Access to records in Center collections is predicated on:

• Donor restrictions
• Harvard University restrictions
• Medical health/patient information
• Government or other legal restrictions
• Corporate restrictions

Donor Restrictions

Review collection control files as part of processing planning to ensure that you are aware of any group of records for which access has been restricted as a condition of the Deed of Gift. In such a case, the amount of time the donor requires the records to be closed to the public should be specified in the gift instrument so that both parties are in agreement. A donor can restrict any type of record, for whatever reason; access to said records is non-negotiable unless the donor provides an avenue of appeal.

Medical/Health/Patient Information

The Center is not a HIPAA-covered entity. Harvard counsel has interpreted HIPAA to mean that researchers can have access to collections containing patient information as long as they follow the HIPAA-described Institutional Review Board (IRB) process. All patient-related information in special collections (such as medical records, photographs of patients, medical imaging for diagnostic purposes, case files, etc.) for both identified and unidentified patients is restricted for 80 years. Researchers may request access to restricted/closed records by applying to the Harvard Medical School's Internal Review Board. Our Public Services staff provides guidance on how to put in an IRB request, as well as guidance on requesting closed University records. Records related to medical health/patient information can be found both in clearly identifiable series of records, or be scattered throughout multiple series.

If the collection contains longitudinal patient information, restriction periods should be calculated based on the most recently dated records of the longitudinal study in the collection.

Because processors cannot look at every record in a collection, Center researchers are required to sign a form that states that, if during the course of research at Countway Library, they come across the medical records of individuals or any health information in any form pertaining to identifiable individuals, that they will not record such information (by note-taking, photocopying, digital camera, or otherwise) and that they will not in any way disclose such information. (That is, not reveal, through publications or otherwise, any health-related information of individuals who from my disclosure could be identified, even indirectly by deduction or inference.)

Personally-Identifying Information

The Center does not screen for personal information about individuals that is NOT health or patient related. Do not close or otherwise flag records related to lawsuits, adoption, divorce, illegal activities (unless closed by law), job applications, statements of financial condition, etc. or content that the processor, personally, deems malicious, insensitive, or a breach of personal privacy. The Center’s research waiver also stipulates (as of June 2011) that researchers will not record or disclose any personal information encountered.

Processors should only close a file if there is a critical “mass” of personal information that might aid in identity theft: such as the combination of a checking statement for a living donor, their home address, and social security number. These situations are extremely rare, as these types of records are generally not acquired by the Center. If the processor encounters personal cancelled checks, bank statements, or other financial records, set aside to propose returning to the donor or their heirs.

The Center honors requests from the public to redact personal names on folder titles on a case by case basis. 

Harvard University Restrictions

Access to Harvard University records is governed by the University’s record schedule. Harvard University records are those records found within an institutionally generated collection, in which the body of records has been generated by a Harvard University office of origin. Restrictions are either for fifty year or eighty year periods. As a rule, redact from the folder list the names of students and the names of staff/faculty represented in evaluative personnel records (relating to promotions, hiring, disciplinary processes, firing, etc. files found on folder titles. See the below section on redaction.

Large groups of Harvard-generated records found in manuscript collections (such as the correspondence file of a Department Chair, the records of a school’s curriculum committee, etc.) should be evaluated for transfer to the institutional archives. Consult with the Collections Services Archivist and the Records Manager.

Occasional correspondence and records scattered among subject files on Harvard letterhead within the personal or professional papers of an individual or non-Harvard corporate body do not count as institutional records. These records were maintained by the individual creator, not the institution and should not be restricted as if Harvard University records.  Consult the Center’s Records Manager for clarification.

The items on the following list are not considered University records in manuscript collections. However, the Archives offers its services for the selected disposition of those items found relevant to its collection policy:

• Extra copies of documents kept only for convenience or reference;
• Extra copies of publication stocked for distribution purposes;
• Reproduction masters, unless they are the only copy of the record in existence or are the microfilm master copy;
• Material relating to individual employees' memberships;
• Faculty research notes;
• Blank forms kept for supply purposes;
• Personal or private papers neither created not received in connection with the University's business; and
• Reference materials such as library, museum, and specimen material made or acquired solely for reference, research, or exhibition purposes.

...

...

Personnel & human resources records

...

