saskatchewan records management...

Saskatchewan Archives Board______________________________________________

Government Records Branch

Saskatchewan Records Management Guidelines

NOTE: These Records Management Guidelines are intended to guide the development of specific policies and procedures that recognize the

particular circumstances of individual departments, crown corporations and agencies.

These guidelines are subject to ongoing revision. Please direct any comments or suggestions to:

Saskatchewan Archives Board Government Records Branch (GRB)

(306) 787-0734 [email protected]

www.saskarchives.com Effective Date: March 21, 2006

http://www.gr.gov.sk.ca/Graphics/shield_of_arms.jpg

Table of Contents Records Management Guidelines

Page:

1. Introduction 1 2. Records Management Accountability Structure 3 3. Distinguishing between Government and Non-Government

Records 6

4. Scheduling 11 4.1 ARMS 2006 4.2 ORS 5. Filing 17 5.1 General Information on Filing 5.2 Filing Electronic Records 6. Disposing of Records 22 6.1 Disposal and Transfer Guidelines for Administrative Records 6.2 Records Disposition System for Operational Records 6.3 Disposal of Additional Records 6.4 Disposal of Non-Government Records

Appendices Appendix A – Organizing Electronic Directory Structures Appendix B – Glossary of Terms

Saskatchewan Archives Board________________________________________ 1 Government Records Branch

1. Introduction In today's information-driven environment, an efficient records management program is essential for all government offices. Recorded information provides the basis for all government activities, from employee information to medical statistics to policies and procedures. Records are your "institutional memory"; they are necessary for decision making and policy development, for legislative compliance, for meeting fiscal and legal requirements, for program implementation, and for almost every aspect of day-to-day office work. In order to comply with the requirements of The Archives Act, 2004, government institutions must establish a records management program. This program should include but is not limited to:

• the establishment of a records management accountability structure;

• the implementation of the Administrative Records Management System 2006 (ARMS 2006) for administrative records and the development and implementation of Operational Records Systems (ORS) for all operational records created or received by the institution;

• the implementation of filing procedures that not only are consistent with all

applicable records schedules and uniformly relate to all types of records (i.e. paper, electronic, sound records, photographs, maps, etc.) created or received by the institution, but also protect the security and integrity of records in all formats;

• the establishment of procedures for the disposal of both official and additional

records that adhere to the requirements of The Archives Act, 2004 and the provisions of The Freedom of Information and Protection of Privacy Act (FOIPP) as well as the “Overarching Personal Information Privacy Framework for Executive Government.”

These guidelines are designed to:

a) inform Saskatchewan Government institutions of their responsibilities for the classification, retention and disposal of government records in order to meet legislative and other requirements, and;

b) assist institutions in the development of effective records management programs,

which include policies and procedures. These guidelines provide information relating to the following basic components of effective records management:

Saskatchewan Records Management Guidelines Ph. (306) 787-0734, [email protected], www.saskarchives.com


• establishing a records management accountability structure • identifying government records • implementing, creating, and effectively using records schedules • filing records • disposing of records

Further information relating to the establishment of records management policies and procedures can be obtained by contacting:

Saskatchewan Archives Board Government Records Branch 301-1870 Albert Street Regina, Saskatchewan S4P 4B7 787-0734 [email protected]


mailto:[email protected]


2. Records Management Accountability Structure In today’s business environment, everyone is a manager of information. How well individuals succeed at this task, however, very much depends on the clear articulation of roles and responsibilities within their institution. Each institution will address this in different ways and as such, each will need to implement an accountability structure that meets their particular needs. Nevertheless, all successful records management accountability structures have some common characteristics:

• clear accountability statements for the management of records within the institution;

• procedures for coordinating records management within the institution to ensure that records management is integrated with information and communications technology;

• clear identification of responsibilities and provision of necessary training for all staff. Effective accountability structures will address the roles and responsibilities of executive management, program managers, program staff, support staff, network administrators, technical staff and records management staff in regard to the various aspects of managing the institutional record. The following are possible accountability statements for different levels and functions within government institutions: Executive Management (e.g. Deputy Ministers, Chief Executive Officers, Assistant Deputy Ministers, Executive Directors, etc.) is responsible not only for ensuring that the institution has up-to date policies and procedures in place in relation to records management, but also for cultivating an institution-wide culture that values the effective management of information. Program Managers are responsible for ensuring that the records related to their functions, activities and transactions are managed appropriately. This includes:

• identifying and defining the information that is necessary to meet both short and long term business needs and objectives;

• ensuring the accuracy, completeness and timeliness of information;

• ensuring that all employees understand and implement the procedures for the proper collection, creation, storage, access, retention, and disposal of information;

• assessing the training needs for staff in relation to records management and ensuring that these training needs are met;



• ensuring proper levels of security and privacy protection are applied to the information under their control.

Designated Records Managers. As with other core assets like financial, human resources, and technology, more and more government institutions across Canada have developed a formal function to provide leadership, expertise and a focal point for the management of information assets. Records Managers ensure that records are treated as a corporate asset and that a strategic direction and consistent practices are established for managing their institution’s records. They provide leadership and support the business units and individuals who handle records management on a day–to-day basis. The Records Manager is generally responsible for:

• supporting program managers in identifying and meeting records management needs;

• leading and monitoring progress in implementing the institution’s records management program;

• facilitating a coordinated approach to information management in the institution to ensure all areas are working to achieve the defined overall strategic information management direction;

• developing institution-wide records management plans, policies, standards and guidelines related to collection, creation, storage, access, retention and disposal of information;

• assisting program areas in defining and understanding their roles and responsibilities in relation to records management;

• working with information technology managers to plan and implement appropriate technology to effectively manage information assets;

• maintaining the records management program of their institution by monitoring

existing processes and developing new strategies as the organization evolves. Responsibilities of all staff include:

• creating and retaining government records, in the format and media required by the institution, within the appropriate records classification system;



• identifying and regularly disposing of non-government information created or received;

• protecting all government records from unauthorized disclosure, inadvertent loss and destruction;

• protecting personal information contained in government records according to the requirements of The Freedom of Information and Protection of Privacy Act and government policy.



3. Distinguishing between Government and Non-Government Records

It is the responsibility of record creators and users to determine if a record is a government record or a non-government record. Sometimes this decision is straightforward, but often it is a judgment call that requires careful consideration. The following information is intended to assist users in distinguishing between government and non-government records and to provide guidance on the disposal of non-government records. Government Records Government Records are all recorded information that relate to the transaction of government business, regardless of physical form, including documents, maps, electronic records, e-mail, drawings, photographs, letters, vouchers, papers, etc., which are received, created, deposited or held by a department, agency, board, commission, crown corporation or other institution of the Government of Saskatchewan. Government records are those that are required by a public body to control, support or document the delivery of programs, to carry out operations, to make decisions or to account for activities of government. All government records are considered to be either “official” or “additional” and should be managed in accordance with The Archives Act, 2004. As such, official and additional records should be filed, retained and disposed of according to ARMS 2006 or ORS and approved institutional policy. For further information see Section 6: Disposing of Records. Non-Government Records Not all material requires filing, retention and authorization from the Provincial Archivist before its destruction. According to The Archives Act, 2004 and The Freedom of Information and Protection of Privacy Act (FOIPP), the following are considered to be non-government records and can therefore be destroyed when no longer needed:

A. Transitory records B. Publications C. Non-work-related records

The disposal of non-government records does not need to be documented. These records are not subject to the retention requirements stated in the Administrative Records Management System 2006 (ARMS 2006) or an Operational Records System (ORS).



