Applicability: All Employees Effective Date: December 6, 2005; revised January 27, 2009 Source(s):

Transcription

1 Title: Category: Administration Information Management Policy No.: B5010 Replaces: B5010 Applicability: All Employees Effective Date: December 6, 2005; revised January 27, 2009 Source(s): Approval: (President s signature is on the original copy of this document) 1. PURPOSE To implement a College-wide program to ensure that Langara meets its legislative, financial and legal obligations as a public body to manage its records and information in a systematic and consistent manner. To ensure that all College records are trustworthy, usable over time, retained and disposed of according to approved timetables and managed as a consistent whole, regardless of media or location, when they relate to the same subject or are part of the same business process. To ensure that any College records in paper, microfilm or electronic form scanned or imported into a records and document management system are processed and maintained according to principles and practices that enhance their admissibility as evidence in legal proceedings and reliably support business decisions. To ensure that College employees have the resources, procedures and training they require to effectively and efficiently manage their records. 2. DEFINITIONS Active records: are records in constant use that need to be retained in the office close to users. Archival records: are records used to administer, support or document the delivery of College programs, carry out operations, make decisions or account for College activities, and require indefinite preservation. Document imaging: is a technology used to capture, store, manipulate and display images of paper or microfilmed documents in digital form. Document management: is the combination of business processes and computer software used to capture, organize, store, retrieve, manipulate and control the circulation of scanned paper or microfilmed documents and born digital documents.

2 Page 2 Office of primary responsibility: is the business area that creates or receives and files original, official records relating to its particular function or activity within the College. The business area is responsible for defining and following the retention and disposal schedule established for its records. Official college records: are all records created or received by College employees in the course of their duties on behalf of the College and retained to meet business, legal, financial, legislative and other needs. For the purposes of implementing this policy, the definition of official college records excludes books and other published materials and copyrighted or copyrightable materials. Official college records may be in the form of paper, non-paper-based media such as microfilm, CD-ROM and audio or video tape and electronic media such as , word processing, spreadsheet and presentation documents, digital images of paper or microfilm stored in a records and document management system, databases and web sites. Personal information: means recorded information about an identifiable individual. Personal information includes: home address, home telephone number, race, nationality, origin, colour, political or religious beliefs, age, sex, sexual orientation, marital or family status, and any identifying number or symbol assigned to an individual. It also includes an individual s personal history regarding finances, education, health, criminal records and employment. Personal information also includes images about individuals. Personal information bank: is a collection of personal information that is organized or retrievable by the name of an individual or by an identifying number, symbol or other particular assigned to an individual. Primary record: is the official copy of the record and is generally stored in a secure place in a senior administrative office area. Records and information management: policies and procedures, technologies, and other administrative controls applied to the records and information that employees use to support their business operations and processes, and that are required to protect legal interests and fulfil legislative obligations. Records and information management functions include activities such as implementing filing systems, establishing retention and disposal schedules, protecting vital records and preserving archival records. Records and information management appraisal report: the document that the Records Manager produces in consultation with a business area to describe its records and define each record type s appropriate retention and disposal schedule. Retention and disposal schedules: define specific time periods for keeping records in the office (the active phase), for maintaining records in storage (the semi-active phase), and determining their final disposition (destruction or indefinite archival preservation). Secondary record: is a copy of the primary record and may be stored by departments for convenience for a period of time that meets their current access needs, but no longer.

3 Page 3 Semi-active records: are records no longer used constantly, but are required for reference, legal, audit or other purposes. Semi-active records are transferred to on- or off-site secured storage to free-up limited and expensive office space. Source records: are records in paper form or on microfilm that contain information or data entered into a records and document management system. Trustworthy records: are records that are reliable (they are what they claim to be), complete (created with all the content, contextual information and rules required to carry out their intended business purpose) and authentic (can be trusted as evidence of business transactions and proven not to have been altered in any way). Usable records: are records that can be retrieved, accessed, deciphered and comprehended for as long as their creators and other business areas, such as audit or legal departments, require them. Vital records: are records considered essential to the College s continuing or resuming its operations in the event of a disaster. A record is vital when it would be required to resume or continue College business, supports the College s legal or financial position or is made vital by regulation or statute. 3. AUTHORITY 3.1 Related Acts and Regulations B.C. Employment Standards Act B.C. Financial Information Act B.C. Freedom of Information and Protection of Privacy Act B.C. Limitation Act B.C. Personal Information Protection Act Canada Employment Insurance Act Canada Income Tax Act Canada Pension Plan Act Canada Personal Information Protection and Electronic Documents Act 3.2 Related Policies Access to Information Access to Student Information Computer and Computing System Use Copyright Ownership Personnel Files (in process) Privacy (in process)

