Academic Quality & Excellence : Records Management

Records Management is the field of management responsible for the efficient and systematic control of the creation, receipt, maintenance, use, and disposition of records, including processes for capturing and maintaining evidence of and information about business activities and transactions in the form of records.

Records Management Best Practices Guide

Purpose of Records Management

Records Management ensures the efficient and systematic control of records throughout their lifecycle—from creation and receipt to use, storage, and final disposition. It safeguards evidence of business activities, supports compliance, and preserves organizational memory.

Not all information is a record. Transitory materials (e.g., lunch emails, drafts, personal notes, routine announcements, or graded student work returned to students) should be disposed of appropriately (recycling, shredding, deletion).

Common Misconceptions

1. Everything is a record – False
   Ephemeral documents (mass emails, drafts, personal communications) are not records and should not be retained.
2. Only paper documents are records – False
   Records exist in all formats: paper, email, databases, instant messages, websites, etc. Retention depends on content, not format.
3. All records should be kept forever – False
   Over-retention increases costs and legal risks. Records must be disposed of when no longer needed, except for those legally or operationally required long-term (e.g., employee files, payroll, student records).
4. Records never require long retention – False
   Certain records (tax, pension, legal, or academic) must be kept for decades or indefinitely. Retention is determined by law, operational needs, or historical value.

Guiding Standards

• ISO 15489: International standard for records management programs.
• ISO 23081-1:2017: Principles governing metadata in records management.
• ARMA International’s Generally Accepted Recordkeeping Principles (GARP):
  • Accountability
  • Transparency
  • Integrity
  • Protection
  • Compliance
  • Availability
  • Retention
  • Disposition

Benefits of Good Records Management

• Efficiency: Quick and accurate information retrieval.
• Accountability: Reliable evidence of transactions and decisions.
• Customer Service: Accurate and secure access to information.
• Cost Savings: Controlled storage and destruction practices.
• Corporate Memory: Preservation of institutional knowledge.

Vital Records

Vital records are essential to maintain operations and protect legal, financial, and employee interests during disruptions. To identify vital records, ask:

1. Are these records necessary to resume operations?
2. Do they protect assets, rights, or obligations?
3. Can they be reconstructed from another source?
4. Do they exist in multiple formats?

Core Elements of a Records Management Program

1. Facilities: Ensure secure, accessible, and environmentally controlled storage. Avoid basements and areas prone to flooding or damage.
2. Records Inventory: Survey what records exist, their format, use, and storage conditions.
3. Retention Schedules: Define how long records are kept, based on legal, fiscal, administrative, and historical needs. Must be reviewed, approved, and followed.
4. Implementation: Focus on retention timelines and proper disposition—not changing record use practices.
5. Disposition: At the end of retention periods:
   • Destroy: Shred, scrub, or otherwise irreversibly delete.
   • Archive: Transfer records with historical or long-term value.
   • Litigation Hold: Suspend destruction if litigation or audits are pending.

Disposition Best Practices

• Always document destruction (certificate of destruction).
• Ensure methods prevent reconstruction of sensitive data.
• Apply holds consistently across all departments when required.

Local Practices (UCN & Canadian Context)

• No national Canadian standard; follow ISO and ARMA guidelines.
• Benchmark against other universities (especially in Manitoba).
• Align with Manitoba government’s recordkeeping resources.

Key Takeaways

• Retention is content-driven, not format-driven.
• Over-retention poses risks—legal, financial, and reputational.
• Vital and legally mandated records must be identified and protected.
• Programs must align with ISO standards and ARMA principles.
• Regular reviews, audits, and staff training ensure compliance and efficiency.

Recommended References

• ARMA International: Generally Accepted Recordkeeping Principles
• William Saffady, Records and Information Management
• David O. Stephens, Records Management: Transition from Paper to Electronic
• Manitoba Government: Managing Records in the Manitoba Government