Financial records

...

Operations records

...

Governance (including committee) records

...

Student records

...

Program development, evaluation, & planning records

...

Personal web pages, public statements & speeches as an individual

...

Records created to publicize or document University functions and activities, including official publications, press releases, public statements & speeches in University role, and official web sites and pages of departments, programs, and faculty

...

Correspondence with University faculty, administrators, and with non-University persons, if it relates to University functions and activities

...

Teaching

...

Teaching

...

Lectures & lecture notes

...

Records include course proposals , course descriptions (including tutorial courses), course syllabi, course requirement outlines, reading lists, handouts, assignment descriptions, examination schedules, evaluation and grading criteria, lecture titles and dates, examination questions, class lists, and correspondence related to course administration

...

Intellectual property used in teaching but not distributed to students, such as PowerPoint presentations or overheads

...

Course scheduling & arrangements correspondence

...

Publications resulting from research

...

Research data created during sponsored research, unless it is claimed by the sponsor

...

Papers that result from individual participation in University-sponsored organizations, events, or activities

...

Records that result from administration of University-sponsored organizations, events or activities

...

Professional development and individual organizational memberships records

...

Institutional organizational membership records or records of membership based on role

...

Work-for-hire for other organizations (hospitals, government, other universities, etc.)

...

Correspondence that is not created to carry out a University function or activity

Harvard University Affiliate Institutions Restrictions

Records of hospitals and institutions affiliated with Harvard University (such as Massachusetts General Hospital, Boston Children's Hospital, Brigham and Women's Hospital, and other HMS teaching affiliates) that are found within collections are given reciprocal institutional record restrictions, as if those records were Harvard University records. Personnel, student, and patient records should be restricted for 80 years from the date of record creation, and all other institutional administrative records should be restricted for 50 years from the date of record creation. Please refer to the above sections on Harvard University Restrictions and Medical Health / Patient information for guidance.  If large groups of these records are found in manuscript or archives collections, they should be evaluated for possible deaccession and transfer to the relevant institution's archives.

Government Restrictions

Government records are often found in the Center’s manuscript collections for several reasons. For example, an HMS/HSPH faculty member might have served on a government committee or perhaps served in the military at some point and held onto the records created during government-related work. However, non-governmental repositories are not allowed to hold classified government records. If the processor comes across classified government records, they are to be returned via the Information Security Oversight Office (ISOO) at the National Archives and Records Administration (NARA). In order to help determine what constitutes a classified record, NARA has created a guide, Frequently Asked Questions: How can I identify Classified National Security Information?.

According to this website, the ISOO is primarily concerned about government records classified as one of the following:

• Confidential
• Restricted Data
• Formerly Restricted Data
• Secret
• Top Secret
• Classified records from foreign countries that deal with nuclear weapons/research
• Anything to do with code names

Per 2014 conversations with an ISOO senior program analyst, the ISOO does not want records with one of following classification stamps returned to the government:

• Restricted
• For Official Use Only
• For Internal Use Only
• For Administrative Use Only
• Distribution Limited
• Unclassified
• Unclassified but with Limitations
• Photographs with the Espionage Act stamp
• For Official Use Only, NOFORN
• Confidential Data when it relates to patient/health information

It is important to keep in mind that the subject of the records and time period in which the records were created can affect whether or not NARA wants certain records returned, including those that might have a classification that does not automatically warrant return to the ISOO. Any questions or concerns should be discussed during the initial conversation with the ISOO.

In addition, processors should also refer to Executive Order 13526, Classified National Security Information Memorandum for guidance when they come across government records, in particular, section 3.3 should be consulted, which roughly opens any classified record to the public after twenty-five years from the date of creation, unless the content of the records “clearly and demonstrably:” 

1. reveal the identity of a confidential human source, a human intelligence source, a relationship with an intelligence or security service of a foreign government or international organization, or a nonhuman intelligence source; or impair the effectiveness of an intelligence method currently in use, available for use, or under development;

2. reveal information that would assist in the development, production, or use of weapons of mass destruction;

3. reveal information that would impair U.S. cryptologic systems or activities;

4. reveal information that would impair the application of state-of-the-art technology within a U.S. weapon system;

5. reveal formally named or numbered U.S. military war plans that remain in effect, or reveal operational or tactical elements of prior plans that are contained in such active plans;

6. reveal information, including foreign government information, that would cause serious harm to relations between the United States and a foreign government, or to ongoing diplomatic activities of the United States;

7. reveal information that would impair the current ability of United States Government officials to protect the President, Vice President, and other protectees for whom protection services, in the interest of the national security, are authorized;

8. reveal information that would seriously impair current national security emergency preparedness plans or reveal current vulnerabilities of systems, installations, or infrastructures relating to the national security; or

9. violate a statute, treaty, or international agreement that does not permit the automatic or unilateral declassification of information at 25 years.

