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Records and Information Management

Category: Governance
Number: GOV-070-005
Audience: All Board Members, Employees, Volunteers, Information Management Service Providers, Independent Contractors and Agents of the University
Issued: October 05, 2009
Revised: December 14, 2018
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 enable and guide the continuing development of the University of Regina's institution-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
  • maintain evidence of the University’s activities in all formats (including ensuring preservation of records of permanent value)
  • strengthen the capacity of individuals working in or engaged by University Units to execute their roles and responsibilities vis a vis information (including with respect to access/privacy, internal audit, information technology and security, data governance, etc.)

This policy applies to University Records in all media and formats created, received, used, handled, maintained, stored and/or disposed of in the course of all administrative and academic operations work of the University.  It applies to this management of University records by:

  • all university employees
  • all members of the Board of Governors
  • volunteers, information management service providers, independent contractors and agents engaged by a department or employee of the University

Definitions

Policy

The University of Regina 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. 

Individuals covered by this policy, in conjunction with their units, Archives & Special Collections, the University Secretariat and Information Services, shall manage University records in their possession and control in accordance with approved processes.  This includes facilitating appropriate access throughout the record’s active and semi-active life and participation in its approved disposition (via transfer to Archives or destruction) in accordance with approved processes. The records schedules, procedures and guidelines developed by University Archives & Special Collections and their partners to support this work is available at http://www.uregina.ca/library/rim/.

All University Units shall prepare and implement records classification and retention schedules that apply to the records in their possession or under their control (or under the possession or control of an information management service provider, independent contractor or agent engaged by the University Unit).  The schedules will be developed and used in cooperation with Archives & Special Collections, seeking advice from legal counsel, as appropriate, and approved by the URIMC

Records in all formats are to be managed according to processes that ensure compliance with this 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 URIMC.

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 Administration

  • provide the resources to implement this policy.

University Leadership Team Members

  • ensure compliance with this policy and approved procedures and guidelines.
  • designate an appropriate number of individuals in their University Unit to serve as Designated Records Officer(s).

Designated Records Officers

  • provide leadership and support to record creators and keepers in their University Unit to ensure that their Unit’s records are managed in accordance with this Policy.
  • ensure that authorized destruction of records is done in a way that confidential or personal information is not retrievable.
  • 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, Employees, Volunteers, Information Management Service Providers, Independent Contractors and Agents

  • create and maintain University records in accordance with this Policy.  
  • 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 the institution or cease to be in their positions.
  • transfer University records to the applicable University Unit at the termination of their engagement.

Archives & Special Collections Faculty and Staff

  • provide leadership and direction to all areas and levels of the University concerning records and information management standards. This includes policy, procedure and guideline development and review, training, and cooperative design of records schedules and best practices.
  • coordinate the work of the URIMC. 
  • facilitate communications with and between Designated Records Officers to support information exchange and program growth.
  • 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

Mismanagement of University records has financial, legal and/or reputational consequences for the institution.

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

Related Information