Records Management at Queen’s University

1. Records Managementat Queen’s University By Shan Jin November 2008

2. What Are Records? Records are any recorded information that is created, received and maintained by an organization in the transaction of business, in pursuance of legal obligations, or in the conduct of day-to-day activities and kept as evidence of such. Paper, microforms, emails, instant messages, text files, voice mails, and even a website or a collaborative team space (e.g. QSpace) are potential records. All records, regardless their media, should be managed as part of the records management program.

3. Queen’s Records Management Policy Queen’s Records Management Policy was approved by the Principal/Vice-Principal's Committee on September 29, 2003. It is reviewed every five year. http://archives.queensu.ca/rm/RMPolicy.html

4. University Records Management Committee The University Records Management Committee (URMC) oversees recordsmanagement policies and program for Queen’s University. The Committee supports the development and implementation of records management policies and programs that ensure accountability to the public and university stakeholders, and that requirements for legal compliance and risk management are met in the most professional, efficient and beneficial manner. http://archives.queensu.ca/rm/URC.html

5. Records Classification & Retention Records management staff at the Archives are responsible for developing a records classification scheme (also known as Directory of Records) and records retention schedules for the University. A records retention schedule governs the life cycle of a record, or series of records, from creation or receipt to disposition or permanent preservation. Some approved (by URMC) records retention schedules can be viewed here: http://archives.queensu.ca/rm/Retention.html

6. Everything Has A Beginning Has An End

7. Life Cycle of A Record The life cycle of a record can be divided into the following three phases: • Active: Records that are required and referred to constantly for current use and need to be retained and maintained in office space and equipment close to users. • Semi-Active: Records which are referred to infrequently and not required for constant use. Semi-active records still retain primary values but should be removed from expensive officespace to a low-cost off-site storage facility because there is no immediateadministrative or operational need for them. • Inactive Records: Records which have passed through active and semi-active stages of their life cycle and are scheduled for either destruction or permanent preservation at the archives.

8. Semi-Active Storage (1) While space is available, Queen’s University Archives can provide semi-active storage for a fee for physical records which meet the following criteria: • Only records that have an approved records retention schedule will be accepted for storage. (Records management staff will work with departmental or unit staff to draft a schedule and steer the schedule through the approval process.) • Only records that are deemed semi-active according to the records retention schedule (that will be stored for a fixed period of time) will be accepted for storage. • Only records containing personal information requiring secure storage will be accepted.

9. Semi-Active Storage (2) • Unit can use its own facility as semi-active storage. • Outsourcing semi-active storage is another option. Queen’s Strategic Procurement Services are responsible for negotiating a corporate price with commercial companies for storage and destruction of university records.

10. Transfer to University Records Centre • It your unit have records which meet the three criteria listed in the Semi-Active Storage (1) page. Please contact the archives to arrange a transfer. • Records Transmittal and Shelf List (Form 2B) can be found athttp://archives.queensu.ca/rm/RMForms.html • The archives staff will contact the units when their records reach the end of their semi-active period. The inactive records will either be destroyed or transferred to the archives for permanent retention.

11. Records Check Out To retrieve semi-active records stored in the University Records Center, the unit records custodian need to • Fill the Records Check Out Form (Form 4);http://archives.queensu.ca/rm/RMForms.html • Submit the form to the Archives by email, fax or campus mail. The archives staff usually does retrieval on a Tuesday afternoon. If you need rush retrieval, there will be a 20-dollar fee.

12. Records Destruction (1) • Records with a disposition designated as “D” in the records retention schedule should be destroyed at the end of their semi-active stage. • Records destruction should be authorized by Officer of the Primary Responsibility and documented. • Authorization for Destruction of Records Form (Form 1) can be found athttp://archives.queensu.ca/rm/RMForms.html

13. Records Destruction (2) • Records should be destroyed securely in-house or by a commercial company (preferably NAID-certified). • Recycling is NOT an option. • Paper records which contain confidential personal information should be destroyed by type II shredders (cut size <= 1mm x 4.7mm).

14. Records Destruction (3) Destruction of electronic records is different from destruction of physical records.Deletion is not destruction. The most common methods of destroying electronic records are: • Overwriting: This method is not a reliable destruction method because the process can be reversed. But it is less expensive, and the media can be reused. • Degaussing. This is a process of demagnetising magnetic media to erase recorded data. Good for magnetic media, such as backup tapes and floppy disks. Not recommended for hard drives. • Cryptographic sanitization: An effective method, but is limited to encrypted hard drives. Media are reusable. • Physical destruction of the media. Best for electronic records which contain confidential information. To ensure the complete destruction of an electronic record, all copies should be found and destroyed. This includes removing and destroying copies contained in system backups and offsite storage.

15. Transfer to Archives • Records with a disposition designated as “AR” in the records retention schedule should be transferred to the archives for permanent preservation at the end of their semi-active stage. • Records Transfer to Archives Form (Form 2) and File List (Form 5) can be found athttp://archives.queensu.ca/rm/RMForms.html

16. Records Management Staff If you have any question regarding University Records, please contact: • Gillian Barlow (University Records Manager) • Shan Jin (Records Analyst) • Deirdre Bryden (Archivist - University Records)