Controlling the growth of non-government records through regular destruction or deletion should be a part of routine records management practices in government offices. Transitory records have no long-term value and are typically produced for convenience or short-term reference. Publications are widely distributed and available from various sources. With some exceptions, transitory records and publications can be destroyed once they are no longer referenced. Non-work-related records are employees’ own records. Disposal of employees’ non-work-related records remains at the discretion of the employees. It is recommended that non-work-related records be kept separate from government records and that those in electronic format be frequently removed/deleted from the system.

A. Transitory Records

Transitory records are records of temporary usefulness that are needed only for a limited period of time, to complete a routine task, or to prepare an ongoing document. They are not required to meet statutory obligations or to sustain administrative or operational functions. Once they have served their purpose, they should be destroyed.

Examples of transitory records:

• Convenience copies (duplicate copies) – extra copies produced for convenience

of reference that are exact copies of documents filed in a record keeping system and that are not annotated or changed in any manner. Examples: extra copies of information for distribution purposes, notices or memos regarding holidays or special events circulated to all staff or posted in shared folders, etc. Note: if a copy has been altered with handwritten comments, notes, etc., it is considered a new record and must be filed. Day files or chronological files are not convenience copies, they are considered records and are scheduled in ARMS 2006.

• Drafts and working materials – only those drafts that do not document significant steps in the development of a final version of a document and are not needed to track the evolution of policy, decision, legislation, contracts, etc., are considered transitory records. They can be destroyed once the final record has been produced and has been incorporated within a record or information management system. For example, drafts with proofreading and formatting notes, drafts of correspondence with mistakes, etc. are considered transitory records.



• Advertising material – solicited and unsolicited material received from

businesses or individuals advertising their products. Examples: paper or electronic brochures, company profiles, sales letters, catalogues, junk mail, etc. Note: If advertising material is relevant to your work, you may choose to file it for future reference.

• Blank forms, obsolete stationery, etc. that have no further use.

Note: marginal notes and comments or “post-it” notes attached to government records are part of the record; they are not separate transitory records. If the record is subject to a FOIPP request, such attached notes are reviewed for release together with the rest of the record.

Transitory Records are subject to FOIPP and legal proceedings. It is recommended that transitory records be destroyed once they have served their purpose. At the time that a FOIPP request is received, all undestroyed transitory records related to the request are subject to the Act. In these situations, existing transitory records cannot be destroyed until the applicant’s request has been processed and any appeal period has been completed. It is an offence to willfully destroy records that have been requested under FOIPP. Similarly, transitory records related to any legal action must not be destroyed while such legal action is underway. FOIPP coordinators, legal counsels and records managers are responsible for notifying staff regarding FOIPP requests or any legal action.

B. Publications

Publications are typically available from other sources such as libraries. Books, magazines, periodicals, pamphlets, brochures, journals and newspapers, whether printed or electronic, are not considered government records and can be destroyed or deleted. This includes publications received from external sources as well as extra copies of internal publications. The exception is Publication Development Files, as identified in ARMS 2006, Primary 1455. Original records relating to the development of internal and external publications are considered government records and should be filed, along with at least ONE copy of the publication, in Primary 1455 of ARMS 2006 (or an appropriate Operational Records System). Extra copies of annual reports and other major internal publications do not need to be classified. However, before disposing of old copies, contact the Legislative Library to ensure that copies of these publications have been retained.



C. Non-Work-Related Records

Non-Work-Related records are records of government employees concerning their private life. These records do not pertain to any aspect of government business. Typical examples of personal records are employees’ personal e-mails and letters, records of other organizations with which an employee is involved, but not as part of the government business, i.e. associations, community organizations, etc.

Exceptions The above categories of non-government records are not absolute; there are always exceptions to the general guidelines. Records could appear to meet the criteria of being transitory, but because of how they are used in the course of government business, they should be retained. Temporary information such as telephone messages, routing slips, open envelopes, etc., are usually considered transitory records and as such may be discarded. There are exceptions, however, such as: an envelope with a stamp showing the date received; a telephone slip providing evidence of an individual calling on a certain date and time; a note giving instructions on how to conduct a task; a telephone message giving authorization to carry out a certain activity, etc. An e-mail message inviting an employee for lunch could typically be considered to be a personal record and as such can be deleted. However, if an employee is meeting with someone to discuss government business, and the message includes details regarding matters to be discussed, the e-mail should be considered a government record and filed accordingly. Quick Reference: What to file? What to delete? Asking the following questions may assist in making the decision on whether or not a record is a government or non-government record.

Question If the answer is…

Does the record document or provide evidence of a business activity, decision or transaction related to the functions and activities of your organization?

No- it is not a government record and it can be disposed of or deleted Yes- it should be classified and retained


Saskatchewan Archives Board________________________________________ 10Government Records Branch

Question

If the answer is…

Does it contain information of a short-term value? Is it a non-annotated duplicate circulated for reference purposes while the actual document has been filed? Is it a draft version that will have no value once a final version is produced?

Yes – it is a transitory record and it can be disposed of or deleted No - it is a government record and it should be classified and retained

Examples of government records and non-government records:

Drafts of contracts, agreements and background material Policies and procedures Work schedules and assignments Drafts circulated for comments or approvals Final reports or recommendations Records showing that services have been provided or obligations have been met Financial transactions

Government Records

Annotated copies of a document that record significant input to the development of the final version

Electronic publications received, not created, by a government institution (they may or may not have ISBN identification) E-mails or memorandums widely distributed concerning routine administrative matters not pertaining directly to your program area Rough drafts, or any copy of a record, that do not reflect significant steps in the preparation of a final document (and does not record decisions) Duplicate copies of documents distributed solely for convenience of reference (i.e. meeting agendas, reports, etc.) Mail received through a listserv Junk mail, unsolicited advertisements, etc.

Non-government Records

Personal messages from/to your friends, family members, etc.

For more information on disposal of non-government records please contact the Government Records Branch of the Saskatchewan Archives at 787-0734 or [email protected]



4. Scheduling Scheduling is the foundation of any effective records management program. A records schedule as defined in The Archives Act, 2004 is a “formal plan that identifies the public records that are subject to the plan, establishes a classification system and retention periods for those records and provides for their disposition.” The classification system within schedules allows institutions to organize their records systemically allowing easy retrieval of information. The classification system is consistent throughout government, which means that similar records in different departments are classified in the same style or manner. The retention requirements in records schedules establish the time period for which records found within the classification plan must be retained to meet all legal, financial, administrative and fiscal requirements. Retention schedules provide government institutions with the ability to legally destroy or transfer records to the Saskatchewan Archives Board. All administrative records of Saskatchewan government institutions are scheduled in the Administrative Records Management System 2006 (ARMS 2006). Operational records are scheduled in department specific Operational Records Systems (ORS).

