Procedure for the Information Categorization of Business Records
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PROCEDURE
FOR
THE
CATEGORIZATION
OF
UNIVERSITY
OFFICIAL
RECORDS
Procedure
Type:
Management
Initially
Approved:
May 28,
2026
Procedure
Sponsor:
General Counsel
and University
Secretary
Last Revised:
Primary
Contact:
Privacy, Access
and Information
Governance
Office
Review
Scheduled:
May 28,
2031
Approver:
Executive Leadership Team
A.
PROCEDURES
1.
ESTABLISHMENT OF OFFICIAL RECORD CATEGORIES
1.1
Executive Leaders are responsible for developing, establishing, and periodically
reviewing categories of Information Assets which will be designated as Official
Records as follow:
a) Divisional Official Records - Executive Leaders are responsible for establishing,
rescinding and modifying Official Record categories within their Division.
b) Cross-Divisional Official Records - Where an Official Record category would
impact Information Assets across multiple Divisions, the Executive Leaders of
the Divisions affected are responsible to collaborate in establishing, rescinding
and modifying a single institutional Official Record category.
c) Institutional Official Records - Where an Official Record category would impact
Information Assets across the entire University, the ELT is responsible for
establishing, rescinding and modifying a single cross-institutional Official Record
category.
1.2
Executive Leaders may delegate the development of Official Record categories to
Department Leaders within their Division, provided that the Executive Leader
remains responsible for the final approval of the Official Record categories.
1.3
When setting out Official Record categories, the responsible Executive Leader will
approve, at minimum:
a) a definition of Information Assets which are considered Official Records under
the category;
b) designate one or several Department Leaders responsible for the Official
Records within the category; and
c) establish retention periods for the Official Records within the category.
Procedure for the Information Categorization of Business Records
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1.4
An Information Asset which has been categorized as an Official Record of the
University will not be considered a Transitory Record, even if the record was created
for short-term operational use. Copies of Official Records can be considered a
Transitory Record provided that the original continues to be maintained as the
Official Record of the University.
2.
FACTORS IN ESTABLISHING CATEGORIES
2.1
In determining which Information Assets are the most important to the University and
therefore should be established into Official Record categories, Executive Leaders
should consider the following factors:
a) Academic Records: Do the records document the academic record of a student
or alumni of the University?
b) Accountability: Do the records document University decisions that have
significant impact on members of the University community or University
stakeholders?
c) Operations and Community Relationships: Are the records necessary for
sustained, stable continuation of the University’s core operations or continued
relationships with members of the University community?
d) Strategic Planning: Do the records relate to the University development or
operationalization of the University’s strategic plan?
e) Financial: Do the records document financial transactions or activities that have
occurred on behalf of the University?
f) Property and Assets: Are the records necessary to document or validate the
property or other assets of the University?
g) Governance Decisions: Do the records directly pertain to the Governance or
institution-
wide decision functions of the University such as, the University’s
governing bodies or its cross-institutional committees?
h) Legislative Obligations: Are the records required to be maintained by the
University by law in order to comply with mandatory retention periods under
legislative or regulatory requirements?
i)
Compliance Obligations: Are the records necessary in order to demonstrate
that the University is meeting legislative, regulatory or other compliance with its
legal obligations?
j)
Health & Safety Considerations: Do the records relate to the health and safety
of members of the University community or otherwise support the University in
ensuring it meets its obligations to maintain a safe learning and work
environment?
k) Contractual Obligations: Are the records necessary to document or support
contractual commitments made by the University and another individual or
organization?
Procedure for the Information Categorization of Business Records
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3.
ADMINISTRATION OF OFFICIAL RECORD CATEGORY LIST
3.1
The Privacy, Access and Information Governance Office will maintain a list of all
Official Record categories established by members of the ELT. Relevant portions of
this Official Record category list will be made accessible to Employees as it relates
to their role.
3.2
The Privacy, Access and Information Governance Office will perform the following
administrative functions with respect to the Official Record category list:
a) Support Executive Leaders in establishing Official Record categories that are
clear and consistent with previously established Official Records.
b) Advise Executive Leaders and Department Leaders with respect to proposed
Official Record categories, including identifying relevant legislative, regulatory,
policy or other requirements which may impact the Official Record category.
c) Maintain an ongoing record of when Official Record categories are established,
rescinded and modified, including documenting appropriate approval authorities
for each Official Record category.
d) Maintaining a mechanism for institution-wide Official Record categories to be
published to all Employees.
e) Directing Employees to the designated responsible Department Leader over an
Official Record category with respect to any inquiries regarding that Official
Record Category.
f) Making editorial revisions to established Official Record categories, such as
updating position titles, department names or other minor grammatical or
formatting errors.
B.
DEFINITIONS
(1)
Data:
means all recorded information in digital mediums, that is
collected, created or managed by the University in the course
of its operations.
(2)
Department:
means a faculty within the Academic Division or a department
outside of the Academic Division. This definition does not
include Academic Departments. For clarity, within non-
academic Divisions, several smaller Departments may form
part of a larger Department within the Division, with each of
these units e
ach being individually considered a “Department”
for the purpose of this Policy.
(3)
Department Leader:
includes the leader of a Department or any other person
designated as a Departmental Leader by ELT. As an illustration
this includes Vice-Provosts, Deans, Vice-Deans, Associate
Vice-Presidents, Directors and Managers.
(4)
Division:
means a division of the University that is led by a Vice-
President or the President.
(5)
ELT:
means Executive Leadership Team.
Procedure for the Information Categorization of Business Records
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(6)
Employee:
means individuals who are engaged to work for the University
under an employment contract, including but not limited to,
faculty, staff, exempt, casual and management employees.
(7)
Executive Leader:
means a member of the ELT who manages a University
Division.
(8)
Faculty Member:
A person responsible for an academic or scholarly activity and
can include course instructor, faculty member, practicum
coordinator, work integrated supervisor, research associate
and others.
(9)
Information Asset:
means Data or other record containing the University’s
information in any form or medium and includes, but is not
limited to, notes, emails, letters, images, audiovisual
recordings,
documents,
databases,
maps,
drawings,
photographs, invoices and any other materials that are written,
photographed, recorded, captured or stored in any manner, but
does not include the materials specifically excluded in the
Scope of this Policy. The definition includes digital data itself,
but does not include software or any mechanism that stores,
produces or reads the Data.
(10)
Official Records:
means an Information Asset that is categorized as an Official
Record in the Policy.
(11)
Policy:
means the Information Governance Policy.
(12)
Principles:
means the principles for the management of Information Assets
set out in the Procedure for the Management of Information
Assets.
(13)
Transitory Records:
means an Information Asset that meets the description
articulated in the Policy.
(14) University:
means Mount Royal University.
C.
RELATED POLICIES
● Information Governance Policy
● Access to Information Policy
● Privacy Policy
● Information Security Policy
D.
RELATED LEGISLATION
● Access to Information Act, SA, 2024, c.A-1.4
● Protection of Privacy Act, SA, 2024, c P-28.5
E.
RELATED DOCUMENTS
● Procedure for the Classification of Information Security
Procedure for the Information Categorization of Business Records
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● Procedure for the Management of Information Assets
● International Standard: ISO 24143 - Information Governance - Concepts and Principles
(2022)
F.
REVISION HISTORY
Date
(mm/dd/yyyy)
Description of
Change
Sections
Person who
Entered Revision
(Position Title)
Person who
Authorized
Revision
(Position Title)