General Introduction

Transcription

1 Retention Guidelines for Common Administrative Records of the Government of Canada General Introduction Final Version, December 11, 2006

2 Table of Contents Overview Introduction Purpose and content of these Guidelines Use, interpretation and review Layout and approach Scope Offices of Primary Interest (OPIs) and Offices of Collateral Interest (OCIs) Federal Records Centres Personal information Implementation advice and assistance Application and interpretation of the guidelines Application and interpretation of the MIDAs Regional Contacts. How to Apply Guide - Section Index by subject and by function Section 1 - Retention Guidelines: functional arrangement Part 1 General Administration Function Part 2 Real Property Management Function Part 3 Materiel Management Function Part 4 Comptrollership Function Part 5 Human Resources Management Function Section 2 Retention Guidelines: alphabetical arrangement by subject Part 1 General Administration Function Part 2 Real Property Management Function Part 3 Materiel Management Function Part 4 Comptrollership Function Part 5 Human Resources Management Function Part 2 General Introduction Page 1 of 19

3 Overview The following guidelines provide advice to all institutions subject to the Library and Archives of Canada Act, on the establishment of minimum retention periods for records that support the five common administrative functions of the Government of Canada, namely General Administration, Real Property Management, Materiel Management, Comptrollership, and Human Resources Management. It replaces the Retention Guidelines for Common Administrative Records issued by Library and Archives in June, 2000, as well as the Schedules of the General Records Disposal Schedules (GRDS) Fourth Edition, 1986, PAC 86/001. The guide is divided into 3 parts to offer users various methodologies in how they wish to access the retention guidelines. Section 1 has been organized by function and sub-function rather than subject and its arrangement is based on Library and Archives Canada s Multi-Institutional Disposition Authorities (MIDAs) for Common Administrative Records. Section 2 is arranged alphabetically by subject heading/activity within each function. Section 3 offers users an enhanced index linking alpha-arranged sub-functions, activities and subjects to the retention guidelines in sections 1 and 2. The guidelines apply to records under the control of institutions subject to the Library and Archives Canada Act when those records are collected, created or received to support the common administrative functions of those institutions. The guidelines do not apply, however, to records that are collected, created or received by an institution that directly supports the operational functions of federal institutions, or to records of Offices of Primary Interest (OPIs) that are responsible for the administration of the Government of Canada, or to records of Offices of Collateral Interest (OCIs) that are implicated in or associated with the performance, management or delivery of a function, program or service for the Government of Canada. The formal consent, by the Librarian and Archivist of Canada, to dispose of common administrative records of the government of Canada is contained in Multi- Institutional Disposition Authorities issued to all federal institution subject to the Library and Archives of Canada Act. The five Multi-Institutional Disposition Authorities for common administrative records give federal institutions the authority and consent from the Librarian and Archivist of Canada, to dispose of their common administrative records. Together, these retention guidelines give direction to federal institutions on the retention periods for their common administrative records and the MIDAs provide the authority to dispose of those records when their retention periods have expired. Part 2 General Introduction Page 2 of 19

