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Purpose

The purpose of the Student Records Policy is to prescribe college-level requirements for the creation, management, storage, and archiving of all records for students who apply and/or are admitted to the Undergraduate Medical Education program at the University of Saskatchewan.

This policy does not govern information stored by offices such as the Office of Student Affairs (College of Medicine), the Office of Disability Services for Students (University of Saskatchewan) or other central offices at the University of Saskatchewan.

This policy ensures that the Undergraduate Medical Education program meets or exceeds the following Committee on Accreditation of Canadian Medical Schools (CACMS) and Liaison Committee on Medical Education (LCME) accreditation standards:

11.5 Confidentiality of Student Records: At a medical school, student educational records are confidential and available only to those members of the faculty and administration with a need to know, unless released by the student or as otherwise governed by relevant legislation. A medical school follows policy for the collection, storage, disclosure and retrieval of student records that is in compliance with relevant privacy legislation.

11.6 Student Access to Educational Records: A medical school has policies and procedures in place that permit a medical student to review and to challenge his or her educational records, including the Medical Student Performance Record, if he or she considers the information contained therein to be inaccurate, misleading, or inappropriate.

Principles

Confidentiality: The College of Medicine is committed to maintaining the confidentiality and security of all undergraduate medical education student records.

Responsibility: The Student Records Policy establishes clear responsibilities for administrative officers involved with the handling of undergraduate medical education student records.

Transparency: The College of Medicine is committed to ensuring a transparent approach to the overall stewardship of undergraduate medical education student records.

Definitions

Applicant File: Any documentation collected or compiled for a person currently applying or admitted to the Undergraduate Medical Education program at the University of Saskatchewan. Appendix 1 contains information on the types of documents included in such a record.

Active File: Any documentation collected or compiled for a student currently enrolled in the Undergraduate Medical Education program or who are on an approved leave of absence from the program, with the exception of documentation in the Professionalism File. The Active File is subcategorized into an academic file and a non-academic file. Appendix 1 contains information on the types of documents included in such a record.

Professionalism File: Any documentation collected or compiled for a student in response to a breach of professionalism or the university-level student code of conduct.

Permanent File: Any documentation collected or compiled for a student who is no longer enrolled in the Undergraduate Medical Education program due to graduation, dismissal, withdrawal, or death. Appendix 1 contains information on the types of documents included in such a record.

Scope of this Policy

This policy applies to all undergraduate students registered in the Doctor of Medicine (MD) program at the University of Saskatchewan irrespective of the geographically distributed site to which they are currently assigned.

Related policies include: Management of University Records Policy, Medical Student Performance Record Policy.

Policy

1.0  Applicant File
The Office of Admissions within the College of Medicine is the custodian of all documentation contained within the Applicant File. This office provides oversight to the creation, storage, transfer, archiving, destruction, and release of information contained in each Applicant File.

1.1  Applicant Files are created when an applicant submits the first of all required application documents to the College of Medicine.

1.2  Applicant Files are securely stored in physical or electronic format within the Office of Admissions.  In-province applicant files will be retained for a minimum of 3 years whereas out-of-province applicant files will be retained for a minimum of 2 years.  Applicant Files that remain inactive after this point will be destroyed.

1.3  Applicant Files can only be accessed by college personnel on a need to know basis.  Requests to view Applicant

2.0  Active File
The Undergraduate Medical Education Office within the College of Medicine is the custodian of all documentation contained within the Active File. This office provides oversight to the creation, access, storage, transfer, archiving, destruction, and release of information contained in each Active File.

2.1  Active Files are created when an applicant is first admitted to the Undergraduate Medical Education program. There are two categories of Active Files: academic files and non-academic files. The Undergraduate Medical Education Office will house two separate files: an academic file and a non-academic file.

2.2  Active Files, both academic and non-academic, are securely stored in physical format within the Undergraduate Medical Education Offices in Saskatoon, Regina, and Prince Albert. Active Files are retained for the entire duration of a medical student’s academic program and are converted to a Permanent File two years’ after the point of graduation, dismissal, withdrawal, or death. Active Files are not to be removed from the Undergraduate Medical Education Offices.

2.3  Accessing Active Files, both academic and non-academic, require documentation on a written log; Record for Accessing Student Files. The date, name of staff or faculty accessing the record, student name and purpose of activity will be noted.

2.4  The academic component of Active Files can only be accessed by college personnel on a need to know basis. The Associate Dean, Undergraduate Medical Education; Associate Dean, Regina; Associate Dean, Rural and Remote Education; Assistant Dean Academic; Manager, Undergraduate Medical Education; Manager, Finance and Administration (Regina); Year Chairs; Year Coordinators, and administrative support staff in these offices are authorized to confidentially access these files for the purpose of administering the undergraduate medical education program.

2.5  The non-academic component of Active Files can only be accessed by college personnel on a need to know basis. The Associate Dean, Undergraduate Medical Education; Associate Dean, Regina; Associate Dean, Rural and Remote Education; Assistant Dean Academic; Manager, Undergraduate Medical Education; Manager, Finance and Administration (Regina); Director of Admissions, Year Chairs; and administrative support staff in these offices are authorized to confidentially access these files for the purpose of administering the College admissions processes and the undergraduate medical education program.

2.6  Requests to view Active Files by personnel other than those listed above (2.3, 2.4) must be made in writing and be approved by the Associate Dean, Undergraduate Medical Education (in Saskatoon), or Associate Dean Regina (in Regina) or Associate Dean, Rural and Remote Education (in Prince Albert) before being released.

