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Introduction

Good record-keeping practices can help faculty members protect against grade disputes or academic complaints, track student progress and academic integrity, support tenure, promotion, and grant applications, and comply with university policy. 

The following tip sheet has been developed by the Archives and Records Management Department (ARMD) to support Faculty members follow university record-keeping guidance.

A university instructor who is also a researcher has two separate rolls at the university. One, as a university employee and university record holder (Instructor-A), and the other, as an independent researcher (Researcher-A). Instructor-A (generally subject to the Freedom of Information and Protection of Privacy Act (FIPPA) as well as university record-keeping policies and Researcher-A is (generally) not. 

For example: Instructor-A creates and received email correspondence with students attending their calsses, record decoumenting their participation in a departmental committee, and memos from the Department Chair. In addition to being subject to FIPPA, the management and retention of these records is determined by university record-keeping policy. Researcher-A creates and receives records documenting their research (notes, calculations, data sets, draft publications). The management and retention of these records is not subject to university policy, nor are they subject to FIPPA. 

For more information about the dual role of Faculty members, see: FIPPA and Research. Regardless of the hat a faculty member is wearing, following the best practices listed below will help faculty members ensure their records are organized, available, and accessible. 

Best Practices

Be Consistent

• Set a regular scheduled for filing records (e.g., at the end of a semester). 
• Use clear naming conventions for documents. 
• Consult the Standard Naming Conventions for Electronic Records for guidance. 

Ensure Security 

• Use university-approved, secure platforms (e.g., SharePoint, MS/Teams, OneDrive). Consult the list of supported applications from ITS. 
• Consider taking the Information Security Essential Course. 

Be Familiar with the Freedom of Information and Protection of Privacy Act

• Consider taking the FIPPA Training. 

Be Familiar with SFU's Information Policies, including:  

• I 10.01 Archives, Recorded Information Management, & Freedom of Information and Protection of Privacy; and 
• I 10.09 Retention and Disposal of Student Exams or Assignments.

Essential Records to Maintain

Teaching Records

• Course materials including outlines, syllabi, reading list, assignment templates, presentations, lecture notes, etc. 

Student Records, Communication & Advising

• Notes from academic advising or mentorship meetings. 
• Documentation of student accommodations or referrals (e.g., disability services). 
• Email exchanges about grade disputes, academic misconduct, or recommendation letters. 

See RRSDA 1995-018 for information about how long to retain student grades, assignments & exams. See also Faculty Records Keeping Guideline: Graduate Student Records for additional details regarding the creation and management or graduate student records. 

Reminder: Store student records in secure, FIPPA-compliant systems which have undergone a PIA. 

Research Records

While research records are not generally subject to university record-keeping policy, Faculty members should ensure their research records are properly organized and managed. 

• Research Ethics Board approvals and related consent documentation. 
• Data sets, lab notebooks, or field notes (backed up and securely stored). 
• Grant applications, funding decisions and reports. 
• Collaborator agreements and research contracts. 

Reminder: Back up research data regularly and follow SFUs Research Data Retention Guidelines (currently in draft). 

Service and Professional Contributions

• Records of committee work, department service, or administrative roles. 
• Peer reviews conducted for journals or grants. 
• Outreach or public engagement documentation. 

Promotion and Tenure Materials

• CVs, teaching evaluations, and peer reviews of teaching. 
• Documentation or research output and service contributions. 
• Annual activity reports or self evaluations. 

Common Pitfalls to Avoid

Other Resources

Additional quidance for faculty members, including information about doing archival research as part of coursework, and accessing archived departmental files can be found on the Faculty Resources webpage on the ARMD site. 

Faculty members may wish to donate their records to the Archives. Please see the following webpage for more information about donating records. 

Final Tips

• Additional questions should be directed to the Records Management Archivist, Shamin Malmas, smalmas@sfu.ca.