4 Introduction Purpose and content of these Guidelines The purpose of this publication is to present institutions with retention periods for common administrative records based on best practices established over the past thirty years. It also contains Treasury Board policy direction on the retention and disposal of records containing personal information; however, nothing in these guidelines should be seen as constituting an authority or requirement to dispose of records. For direction regarding the disposition of common administrative records, institutions should consult Library and Archives Canada s Multi-Institutional Disposition Authorities (MIDAs). Use, interpretation and review These guidelines include essential information to facilitate the retention of common administrative records. Before applying the retention guidance offered in this publication, institutions should ensure that their common administrative records are not already covered in an Institution-Specific Disposition Authority (ISDA) and/or seek the approval of senior department officials in utilizing the guide. For matters regarding the disposition of records, institutions must consult Library and Archives Canada s Multi-Institutional Disposition Authorities (MIDAs) as they are the only authoritative regulation regarding the disposition of common administrative records. The MIDAs contain significant definitions and exclusions that allow institutions to apply the authorities correctly. Layout and approach The guide is divided into 3 sections to offer users various methodologies in how they wish to access the retention guidelines. Section 1 has been organized by function and sub-function rather than subject and its arrangement and descriptions based on Library and Archives Canada s Multi-Institutional Disposition Authorities (MIDAs) for Common Administrative Records. Section 2 is arranged alphabetically by subject heading/activity within each function. Main subject groups appear under the heading Subject Group, sub-groups and subject descriptions under the heading Subject and Description and associated retention guidelines under the heading of Retention Guidelines and/or Remarks. Section 3 offers users an enhanced index linking alpha-arranged sub-functions, activities and subjects to the retention guidelines in sections 1 and 2. When records are covered by an existing MIDA the retention information offered in this publication takes the form of retention guidelines expressed in months, calendar years and fiscal years. To avoid repetition and simplify the guide s format, a General Retention Guideline has been provided at the beginning of each function. The General Retention Guideline provides retention guidance on standard Policy and Procedure records and Routine correspondence records as they are common administrative records that are generated in many activities and appear throughout all five functions in the guide. Note that the General Retention Guideline for the Human Resources Management Function also includes retention guidance on Personnel (employee) files as the authorization dealing with disposal of Personnel files is covered in MIDA 98/005 for the Human Resources Management Function. To streamline the search for file subjects, institutions are recommended to reference the broadened alpha index located at the end of the guide, in Section 3. The index correlates subject headings with either the common administrative functions as they appear in this guide or, if not common administrative, to alternate retention or disposition resources. Where records are more logically linked to other guides or authorities, a remark or alternate reference has been provided in the index. For example, if Consult Institutional Guidelines has been noted, institutions should refer to either: their Institution-Specific Disposition Authority (ISDA) for guidance regarding the disposition of operational records; or institutional guides for approaches to the specific retention requirements of records that are operational in nature. In order to determine what constitutes as an appropriate subject heading for a particular record, institutions must take into consideration the context into which the record was originally created. For example, the retention guidelines for records produced as the result of an Accident will vary greatly depending upon the nature or subject of the record produced. If the record is a death benefit it is considered part of the HR Part 2 General Introduction Page 3 of 19

5 Function and will be kept with the employee file, if a claim then the index will refer you to the Comptrollership function, if regarding repairs to a vehicle then you will be guided to the Material Management Function etc... By utilizing proper classification techniques, institutions are enabled to apply proper retention guidance to that particular record. See Implementation advice and assistance for further guidance and contact information. Scope The guidelines apply to all common administrative records which are collected, created or received by institutions in support of the five common administrative functions of the Government of Canada (General Administration, Real Property Management, Materiel Management, Comptrollership, and Human Resources Management functions), which are common to or shared by all federal government institutions, regardless of how the records are organized or controlled within each institution. They do not apply to operational records, which are records created, collected, or received by a federal government institution to support and document business functions, programmes, processes, transactions, services, and all other activities uniquely or specifically assigned to that particular institution by legislation, regulation, or policy. Administrative records which are unique to a specific institution, have an historical value beyond the expiry of their retention period, or which are more logically linked to the institution s operational mandate are not included in the new Retention Guidelines as they do not support a common administrative function that is shared by all federal institutions. As such, these records are not allocated a specific retention period within these retention guidelines. This primarily occurs because, either: the records can be more logically connected to the institution s operational mandate and should therefore be included in an Institution- Specific Disposition Authority (ISDA) governing the records of that institution; or the common administrative records are operational in nature and should therefore be included in an institutional retention guide Ultimately, institutional representatives, in consultation with LAC archivists or portfolio archivists, are accountable for: applying the same risk assessment considerations (legal, fiscal, business) to these records, as those applied to the institution s operational records; and determining whether the disposition of any records is authorized in either a Multi-Institutional Disposition Authority (MIDA) or in an Institution-Specific Disposition Authority (ISDA). Where there is some doubt regarding retention, consultation should take place between representatives of the corporate records office, the information management office and/or the institution s ATIP coordinator. Where records clearly do not have a disposition authority or where there is some doubt regarding disposition, consultation should take place between representatives of the institution s ATIP coordinator, corporate records office and/or the information management office. See Implementation advice and assistance, for departmental and regional contact information. These guidelines can be used as is by government institutions. When the guidelines do not meet institutional records retention requirements, they can be adjusted to accommodate specific institutional needs. Library and Archives Canada has established the following review mechanisms: when government institutions request Federal Records Centres (FRCs) to store common administrative records, and institutional retention requirements for common administrative records exceed the retention time frames offered as guidelines in this publication, representatives of the FRCs will request from institutional representatives justification for deviating from the guidelines and negotiate alternate retention periods with the institution s Corporate Records Office to ensure they meet institutional and FRC storage requirements. Both the retention and disposition of records containing personal information about federal employees, however, is non-discretionary and are addressed under the heading of Personal information. Offices of Primary Interest (OPIs) and Offices of Collateral Interest (OCIs) Institutions mandated to perform a government-wide function on behalf of the Government of Canada are Part 2 General Introduction Page 4 of 19

