Records and Information Management Program

The University accumulates records, information, and data through the delivery of academic programs as well as through its daily operations. Records, information, and data, regardless of format, are broadly recognized as important strategic, organizational assets. They are critical inputs to informed analysis and decision-making, which can range from their use in the University’s annual budget analysis to appropriate evidential activities essential to transparency and compliance, and decisions that determine the University’s ongoing relevance.

The Records and Information Management Program (RIM Program) is responsible for supporting the educational, research, and decision-making processes of the University through the development and of policies, procedures and standards to the creation, preservation, and disposition of all types of recorded information at the University.

Effective records and information management ensures that vital records are reliable for decision making, trustworthy as evidence, and easily accessible to University staff. It also allows the University to fulfil its obligation to comply with Federal and Provincial legislation, to protect privacy and, and to uphold the principles of integrity, transparency and accountability as a public institution. The University’s records and information management strategy has been outlined in more detail in the RIM Framework, a foundational document to set the vision and provide a high-level contextualization of records and information management at the University. It sets the basis for the development of the RIM Policy, accompanying procedures and guidelines, and ensures a consistent approach to records and information management.

PROGRAM ELEMENTS

Policies and Procedures

The Records and Information Management Policy provides staff and stakeholders with the guiding principles for the management of their information assets. Managing records effectively is an important task for all members of the University and the use of standardized policies and procedures ensures that resources are not wasted in duplicate efforts to maintain and locate important records. The RIM Policy should be read with other internal University policies to ensure effective synthesis and consistency of information governance and management throughout the full record and information lifecycle, in particular the Information and Data Management Policy and related Procedures. These specifically address the governance and management of all information and data assets to ensure security, integrity, availability, and protection.

Functional Classification of Records

A functional classification of University records organizes records based on business functions and activities rather than on subjects or business units. The advantage of a functional classification versus a business or subject classification is that functions across the University do not change whereas business units are frequently altered and subject classifications are difficult to apply consistently because users often apply different subject terms for the same records. A functional classification is more stable and requires less revision which means that staff will not have to spend valuable time re-learning classification rules as a result of multiple changes.

Retention and Disposition Schedules

Retention and disposition schedules provide staff with the means to determine how long active records should be kept in offices, when records should be transferred to the Athabasca University Records Centre (AURC), and what the final disposition of the records will be, either destruction or transfer to the Archives. Retention and disposition is determined by legislative, fiscal, and operational regulations and through consultation with departments.

Athabasca University Classification and Retention Schedule (AUCRS)

The Functional Classification of Records and the Retention and Disposition Schedules together constitute the Athabasca University Classification and Retention Schedule (the AUCRS). The AUCRS contains information relating to records retention and disposition, personal information banks, records classification and vital records, as well as legislative and University record-keeping requirements. The AUCRS is updated continually to reflect changes in legislation and in Athabasca University policies and departmental procedures. The AUCRS is currently under review and re-development. If you need assistance identifying records for retention and/or disposition, please contact Heather McPherson, Records and Information Management Coordinator.

Records Storage

Records storage is provided in the Athabasca University Records Centre (AURC) for records that are no longer actively used by departments. The records are stored in a secure and environmentally controlled area until their final disposition, at which time departments are notified and the records are either confidentially destroyed or sent to the Archives for use by researchers. Please contact Heather McPherson if you wish you transfer records to the AURC or access records currently stored in the AURC.

Assistance to Departments

Assistance to departments is provided to develop well-ordered active filing techniques so that departments have better access to their records and spend less time organizing records for transfer to storage. Retrieval of records stored in Athabasca University Records Centre (AURC) is also provided to departments in a timely and efficient manner and all supplies and service costs are covered at this time through the Institutional Records Management Program.