the retention
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‘trigger’.
. The records relating to the student as a learner need to be retained for longer than other student records. Institutions accept that they have an obligation, during a student’s working life, to provide factual information on what they have studied and achieved, i.e. a Transcript. The proposed lifelong learning record or progress file would also include additional data on relevant non-academic achievements and activities (e.g. voluntary work). The retention period for these records should reflect the need to fulfill this obligation over long periods of time, perhaps for the lifetime of the student. It is important to segregate these records from those relating to other aspects of the relationship so that non-academic records are not retained for unnecessarily long periods, consuming storage resources and creating potential breaches of the Data Protection Act 1998.
. Records relating to the student as an individual and as a user of student support and institutional services are relatively short term and should be retained for a short finite period once the student leaves the institution. This period should be shorter than for records relating to the wider contractual arrangements.
The KCL study proposed the development of a ‘core student record’ which would contain, in addition to the formal transcript, data relating to the background of the student, including parents’ address and occupation, schools attended, first employment, etc. In addition to providing academic information on the individual student, KCL suggested that the availability of this data facilitates its analysis for institutional business planning and development purposes, as well as supporting subsequent academic historical, sociological and demographic research.
Individual institutions should decide whether they wish to retain this data for research purposes once immediate institutional business needs have been met. In doing so they will need to take account of:
. the cost and technical difficulty of maintaining records, even in summary form, permanently;
. the security and subject access implications of retaining personal data relating to named individuals;
. the need to create and maintain finding aids so that individual records can be easily
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and quickly retrieved when required, particularly to meet subject access requests. How should student records be destroyed?
Student records should be destroyed in line with agreed retention periods. Destruction should be authorized by staff with appropriate authority and it should be carried out in accordance with the institution’s procedures for the destruction of redundant records containing personal data.
The authority for destruction and the date of destruction should be recorded and held by the section of the institution with final responsibility for the student record.
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译 文
介绍
创建与维护和学生相关的记录对一个公共机构来说是十分重要的： 处理机关和学生之间的关系； 提供支持和其他服务以及便利给学生；
在机关，控制学生学术进展和测量他们的成就； 随后提供支持给学生，在他们离开机关之后。
另外，学生纪录包含机构能总计和分析有关未来战略、计划和服务规定的数据。 HEIs学生的数量在最近二十年迅速地增加了。由于机构为学生提供支持性服务范围的扩大，以及学生主动学习的时间增长，机构与个体学生的关系越来越复杂。结果是学生纪录的容量和复杂性也增加了，有要求的资源创造，维护，使用，保留和处理他们，而不考虑他们被保留的格式。保证在学生纪录中包含的个人数据是可控的，还要与1998年的数据保护原则一致使得问题更加复杂。