6 referred to as Offices of Primary Interest (OPIs). Institutions that are implicated in or associated with the performance, management or delivery of a function, program or service for the Government of Canada are referred to as Offices of Collateral Interest (OCIs). OPIs and OCIs are government institutions 1 to which the authority, responsibility, and accountability to either perform a particular function or to aid in the administration of a function for the purpose of this guide, an administrative function on behalf of the Government of Canada have been specifically assigned to them by virtue of legislation, regulation, policy, or mandate. Therefore, records created by Offices of Primary Interest (OPIs) or Offices of Collateral Interest (OCIs) that document their mandated responsibilities relating to the five common administrative functions are considered operational in nature. Examples of those institutions for which the retention guidelines only apply to their common administrative records is provided in Section 1- Retention Guidelines: functional arrangement, Introduction to each of the five functions under Offices of Primary Interest and Offices of Collateral Interest. Federal Records Centres When institutions use Federal Records Centres (FRCs) to store records, representatives of FRCs will agree to accept the records only when they are covered by valid disposition authorities or where there is a plan in place which will result in a valid authority in a reasonable time. If these conditions are not met, FRC representatives will refer institutions to their Records Management Office. With the exception of records containing personal information, institutions may choose to extend the retention periods in accordance with their specific operational and legal requirements. It should be noted however, that such extension may affect the ability of the institution to store these records in a Federal Records Centre (FRC), and the extension would need to be negotiated with the Federal Records Centre before records can be stored there. Personal information 1 Department, agency, board, office or commission The retention of personal information contained in records that has been used by a federal institution in the course of its business is governed by Section 6 of the Privacy Act, and Section 4 and 7 of the Privacy Act Regulations. Section 4 (1)of the Privacy Act Regulations states that personal information that is used for an administrative purpose (i.e. the use of the information in a decision making process that directly affects that individual) must be retained for a minimum of two (2) years unless the individual consents to its earlier disposal: 4. (1) Personal information concerning an individual that has been used by a government institution for an administrative purpose shall be retained by the institution (a) for at least two years following the last time the personal information was used for an administrative purpose unless the individual consents to its disposal; and (b) where a request for access to the information has been received, until such time as the individual has had the opportunity to exercise all his rights under the Act. Guidance on the retention for records that contain personal information and have been subject to an Access to Information request is provided in Section 7 of the Privacy Act Regulations, which states; 7. The head of a government institution shall retain for a period of at least two years following the date on which a request for access to personal information is received by the institution under paragraph 8(2)(e) of the Act (requests made by an investigative body specified in the regulations) (a) a copy of every request received; and (b) a record of any information disclosed pursuant to such a request. In establishing retention periods for records containing personal information, federal institutions should ensure that the Privacy Act and Privacy Act Regulations are applied. The requirements of the Privacy Act and Privacy Act Regulations are compulsory, and must be adhered to. Part 2 General Introduction Page 5 of 19

