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Developing Records Retention and Disposition Schedules

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Developing Records Retention and Disposition Schedules Information ii 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: [email protected] Website: alberta.ca/information-management-branch.aspx ©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 ................................................................... 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 Timeframes.............................................................. 25 Getting the Scheduling Plan Approved ......................................................... 25 Implementing, Monitoring and Updating the Scheduling Plan.......................... 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 ................................................................................. 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 ...................................... 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 .................................................................................... 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 ..........................................................................................
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