4.1 ARMS 2006

Overview

The Administrative Records Management System 2006 is a powerful records management tool for arranging and scheduling administrative records. In contrast to operational records, which relate to mandated functions unique to individual organizations, administrative records are common to all government institutions. ARMS 2006, developed and maintained by the Saskatchewan Archives Board, is designed to accommodate all administrative records created or received by government departments, crowns, boards, commissions, agencies, etc. in Saskatchewan. It is a requirement of The Archives Act, 2004 that all government institutions implement and use ARMS 2006 as both a classification system and a records retention schedule.

A copy of ARMS 2006 can be obtained from the Saskatchewan Archives Board, Government Records Branch at 787-0734.

Structure The Administrative Records Management System 2006 is provided to government institutions in hard copy or electronic (Adobe pdf) format. The introduction explains



the system and how it works. Following the introduction are the six sections that comprise ARMS 2006. Each section begins with an introductory page, which includes a listing of the subject headings (primaries) covered in the section. Following that are the primaries, each of which includes scope notes, secondaries, retention periods and final disposition information.

The appendices, legislation, glossary of terms and the index are next. The appendices include lists of new primaries and secondaries, a SARS-to-ARMS 2006 concordance table for crown corporations and an ARMS to ARMS 2006 concordance table for executive government, ARMS superseded SARS in 2003 (for executive government). The glossary provides definitions for records management terms used in the system. The index is a useful tool which lists various subject headings and provides direction to the primary where records should be classified.

Basic Terms

In order to use ARMS 2006, it is necessary to understand the following terms:

Government Record - all recorded information that relates to the transaction of government business, regardless of physical form, including documents, maps, electronic records, e-mail, drawings, photographs, letters, vouchers, papers, etc. which are received, created, deposited or held by an office of a department, agency, board, crown corporation, commission, or other institution of the Government of Saskatchewan.

Administrative Records - records pertaining to administrative or "housekeeping" activities of the organization not central to the mandated function of the institution in question. For most government departments and some crown corporations, administrative records may include the management of facilities, property, material, finances, human resources, and information systems.

Operational Records - records related to the operations and services provided by an office in carrying out the functions for which it is responsible according to statute, mandate, or policy. In most cases, operational records are distinct from common administrative functions and unique to each government institution.

Records Schedule – an effective tool for records management which provides a classification system, a concise and convenient description of each record and its required retention period. Records schedules are the authority by which government organizations may dispose of records no longer required. All record schedules must be approved according to the procedures set out in The Archives Act, 2004.

For further definitions please refer to the "Glossary of Terms" in ARMS 2006.



ARMS 2006 Characteristics ARMS 2006 combines a function based classification system with a retention schedule. The classification system simplifies filing, provides flexibility in adjusting to institutional reorganization, and allows for fast retrieval of information. The retention schedule provides the minimum amount of time that records must be kept before disposal is requested. ARMS 2006 is the only administrative records schedule approved for use by Saskatchewan Government institutions.

The classification system is based on functional divisions and develops in a hierarchical fashion from a very general to a more specific level of classification. The first level of classification is sections. ARMS 2006 is divided into the following 6 sections representing major administrative functions performed by government institutions: Administration; Buildings and Properties; Equipment and Supplies; Finance; Human Resources; and Information Systems and Technology.

The sections are divided into a number of primaries which describe specific administrative subjects, activities, functions, etc. The primaries are further broken up into secondaries which represent specific records or groups of records. All primaries and secondaries are arranged in the system in a logical order, in most cases alphabetically. The system includes scope notes which briefly describe the records that should be classified in the sections, primaries and secondaries.

ARMS 2006 incorporates a block numeric system. Each section has been allotted a range of numbers. For example, the Administration Section has been assigned numbers from 1000 to 1999, the Building and Properties Section 2000 to 2999, etc. Primaries are identified by a unique number within the range of numbers assigned to the section. For instance, the primaries 1025 - Administration-Organisation and 1080 - Acts and Legislation-External are part of the Administration Section (1000 - 1999). Secondaries are assigned two-digit numbers i.e. 00 - Policy and Procedure, 01 - General, etc.

Retention periods in the schedule indicate the minimum amount of time an office must retain official records. They are assigned to each secondary. The retention periods are based on financial, administrative, legal, and fiscal requirements. Information on retention periods for additional records can be found in Section 6.3 of these guidelines – “Disposal of Additional Records”.

Also contained within the manual is a final disposition column which relates to the disposal of administrative records by government institutions. Information regarding rules and procedures for the proper disposition of administrative records are found in Section 6.1.



Implementation ARMS 2006 implementation is a detailed process that should involve staff on all levels. It requires a good understanding of the system and basic records management practices. Extensive knowledge of the records and functions of the branch/department is also essential. The following are the typical stages of ARMS 2006 implementation:

• conduct a records inventory • identify records as administrative or operational • separate administrative records from operational • relate administrative records to ARMS 2006 • identify and remove inactive records from the filing system • design, print and apply labels with ARMS 2006 numbers and titles to administrative

records • arrange records according to ARMS 2006

See Section 4.2 for guidelines on handling operational records

For more information regarding ARMS 2006 implementation please contact the Government Records Branch of the Saskatchewan Archives at 787-0734 or [email protected]

4.2 ORS Overview Operational records relate to the operations and services provided by a government organization in carrying out the functions for which it is responsible according to statute, mandate, or policy. Operational records are distinct from administrative records and are unique to each government organization. Operational records usually consist of client files, program files, and subject files of specific application or interest to a government institution. Owing to the unique nature of operational records, ORS cannot be developed in a general format (as with ARMS 2006). Rather, they are developed on an agency-by-agency basis in consultation with archivists from the Saskatchewan Archives Board. It is a requirement of The Archives Act, 2004 that all government institutions prepare records schedules for all of the public records created or held by the institution and that, following approval of the schedule(s) by the Public Records Committee, that every records schedule applicable to that institution be implemented.



Structure Operational Records Systems are designed to be compatible with ARMS 2006 in that they are block-numeric systems of classification and numbering. Records are arranged in simple, logical groupings that allow for organizational changes to be made without affecting the file structure and retention schedule. The classification system is hierarchical in structure, meaning the headings start out very broadly, and become more narrowly defined as needed. The system is based on the function of the record, and is flexible enough to accommodate a variety of records keeping systems, as well as being adaptable to changes in scale and scope of operations over time. Development The process for creating or updating Operational Records Systems is governed by The Archives Act, 2004 and involves the following parties:

The Government Institution Staff members within each government institution are most familiar with their own operational records and their functions. They are best placed to inventory operational records and recommend retention periods. Government offices, with Archives assistance, are therefore expected to draft their own schedules. The Saskatchewan Archives, Government Records Branch Staff at the Government Records Branch (GRB) work in consultation with government departments when developing ORS. Archivists are available to provide advice on various issues (including adequate retention periods), to review all drafts of the System, and to help ensure that the schedule presented for approval to the Public Records Committee is in an acceptable format. The Public Records Committee All records retention schedules receive final approval by the Public Records Committee (PRC). Their role is to ensure that all fiscal and legal requirements are met. A representative from the office submitting the schedule and the consulting Government Records Branch archivist attend the PRC’s review meeting to answer any questions and provide background information. The Public Records Committee may approve, amend or reject the schedule.