4 Page 4 4. RELATIONSHIPS WITH COLLECTIVE AGREEMENTS B.C. Nurses Union Collective Agreement Canadian Union of Public Employees, Local 15, VMECW Collective Agreement Langara College Administrator s Association Terms of Employment Langara Faculty Association Collective Agreement 5. POLICY 5.1 All college records will be trustworthy, usable over time, retained and disposed of according to approved timetables, and managed as a consistent whole, regardless of media or location, when they relate to the same subject or are part of the same business process. 5.2 The College, through its records and information management program, will ensure that employees have the resources, procedures, and training they need to create and maintain records in all media that are trustworthy, usable, retained and disposed of according to approved schedules, and are managed as a consistent whole. 5.3 All retention and disposal schedules that cite provincial or federal legislation as part of their retention rationale will be submitted for external legal review to ensure that the schedules meet legislative requirements. 5.4 The College will scan or import designated paper, microfilm and electronic records into a records and document management system as part of its usual and ordinary course of business, and the records stored in the system will be considered the official, authoritative record of business transactions. 6. GUIDELINES/STANDARDS B.C. Comptroller General. Core Policy Manual, Chapter 12: Information Management and Information Technology Management. 21 November B.C. Corporate Records Management Branch. Recorded Information Management Manual. Canadian General Standards Board. Electronic Records as Documentary Evidence CAN/CGSB EXCEPTIONS This policy does not apply to published or copyrightable materials as defined in collective agreements such as the Langara Faculty Association Collective Agreement, s Copyright Ownership. Also, the policy does not apply to published or copyrightable materials produced in support of College business functions by non-teaching employees.

5 Page 5 8. PROCEDURES Employees 8.1 Employees will file or otherwise organize their college records in a manner that allows employees in the same department to access and retrieve them quickly and easily, when required. 8.2 Employees will protect the privacy of individuals by ensuring that records containing personal information are stored in a secure environment while in the office, are protected from harm if designated as vital records, and are confidentially destroyed by shredding or incineration according to approved retention and disposal schedules. 8.3 Employees will comply with the standards and disclosure requirements for personal information records designated for archival storage. 8.4 Every department head will work with the Records Manager to ensure that the department complies with privacy guidelines for storage and disposal of personal information records. 8.5 Employees will follow the approved retention and disposal schedules established for their department s original, official college records, and will notify the Records Manager of any changes to their business processes that would require updating their department s Appraisal Report. When the head of the business area approves the appraisal report, he/she agrees to manage the area s records according to the retention schedules. 8.6 Employees will retain duplicate or reference copies, i.e., secondary records, created and maintained by other departments for as long as needed for reference purposes, but no longer than the retention and disposal schedule established for the original, official record. 8.7 Employees who create and maintain vital records will establish departmental procedures to ensure that such records are protected in the event of a disaster. 8.8 Employees who leave the College or change positions will leave all their college records for their successors, other than those records that are eligible for destruction or transfer to the College Archives according to approved retention and disposal schedules. 8.9 Employees will follow procedures described in the Procedures Manual for Managing Electronic Records to manage the College s records that are scanned or imported into a records and document management system and to manage the system and its related technology infrastructure. Records Manager 8.10 The Records Manager will coordinate, develop, and implement a records and information management program that ensures that College employees have the resources, procedures and training they need to create and maintain records in all media

6 Page 6 that are trustworthy, usable over time, retained and disposed of according to approved schedules and managed as a consistent whole The Records Manager will establish, in consultation with records creators and designated College employees, retention and disposal schedules for college records that meet operational, legal, and audit requirements, comply with relevant legislation and take into account record-keeping best practices for the educational sector The Records Manager will develop and maintain a College-wide records classification system that categorizes record types and business functions into a hierarchical schema The Records Manager will develop and coordinate procedures to identify, secure, and manage the retention and disposal of personal information records in all formats including print, microform, and electronic formats The Records Manager will develop an audit process for the collection, use, storage, protection and disposal of personal information records The Records Manager will maintain an inventory of personal information banks The Records Manager will develop an archives acquisition policy and establish and maintain a College Archives in consultation with the College Executive and members of the Advisory Committee The Records Manager will develop and maintain a vital records management program in consultation with records creators and members of the Records and Information Management Advisory Committee The Records Manager will work with a Advisory Committee to develop and maintain policies and procedures for managing college records from creation or receipt to final disposition, according to its Terms of Reference The Records Manager will implement, maintain, and document the components of the electronic records management program, including creating and maintaining the procedures manual, undertaking regularly scheduled compliance audits, and overseeing the quality assurance process. 9. RESPONSIBILITY For inquiries relating to this policy, contact the Records Manager. 10. APPENDICES Appendix 1: Advisory Committee Terms of Reference.

7 Page 7 APPENDIX 1 Advisory Committee Terms of Reference The Advisory Committee provides advice and guidance to the Records Manager on the development and implementation of a College-wide records and information management program and/or makes recommendations to the President on the development of policies and procedures related to: vital records management archives management electronic records management, including , office productivity documents, digital assets, web content, and database data establishing departmental contacts to liaise with the Records Manager on matters related to records and information management secure on-site or off-site records storage confidential records destruction document imaging / microfilming initiatives training employees in records and information management procedures budget planning for the Program other related information management areas such as document management, workflow, content management, and forms management Membership The Advisory Committee has the following members, at a minimum: Director, Contract Administration-Library Services (responsible for FOIPOP) Director, Financial Services Director, Human Resources Director, Information and Educational Technology Services Director, Library and Bookstore Librarian Registrar Records Manager, Chair The Committee will include ad hoc members to provide advice and expertise as required. Meetings Meetings will be held quarterly, or at the call of the Chair.

8 Page 8 Agenda and Minutes The Chair will prepare agendas and minutes. Any member of the Committee, or any member of the College community (through the Committee s Chair), may identify agenda items. The Chair will distribute agendas and minutes to Committee members and to the President. Operating Procedure The Committee will carry out its functions either through direct Committee business, or through delegation to the Records Manager. The Committee will make decisions either by consensus or by formal motion. The Committee may make formal recommendations on any matter related to records and information management to the President. The Committee will review its Terms of Reference annually and update them as required.