Records and Information Management Program Policy – August 17, 1999
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RECORDS AND INFORMATION
MANAGEMENT PROGRAM POLICY
Policy Type:
Management
Initially
Approved:
August 17, 1999
Policy
Sponsor:
General Counsel
and University
Secretary
Last
Revised:
August 17, 1999
Primary
Contact:
General Counsel
and University
Secretary
Review
Scheduled:
October 2025
Approver:
Board of Governors
A.
OVERVIEW
Records contain information, and information is a corporate asset that provides an organization
with a corporate memory and a competitive advantage. A Records and Information Management
Program (hereinafter referred to as the “RIM Program”) promotes efficient and cost-effective
methods of managing records during their life cycle, ensuring due diligence in the care and
protection of them, regardless of media.
B.
SCOPE
The RIM Program applies to all departments and administrative offices of Mount Royal at its main
campus in Calgary, its other locations, its educational partners provincially, nationally and
internationally who maintain records on behalf of Mount Royal, and to all Mount Royal officers,
employees, contractors and agents who create, receive and/or maintain records as part of their
duty on behalf of Mount Royal University.
As project types, business partners and country contexts vary, so will records and information
management issues and responses.
The RIM Program forms part of the usual, ordinary course of business of Mount Royal.
C.
POLICY STATEMENT
1.
GENERAL
1.1
All records created and received by Mount Royal University (hereinafter referred
to as the “University”), are the property of Mount Royal. Mount Royal will retain
records that constitute evidence of business transactions conducted in the
normal course of its business based on legal, operational, financial and
administrative requirements. The final disposition of the records will be carried
out according to the requirements of the approved Records Retention and
Disposition Schedule of Mount Royal.
1.2
The Records and Information Management Policy is an integral part of the Mount
Royal Information Management policy which serves to guide all policies and
procedures related to information management.
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2.
ELEMENTS OF THE RECORDS AND INFORMATION MANAGEMENT PROGRAM
2.1
Records inventory and approval.
2.2
Records retention and disposition schedule.
2.3
Vital records management and control.
2.4
Active files management and control.
2.5
Electronic and digital document management and control.
2.6
Micrographics document management and control
2.7
Inactive records management and control.
2.8
Archives management.
2.9
Forms management and control.
2.10
Correspondence management and control.
2.11
Reports management and control.
2.12
Directives management and control.
2.13
Records and Information Management Procedures Manual.
3.
OBJECTIVES OF A RIM PROGRAM
3.1
Manage information resources in order to meet the goals of Mount Royal.
3.2
Implement effective guidelines and tools for the creation, maintenance, storage
and disposition of records.
3.3
Establish information management strategies.
3.4
Ensure information assets are managed efficiently and cost effectively.
3.5
Facilitate the integration of the strengths and knowledge bases of all
departments.
3.6
Maintain the integrity and accessibility of information for the conducting of
business.
3.7
Ensure compliance with government regulations and Mount Royal policy
regarding access, privacy, retention and protection of records.
3.8
Ensure the protection and accessibility to information required for the operation
of critical business activities, in the event of a disaster.
4.
WHAT IS RECORDS & INFORMATION MANAGEMENT
4.1
Records Information Management is a process used to systematically control an
organization’s business records. Such control is exercised over the creation,
distribution, use, maintenance, storage, retrieval, protection, retention,
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preservation and final disposition of all information captured in reproducible form
that is required for conducting business.
4.2
The RIM Program uses a functional approach designed to achieve institution-
wide control so that an efficient flow of information is provided for the conducting
of the business of the University.
5.
LIFE CYCLE OF RECORDS
5.1
Creation
Record is created or received by Mount Royal as evidence of the institution’s
activities.
5.2
Distribution
Record created or received by Mount Royal is disseminated to internal and/or
external clients for either action or reference purposes.
5.3
Use
Record is used by the business unit for a short period of time, and action taken
on the information provided therein.
5.4
Maintenance
Record is classified for retrieval purposes, and retained in the business unit for a
specified length of time. The Document Classification System and the Retention
Schedule are the primary tools used for maintenance of records.
5.5
Storage
Record that has passed its operational value but is retained for legal and/or
financial requirements is transferred from the record maintenance area and to an
inactive records storage facility. The transfer of records to a storage facility
ensures the protection of the information and maintenance at a lower cost.
5.6
Disposition
This is the last phase in the life cycle of a record. Records are disposed of,
based on the Retention Schedule, using defined methods according to record
type and/or media, or retained for archival purposes.
6.
ACCOUNTABILITY
6.1
University Records
a.
Records and Information Management is a business function under the
President's Office.
b.
The University Secretary, has functional responsibility for the RIM
business unit, referred to as “University Records”. University Records
specializes in the management of information resources in order to meet
the goals of the University, and offers the following services:
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i.
Administration of the RIM Program.
ii.
Project management.
iii.
Consulting.
iv.
Information analysis.
v.
Training.
vi.
Auditing.
vii.
Ensuring compliance with the University Records Retention
Schedule.
viii.
Developing standards for supplies and equipment.
ix.
Managing the records of the Executive Offices.
x.
Developing records and information management procedures.
xi.
Developing tools and processes which:
•
Provide timely access to corporate intelligence.
•
Support the application of the Freedom and Protection of
Privacy Act.
•
Promote information sharing through consistency.
•
Lever value through appropriate disposition of records.
xii.
Enhancing and updating procedures, tools and processes.
6.2
Record Custodian
a.
The custodial responsibility of the records is assigned to the business
unit manager. Where appropriate, the manager may delegate authority
to execute specific responsibilities to others closer to the use and
management of the records.
b.
The record custodian’s responsibilities are to:
i.
Comply with the requirements of the Mount Royal RIM Program;
ii.
Ensure records are retained and disposed of according to the
Records Retention Schedule;
iii.
Ensure records are available during an audit or litigation;
iv.
Ensure integrity, accuracy and currency of the collection of
records;
v.
Ensure proper classification of records for ease of access by
users; and,
vi.
Provide the right information to the right user at the right time.
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D.
DEFINITIONS
(1)
Policy:
means the Records and Information Management Program Policy
(2)
University:
means Mount Royal University
E.
RELATED POLICIES
•
Information Security Policy
F.
RELATED LEGISLATION
•
Alberta Freedom of Information and Protection of Privacy Act
G.
RELATED DOCUMENTS
•
Document Classification System, Mount Royal University
•
Information Management Procedures
•
Records Retention and Disposal Schedule, Mount Royal University
H.
REVISION HISTORY
Date
(mm,dd,yyyy)
Description of
Change
Sections
Author
(Position Title)
Approver
(Position Title)
08/17/1999
NEW
01/22/2020
Editorial
Template Update,
Position Title Update
Policy Specialist
University Secretary
06/10/2021
Editorial
Title updates
University Secretary University Secretary
10/26/2022
Editorial
Policy Sponsor
Policy Advisor
General Counsel and
University Secretary