Records and Information Management

Category: Governance
Number: GOV-070-005
Audience: All University employees and Members of the Board of Governors
Revised: March 08, 2016
Owner(s): Executive Director (University Governance), University Librarian
Approved by: Board of Governors
Contact: University Records & Information Management Archivist - 306-337-2249

Introduction

The purpose of this policy is to establish a University-wide records and information management program that governs the classification, retention, maintenance and disposal of all media of University records to:

  • meet legislative requirements
  • support accountability, efficiency and economy
  • inform and document University decisions
  • support program and service delivery
  • preserve evidence of the University’s activities in all formats (including ensuring preservation of records of permanent value)
  • support both protection of privacy and freedom of information services throughout the University

This policy applies to University Records in all media and formats created or received by members of the Board of Governors, faculty and staff in the course of carrying out all the administrative and academic work of the University and all its transactions and activities.  This policy applies to the creation, receipt, use, handling, maintenance, storage and disposition of all University Records.

The related procedures and guidelines, developed by the Archives & Special Collections department of the University Library in consultation with University administrative and academic units, can be found at http://www.uregina.ca/library/rim/.  They provide for the management of records based on legal, operational, financial, administrative and other considerations through the development of classification and retention schedules, including the destruction or archival retention after the retention periods have expired, so as to ensure compliance with all legal, regulatory and operational requirements.

Definitions

Policy

The University of Regina (the “University”) affirms the importance of good records and information management practices for all records and information required for the organization to fulfill its obligations and meet the expectations of its stakeholders.  The University’s records will be classified, retained, archived or destroyed in accordance with this policy and related procedures and guidelines. 

University Board members, faculty and staff, in conjunction with their units, Archives & Special Collections, the University Secretariat and Information Services, shall manage University records in their possession and control, and retain them in such a way that they can be readily accessed and retrieved.

All University units shall prepare and implement records classification and retention schedules that apply to the records in their possession or under their control.  The schedules will be developed and used in cooperation with Archives & Special Collections, seeking advice from legal counsel, as appropriate, and approved by the University Records and Information Management Committee. 

Records in all formats are to be managed according to processes that ensure compliance with the Policy. Certain electronic systems currently in use by the University present challenges to RIM compliance that extend beyond current technological capabilities. These systems are identified on a list approved by the University Records and Information Management Committee.

A small percentage of University Records will be selected by Archives & Special Collections for permanent preservation, for historical research and as enduring records of the conduct of the University’s functions and business.

Roles and Responsibilities

Head of Freedom of Information and Protection of Privacy

  • oversee the adoption of record-keeping and disclosure practices consistent with the University’s Freedom of Information and Protection of Privacy policy and The Local Authority Freedom of Information and Protection of Privacy Act.

University Leadership Team

  • ensure compliance with this policy and associated procedures.
  • designate an individual in his/her faculty or office to serve as a Designated Records Officer. 

Designated Records Officers

  • provide leadership and support to record creators and keepers in their faculty/office in the area of records and information management.
  • liaise with Archives & Special Collections faculty and staff on the development, implementation and enforcement of approved procedures and guidelines.

Members of the Board of Governors, Faculty and Staff

  • create and maintain University records with consideration to legislative, business and
    accountability requirements and in accordance with an approved records schedule.  
  • dispose of inactive University records as prescribed by an approved records schedule.
  • transfer University records to their successors and/or Archives & Special Collections when they leave or cease to be in their positions.

Archives & Special Collections Faculty and Staff

  • provide direction to all areas and levels of the University concerning records and information management standards. This includes policy and procedure development and review, training, and cooperative design of records schedules and best practices. 
  • maintain and preserve University records of archival value that have been transferred to its care in accordance with approved records schedules and associated procedures.  Access to these records is governed by The Local Authority Freedom of Information and Protection of Privacy Act.

University Records and Information Management Committee (URIMC)

  • review and approve all records schedules.
  • advocate and advise on RIM issues.
  • approve list of electronic systems currently in use by University which present challenges to RIM compliance that extend beyond current technological capabilities.

Consequences for Noncompliance

Any University employee who does not manage records and information in accordance with this policy may be subject to disciplinary action.

Related Information