Developing Records Retention and Disposition Schedules

1 Information i Management Developing Records Retention and Disposition Schedules July 2004. Produced by Records and Information Management Branch Open Government Service Alberta 3rd Floor, Commerce Place 10155 102 Street Edmonton, Alberta, Canada T5J 4L4. Phone: (780) 427-3884. Fax: (780) 422-0818. Email: Website: Government of Alberta ISBN 0-7785-3113-9. Developing Records Retention and Disposition Schedules Contents 1. Introduction .. 1. Overview .. 1. Objectives .. 1. What is a Records Retention and Disposition schedule .. 2. Types of Schedules .. 3. Benefits of Records Scheduling .. 4. Protection of Organizational Needs .. 5. Information Risk Management .. 5. Records Cost Management .. 6. Protection of Records of Enduring Value .. 7. Principles of Records Scheduling .. 7. 2. Creating an Organization-Wide Scheduling Plan .. 10. Introduction .. 10. Plan Elements .. 10. Purpose of the Scheduling Plan.

2 11. Factors Affecting the Scheduling Plan .. 11. Planning Templates .. 12. What Data Should Be Collected .. 15. Sources of Information .. 15. Steps in Developing Scheduling Plans .. 16. Determining a Strategy for Short-Term Quick Fix Scheduling Options .. 17. Determining Scope of Scheduling Projects .. 20. Evaluating and Ranking Scheduling Projects .. 23. Estimating the Project 25. Getting the Scheduling Plan Approved .. 25. Implementing, Monitoring and Updating the Scheduling 25. 3. Planning Scheduling Projects .. 28. Introduction .. 28. Initiating the Project .. 28. Project Proposal .. 28. Project Initiation Meeting .. 28. Conducting User Orientation Sessions .. 29. Conducting the Preliminary Review .. 30. Developing the Terms of Reference .. 33. Forming the Project Team .. 36. 4. Collecting schedule Data .. 42. Introduction .. 42. What Data Must Be Collected .. 42. Data Collection Tools.

3 43. Researching Programs and Services .. 48. Conducting Legal Research .. 50. Reviewing Existing Records and Information Systems .. 52. Conducting the Records Series Inventory .. 55. Inventorying Paper and Imaged Records .. 56. Inventorying Electronic Records .. 60. Inventorying Other Types of Records .. 66. July 2004 i Developing Records Retention and Disposition Schedules Interviewing Programs/Service Staff .. 71. 5. Identifying and Categorizing Records Series .. 81. Introduction .. 81. What is a Records Series? .. 81. Reviewing Collected schedule Data .. 84. 6. Using Government-Wide Schedules .. 86. Introduction .. 86. Administrative Records Disposition Authority (ARDA) .. 86. Personnel Records schedule .. 90. Ministerial Action Requests Records schedule .. 90. Executive Records schedule .. 91. Sysouts Records schedule .. 92. Transitory Records schedule .. 94. 7. Developing an Operational Records schedule .

4 98. Introduction .. 98. Organizing Operational Records Series .. 98. Developing Records Series Descriptors .. 102. Identifying and Documenting Legal References .. 103. Identifying Freedom of Information and Protection of Privacy (FOIP) References .. 104. Master/Copy/Duplicate Relationships .. 108. Assessing the Value of Records .. 113. Determining Closure Criteria, Retention Periods and Final Disposition .. 124. 8. Developing One-Time Schedules .. 129. Introduction .. 129. When is a One-Time schedule Appropriate? .. 129. 9. Preparing and Submitting the schedule .. 134. Introduction .. 134. Preparing the Draft schedule .. 134. Gathering and Incorporating Feedback .. 134. Submitting the Draft Records schedule for Review and Approval .. 138. 10. Sample schedule .. 140. 11. Maintaining and Amending Schedules .. 144. Introduction .. 144. Organization schedule Management .. 144. SRO Central Files.