Implementation ORS implementation is generally a less detailed process than ARMS 2006 implementation. The preliminary work of conducting a records inventory and identifying records as administrative or operational has already been completed at the ARMS 2006



implementation stage. Also, by the time an operational records system is ready for implementation most staff members are familiar with ARMS 2006 and have a good understanding of classification systems and basic records management practices. They have also generally participated in the identification of operational records within their unit. Nevertheless it is still necessary to formally implement the system and this requires that institutions:

• design, print and apply labels to all current operational records; • arrange records according to the system; • ensure that all staff understand the system and that filing policies and procedures are

in place. Government Records Branch has developed a Reference Guide for ORS Development. Please contact GRB at 787-0734 or [email protected] to obtain a copy.




5. Filing

5.1 General Information on Filing

Efficient storage and retrieval of records depends on proper filing procedures. While these procedures vary considerably from institution to institution, there are some best practices which will help insure effective filing practices:

• Written policies and procedures relating to the classification and filing of records should be in place, available to all staff, and reviewed and updated on a regular basis.

• All staff must be aware of the records schedules applicable to their unit and understand their responsibilities in correctly classifying the records they create or collect. This includes an understanding that not all records need to be filed and that records identified as non-government records (see Section 3 of these guidelines) should not be filed along with government records.

• Ensure that the filing system is applied uniformly. Establish rules that specify how and where active records will be filed. Identify filing locations (file rooms, drive name, etc.) and instruct staff on how records will be filed within these locations. Files may be centralized or decentralized, at the head office, or in the regions, what is important is that staff are aware of where official and additional records are kept, who is responsible for maintaining the records and where they are filed.

• Remember that records management, including file procedures, applies to all

records including those produced and maintained electronically. Electronic records must be classified according to approved records schedules, and filing systems for electronic records should be constructed to correspond with the system in place for physical records. For information relating to filing systems for electronic records see Section 5.2.

• It may be necessary or desirable for certain files to be kept in an individual’s office

or on their desktop. In such cases, ensure that the records are being classified according to the relevant ARMS 2006 or ORS schedule and that they are entered in a central file registry or key so that others are aware of their existence. It is not recommended that individuals run parallel or “shadow” files that are outside the filing system. These files may compromise efforts to maintain a complete official record, and may present liability concerns if not destroyed when the official record is destroyed.



• If there is no central position(s) responsible for filing, and all staff are responsible for day- to- day filing, designate a position that is responsible for maintaining the central file registry and conducting regular year end maintenance of the filing system.

• Establish file naming conventions for files in all formats and ensure they are applied consistently.

• Establish controls relating to the retrieval or “checking out” of files. This is especially important if filing is carried out at the individual level and there is no staff member directly responsible for filing and retrieval.

• Close and inventory files at the end of each year and create new files for the current year. When closing paper files, box those with similar retentions together in order to facilitate disposal.

• Semi or inactive closed files can be moved to less expensive off-site storage until

they have met the retention requirements outlined in an approved schedule. One such storage facility is the SPM Records Centre at 110 Henderson Drive in Regina. The Records Centre has certain requirements for accepting records for storage. Please contact them at 787-6455 for more information.

• Take advantage of the benefits offered by computers in controlling file charge out and return, “bring forward” systems, inventory, maintenance of file classification plans and indexing and description of inactive files.

5.2 Filing Electronic Records

The management of electronic records (including e-mail) should be integrated with other records management practices for records in the custody or under the control of each institution. There are three ways in which institutions can manage their electronic records:

A. Electronic Records Management (ERM) software program B. Electronic Directory Structure C. Printing and Filing

A. Electronic Records Management (ERM) software program The most comprehensive way for institutions to meet their long-term records management needs is to implement Electronic Records Management (ERM) software. These types of systems are designed to manage electronic records through



their lifecycle. They can also integrate records management and desktop applications, so that the ongoing capture, organization, retrieval and disposition of electronic records become a routine part of electronic work processes. Prior to implementation of ERM applications, it is essential that the institution have an up to date filing and classification system. The current standard for the classification of administrative records in the Government of Saskatchewan is the Administrative Records Management System 2006 (ARMS 2006). Operational records must be classified according to an approved Operational Records System (ORS). Any decision to implement ERM applications should be done in accordance with government IT standards and purchasing policies. ERM – ADVANTAGES:

• Depending upon the specific application implemented, ERM/EDM (electronic document management) technology can address many long-term e-mail and general document management concerns, including: document naming conventions, version control, authentication, workflow, records classification, security, privacy, and records disposition according to approved records retention and disposition schedules.

• Many ERM applications can also handle the management of paper records with file folder and box level information.

ERM – DISADVANTAGES:

• Currently there are no government-wide standards for this type of application.

• Migration strategies are required to ensure future readability and security of all electronic records in the system.

B. Electronic Directory Structure This short-term solution requires program staff, records management staff and network administrators to work together to plan, design and create electronic directory structures, typically on shared computer or network drives. The best approach is to implement a structure that is similar to the existing filing system. These structures must ensure that the integrity of the original electronic record is not compromised due to the conversion of the document to another format.



Electronic Directory Structure – ADVANTAGES:

• It is generally quick and convenient for users to move electronic records to directories.

• Users have convenient and consistent access to all related records. • Records are more easily searched and can be re-transmitted and printed as

needed

• E-mail records can be saved with all relevant transmission data.

Electronic Directory Structure – DISADVANTAGES:

• It is necessary to coordinate filing systems for electronic and non-electronic records, and to have procedures in place that include both, for activities such as searching, regular disposal requests, etc.

• Migration strategies are required to ensure future readability and security of stored electronic records.

• Any problems with the integrity of a computer or network system (including alterations to records or shared directories) may jeopardize the authenticity and integrity of the records.

For more information on creating shared directories, see Appendix A: Organizing Electronic Directory Structures.

C. Printing and Filing A simple, short-term solution to electronic records management is to print and file electronic records in the existing records management system.

Printing and Filing – ADVANTAGES:

• It is easy to implement, especially where well-designed and well-understood filing systems already exist.

• It integrates related records and information from multiple sources in one place. • E-mail software options can be set to automatically print distribution, receipt and

other required information (metadata) such as subject, author, date, etc. • Standards and procedures may already be in place for both organizing and

properly disposing of hard copy records.



Printing and Filing – DISADVANTAGES:

• The ability to search for, retrieve, or re-transmit documents electronically is lost when records are deleted after printing.

• Some types of records, such as databases, are cumbersome or impossible to print and file.

• More physical documents mean increased physical storage requirements and associated costs.

Regardless of which of these three approaches institutions use for managing electronic records, users must have a clear understanding of which records they need to retain and how to store them. Filing systems, whether for paper or electronic records, need to be kept up-to-date, and procedures for disposing of records appropriately must be established and followed.