因此机构应该在管理学生数据方面建立一项政策，以此来保证无论在哪里，无论是谁拥有这些数据都能始终如一和有效地处理数据。这项政策应该保证：
与一名单独学生相关的纪录完全，准确和最新;
学生数据的复制是经过深思熟虑的而不是不加控制，为有效管理提供最小的支持;
纪录要安全地保存并且防止对他们的越权存取;
与学生关系相关的学术方面的纪录与机构涉及财政，纪律，社会的那些明显地被分离，支持和那个关系的契约方面。 这将使有差别的保留阶段被运用于其中每一个符合事务和管理需求。
什么是学生纪录？
记录是文件或其他项目： 包含已记录的信息;
在活动的开始、期间或最后产生或者被人们认可；
保留作为那活动的证据，或者，因为他们有其他与信息有关的价值。
即记录信息可以是所有形式(文本、图象，声音)，并且纪录可能在任何媒介或有
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各种格式。
学生纪录-纪录联合处理机关和它的学生之间的关系能被组织入三个宽广的类别，其中每一也许另外被划分：
1. 提供学生和机关之间的纪录契约关系
e.g.提供记录入学和登记，学费的付款，非学术的纪律行动等信息。 2. 记录提供学生成为学习者
e.g.记录提供项目被采用，学术进展和奖励信息。 3. 提供学生作为个体及消费者从机构得到的服务。
e.g.记录提供建议服务，图书馆和它支助性业务，事业和就业服务信息。 目录1和目录3的大多数记录都有特别的滞留期，而这些滞留期是由学生跟学校的直接关系的正常结束而引发的。尽管这些信息可能会被合计并分析，然后提供给请求的第三方，或者支持学校的规划和发展性的活动。学校将会需要保留目录2中的一些记录，一边把确定的信息提供给有潜力的雇主，专业机构，或者商会，或者这样的机构，它们控制评定并维护这些合适的证据，然后在这些专业中实践。
谁对处理学生纪录负责？
HEI组织结构相当不固定。结果，正确地指定责任应该在那一个机构很困难。 处理的学生纪录的责任应该明晰定义。 定义相关职员的责任是重要的： 处理一般的机构与学生的契约关系; 处理学生作为学习者与机构的关系; 为学生提供技术和个人支助性业务;
在学生在校期间，提供创造，维护，使用，保留记录这些活动。
机构也应该指定一个清楚的界限，来保证学生档案完全、正确和变化及时，包含两者关系的所有方面。他们也应该定义核心学生记录的最小内容，以便机构能，如果需要：
在供应限制法令里面，示范，它的被暗示的契约与学生已经被实现；
提供关于学生的学院表现和奖赏的资讯给潜在的雇主，对许可│管制的身体 （通常第一个登记唯一的）控制对职业的进入和至其他的组织 （举例来说正在提供受特许的状态人）连同对学生；
提供作为一个个体的关于学生的资讯，作为一种促成机构或其他代表他的方法，分析而且聚集计划而且发展它的将来节目的学生数据，招募活动和设备和服务必需的
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支援将来的学生。
在哪里和应该怎样存放学生纪录？
他们包含的学生记录的个性和个人的数据要求他们应该在设备被储存和设备 （‘硬拷贝’记录）或者电子的系统 （数传记录）最重要者，只有对工作需要他们有通路的经认可的职员是安心、可接近的。除此之外，设备和设备应该提供：
提供需要创建而且保有的所有记录的适当空间； 适当的环境用适当的媒介记录。
储藏设备和系统系统应该符合找出他们的同样标准而不考虑谁对处理他们负责。 经认可的职员应该维持记录： 所有学生记录的内容、格式和位置；
所有有权使用学生记录的职员名字和在那方面的任何限制；
已经被转移到机构的另一个部分的学生记录，特别地在学生已经离开之后； 组织，专业团体，与学生相关的个人数据提供了的法律管理者； 学生记录应该被标注存放，以便可以被迅速辨认和快速检索。
纸质记录应存放在容器中，比较耐用，只携带客观的数码相关的列表或索引来防止随意，非法的存取。这些容器应储存在锁定装置或者房间里。当它们没被房间用来确保个人数据保护他们包含符合要求的数据保护艺术。
数码记录应加以唯一性标识和保护密码和其他的电子保安措施。在任何情况下都应限制访问这些人员的需要知道的。如果电子系统不集中管理，管理人员应备份副本，以防记录通过意外或故意破坏而丢失。
无论它的格式，核心学生记录应看作一个至关重要的记录，并采取行动来保护它以防止从灾难或系统失效复制和传播。
当学生离开时其记录将变得不那么重要。
他们能够被转换到其它的存储设备或系统里，从这点来看，为行政便利创建的备份记录应该被毁坏以便只有表示的官方记录被保留下来。
谁能打开学生记录呢？
机构组织为阻止未授权的使用更改，移动和记录的自销和他们自己包含信息的公开，应紧紧控制渠道，只有为工作需要的那些员工才能打开记录，并且他们的路径应被局限在和有直接关系的记录而不是整个文件的内容。
学生记录应含有个人数据，并视1998数据保护法令条款而定。其中包括作为数
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据掌握者——学生应该被给予通向个人数据的渠道，不管是数字形式的还是硬盘形式的，此外，被KCL学科系定义的“核心学生记录”，包括视法律条文而定的有关学生家长的个人数据。
学生记录应该被保存多久？
一般来说，学生记录应视需要而定能保留多久就保留多久，有下列一些情况： 完成和履行建立在机构和学生之间的合同责任和义务，包括任何非学术条款的刑事诉讼。
提供有关学生学术事业或成就方面的信息，其中包含有对雇佣者，受规章限制的机构和其他组织和学生一起作为他们终生学识记录。
把学生的活动以个体和消费者或其他机构服务的形式记录下来作为管理服务和将来规划及发展他们的一种方式。
这项活动的本质使这些记录表代替他们的记忆。
学生和机构之间的契约关系受制于和任何其他的契约相同的在行动方面的法令限制。这将会包括对学生的纪律处分的记录。记录应该适当地被解决。机构通常在学生离开提供支持。
一个学习者的记录需要为比其他的学生记录更长时间的保持。机构接受，他们有义务，在一个学生的工作生活期间，提供关于他们已经学习而且达成的，也就是一份抄本的事实资讯。被提议的终身学问记录或进步文件也会在有关的非学院的成就和活动 （举例来说自动的工作）上包括另外的数据。给这些记录的保持时期应该反映需要结束，实现义务时间的期数，也许为学生的终生。分离正在与关系的其他方面有关的人的这些记录很重要，以便非学院的记录没被保有为不必要地久期数，消耗储藏资源而且创造数据保护行为 1998 的潜在裂口.
学生作为一个个体和用户，机构应该对记录提供支持，并且在学生离开之后的一个短时期内亦应该如此。这时期应该短,超过为与比较宽的契约安排有关的记录。 KCL 研究计划包含的\核心学生记录 \的发展，除了正式的抄本之外，数据与学生的背景有关，包括父母,住址和职业，学校，第一个工作，等等。除了提供关于个别的学生学院的资讯之外， KCL 建议，这一笔数据有效分析机构的发展计划和发展企图，连同支援后来的学院历史、社会学而且人口统计学的研究。个别的机构应该决定是否保有这一笔数据当商务需要已经符合他们想要的研究目的。在做方面，他们将会需要考虑：
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保存记录存在费用和技术上的困难，即使是以概要形式; 保有与命名的个体保持良好关系的个人的数据以及安全性问题；
需要产生并且维持发现帮助以便个别的记录可能是容易地而且很快地取回当需要，特别地遭遇服从的通路请求。
学生记录应如何被销毁？
学生记录被破坏和同意应该保持期数一致。
破坏的权威应该适当授权，而且它应该被符合机构程序为包含个人的数据的多余记录的破坏实行。
给破坏和破坏的日期的权威应该被机构的区段用对学生的最后责任记录而且拿着记录。
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