University Records Management and Archives Policy (draft)

1. Responsible Vice-President

Vice President Academic and Provost

2. Purpose

To enable the University Archives to serve as the University's corporate memory by:

• facilitating the efficient management of the University's corporate records by coordinating the institutional records management program;
• ensuring the preservation of records of permanent value;
• ensuring that no corporate records are destroyed or disposed-of unless authorized by an approved records retention, and that any physical destruction carried out in accordance with the schedule is appropriate for the type of record involved;
• supporting both protection of privacy and freedom of information services throughout the University;
• providing the information necessary to establish continuity for future decision-making and to permit the University to meet its institutional accountability requirements;
• augmenting the corporate memory through the acquisition of non-corporate records of the University, including the personal papers of faculty, staff and alumni, and the records of organizations associated with the University having permanent value;
• disseminating information about the development of the institution to interested parties at the University and beyond; and
• encouraging and facilitating academic research through the preparation of finding aids and specialized research tools and the provision of reference services.

3. Policy

The University Archives, operating as part of the University Library, is the official repository for the institution's corporate records of permanent value created or received by University officers or employees in the course of their duties on behalf of the institution. The University Archivist is responsible for identifying, acquiring, preserving and providing access to the University's permanently valuable corporate records (regardless of physical form or characteristics). Permanently valuable records which are no longer required in the office of origin are transferred to the custody of the Archives. The Archives is responsible for managing and preserving those records on behalf of the University.

To complement and place into context the full range of activities and functions of the institution, the University Archives also acquires the private papers of selected faculty members, administrators and former students; research collections assembled by faculty members in the course of their academic work; and the records of independent student, alumni and employee organizations.

The University Archives retains the right to charge for any reproduction or other research service. A schedule of fees is made available to the research public regularly. The Archives retains the right to reproduce materials by mechanical, electronic, or photographic means for conservation, security or research purposes.

Any restrictions placed on records held by the University Archives are applied in a uniform manner to all users. Access to corporate records of the University is provided in accordance with the provisions of the Freedom of Information and Protection of Privacy Act. Access to non-corporate records is governed by agreements negotiated between the Archives and the donors, as per Section 3 (1)(f) of the Freedom of Information and Protection of Privacy Act.

The University Archivist coordinates the institution's records management program, monitors the application of the records schedules approved by the institution, and participates in other records-related activities as appropriate. The Archivist has direct access to the entire University community and has the authority to accept and arrange for the transfer of non-current corporate records to the University Archives. S/he also has the authority to accept unofficial records and/or private papers. The University Archivist is accountable to the University Librarian, who receives advice from the University Archives and Records Management Advisory Committee on the implementation of the University Archives policy.

All records created or received by University officers or employees in the course of their duties on behalf of the University, are the property of the University and subject to its overall control. Employees leaving the University or changing positions within the University are to leave all records for their successors. Such records are retained for as long as they are required to meet the legal, administrative and operational requirements of the University, after which time they are either destroyed or transferred to the University Archives.

The final disposition of corporate records is carried out according to approved records schedules. While the records schedules prescribe the minimum period that records must be retained, offices may, at their discretion, keep records for a longer period of time if it is deemed necessary.

It is the responsibility of the individual offices to ensure that the appropriate security measures are observed for maintaining records containing personal or other confidential information. When scheduled for destruction this material must be shredded, pulped, burned or otherwise disposed of to ensure that such information is not disclosed.

While operational responsibility rests with the Vice Presidents and administrative heads of unit, the University Archives assists departments, provides advice to the University community and reports on compliance.

4. Procedures

4.1 University Archives

The University Archives serves the institution by:

• identifying permanently valuable corporate records and providing for their transfer to the Archives when they become inactive;
• identifying older University records (i.e. not scheduled) that have permanent value and ensuring that they are transferred to the Archives, and identifying those that may have been alienated from the custody of the University and negotiating for their return;
• accepting donations of inactive records of archival value of bodies affiliated with the University (i.e,. Alumni Association, Faculty Association, Alma Mater Society, Vancouver Institute) that wish to enter into a negotiated transfer arrangement;
• accepting donations of any other records of archival value that document or relate to aspects of the history of the University; accepting donations of private papers or research materials from distinguished faculty members, administrative staff or former students, taking into full consideration such factors as authority to transfer, donate or sell; financial arrangements, implications and benefits; plans for processing; copyright, and conditions of access;
• arranging and describing archival material according to archival principles and making them accessible to researchers, including university personnel, students, faculty, and the general public on a regular basis, unless access is restricted by legal requirements or written agreements with agency/person, transferring/ donating the records;
• providing adequate and appropriate conditions for the storage, protection and preservation of University's archival material;
• providing regular reference service to permit both University staff and members of the general public to conduct research using archival records;
• providing advice and assistance to those responsible for creating and maintaining the University's corporate records;
• providing educational and outreach programming whenever possible to increase public awareness and understanding of the history and development of the University of British Columbia; and
• providing advice and assistance to, and cooperating with, other archival repositories in the province individually and as part of the development of a regional archival system.