7 These guidelines also include references to Treasury Board s standards for records described in Standard Banks and published in their publication entitled Info Source: Sources of Federal Employee Information. The retention information stated in the standard Banks is compulsory and must be adhered to. The authority for retention standards for records containing personal information about federal employees is the Treasury Board of Canada. Implementation advice and assistance Institutional representatives are invited to share with Library and Archives Canada any retention requirements not currently addressed by the guidelines. The guidelines should be viewed as best practices and are not intended to override the requirement for institutions to manage records with reference to the accountability framework of their enabling legislation, programme requirements and business practices. In applying this retention guideline, institutions should take care to ensure that: * the records are not operational in nature; * the records are not of a mixed operational and administrative character; * the records do not support an administrative function uniquely or specifically assigned to an Office of Primary Interest (OPI) or Office of Collateral Interest; * the records are not otherwise excluded from the application of the MIDAs by virtue of the definitions and scope statement contained in the Appendix I for each of the functions contained in the MIDAs. * the records are not dated earlier than 1946 * all administrative actions have been completed for a record before applying the applicable retention guidance. Ultimately, individual institutions are accountable for the establishment and implementation of retention periods. Advice and assistance, however, can be obtained from Library and Archives Canada. Application and interpretation of the guidelines Institutional representatives are invited to share with Library and Archives Canada any retention requirements not currently addressed by the guidelines. For advice and assistance on the use of these guidelines and any other matter related to the management of government records, contact the Government Information Management Office, Information Management Centre (IMGI). Please address enquiries to: Information Management Centre (IMGI) Government Information Management Office Library and Archives Canada 395 Wellington St Ottawa On K1A 0N4 Tel: (819) Fax: (819) imgi@lac-bac.gc.ca Application and interpretation of the MIDAs Multi-Institutional Disposition Authorities for common administrative records apply to the common administrative records of institutions subject to the Library and Archives of Canada Act, provided that such records, collected, created or received in the conduct of business, are not used to support a government-wide operational function carried-out on behalf of the Government of Canada or are not archival in nature. For any matter concerning the application and interpretation of MIDAs (i.e. the consent to dispose of records), contact the Government Archives Business Centre (GABC), Library and Archives Canada. A Records Disposition Business Centre point of contact is provided for these purposes. Enquiries can be addressed to: Government Archives Business Centre (GABC) Library and Archives Canada 395 Wellington St Ottawa On K1A 0N4 Tel: (819) Fax: (819) GABC@lac-bac.gc.ca Locations and Service Areas of the Federal Records Centres (from East to West) Part 2 General Introduction Page 6 of 19

8 Atlantic Region Serves federal offices in the Provinces of Nova Scotia, New Brunswick, Prince Edward Island, and Newfoundland, including Labrador. Mailing address: Atlantic Region Federal Records Centre Library and Archives Canada 65 John Savage Avenue Burnside Industrial Park Dartmouth, Nova Scotia B3B 2C9 Telephone: (902) Fax: (902) Accessions and Disposition Unit Telephone: (902) Reference Unit Telephone: (902) Part 2 General Introduction Page 7 of 19

9 Québec Regions Québec City Serves federal offices located in the centre and the eastern part of the Province of Québec. Mailing address: Québec City Federal Records Centre Library and Archives Canada 75 de Hambourg Street St-Augustin-de-Desmaures, Québec G3A 1S6 Telephone: (418) Fax: (418) Accessions and Disposition Unit Telephone: (418) Reference Unit Telephone: (418) Fax: (418) Part 2 General Introduction Page 8 of 19

10 Québec Region Montréal Serves federal offices located in the western part of the Province of Québec, excluding areas less than 50 km from the city of Gatineau. Mailing address: Montréal Federal Records Centre Library and Archives Canada 655A Montée de Liesse Montréal, Québec H4T 1P5 Telephone: (514) Fax: (514) Accessions and Disposition Unit Telephone: (514) Fax: (514) Reference Unit Telephone: (514) Fax: (514) Part 2 General Introduction Page 9 of 19