The ISOO also has a broad declassification guide, which the processor should also consult—ISOO Notice 2013-02: Agencies Eligible to Receive Referrals from Automatic Declassification at 25, 50, and 75 Years. 

The following is a workflow that can be used when processing a collection that contains possible classified government records:

1. Flag the folder in the Excel folder list.

2. Enter the required data in the Center’s shared Excel spreadsheet entitled “Collections with Government Records” found atN:\Cataloging_and_Description_CHoM\Finding Aids\Collections Databases and Lists (only enter data for records that are clearly stamped with one of the government classifications, or are possibly affected by Executive Order 13526, Classified National Security Information Memorandum).

3. Consult with the Head, Collections Services to go over the compiled list to determine next steps, including when to contact the ISOO.

When in doubt, consult the Head, Collections Services or the Records Manager.

Grant Administration & Patent Records

Grant administration and patent records are often included in the Center's manuscript collections due to the fact that much of the scientific research conducted at Harvard Medical School, the Harvard T.H. Chan School of Public Health, and their affiliates is grant funded, and many of the institutions or individual scientists apply for patents relating to their research. Grant administration and patent records are restricted very similarly; both include materials that are often publicly available even if it might include personally identifying information, such as names, addresses, and social security numbers. Materials should not be restricted unless there is a critical mass of personally identifying information that could aid in identity theft, as with all personally identifying information. However, files that contain social security numbers should be flagged so that the reference staff is aware of the presence prior to researcher access.

In the case of patent records, applications and documentation of patent approvals should remain open as these are part of the public record. Files including social security numbers should be flagged. Patent materials are often accompanied by legal correspondence. This too falls under the Center’s policies regarding lawsuits and legal issues unless there is a mass of personally identifying information or documentation regarding personnel payments. Information regarding payments due to patents is on public record and is not restricted.

Guide to decoding NIH Grant Numbers - a helpful resource for understanding what information can be gleaned just from an NIH grant number (type, year, etc).

Legal Restrictions

If there are records in the collection governed by any other legal (state or federal) mandate that is known or easily identified, records should be closed in compliance with that mandate. For example, official student records should also not be accepted as part of a collection. The Family Educational Rights and Protection Act (FERPA -- 34 CFR Part 99) protects a student’s right to privacy and provides a mechanism to ensure the accuracy of these confidential materials. Close official transcripts, official recommendations, correspondence (or other form of a request) about grade changes, and any other records that document official student business should be closed for 80 years.

Access to records in Center collections is predicated on:

• Donor restrictions
• Harvard University restrictions
• Medical health/patient information
• Government or other legal restrictions
• Corporate restrictions

Donor Restrictions

Review collection control files as part of processing planning to ensure that you are aware of any group of records for which access has been restricted as a condition of the Deed of Gift. In such a case, the amount of time the donor requires the records to be closed to the public should be specified in the gift instrument so that both parties are in agreement. A donor can restrict any type of record, for whatever reason; access to said records is non-negotiable unless the donor provides an avenue of appeal.

Medical/Health/Patient Information

The Center is not a HIPAA-covered entity. Harvard counsel has interpreted HIPAA to mean that researchers can have access to collections containing patient information as long as they follow the HIPAA-described Institutional Review Board (IRB) process. All patient-related information in special collections (such as medical records, photographs of patients, medical imaging for diagnostic purposes, case files, etc.) for both identified and unidentified patients is restricted for 80 years. Researchers may request access to restricted/closed records by applying to the Harvard Medical School's Internal Review Board. Our Public Services staff provides guidance on how to put in an IRB request, as well as guidance on requesting closed University records. Records related to medical health/patient information can be found both in clearly identifiable series of records, or be scattered throughout multiple series.