6. Disposing of Records All official government records must be retained by the responsible government institution for the length of time designated in the applicable records schedule. Once the retention period described in these schedules is met, official records may be disposed of using the procedures for either the Disposal and Transfer Guidelines for Administrative Records (detailed in Section 6.1) or the Records Disposition System for Operational Records (detailed in Section 6.2). Additional records are disposed of through institution specific approved additional records disposal policies (see Section 6.3).

6.1. Disposal and Transfer Guidelines for Administrative Records

6.1.1. Introduction 6.1.2. Definitions 6.1.3. Final Disposition column 6.1.4. Procedures for disposal of records designated ‘Appraisal Required’ (A) 6.1.5. Procedures for disposal of records designated ‘Destroy’ (D)

6.1.1 Introduction The Archives Act, 2004 authorizes government institutions to destroy any public record in their custody without the written permission of the Provincial Archivist providing the record is “administrative in nature and is addressed in a common administrative records schedule approved by the public records committee.” In order to facilitate this provision of the Act, the ARMS 2006 manual has been revised to include both a ‘Final Disposition’ column and procedures for the proper use of this column. These procedures describe the process for disposal of administrative records of government institutions that are covered by ARMS 2006. Disposition includes the destruction of records, as well as transfer to the Saskatchewan Archives Board. This includes ALL FORMATS of records, including electronic. Before a government institution is in a position to destroy or transfer administrative records it creates or acquires, the government institution must be using ARMS 2006 for both classification and disposition purposes. It must also have written records management policies and procedures and the Head must assign responsibility for “signing off” on the destruction of records to a position or positions at a senior management level. GRB will provide group training sessions as well as individualized advice and assistance to aid



government institutions in fulfilling these requirements. Please contact GRB for further information. Institutions unable to fulfill these requirements should follow, for administrative records, the procedures described in Records Disposition for Operational Records (Section 6.2).

6.1.2 Definitions The following definitions are important for your understanding of these guidelines. Additional terms are defined in the Glossary of ARMS 2006. ADDITIONAL RECORD: Refers to any other copy of a record (other than the official record)

required for administrative purposes. Additional records cannot be disposed of without an approved policy.

ADMINISTRATIVE RECORD: Records pertaining to administration or "housekeeping" activities

of the organization not central to the mandated function of the institution in question. For most government departments and some crown corporations, administrative records may include the management of facilities, property, material, finances, human resources, and information systems.

DESTRUCTION: Destruction occurs when records have served the required retention period and

have been identified for destruction according to the Final Disposition (FD) column in ARMS 2006, or if the records have been reviewed by the Saskatchewan Archives Board and determined to possess no long-term historical significance.

DESTRUCTION NOTIFICATION: For ADMINISTRATIVE records with DESTROY (D) in the

Final Disposition Column of ARMS 2006 (Administrative Records Management System 2006). Notification sent to the Saskatchewan Archives Board advising that certain administrative records have met their retention periods and have been destroyed. A Destruction Notification Form, which is provided by the Saskatchewan Archives, must be used. This includes the name of personnel authorizing destruction (head of institution or designate), date of destruction, where the destruction took place, who witnessed it, and the method of destruction.

DISPOSAL REQUEST: Request sent to the Archives to request disposal of OPERATIONAL

records that have met their required retention periods. Disposal can include destruction or transfer of records to the Saskatchewan Archives Board. Disposal requests must be made on a Disposal Request Form, which is provided by the Saskatchewan Archives Board. An inventory must accompany the Disposal Request Form. Inventory forms are available from the Saskatchewan Archives Board. Other inventory forms (department or Records Centre) may be used, providing the relevant information is included.



GOVERNMENT RECORDS: All recorded information that relates to the transaction of

government business, regardless of physical form, including documents, maps, electronic records, e-mail, drawings, photographs, letters, vouchers, papers, etc. which are received, created, deposited or held by an office of a department, agency, board, crown corporation, commission, or other institution of the Government of Saskatchewan.

OPERATIONAL RECORD: Records which relate to the operations and services provided by an

office in carrying out the functions for which it is responsible according to statute, mandate, or policy. In most cases, operational records are distinct from common administrative functions and are unique to each government institution.

RECORD: Recorded information, regardless of medium (paper, computer disks, electronic,

microfilm, e-mail, photographs, maps, etc.) or characteristics. A record can refer to a single document or a group of documents in a file folder

RECORDS APPRAISAL: The process of determining the historical value of records for possible

transfer to the Saskatchewan Archives Board. RECORD SCHEDULE: The schedule is an effective tool for records management which provides

a classification system, a concise and convenient description of each record and its required retention period. Records Schedules are the authority by which government organizations may dispose of records no longer required. All records schedules must be approved according to the procedures set out in The Archives Act, 2004.

REQUEST FOR APPRAISAL: For ADMINISTRATIVE records with APPRAISAL REQUIRED (A) in

the Final Disposition column (FD) in ARMS 2006 (Administrative Records Management System 2006). Request sent to the Saskatchewan Archives Board asking for an archival review of administrative records that have met their retention period and have been identified for appraisal in ARMS 2006. Records will either be transferred to the Archives for permanent archival retention or identified for destruction. A Request for Appraisal Form must be used. Forms are available from the Saskatchewan Archives Board. An inventory must accompany the Request for Appraisal Form. Inventory forms are available from the Saskatchewan Archives Board. Other inventory forms (department or Records Centre) may be used, providing the relevant information is included.

6.1.3 Final Disposition Column

ARMS 2006 provides information regarding the final disposition of administrative records. The Final Disposition column (FD) will contain one of the following:

A Appraisal is required for possible transfer to the Saskatchewan Archives

Board D Records may be destroyed



6.1.4 Procedures for disposal of records designated ‘Appraisal Required’ (A)

An appraisal must be requested when the records have met the requirements of their

retention periods and have been identified as “A” in the final disposition (FD) column in ARMS 2006 (Administrative Records Management System 2006).

Department Records Manager 1. Identify records designated for archival appraisal as indicated in the final

disposition column in ARMS 2006.

2. Prepare inventories of the material designated for archival appraisal. (Forms are available for use. Internal department inventory forms or records centre inventory forms may be used provided the relevant information is included).

3. Send a Request for Appraisal Form, signed by the head of the institution (or

designate), along with the records inventories to the Provincial Archivist.

Archivist, Government Records Branch4. Appraise records and identify those required for archival retention.

5. Send the list of historically significant records to be acquired by the Archives

to the department personnel responsible for records management. Send documentation confirming the appraisal and provide authorization that records not selected for archival retention may proceed to destruction.

Department Records Manager

6. Using the above list, select records identified as archival and contact the Government Records Branch to arrange for their transfer to the Archives.

Archivist, Government Records Branch

7. Confirmation will be sent to the department personnel when the boxes are accessioned into the holdings of Saskatchewan Archives Board.

Destruction: All remaining records not selected for archival retention may proceed to destruction according to Section 6.1.5.



6.1.5 Procedures for disposal of records designated ‘Destroy’ (D)


1. Identify records that have served their retention periods and that have been identified for destruction in the Final Disposition column in ARMS 2006.

2. Prepare detailed inventories of the material designated for destruction.

Confirm that retention periods and other conditions have been met and that the records are indeed administrative, and have been related to the appropriate primary and secondary in ARMS 2006.