11 National Capital Region Serves federal offices in the National Capital Region, including Gatineau and areas of the Province of Québec within approximately 50 km of Gatineau, and that part of Ontario that lies north of a line running between Belleville and Gravenhurst and east of a line running from Thunder Bay to Fort Severn. Mailing address: National Capital Region Federal Records Centre Library and Archives Canada 130 Goldenrod Driveway Ottawa, Ontario K1A 0N4 Telephone: (613) Fax: (613) frc.ncr@lac-bac.gc.ca Accessions Unit Telephone: (613) Reference Unit Telephone: (613) (General Records) Fax: (613) Telephone: (613) (Military Personnel) Fax: (613) Disposition Unit Telephone: (613) Part 2 General Introduction Page 10 of 19

12 Ontario Region Serves federal offices in the Greater Toronto Area and that part of Ontario that lies to the south and southwest of a line running from Belleville to Gravenhurst, including these cities. Mailing address: Ontario Region Federal Records Centre Library and Archives Canada 190 Carrier Drive Toronto, Ontario M9W 5R1 Telephone: (416) Fax: (416) Accessions and Disposition Unit Telephone: (416) Accessions Unit Telephone: (416) accessions.orfrc@lac-bac.gc.ca Reference Unit Telephone: (416) reference.ontario@lac-bac.gc.ca Part 2 General Introduction Page 11 of 19

13 Manitoba Region Serves federal offices in Manitoba and the part of Ontario lying to the west of a line running from Thunder Bay to Fort Severn, including these cities. Mailing address: Manitoba Region Federal Records Centre Library and Archives Canada 1700 Inkster Boulevard Winnipeg, Manitoba R2X 2T1 Telephone: (204) Fax: (204) Accessions and Disposition Unit Fax: (204) mbaccessions@lac-bac.gc.ca Reference Unit Telephone: (204) Fax: (204) supciv@lac-bac.gc.ca Part 2 General Introduction Page 12 of 19

14 Prairies-Northwest Region Serves federal offices in Saskatchewan, Alberta, the Northwest Territories and Nunavut. Mailing address: Prairies-Northwest Region Federal Records Centre Library and Archives Canada st Ave Edmonton AB T6E 5H1 Telephone: (780) Fax: (780) Accessions Unit Telephone: (780) Disposition Unit Telephone: (780) Part 2 General Introduction Page 13 of 19

15 Pacific Region Serves federal offices in British Columbia and Yukon. Mailing address: Pacific Region Federal Records Centre Library and Archives Canada 2751 Production Way Vancouver, British Columbia V5A 3G7 Telephone: (604) Fax: (604) Accessions and Disposition Unit Telephone: (604) Reference Unit Telephone: (604) Fax: (604) Part 2 General Introduction Page 14 of 19

16 Retention Guidelines for Common Administrative Records of the Government of Canada How to Section Version 1 Task Style How do I determine the retention period for a specific record? Step 1 - Determine whether the record is covered under these guidelines. If you answer yes to ANY of the following questions, then these guidelines do NOT apply to the record in question. Does your department have an Institution-Specific Disposition Authority (ISDA)? Are the records collected, created or received by an institution that directly supports the operational functions of federal institutions? Do the records belong to an Office of Primary Interest (OPI) that is responsible for the administration of the Government of Canada, or an Office of Collateral Interest (OCI) that is implicated in or associated with the performance, management or delivery of a function, program or service for the Government of Canada? Is the record an operational record? Is the record of a mixed operational and administrative character? Is the record otherwise excluded from the application of the MIDAs by virtue of the definitions and scope statement contained in the Appendix I for each of the functions contained in the MIDAs ( Is the record dated earlier than 1946? If you answer no to the following question, then these guidelines do NOT apply to the record in question. Have all administrative actions been completed for the record? If these guidelines do apply to the record, go to Step 2. Part 2 General Introduction Page 15 of 19