If the collection contains longitudinal patient information, restriction periods should be calculated based on the most recently dated records of the longitudinal study in the collection.

Because processors cannot look at every record in a collection, Center researchers are required to sign a form that states that, if during the course of research at Countway Library, they come across the medical records of individuals or any health information in any form pertaining to identifiable individuals, that they will not record such information (by note-taking, photocopying, digital camera, or otherwise) and that they will not in any way disclose such information. (That is, not reveal, through publications or otherwise, any health-related information of individuals who from my disclosure could be identified, even indirectly by deduction or inference.)

Personally-Identifying Information

The Center does not screen for personal information about individuals that is NOT health or patient related. Do not close or otherwise flag records related to lawsuits, adoption, divorce, illegal activities (unless closed by law), job applications, statements of financial condition, etc. or content that the processor, personally, deems malicious, insensitive, or a breach of personal privacy. The Center’s research waiver also stipulates (as of June 2011) that researchers will not record or disclose any personal information encountered.

Processors should only close a file if there is a critical “mass” of personal information that might aid in identity theft: such as the combination of a checking statement for a living donor, their home address, and social security number. These situations are extremely rare, as these types of records are generally not acquired by the Center. If the processor encounters personal cancelled checks, bank statements, or other financial records, set aside to propose returning to the donor or their heirs.

The Center honors requests from the public to redact personal names on folder titles on a case by case basis. 

Harvard University Restrictions

Access to Harvard University records is governed by the University’s record schedule. Harvard University records are those records found within an institutionally generated collection, in which the body of records has been generated by a Harvard University office of origin. Restrictions are either for fifty year or eighty year periods. As a rule, redact from the folder list the names of students and the names of staff/faculty represented in evaluative personnel records (relating to promotions, hiring, disciplinary processes, firing, etc. files found on folder titles. See the below section on redaction.

Large groups of Harvard-generated records found in manuscript collections (such as the correspondence file of a Department Chair, the records of a school’s curriculum committee, etc.) should be evaluated for transfer to the institutional archives. Consult with the Collections Services Archivist and the Records Manager.

Occasional correspondence and records scattered among subject files on Harvard letterhead within the personal or professional papers of an individual or non-Harvard corporate body do not count as institutional records. These records were maintained by the individual creator, not the institution and should not be restricted as if Harvard University records.  Consult the Center’s Records Manager for clarification.

The items on the following list are not considered University records in manuscript collections. However, the Archives offers its services for the selected disposition of those items found relevant to its collection policy:

• Extra copies of documents kept only for convenience or reference;
• Extra copies of publication stocked for distribution purposes;
• Reproduction masters, unless they are the only copy of the record in existence or are the microfilm master copy;
• Material relating to individual employees' memberships;
• Faculty research notes;
• Blank forms kept for supply purposes;
• Personal or private papers neither created not received in connection with the University's business; and
• Reference materials such as library, museum, and specimen material made or acquired solely for reference, research, or exhibition purposes.

Please use the below table to assist with distinguishing university and non-university records prior to identifying restrictions:

Harvard University Affiliate Institutions Restrictions

Records of hospitals and institutions affiliated with Harvard University (such as Massachusetts General Hospital, Boston Children's Hospital, Brigham and Women's Hospital, and other HMS teaching affiliates) that are found within collections are given reciprocal institutional record restrictions, as if those records were Harvard University records. Personnel, student, and patient records should be restricted for 80 years from the date of record creation, and all other institutional administrative records should be restricted for 50 years from the date of record creation. Please refer to the above sections on Harvard University Restrictions and Medical Health / Patient information for guidance.  If large groups of these records are found in manuscript or archives collections, they should be evaluated for possible deaccession and transfer to the relevant institution's archives.

Government Restrictions

Government records are often found in the Center’s manuscript collections for several reasons. For example, an HMS/HSPH faculty member might have served on a government committee or perhaps served in the military at some point and held onto the records created during government-related work. However, non-governmental repositories are not allowed to hold classified government records. If the processor comes across classified government records, they are to be returned via the Information Security Oversight Office (ISOO) at the National Archives and Records Administration (NARA). In order to help determine what constitutes a classified record, NARA has created a guide, Frequently Asked Questions: How can I identify Classified National Security Information?.