4.2 Records Management

The University Archives shall develop and maintain a records management system for the University. To be considered in the development of such a system are:

• development of a standard classification system for administrative records retained throughout the University;
• design of schedules for retention and destruction of records based on the standard classification system;
• provision of advice and assistance in the development of classification systems and accompanying schedules for operational records specific to each unit;
• training of staff in records management;
• development of standards for supplies and equipment used in maintaining records including the implementation and use of micrographics and microimaging systems;
• institution of forms design and control (to help avoid the creation of unnecessary records);
• provision of advice about storage for semi-active or inactive records;
• provision of advice concerning specific protection for vital records;
• preservation of and access to permanently valuable records;
• coordination of the destruction of records containing personal or other confidential information; and
• promotion of records management requirements in future system development.

As part of developing a University records management system, the Archives shall draft records retention schedules for corporate records, defining the length of time that specified types of records are to be retained in their active and semi-active phases, as well as their final disposition once they become inactive. The guidelines presented in these schedules are based on a determination of the following: legal retention requirements as defined in relevant federal and provincial statutes and regulations; administrative and operational requirements as defined by the creating office (in consultation with the University Archives); and the historical value of records as defined by the University Archives.

After the draft schedules have been reviewed and approved by the University Archives and Records Management Advisory Committee, they are sent to representatives of academic and administrative units across campus who are responsible for applying the schedules to their records.

After the records have been retained in the creating offices for the requisite time, they are either destroyed or sent to the University Archives for permanent retention as stipulated in the records schedules.

Offices transferring permanently valuable records shall contact the University Archives to arrange for transfer; pack records in standard cubic-foot boxes, or boxes of equivalent size; and send a file list with each box.

5. Definitions

Records created or received by University officers or employees in the course of their duties on behalf of the University can be in a variety of physical forms. In accordance with the definition of records in the British Columbia Freedom of Information and Protection of Privacy Act, records includes books, documents, maps, drawings, photographs, letters, vouchers, papers, and any other thing on which information is recorded or stored by graphic, electronic or mechanical means, but does not include an individual faculty member's research records nor does it include computer programs or other mechanisms that produce records.

Corporate records are records created, received and accumulated by University officers or employees on behalf of the University (see Records).

Non-corporate records refer to those records which, although related to the operation or history of the institution, are not created by the institution itself. Examples of such material include: private papers of selected faculty members, administrators and former students; research collections assembled by faculty members; and the records of independent student, alumni and employee organizations. Such materials collected by the Archives are exempt from the provisions of the Freedom of Information and Protection of Privacy Act.

Active records are records which are required and referred to constantly for current use, and which need to be retained and maintained in office space and equipment close to users.

Semi-active records are records which are referred to infrequently and are not required constantly for current use. Semi-active records are removed from office space to lower cost off-site storage until they are no longer needed.

Inactive records are records for which the active and semi-active retention periods have lapsed and which are no longer required to carry out the functions for which they were created.

Permanently valuable records are those records that because of their administrative, financial, legal, operational, cultural, social or scientific value should he retained permanently.

Records management is the application of systematic control to recorded information which is required in the administration and operation of University activities. The services provided through a records management program include correspondence management, manuals and directives management, forms management, files management, records retention scheduling, disaster planning, vital records programs, semi- active records storage, records conversion, and archival programming.

Records retention schedule is a control document that describes the University's corporate records at a series level and indicates the length of time each series shall be retained as active before transfer to semi-active storage; the length of time each series should be retained as semi-active prior to final disposition; and the final disposition of each series. This document serves as the legal authorization for the disposal of public documents.

Disposition is the action taken in regard to the disposal of inactive records, which can involve physical destruction by means of burning, pulping, shredding or recycling; transfer to archival storage for selective or full retention; or special disposal through sale, grant or other formal act of alienation from the custody of the University.

Finding aids are descriptive tools, published or unpublished, manual or electronic, produced by the Archives to establish physical and/or intellectual control over records and/or archival materials. Basic finding aids include descriptive databases; guides, inventories; shelf and container lists; and indices.

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