Records Classification and Management Policy

RECORDS CLASSIFICATION AND MANAGEMENT 

1. PURPOSE

The purpose of this policy is to assist the College in meeting the following strategic  objectives:

1.1 Fulfill the College’s legal obligations pertaining to document classification and  management.

1.2 Identify and protect the College’s essential and historical records.

1.3 Reduce costs and improve document retrieval through a systematic application of the College’s retention schedule and classification plan.

2. DEFINITIONS

For the purpose of this policy, the following definitions apply:

• Active Record. A record in frequent use for administrative, legal, or financial purposes  (primary values) and kept on hand regardless of its date of creation. May also be referred to as a current record.
• Archival Value. The evidential, administrative, legal, financial, and historical values that  justify the continuing retention of records as archives.
• Archives. Archives refers to both the body of records created and received by College personnel in pursuit of their duties and preserved for their primary or secondary values  in addition to the physical place where archival records are stored.
• Classification Plan. A representation of the hierarchical organization of the College's  records.
• Document. Any recorded information or object which can be treated as a unit.
• Essential Record. A record that is critical to returning the College to its core functionality, is irreplaceable or would require significant resources to recreate.
• Inactive Record. A record that no longer has primary value and can be destroyed or  preserved permanently for research and historical purposes (secondary value).
• Record. Any information created or received in the performance of College functions and activities, which provides evidence of its completion and thus should be preserved for administrative, legal, informative, or historical value.
• Retention Schedule. A comprehensive tool approved by the Bibliothèque et Archives nationales du Québec (BAnQ), that lists how long each record is kept and what the final  disposition of the record will be. 
• Semi Active Record. A record that is in occasional use but still retains primary value  such as for administrative, legal, or financial purposes. 

3. SCOPE OF APPLICATION

3.1 This policy applies to all administrative units of the college and to all active, semi- active and inactive documents created or received by the College personnel in pursuit of their duties regardless of their nature (administrative, financial, legal, historical) or format (hard copy, digital, audio-visual, web or otherwise).

4. POLICY STATEMENTS

4.1 Vanier College (“the College”) is committed to sound document classification and  management practices in compliance with legislative requirements.

4.2  The College will implement a BAnQ-approved document retention schedule governing “ the periods of use and medium of retention of its active and semi active  documents, and indicating which inactive documents are to be preserved permanently and which are to be disposed of”1 consistent with the Archives Act.

5. LEGISLATIVE CONTEXT

5.1 Vanier College is legally obliged to implement a document retention schedule and its associated classification plan in conformity with the following:

• Archives Act, CQLR c A-21.1 
• Regulation Respecting Retention Schedules, Transfer, Deposit, and Disposal of Public Archives, CQLR c A-21, r 2 
• Act to Establish a Legal Framework for Information Technology, CLRQ c 1-1 
• Act Respecting the Governance and Management of The Information Resources of Public Bodies, CQLR c G-1.03

6. ROLES AND RESPONSIBILITIES 

6.1 The Vanier College Board of Directors: The Vanier College Board of Directors is responsible for approving resolutions authorizing the Director of Communications and Corporate Affairs to sign and  submit the retention schedule and any subsequent revisions to the BAnQ.

6.2 The Director of Communications and Corporate Affairs: The Director of Communications and Corporate Affairs is responsible for: 

• (1) arranging the Board’s approval of the policy and any subsequent revisions to it,
• (2) signing and  submitting the Retention Schedule along with any subsequent revisions to the BAnQ, and
• (3) the overall  application of the policy, including:
  • (i) ensuring that each series of the approved classification plan and retention  schedule is the responsibility of a designated administrative unit;
  • (ii) supplying departmental and administrative heads with a copy of the  classification plan and retention schedule;
  • (iii) collaborating with departmental and administrative heads to ensure that  the classification plan and retention schedule are understood, implemented, and kept up to date; and 
  • (iv) managing requests for access to public College documents in conformity with the Act respecting Access to Documents Held by Public Bodies and  the Protection of Personal Information. 

6.3 I.T Services 

The Director of Communications and Corporate Affairs is responsible for:

• (1) ensuring that records stored on the College network are integral and secure;
• (2) providing digital document storage on the College network for essential records identified in the retention schedule; and
• (3) providing digital document storage space on the College network for each administrative unit in accordance with retention schedule requirements. 

6.4 Heads of Administrative Units

Heads of Administrative Units shall be responsible for:

• (1) ensuring that their unit's documents, particularly essential and confidential documents, are identified, classified properly and retained securely throughout their life cycle in accordance with the classification plan and BAnQ-approved retention schedule;
• (2) ensuring that documents which have reached the end of their life cycle are destroyed in accordance with the BAnQ-approved retention schedule;
• (3) informing the Director of Communications and Corporate Affairs if any modification or change is needed to the classification plan or retention schedule;
• (4) ensuring that employees under the Head’s supervision are aware of their record-keeping responsibilities; and
• (5) providing employees under their supervision with the necessary tools and training to understand and implement the College's classification plan and retention schedule. 

6.5 Personnel

Personnel of all employment categories shall be responsible for: 

• (1) storing digital documents in the designated areas of the College's network;  
• (2) ensuring that essential documents are properly identified and secured in the designated areas of the College’s network;
• (3) storing non-digital documents in designated locations;
• (4) complying with the College's classification plan, retention schedule, and records management policies and procedures;
• (5) complying with the provisions of Article 12 of Archives Act, which requires that persons who cease to hold office must transfer custody of all documents created or received in the capacity of their duties to the departmental supervisor. 

7. AUTHORITY

7.1 This policy is under the authority of the Director of Communications and Corporate Affairs.

8. EFFECTIVE DATE

8.1 This policy becomes effective upon adoption by the Vanier College Board of Directors. 

8.2 This policy version becomes effective upon approval by the Vanier College Board of Directors and supersedes all prior versions.

9. RESOURCES

Vanier College Retention Schedule and Classification Plan.