According to this website, the ISOO is primarily concerned about government records classified as one of the following:

• Confidential
• Restricted Data
• Formerly Restricted Data
• Secret
• Top Secret
• Classified records from foreign countries that deal with nuclear weapons/research
• Anything to do with code names

Per 2014 conversations with an ISOO senior program analyst, the ISOO does not want records with one of following classification stamps returned to the government:

• Restricted
• For Official Use Only
• For Internal Use Only
• For Administrative Use Only
• Distribution Limited
• Unclassified
• Unclassified but with Limitations
• Photographs with the Espionage Act stamp
• For Official Use Only, NOFORN
• Confidential Data when it relates to patient/health information

It is important to keep in mind that the subject of the records and time period in which the records were created can affect whether or not NARA wants certain records returned, including those that might have a classification that does not automatically warrant return to the ISOO. Any questions or concerns should be discussed during the initial conversation with the ISOO.

In addition, processors should also refer to Executive Order 13526, Classified National Security Information Memorandum for guidance when they come across government records, in particular, section 3.3 should be consulted, which roughly opens any classified record to the public after twenty-five years from the date of creation, unless the content of the records “clearly and demonstrably:” 

1. reveal the identity of a confidential human source, a human intelligence source, a relationship with an intelligence or security service of a foreign government or international organization, or a nonhuman intelligence source; or impair the effectiveness of an intelligence method currently in use, available for use, or under development;

2. reveal information that would assist in the development, production, or use of weapons of mass destruction;

3. reveal information that would impair U.S. cryptologic systems or activities;

4. reveal information that would impair the application of state-of-the-art technology within a U.S. weapon system;

5. reveal formally named or numbered U.S. military war plans that remain in effect, or reveal operational or tactical elements of prior plans that are contained in such active plans;

6. reveal information, including foreign government information, that would cause serious harm to relations between the United States and a foreign government, or to ongoing diplomatic activities of the United States;

7. reveal information that would impair the current ability of United States Government officials to protect the President, Vice President, and other protectees for whom protection services, in the interest of the national security, are authorized;

8. reveal information that would seriously impair current national security emergency preparedness plans or reveal current vulnerabilities of systems, installations, or infrastructures relating to the national security; or

9. violate a statute, treaty, or international agreement that does not permit the automatic or unilateral declassification of information at 25 years.

The ISOO also has a broad declassification guide, which the processor should also consult—ISOO Notice 2013-02: Agencies Eligible to Receive Referrals from Automatic Declassification at 25, 50, and 75 Years. 

The following is a workflow that can be used when processing a collection that contains possible classified government records:

1. Flag the folder in the Excel folder list.

2. Enter the required data in the Center’s shared Excel spreadsheet entitled “Collections with Government Records” found atN:\Cataloging_and_Description_CHoM\Finding Aids\Collections Databases and Lists (only enter data for records that are clearly stamped with one of the government classifications, or are possibly affected by Executive Order 13526, Classified National Security Information Memorandum).

3. Consult with the Head, Collections Services to go over the compiled list to determine next steps, including when to contact the ISOO.

When in doubt, consult the Head, Collections Services or the Records Manager.

Grant Administration & Patent Records

Grant administration and patent records are often included in the Center's manuscript collections due to the fact that much of the scientific research conducted at Harvard Medical School, the Harvard T.H. Chan School of Public Health, and their affiliates is grant funded, and many of the institutions or individual scientists apply for patents relating to their research. Grant administration and patent records are restricted very similarly; both include materials that are often publicly available even if it might include personally identifying information, such as names, addresses, and social security numbers. Materials should not be restricted unless there is a critical mass of personally identifying information that could aid in identity theft, as with all personally identifying information. However, files that contain social security numbers should be flagged so that the reference staff is aware of the presence prior to researcher access.

In the case of patent records, applications and documentation of patent approvals should remain open as these are part of the public record. Files including social security numbers should be flagged. Patent materials are often accompanied by legal correspondence. This too falls under the Center’s policies regarding lawsuits and legal issues unless there is a mass of personally identifying information or documentation regarding personnel payments. Information regarding payments due to patents is on public record and is not restricted.

