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 ..........................................................................................