Institution Head (or designate)

3. Authorize destruction of records by signing the Destruction Notification Form.


4. Destroy records authorized for destruction. Prepare a Destruction Notification Form (signed by head of the institution or delegate) and send a copy to the Saskatchewan Archives Board, including the inventory of records destroyed. This inventory will be used for audit purposes by the Archives – the department/branch is responsible for retaining a copy of the inventory as well as records that document destruction of material. The Destruction Notification Form must contain the following information: date of destruction, where destruction took place, who witnessed it, and the method of destruction.

Note: Government offices using external shredding or recycling services should follow their department’s policies with respect to the provisions of The Freedom of Information and Protection of Privacy Act (FOIPP), The Health Information Protection Act (HIPA), and any other legislation governing information access and privacy.

6.2. Records Disposition System for Operational Records

All operational records must be retained by the responsible government institution for the length of time designated in the Operational Records System(s) (ORS) applicable to that institution. The regulations and procedures for disposing of operational records differ significantly from the disposal process for administrative records. Administrative records may be disposed of, providing the procedures for their disposal detailed in these guidelines and in the ARMS 2006 manual, are followed, without the express written permission of the Provincial Archivist.



Conversely, the disposal of operational records, as specified in The Archives Act 2004 requires, in all instances, the written permission of the Provincial Archivist. This process also applies to administrative records in the case of government institutions that are unable to meet the requirements necessary to dispose of their administrative records internally (see Section 6.1).

6.2.1 The Disposal Process

The department or agency wishing to dispose of records initiates the disposal process. Disposal requests are submitted to the Saskatchewan Archives Board. The following information must be included on all disposal requests:

• department/branch name • transfer number (if applicable) • medium identification (hard copy or electronic – if electronic provide the

application name and version number) • location of records and, for medium other than paper, how they can be accessed. (It

is the responsibility of the department, etc. to have available the necessary hardware and software to make all electronic records accessible for review)

• titles of files or file groupings, including a brief description of records • inclusive dates • schedule designation • volume of records (how many boxes, cd’s, etc.) • name and phone number of a contact person.

A records inventory or SPM Records Centre transfer sheet containing all of the above information and covered by a signed letter requesting disposal is acceptable.

The disposal letter must be signed by a person authorized by the head of the institution to sign off on the disposal of records. Authorization forms are available from the Saskatchewan Archives Board.

When the disposal request is received by the Archives it goes through an initial review process which ensures that the request is complete, that the records are eligible for disposal, that they have been related to the correct schedule and that they have met their retention requirements. If additional information is needed you will be contacted by one of



the disposal archivists either in writing or by phone. If, during the review process, it is discovered that all or some of the records are not eligible for disposal you will be advised by letter to retain them. In a second review process, our appraisal archivists examine lists of records and select those that they would like to physically appraise in order to determine the historical value of records. After both review processes have been completed you will receive a letter from the Archives. The letter may: authorize destruction of all records included in the disposal request; authorize destruction of some of the records and advise to retain the remaining records for a physical appraisal; or advise to retain all the records for appraisal. If a physical appraisal is conducted, you will receive a second letter describing the result of the appraisal; the result of this appraisal may be that some or all of the record will be transferred to the Archives. Any records not selected for transfer will be authorized for destruction.

6.2.2 Where to Begin If you need assistance during any portion of the process, please contact our inquiry line at (306) 787-0734 or email [email protected].

• Collecting Information: To begin the disposal process you need at least the following information about your records: medium identification (if records are boxed include box numbers, if records are electronic include where and how they can be accessed), records titles and dates for each record/group of records. This information can be included in inventory listings, file lists, any other file listings, or SPM Records Centre transfer sheets. If the file listings are not complete, it will be necessary to review the records to fill in the missing data. If this information is not available, it will be necessary to conduct a records inventory.

• Assigning Schedule Designations and Calculating Disposal Dates: All records must

be related to the appropriate operational records system. Once this has been done it is necessary to verify that the records have met the retention requirement specified in the system. To determine disposal dates it is necessary to determine the fiscal year of last action on the file. For example, if a record has an end date of May 15, 1992, its current fiscal year is 1992-1993. If the record in question has a six year retention period, you begin counting those six years AFTER the current fiscal year, i.e. 1993-94, 1994-95, 1995-96, 1996-97, 1997-98, 1998-99. Therefore the date that this record became eligible for disposal was 31 March 1999.



• Submitting the Disposal Request: Send the list of records, with schedule

designations, to the Saskatchewan Archives Board at the address given below. If you are using the SPM Records Centre transfer sheets (or inventory sheets from any other storage facility) please ensure that the schedule designation information on these sheets is correct before submitting to the Archives. Often several years have elapsed from the time of placement in semi-active storage to date of disposal request. It must be determined if a new ORS has been approved within that time period and the records must be related to the current system prior to submission to the Archives.

• Letter to the Provincial Archivist: Once you have all the information collected and

reviewed, write a letter to the provincial archivist. Send this letter along with the list of records to the Saskatchewan Archives Board at this address:

Provincial Archivist Saskatchewan Archives Board 3303 Hillsdale Street Regina Saskatchewan S4S 6W9

Before sending a disposal request to the Archives, please ensure that all listed records are eligible for disposal.

How to contact us If you require assistance at any time in the disposal process, you can call our inquiry line at 787-0734 or email us at [email protected].




6.3 Disposal of Additional Records On June 6, 2002 and June 16, 2003, the Legislative Assembly approved changes to the format of records schedules and the process for the disposal of additional records in the Saskatchewan Government. Prior to this, all government institutions had to obtain written authorization from the Provincial Archivist to dispose of additional records. With recent changes, this authorization is no longer required, providing the official record is included in the Administrative Records Management System 2006 (ARMS 2006) or an approved Operational Records System (ORS) and the government institution has in place approved internal policies and procedures for managing retention and disposal of additional records. Additional records are copies of an official record where the official record is a record retained by a government institution to satisfy legal, financial and other long-term requirements. The official record can be the original and the only copy of a record, microfilm, electronic or any replacement copy of a record. The additional records designation allows government departments to dispose of unnecessary copies of records once the official record is identified and verified. For example, when a government agency decides to change the format for certain records (e.g. from paper to electronic, etc.), source documents can be disposed of as additional records providing the new format for the official record is legally acceptable. Official Records are subject to the disposal procedures as per The Archives Act, 2004 and must be disposed of or transferred to the Archives using the procedures specified in Sections 6.1 and 6.2 of these guidelines. Approved policies and procedures for the disposal of additional records should outline responsibilities of records managers, staff members, executives and include steps documenting records disposal. Based on internal policies and procedures, individual branches/sections will determine for how long additional records are to be kept and how to dispose of them. It is recommended that the disposal policies and procedures be approved by senior management and applied uniformly throughout the organization. A copy of the approved policy and procedures should be forwarded to Saskatchewan Archives Board. Please note that documented records management procedures, including procedures for the disposal of additional records, are necessary to satisfy certain requirements in The Archives Act, 2004 and The Saskatchewan Evidence Act, and may be required to comply with The Electronic Documents Act.