Guide to decoding NIH Grant Numbers - a helpful resource for understanding what information can be gleaned just from an NIH grant number (type, year, etc.).

Personnel Restriction

Employee personnel recordsare defined in the GRS (0675) as “Records include applications, vitae, appointment forms, job descriptions, documentation of background screening (see Notes), personnel actions, performance evaluations, professional development records, awards, commendations, recommendations, reprimands, and notices of disciplinary action as applicable to regular employees and those on independent contracts.”Faculty personnel records (GRS 0705)include “curricula vitae, letters of recommendation, offer letters, contracts and understandings, acceptance letters, appointment forms, course descriptions, performance evaluations, professional development records, faculty planning sheets, promotion and tenure review decision records, sabbatical leave requests and reports, vacation and sick leave records, awards, commendations, and letters of resignation." Personnel records should be restricted “in kind” for affiliated hospitals and other non-Harvard organizations.

When screening folders for restrictions, processors may restrict a folder on the basis of one item that contains PHI or PII. However, personnel records are defined by their function as a compilation of records that document a person’s employment, including applications, offer letters, evaluative records, firing records, salary information, etc.   

Consider the function of the file as a whole, not of an individual letter or document within that file. 

Do NOT restrict a person file on the basis of a small number of items with personnel content, such as an offer letter, a job application, a resignation letter, a paystub, etc. Consider whether the file as a whole documents an employer/employee relationship or a broader professional relationship.  

DO restrict letters of recommendation written by Harvard faculty or staff for current (to the time of the letter being written) Harvard students.  

While you should not skim over every piece of paper, DO flag pages where you see social security numbers or a credit/debit card/bank account number.  

A person’s salary or job performance should not be thought of as inherently private.  

Example: 

Mary Ellen Wohl papers, Series IIIC. Personnel.  

• “Consists of files kept by Wohl on employees of Boston Children’s Hospital or those from other institutions for whom Wohl wrote letters of recommendation. The majority of the material is correspondence.”  

• All files in this sub-subseries are restricted; names redacted.  

See also: Redacted Names

Legal Restrictions

Student Records

If there are records in the collection governed by any other legal (state or federal) mandate that is known or easily identified, records should be closed in compliance with that mandate. Official student records should not be accepted as part of a collection. The Family Educational Rights and Protection Act (FERPA -- 34 CFR Part 99) protects a student’s right to privacy and provides a mechanism to ensure the accuracy of these confidential materials. Close official transcripts, official recommendations, correspondence (or other form of a request) about grade changes, and any other records that document official student business should be closed for 80 years.

Some records are /wiki/spaces/capp/pages/55972218. (Note that the first example–"Records which are kept in the sole possession of the maker of the records, are used only as a personal memory aid, and are not accessible or revealed to any other person except a temporary substitute for the maker of the records."–does not exempt records in Center collections, because Center collections are maintained for access, not "as a personal memory aid.") In addition, FERPA acknowledges that "schools may disclose, without consent, "directory" information such as a student's name, address, telephone number, date and place of birth, honors and awards, and dates of attendance." 

Student records that may appear in manuscript collections includeacademic program admission records (GRS 3250);scholarships, fellowships, and awards application records (GRS 3800);student exams (GRS 4220); scholarships, fellowships, and awards recipients records (GRS 4280); degree recommendation records (GRS 4120); fellow records (GRS 4275);and official course and grade records (GRS 4050). 

Corporate Restrictions

Determining corporate restrictions depends on several factors. Ideally, discussions about corporate restrictions would occur with the donor during accessioning. According to the Harvard Business School (HBS) Archives, researchers predominantly want access to meeting minutes, Board of Directors records, agendas, and company correspondence; however, there are no restriction standards for these types of corporate records. HBS recommends that during donor negotiations, the donor should be encouraged to leave these records open.

...

Folder titles containing restricted information should be redacted in the box and folder list ONLY.  The most frequently redacted information types are patient identifications (always redacted), and personnel and student names, where they appear on files containing personnel- or student-related content. See the Listing section for more detailed redaction instructions.

If a large group of folders require redaction and the folders all contain similar content, consider batch-listing the folders. If you do choose to batch-list a group of folders, you should provide an explanation of the decision in the processing note for the relevant series or sub-series in the finding aid. See the Listing section for more detailed batch-listing instructions.