17 Step 2 - Determine the area that the record falls under. Determine which of the following five areas the record falls under. Real Property Management Function The Real Property Management Function covers administrative records of sub-functions and activities related to: Assessing and Planning; Acquiring; Operating and Using; Maintaining; Replacing, Transferring and Disposing of real property assets. General Administration Function The General Administration Function covers common administrative records of sub-functions and activities relating to the management of government information, management of technology, security and administrative support. Materiel Management Function The Materiel Management Function covers common administrative records of sub-functions and activities related to the management of movable assets used or acquired by government institutions to facilitate the delivery of programmes and services. This includes the sub-functions and activities associated with: assessing and planning requirements; acquiring material assets and related services; operating, using and maintaining material; and replacing, transferring and disposing of materiel assets. Comptrollership Function The Comptrollership Function encompasses the common administrative records of sub-functions and activities related to the management of financial resources conducted in and across all federal government institutions to facilitate the application of operational policies and the delivery of programmes and services. This includes the sub-functions and activities associated with: External Audit, Financial Management, and Program Management. Part 2 General Introduction Page 16 of 19

18 Human Resources Management Function The Human Resources Management Function encompasses common administrative records of sub-functions, processes, activities and transactions related to the management of human resources commonly conducted in and across all federal government institutions to facilitate the application of operational policies and the delivery of programmes and services. This includes the sub-functions and activities associated with: staffing, training and development, performance assessment, occupational safety and health, staff relations, compensation and benefits, human resources planning and utilization, classification, official languages, employment equity and special programmes. Once you have determined what function the record in question falls under go to Step 3. Step 3 Determine whether you are in a subject or function based system. A function-based records classification system focuses on the activities and processes that result in the creation of records. These kinds of systems answer the questions, why do we have these records and how are they used? A subject-based records classification system focuses on the information content of the records contained in the system. These kinds of systems answer the question, what are these records about? If you are unable to determine this, go to Step 5, otherwise go to Step 4. Step 4 - Determine the specific retention period. If you are in a function based system, go to Step 4A. If you are in a subject based system, go to Step 4B. A In Section 3 of the appropriate guide, determine the sub-function that the record falls under. Once you have identified the sub-function the retention period will be detailed in the Retention Guidance column. If there is no retention period in the Retention Guidance column, use the retention period detailed in the Section 2 General Retention Guideline section of the document. Part 2 General Introduction Page 17 of 19

19 B In the appropriate guide, determine the subject group that the record falls under. Once you have identified the subject group the retention period will be detailed in the Retention Guidance column. If there is no retention period in the Retention Guidance column, use the retention period detailed in the General Retention Guideline section of the document. You have now determined the retention period for the record. Step 5 Find the record in the index. 1. Determine the keyword(s) related to the record. 2. Find the appropriate entry in the index. 3. Go to the appropriate section of the documentation as defined in the index. The retention period will be detailed in the Retention Guidance column. You have now determined the retention period for the record. Part 2 General Introduction Page 18 of 19

20 FAQ Do I have to use these guidelines? These guidelines should not be seen as constituting an authority or requirement to dispose of records. The formal consent, by the Librarian and Archivist of Canada, to dispose of common administrative records of the government of Canada is contained in Multi-Institutional Disposition Authorities issued to all federal institution subject to the Library and Archives of Canada Act ( These guidelines can be used as is by government institutions. When the guidelines do not meet institutional records retention requirements, they can be adjusted to accommodate specific institutional needs with the exception of those records that covered by legislative requirements identified in the endnotes of the documents. I m still unsure about how to apply these guidelines Where there is some doubt regarding retention, consultation should take place between representatives of the corporate records office, the information management office and/or the institution s ATIP coordinator. Where records clearly do not have a disposition authority or where there is some doubt regarding disposition, consultation should take place between representatives of the institution s ATIP coordinator, corporate records office and/or the information management office. What do I do if personal information is contained in the record? Consult the Privacy Act ( for more information on this scenario. Are there any other sources of information that I can reference? The MIDA FAQs can be found at Part 2 General Introduction Page 19 of 19