2.7  Medical students can request in writing that the Undergraduate Medical Education Office allow them to view the academic component of their Active File. Medical students are not permitted to view the non-academic component of their Active File. Student requests to view Active Files will be responded to by the Undergraduate Medical Education Office within five (5) business days.

2.8  Medical students can request in writing that the Undergraduate Medical Education Office provide them with copies of documents contained in the academic component of their Active File. Student requests for copies of documents in the Active Files will be responded to by the Undergraduate Medical Education Office within five (5) business days.

3.0  Permanent File
The Undergraduate Medical Education Office within the College of Medicine is the custodian of all documentation contained within the Permanent File. This office provides oversight to the creation, storage, transfer, archiving, destruction, and release of information contained in each Permanent File.

3.1  The Undergraduate Medical Education Office (Saskatoon) will facilitate the transfer of Active Files into Permanent Files two years’ after the graduation, dismissal, withdrawal, or death of a medical student. At this point, the Undergraduate Medical Education Office (Regina) will transfer any Active Files to the Undergraduate Medical Education Office (Saskatoon). Administrative staff will be responsible for reviewing the Active Files, transferring relevant academic documentation to a Permanent File, and destroying any non-academic or professionalism documentation.

3.2  The Undergraduate Medical Education Office (Saskatoon) will arrange for Permanent Files to be transferred to a third-party records management company, pursuant to a contract with appropriate provisions regarding the protection of personal information, for archiving for a period of 40 years.

3.3  Previous medical students can request that the Undergraduate Medical Education Office allow them to view their Permanent Record. Such requests will be responded to by the Undergraduate Medical Education Office within five (5) business days.

4.0  Professionalism Files
The Associate Dean, Undergraduate Medical Education, is the custodian of all documentation contained within the Professionalism File. This office provides oversight to the creation, storage, transfer, archiving, destruction, and release of information contained in each Professionalism File.

4.1  Professionalism Files are created in response to breaches of professionalism standards or the student code of conduct by medical students. The Associate Dean, Undergraduate Medical Education (or designate) will create each file.

4.2  Professionalism Files are securely stored, in physical or electronic format, in the Office of the Associate Dean, Undergraduate Medical Education. Professionalism Files are retained for the entire duration of a medical student’s academic program and are destroyed two years’ after the point of graduation, dismissal, withdrawal, or death of a medical student.

4.3  Professionalism Files can only be accessed by the Dean, Vice-Dean Education, Associate Dean Undergraduate Medical Education, Associate Dean Regina, or Associate Dean, Rural and Remote Programs, medical students, and UGME Administrative Staff on a need-to-know basis. Professionalism Files are not to be removed from the Office of the Associate Dean, Undergraduate Medical Education unless authorized by the Dean, Vice-Dean Education, or Associate Dean, Undergraduate Medical Education.

4.4  Medical students can request that the Associate Dean, Undergraduate Medical Education, allow them to view their Professionalism File. Student requests to view Active Files will be responded to by the Associate Dean, Undergraduate Medical Education in a timely manner.

5.0 Student Affairs Files:
The Office of Student Affairs (OSA) offers confidential support and advocacy at “arm’s length” from the academic/other offices of the UGME.  The Student Affairs Officer is the custodian of all documentation contained within a student’s case file and has oversight on the creation, storage, transfer, archiving, destruction, and release of information of said files.

5.1       The OSA records all applicant/student visits/encounters but only creates case files for students whose require ongoing support.  There are two categories of files: active (currently registered) student case files and in-active (on leave of absences or graduated) student case files. The OSA houses both files.

5.2       Both active and inactive case files are securely stored in physical format within OSA offices in Saskatoon, Regina, and Prince Albert. Case files and other records are held for seven (7) years. This practice is informed by the recommended standard of the AFMC Student Affairs Group. Case files are not to be removed from the OSA office.

5.3       The OSA on occasion will share information contained in a student file with collaborators/partners such as the SMA-PHP, DSS, Student Health Services, Student Counselling Services, OSA team members and others involved in the care of the student. Information is shared on need to know basis and with the informed consent of the student.

Responsibilities

The Associate Dean, Undergraduate Medical Education, is responsible for providing oversight to the overall administration of the Student Record Policy at the College of Medicine campus in Saskatoon, Saskatchewan.

The Manager, Undergraduate Medical Education, with the assistance of the Undergraduate Medical Education Office and Office of Admissions, is responsible for the implementation, monitoring, maintenance, and evaluation of the Student Record Policy at the College of Medicine campus in Saskatoon, Saskatchewan. This includes the development and stewardship of the standard operating procedures associated with this policy.

The Manager, Finance and Administration, with the assistance of the Undergraduate Medical Education Office, is responsible for the implementation, monitoring, maintenance, and evaluation of the Student Record Policy at the College of Medicine campus in Regina, Saskatchewan. This includes the development and stewardship of the standard operating procedures associated with this policy.

The Student Academic Management Committee is responsible for evaluating, reviewing, and updating this policy every three years.

Non-compliance

Instances or concerns of non-compliance with the Student Record Policy should be brought to the attention of the Vice-Dean, Education or the Associate Dean, Undergraduate Medical Education, within the College of Medicine.

Procedures

The Manager, Undergraduate Medical Education, provides overall stewardship to the standard operating procedures associated with the Student Record Policy at the College of Medicine campus in Saskatoon, Saskatchewan.

The Manager, Finance and Administration, provides overall stewardship to the standard operating procedures associated with the Student Record Policy at the College of Medicine campus in Regina, Saskatchewan.

The Associate Dean, Rural and Remote Programs, provides overall stewardship to the standard operating procedures associated with the Student Record Policy at the College of Medicine site in Prince Albert, Saskatchewan.

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