RECORDS MANAGEMENT POLICY

Category: Administration and Operations

Approval:
Vice-Principals' Operations Committee (VPOC)

Responsibility: Office of the University Secretary and Legal Counsel

Date initially approved: September 29, 2003
Date:
Date of last revision: May 2, 2016

Definitions:
Information Steward: the University officer or employee (faculty or staff) having primary
responsibility for a record or group of records.

Non-University Records: records created or received as a result of personal activities and usually
including such items as research and study notes, teaching materials, publications and personal
communications of individual faculty, staff and students.

Personal Information: recorded information about an identifiable individual. Personal

Information is a sub-set of Sensitive Information.

Records Management System: an information system that captures, manages and provides
access to records through time.

Records Retention Schedule: a document governing the life cycle of a record, or series of
records, providing the length of time the record is to be retained and its final disposition—
whether destruction or transfer to the University Archives.

Sensitive Information: a set of information or data that is classified as personal, confidential, or

operationally-sensitive as defined under the Queen's University Data Classification Standard,
whether stored on campus or off. [Note: Sensitive Information in electronic format is defined
under the Electronic Information Security Policy.]

University Records: records, in any media or format, within the University’s custody or under its
control that are created or received, and maintained as evidence or information in the
administration and operation of the activities of the University.
Purpose/Reason for Policy:
The purpose of this policy is to:

 ensure responsible management of University Records as valuable resources and assets in

support of effective decision-making, protection of rights and entitlements, and
preservation of corporate memory

 support the protection of Personal Information by ensuring records are managed and
disposed of in an appropriate fashion

 protect the University from the risks associated with inadvertent or inappropriate
destruction of information

 support accountability, and promote operational efficiency and economy

 ensure compliance with relevant legislation

Scope of this Policy:

This policy applies to all University Records in all media and formats, including but not limited to
paper, electronic documents and files, email, photographs, film, audio and video, and drawings.

This policy applies to all University employees (including faculty, staff, and students employed by
Queen’s), as well as members of the Board of Trustees, volunteers, contractors and agents
engaged by a department or employee, with respect to the University Records they create
and/or receive, use, handle, maintain, store, and dispose of, whether on campus or remotely.

Policy Statement:
Queen’s University will provide for the efficient and effective management of the University’s
records.

1. Basic Principles

1.1 All University Records, regardless of their format or location, are the property of the
University.

1.2 Good records management practice is essential in creating, capturing, using and disposing
of the information required for an organization to fulfill its obligations and meet the
expectations of its stakeholders.

1.3 Queen’s University’s records management policy, program and practice will be based on
current professional standards and best practices.
2. Records Creation and Maintenance

2.1 Records in all formats created and received as evidence of University activities will be
captured as records and maintained in a Records Management System.

2.2 Responsibility for capturing and maintaining records rests with the organization as a whole
and with individuals within the organization.

2.3 The context and structure of records will be managed in any University Records
Management System, in order to maintain record security, reliability and authenticity.

2.4 Retention of records will be scheduled and authorized so that they are retained only for as
long as they are needed.

3. Records Preservation and Security

3.1 Records will be protected from inappropriate access, use, disclosure, alteration and
disposal.

3.2 University Records of archival value will be preserved and access provided where
restrictions do not apply.

3.3 Sensitive Information (including Personal Information) contained in University Records will
be created, used, maintained and disposed of in an appropriate and lawful manner.

3.4 University Records, being the property of the University, may not be removed from its
control or destroyed except under the authority of this policy.

4. Strategic Governance

4.1 The Principal shall appoint a senior leadership committee (the Committee) to provide
institutional strategic direction and governance on records management policy and
strategy. The Committee will be responsible for the evaluation and review of records
management policies and procedures, including the approval of all University Records
Retention Schedules before application/implementation.

4.2 The Committee will consist of senior level employees (or their delegates) with appropriate
subject-matter expertise, as well as key Information Stewards both in administrative units
and Faculties.

Responsibilities:
The Office of the University Secretary and Legal Counsel will:

 provide leadership and strategic management of University Records as valuable

information assets

 appoint appropriate staff and collaborate with the University Archives to design,
 create, implement and maintain a University-wide records management program

 develop procedures and guidelines and other user-friendly tools to support

implementation by University departments and units

 provide training and advisory services to employees of University departments and

units so that the policy and procedures are understood and applied

 maintain a network of records management contacts across University departments

and units for the purpose of information-sharing, feedback, and continuous program
improvement

The University Archives will:

 preserve University Records that are designated as being of archival value under an
authorized Records Retention Schedule

All Information Stewards will:

 ensure that all records under their responsibility are captured in a Records
Management System

 ensure that Records Retention Schedules are prepared and followed for the records
under their responsibility, and that the disposal (either destruction or transfer to the
University Archives) of records is authorized and documented

 ensure that records containing Sensitive Information (including Personal

Information) are protected from unauthorized access or modification, and
inappropriate use or disclosure, whether intentional or unintentional

All Department and Unit Heads will:

 appoint a suitable staff member to serve as the point of contact for records
management activities within the department or unit

 ensure employees in their department or unit are aware of this policy and
appropriately trained

 ensure all other individuals to whom the policy applies who are engaged by, or work
with, their department or unit are aware of this policy and appropriately trained

All University employees, members of the Board of Trustees, volunteers, contractors and agents
will:

 ensure the effective management of University Records in accordance with this policy
and any procedures made hereunder
Contact Officer Carolyn Heald, Director, University Records Management and
Chief Privacy Officer
Date for Next Review 2021/03/31
Related Policies, Electronic Information Security Policy
Procedures and (http://www.queensu.ca/secretariat/policies/senate/electronic-
Guidelines information-security-policy-framework/electronic-information-
security)

Records Retention Schedules

(http://archives.queensu.ca/records-retention-schedules)

Managing University Records

(http://www.queensu.ca/accessandprivacy/records-
management/managing-university-records)

Policies Superseded by
This Policy