5 144. Cancellation .. 145. Notify Users .. 145. Distribute Copies .. 145. Obsolete Schedules .. 146. Superseded Schedules .. 147. Periodic Review .. 147. Amendments to Existing Schedules .. 148. 12. Records Alienation and Transfer .. 158. Introduction .. 158. Transfers from One Government Organization to Another .. 158. Alienation of Government Records .. 158. July 2004 ii Developing Records Retention and Disposition Schedules APPENDIX 1 - Scheduling Checklist .. 161. Introduction .. 161. ARMC Expectations .. 161. The Checklist .. 163. July 2004 iii Developing Records Retention and Disposition Schedules 1. Introduction Overview The Records Management Regulation requires that all Records under the control of government organizations be scheduled and that Records be scheduled prior to Disposition . This publication explains what Records Retention and Disposition scheduling is and provides a detailed guide to the Government of Alberta's approach to scheduling and techniques for Developing quality Schedules .

6 Each organization within the Government of Alberta should approach Records scheduling in a planned, comprehensive and systematic manner, and in accordance with this guide. The approach taken is consistent with and supports: the principles of the Government of Alberta's Information Management Framework;. the international ISO 15489 Records management standard; and the draft ANSI/ARMA guideline Managing Recorded Information Assets and Resources: Retention and Disposition Program . Objectives The key objectives of this chapter are to explain and provide guidance on how to: create a Records scheduling plan for your organization and update it on a regular basis;. establish, organize and plan individual scheduling projects;. collect and analyze the data necessary to properly prepare Records Retention and Disposition Schedules ;. July 2004 1. Developing Records Retention and Disposition Schedules where appropriate use government-wide Records Retention and Disposition Schedules .

7 Develop quality comprehensive continuing Records Retention and Disposition Schedules and get them approved;. create one-time Retention and Disposition Schedules ;. manage and amend your Records Retention and Disposition Schedules to keep them current and relevant; and develop Retention and Disposition Schedules to alienate Records from the custody and control of the government. What is a Records Retention and Disposition schedule A Records Retention and Disposition schedule (also referred to in this publication as a Records schedule or a schedule ) is a legal authority that describes the Records under the control of a government organization, specifies how long and where they must be kept as they progress through the phases of their life cycle, the format in which the Records must be stored and what their final Disposition will be (destruction or archival preservation) at the end of their life cycle.

8 A Records series (also commonly called an item on a schedule ) is a group or unit of identical or related Records that are normally used and filed as a unit and that can be evaluated as a unit for scheduling purposes. For example, all corporation tax Records for Alberta corporations are a Records series maintained by Alberta Revenue. A Records Retention and Disposition schedule includes: descriptive information about the organization, its programs, services, functions, activities and legislation;. descriptive information about each Records series, its use, format, security needs, accessibility, significance to government programs and any legal or freedom of information/protection of privacy references;. date ranges for each Records series;. the business rules associated with Records closure (file completed or closed, completion of the active phase) for each Records series;. July 2004 2.

9 Developing Records Retention and Disposition Schedules how long each Records series is to be kept in its active and semi-active phase in the organization;. how long each Records series is to be kept in its inactive phase in the Alberta Records Centre (where applicable); and what the final Disposition will be ( destruction or preservation at the Provincial Archives) for each Records series. Types of Schedules There are two types of Records Retention and Disposition Schedules : Continuing Schedules These should be prepared when you are scheduling: - Records of an ongoing program, service, function or process;. - Records that are still being created; and - Records that are active or that have long term value. Continuing Schedules should be used in the vast majority of scheduling projects. The Records scheduling methodology described in this publication is primarily intended to help you prepare continuing Schedules .

10 One-Time Schedules These should only be prepared when you are scheduling: - Records of a program, service, function or process that has been discontinued;. - inactive Records that will not be converted to a new Records classification structure; and - Records that are being alienated or transferred outside the custody and control of government. All one-time Records Schedules automatically lapse one calendar year after the date on which they were approved by the Alberta Records Management Committee or sixty days after the final Disposition is to take place, if the final Disposition is more July 2004 3. Developing Records Retention and Disposition Schedules than one calendar year from when the schedule was approved. For more details on preparing one-time Schedules , see Chapter 8 of this publication. Benefits of Records Scheduling Records scheduling is an important activity. Records Schedules and timely Records Disposition provide the following benefits: Protection of organizational needs - Improved government access to current and active information for executive and management decision-making.