Disposal Policies and Procedures for Additional Records The following are recommendations regarding the establishment of administrative procedures and disposal policies for additional records. Additional Record Disposal Policies – Requirements and Conditions

• The official record must be related to ARMS 2006 or a current, approved Operational Records System.

• Additional Records must contain information identical to that of the official record • The official record should exist in the branch responsible for carrying out the

functions. • The branch, unit, etc. responsible for retaining the official record must be

determined and clearly identified prior to the disposal of additional records. • Disposal documentation must be retained by the department or branch. • Disposal documentation should include the description of additional records to be

destroyed (e.g. records titles, inclusive dates for the records, relevant ARMS 2006 or ORS numbers, etc.). Disposal documentation must also identify the official record (title, dates, medium, etc.) and the official record keeper (e.g. branch, unit, etc.), date of disposal of records, method of disposal, witness’s signatures, etc. See Section 6.1.5 of these guidelines.

• Physical disposal of additional records can take place only after verification of the quality, integrity, accessibility, and completeness of the official record.

Additional Record Administrative Procedures

• Determine administrative responsibilities - who is accountable for disposal of additional records (e.g. the directors of

branches, records managers, etc.)? - who gives final approval for disposal? - who retains records documenting disposal of additional records (e.g.

centralized - records management co-ordinator, decentralized – branches)? - who is notified regarding disposal? - who conducts the physical disposal (branches, records management, etc.)?



• Establish procedures for:

- identifying and verifying official records - determining when additional records are eligible for disposal - approving disposal of additional records - consultation with staff members, senior executives and office solicitor - physical disposal of additional records - documenting the disposal process - retaining disposal documentation

Disposal of Source Records If a branch or department decides to change the format of certain records to microfilm or to electronic images, it may dispose of source records under the additional records designation providing the imaged official record is verified and complete. The disposal process of the source documents must be thoroughly documented. According to The Standard on Microfilm and Electronic Images as Documentary Evidence (CAN/CGSB-72.11-93), a microfilm or electronic image is acceptable as evidence in a court of law, only if proof is presented that the source documents were destroyed. Refer to the standard for further information regarding microfilming/imaging requirements.

6.4. Disposal of Non-Government Records Once transitory records and other non-government records are no longer needed, they can be destroyed without authorization from the Provincial Archivist. Regular destruction of transitory records and other non-government records should become a routine administrative practice in government offices. The method of destruction depends on the format of the records and their contents. Transitory records are subject to privacy protection under The Freedom of Information and Protection of Privacy Act (FOIPP), as well as any confidentiality requirements. Therefore, any transitory records containing private information as defined by FOIPP, or any sensitive or confidential information, should be disposed of using secure methods. Paper transitory records containing personal or confidential information should be shredded. For example, a draft letter with a spelling mistake containing a client’s address or financial information should be shredded rather than placed in a recycle bin. Paper transitory records that do not contain personal or confidential information can be reused or recycled. Regardless of whether electronic transitory records are confidential or not, the process for disposing of them is the same: delete. It is important to make sure that all copies existing in



the “Deleted Items” folder and the electronic “Recycle Bin” are deleted. Copies of transitory records remaining in the “Deleted Items” folder or “Recycle Bin”, even though they have been deleted from other folders, still exist and are therefore subject to FOIPP and any legal proceedings. Similarly, if transitory records mixed with government records are transferred to another medium (e.g. cd, diskette, tapes, microfilm, etc.) for long-term storage, they will be subject to the provisions of the FOIPP Act. Therefore it is essential that transitory records are purged before government records are transferred to long-term storage media. Staff need to be aware of the timing of such media transfers so they can ensure that all transitory records have been deleted. For information on distinguishing between government records and non-government records, see Section 3 of these guidelines.



Appendix A Organizing Electronic Directory Structures Electronic records are records created using computer programs, and include e-mail, word processor documents, spreadsheets, databases, images, graphics, etc. Just like paper or other non-electronic records, electronic records require organization and classification. While it is true that a government record can exist in any form, good management of electronic records provides unique challenges, especially in the areas of security, reliability, authenticity and integrity. Software programs called Electronic Records Management (ERM) or electronic document and records management applications are designed to address these challenges, but they can be cost-prohibitive and their implementation may require considerable time and staff resources. An interim solution is to create and organize shared directories (sometimes called folders) on a network. While this interim solution can facilitate the organization of records, and can address some electronic records management challenges, it does not adequately address issues related to long-term management, security, reliability and integrity of e-mail records. Shared Drives A shared directory is a directory created on a computer hard drive that is accessible to many users in a network environment. Upon creation of the drive, it is assigned a letter (in the same way that the hard drive on a personal computer is assigned the letter “C”). As an example, let’s say the shared drive is assigned the letter “F”. Within this shared “F” drive, directories can be created in which to place electronic records. In order to facilitate classification, these directories can be assigned names which represent department branches, units, sections, etc. In this example, the F drive has been divided into 4 directories: Henderson Drive Site, Regina Government Records, Saskatoon Office, and Regina Office:



Shared Directories Depending on the size of the branches and the numbers of records involved, the next level of directories could be named to reflect:

- units or sections within the branches (large departments); - ARMS 2006 or ORS main groups (large branches, many records); - ARMS 2006 or ORS primaries/secondaries (smaller branch, fewer records).

For the purposes of this example, the next level of directories will be named for ARMS 2006 and ORS primaries and secondaries. The primaries are 4-digit numbers that correspond with a file classification in ARMS 2006. Combined with a 2-digit secondary number (and separated with a dash), this new compound number constitutes the ARMS



2006 file classification number. For example, let’s say someone within the branch identified as Regina Government Records creates a list that identifies employees and their EDO (Earned Day Off) schedule. Within ARMS 2006, records relating to Leave and Attendance are to be filed in primary 5475 – LEAVE AND ATTENDANCE. Within this primary in ARMS 2006 there are 4 secondaries. The most appropriate secondary in which to file these records is 05 –EMPLOYEE LEAVE AND ATTENDANCE. The complete classification number is therefore 5475-05. (IMPORTANT: Within file management programs such as Windows Explorer, you can keep ARMS 2006 and ORS primary/secondary numbers in numerical order by preceding the 4-digit primary number with a leading zero (e.g. Primary 5475 becomes 05475). Otherwise, ORS numbers, which begin at 10,000, will become mixed with ARMS 2006 numbers, which start at 1000.) The resulting directory is created within the Regina Government Records directory, and is named 05475-05, as shown below:



You can see many other directories within the Regina Government Records branch. Numbers between 01000 and 06200 are pre-designated ARMS 2006 numbers; five-digit numbers beginning at 10000 are ORS numbers. IMPORTANT: you only need to create directories for those primaries/secondaries that you use; there is no need to create directories for all ARMS 2006 primaries and secondaries. In this example, directories have been named for ARMS 2006 and ORS numbers only. For users’ convenience, directory descriptors could include both number and name, e.g. 05475-05 - LEAVE AND ATTENDANCE – EMPLOYEE LEAVE AND ATTENDANCE. If the full name is too long and cumbersome, employ a clear and easy-to-understand abbreviation. Within this directory, actual electronic records can be filed. In this example, the document named EDO Schedule.doc has been filed in 05475-05:



It is sometimes necessary to create further levels of directories in order to keep files in order. Folders at this level and beyond can be assigned names that reflect the function of the records within, and in accordance with department policy and procedures. Let’s take a look at another example, this time from the operational records portion of the classification system. Operational records are assigned numbers 10,000 and higher. One of the functions of Government Records Branch (GRB) is to assist government institutions in the development of records schedules. Within GRB’s ORS, the primary 22000 is named INFORMATION MANAGEMENT – SCHEDULE DEVELOPMENT AND IMPLEMENTATION. Secondary 50 is CASE FILES. Records relating to this function are kept in 22000-50:



Many records are created in fulfillment of this function, so 22000-50 has been divided into subfolders. At this level (tertiary) and beyond, naming is at the discretion of the institution; at the first two levels (primary and secondary), folders must be named for ARMS 2006 or ORS primaries and secondaries. Users cannot create primary or secondary numbers or descriptions. Records can be filed within these folders, as in the example of 22000-50/Children’s Advocate:

Here, only four records have been filed. Other folders may contain so many records that it is necessary to further subdivide the folder. As an example, 22000-50/Health contains 5 subfolders, each containing records relating to schedule development in a certain branch of the Department of Health:



Each of these folders contain records, as in the example of 22000-50/Health/Policy and Planning:



The above example illustrates only one way of organizing electronic records within shared directories. Factors such as the size of a department, volume of records created, and general records management policies and procedures will dictate exactly how electronic records are organized. Managing Old Files Like paper or other non-electronic records, electronic records must be kept for a certain minimum period of time as outlined in a retention schedule. One way to keep track of that time is to transfer records to a special drive at the end of each fiscal year. In the same way that the “F” drive was created in order to store and share current records, another drive can be created in which to store records from previous years. In this example, records from past years are stored in the “O” drive:



At the end of each fiscal year, all records that have been determined to be government records are transferred to a directory in the “O” drive. (or “Oldfiles”) for storage. The main directory is named for the fiscal year in which the records were created. Within the “Regina Government Records” directory, we see directories that contain records from past fiscal years:



Records are transferred into these directories with their internal directory structures intact. This allows records managers to easily identify which records are eligible for disposal. For example, within 1997-98, you can see sub-directories named for ARMS 2006/ORS primaries and secondaries:



For example, according to ARMS 2006, records classified as 02235-03 BUILDING – MAINTENANCE: JANITORIAL SERVICES have a retention period of two years. These records were created in the 1997-98 fiscal year, and are therefore eligible for disposal. Records from 1997-98 classified as 01015-50 MEETINGS – CASE FILES have a retention period of 6 years, and therefore were eligible for disposal 1 April 2004. IMPORTANT: Administrative records placed in long-term storage directories before 2006 will have been classified according to ARMS 2006 predecessor, ARMS and records placed in long-term storage directories before 2003 will have been classified according to ARMS’ predecessor, SARS. When requesting permission to dispose of records, records must be related to ARMS 2006. In some cases, it will be necessary to make sure that records classified according to altered or eliminated SARS primaries/secondaries are related to the appropriate ARMS 2006 primary/secondary.



IMPORTANT: It is possible to assign certain attributes to directories, e.g. read-only, hidden, etc. To help maintain the integrity of records placed into long-term electronic storage, it is advisable to activate the read-only attribute of a directory, which will in turn make the records contained therein read-only as well. This practice is designed to prevent users from deleting or altering text in stored records, thus helping maintain the integrity of the information contained in the record. For further information of organizing shared directories, contact GRB at 787-0734 or [email protected].




Appendix B

Glossary of Terms

Additional record refers to any other copy of a record (other than the official record) required for administrative purposes. Additional records cannot be disposed of without an approved policy.

Administrative Records Management System 2006 (ARMS 2006) is a combined classification system and records retention schedule for administrative records. ARMS 2006 is intended for use by all Saskatchewan government departments, boards, crown corporations, agencies and commissions.

ARMS 2006 see Administrative Records Management System 2006.

Attachments are items appended to and transmitted with an e-mail message. Such items include word processing documents, spreadsheets, databases, sound files, image files, etc.

Electronic mail (e-mail) messages are communications created, sent or received on an electronic mail system and include any attachments and all associated transmission data. E-mail messages include those sent or received internally or externally.

Electronic mail (e-mail) system is a computer application used to create and receive e-mail messages and attachments.

Government records include all recorded information that relates to the transaction of government business regardless of physical form including documents, maps, electronic records, e-mail, drawings, photographs, letters, vouchers, papers, etc. which are received, created, deposited or held by an office of a department, agency, board, commission, crown corporation or other institution of the Government of Saskatchewan. They do not include transitory records, published records, personal records, and most copies of informational material that are widely distributed.

Junk e-mail (spam) includes jokes, unsolicited advertising, etc

Non-government records are records that do not document government business or activities, such as transitory records, publications and non-work-related records. Non-work-related records are records of government employees concerning their private life. These records do not pertain to any aspect of government business. Typical examples



of non-work-related records are employees’ personal e-mails and letters; records of other organizations with which an employee is involved, but not as part of the government business (i.e. associations, community organizations, etc.); e-mail related to non-work activities such as lunch or break arrangements, social functions, etc. Official record refers to the official copy of a record that is retained, within your institution, for legal, fiscal, operational, or historical purposes. It exists to fulfill long-term financial, legal and audit requirements. It can be the original and only copy of the record or a replacement copy that is designated as official. Legal concerns for storage media, as defined by The Electronic Documents Act and The Saskatchewan Evidence Act, must be satisfied before a record is designated as official.

ORS (Operational Records System) is a combined classification system and records retention schedule for operational records (program specific records). The use of relevant operational retention schedules is mandatory for the disposal of operational records

Publications in general include books, magazines, pamphlets, printed annual reports, etc.; i.e. any published material with the exception of master copies of institutional publications. In the context of e-mail, messages and digests received from listservs and newsgroups are also publications, and may be disposed of without a schedule or disposal request. It is important to note however that while published documents are not considered government records according to The Archives Act, 2004, The Legislative Assembly and Executive Council Act, 2005 specifies that Saskatchewan government institutions must deposit six copies with the Legislative Library before discarding their own publications.

Records schedules are an effective tool for records management which provide a classification system, a concise and convenient description of each record and its required retention period. Records Schedules are the authority by which government organizations may dispose of records no longer required. All records schedules must be approved according to the procedures set out in The Archives Act, 2004.

Saskatchewan Administrative Records System (SARS; also known as Schedule 326 and 329) is a former government-wide standard for administrative records. SARS is no longer applicable and is superseded by ARMS 2006.

SARS – see Saskatchewan Administrative Records System.

Transitory records are records of temporary usefulness that are needed only for a limited period of time, to complete a routine task, or to prepare an ongoing document. They are not required to meet statutory obligations or to sustain administrative or operational functions. Once they have served their purpose, they should be destroyed

Transmission data is information pertaining to the sender and recipients as well as any header information and transmittal data such as time and date.



Saskatchewan Archives Board Government Records Branch

(306) 787-0734 [email protected]

www.saskarchives.com

