Guidelines on Documented Disposition of Records

Purpose
What is disposition?
What is a documented disposition process?
Benefits of a documented disposition process
Considerations in developing a documented disposition process
Developing a documented disposition process
Implementing a documented disposition process
Appendix A: Definitions
Appendix B: Sample template for documented disposition (slightly adapted from LAC’s internal IM processes)

Purpose

To enable and support the delivery of programs and services to Canadians, government institutions create, acquire, capture, and manage vast amounts of records. The records created also provide evidence of government activities, decision-making, policy development, and demonstrate transparency and accountability. The management of the records that are created through the performance of functions is essential. Individuals at all levels need to know what information is necessary for their business, where it is, who needs it, when and for how long, and what should be done with it once the business need is fulfilled.

This guidance provides advice to departmental officials on establishing and implementing disposition processes for all records in respect of section 4.4.8 of the Directive on Service and Digital and to account for compliance with sections 12 and 13 of the Library and Archives of Canada Act (LACA)

The document is directed toward Government of Canada (GC) program managers, information professionals and others involved in defining, documenting, and applying disposition processes. Although it is primarily for GC organizations to which the Policy on Service and Digital applies, those which are not subject to Treasury Board policies (i.e., departments as defined in Schedule 2 of the Financial Administration Act) are encouraged to follow the advice provided, as appropriate.

For clarity and understanding, this guidance refers to the appropriate disposition of records that institutions create, collect, and manage to fulfill their mandate, make decisions, deliver programs, and be accountable to Canadians. The term “record” is used throughout this document to refer broadly to information and data that serve as evidence of Government of Canada (GC) activities. This usage aligns with the legislated definitions found in both the LACA and the Access to Information Act, and is consistent with the definition of “information” provided in Appendix A of the Policy on Service and Digital.

What is disposition?

Within the context of GC information management, disposition is the process that enables government institutions to remove records that no longer have operational value.

For GC institutions, disposition is typically fulfilled in one of three ways:

Destruction
Transfer to LAC
Alienation from the control of the GC to an outside party

Per Section 12 of the LACA, consent to the destruction or transfer of records (either to LAC or through alienation) is authorized through disposition authorizations - formal instruments issued by LAC. These instruments take two forms:

Institution-specific (Institution Specific Disposition Authorizations (ISDAs))
Multi-institution (Multi-Institution Disposition Authorizations (MIDAs))

What is a documented disposition process?

A documented disposition process is a formally approved internal policy that outlines the procedures to follow once information becomes eligible for disposition. This includes recording the specific disposition actions taken, as well as any deviations from the planned process, such as those required to comply with legal holds or preservation orders.

This process applies to records that are required to control, support, or document the delivery of programs, to carry out operations, to make decisions, or to provide evidence that accounts for the activities of the GC at any time. Transitory records can be destroyed at the end of their usefulness unless there is an outstanding ATIP request or legal hold. For further information about transitory records, please see LAC’s disposition authorization for transitory records.

Benefits of a documented disposition process

Following an approved process for documenting disposition will enable effective and complete disposition of all eligible records. It will result in an accountable and transparent recordkeeping environment that will allow institutions to fulfil their legal obligations as well as their responsibilities to stakeholders both inside and outside of the GC in a manner that is consistent, transparent and auditable.

A documented disposition process will:

enable institutions to reduce the volume of records (that have passed their retention periods) allowing more effective and efficient search and retrieval of current records
allow institutions to identify if certain records have been disposed of (through destruction, transfer, or alienation)
enable institutions to be accountable for their disposition actions and re-create the context of decision-making by demonstrating what has been disposed of and the related approval process
reduce the risk that disposition actions are undertaken inadvertently, without full information or approval
ensure that disposition is complete
ensure that disposition decisions are provided equally to all records related to the same file classification (such as copies of records), regardless of medium or form
enable effective use of systems that manage records as storage capacities will be managed according to actual need

Considerations in developing a documented disposition process

1. Effective management of records

The successful implementation of a documented disposition process is based on appropriate management of the records concerned, including the existence of a records classification system with titles, dates, retention specifications, etc. All government institutions – even those not subject to TBS authority – should manage their records according to the methodologies, mechanisms, and tools outlined in section 4.3 of the Directive on Service and Digital (Open and strategic management of information and data). Additionally, section J.2.2.2 of the Standard on Systems that Manage Information and Data requires systems to “have the capacity to manage the retention and disposition of information and data in a procedural and auditable way…”.

2. Establish standard methods of tracking institutional disposition actions

To mitigate risk and enable quick access to disposition decisions, standard methods of tracking institutional disposition actions should be developed. All files created in support of documenting the disposition process should be maintained according to the following best practices for information management:

Develop a standardized documentation package: A standard set of information should be captured surrounding each disposition action, preferably in a standardized form. This information may be accompanied by file lists or other additional documentation where required
Use the departmental (file) classification system: All records documenting the disposition of records should be organized within the classification system used by the institution
Maintain corporate systems that manage records: All records about the disposition process should be maintained in an appropriate system and managed according to their retention and disposition requirements
Adherence to retention periods: Retention periods are set by each institution based on their own needs and requirements. However, LAC does provide retention recommendations as part of the Generic Valuation Tools (GVTs).

3. Security concerns

After the Office of Primary Interest (OPI) has been consulted about security requirements, the disposition decisions should then be noted for each group of records by security classification, as appropriate. Specific security concerns surrounding records may necessitate variations in the disposition process. For example, the shredding of protected B records or burning of secret records.

4. Transfer of custody within the Government of Canada

Records may be transferred to another business unit or institution within the GC if responsibility is transferred to another program area. Although this is not necessarily considered to be a form of disposition, the details around the transfer including time, method, accountable entity for transfer, etc., must be documented to ensure accountability and transparency, and that resources are not used to search for records which are no longer within organizational custody. This will serve as proof of authorized and successful transactions as well as can be part of the metadata record left after the document's transfer.

5. Physical degradation or obsolescence

If records have degraded to a point where they are no longer accessible, (e.g., damage, digital records in an inaccessible and/or obsolete format), this should be documented as the disposition rationale.

If archival records are degraded, the archivist should be contacted for next steps.

6. Management of copies

To ensure that the disposition process is complete, all copies of records including backups, should be located, and managed according to the disposition policy.

Developing a documented disposition process

The development of a documentation disposition process should be done in consultation with the OPI for the records. Necessary considerations include:

1. Existing disposition coverage

Verify that all the records in question are covered by a valid disposition authorization from LAC. Determination of the appropriate disposition action should be made with reference to the terms of these authorizations, frameworks and application guides. LAC archivists should be contacted for assistance or clarification, where required.

2. Identification of security classification

Verify the security classification for the records. This will determine whether special procedures for their disposition are required (e.g., secure destruction).

3. Investigation of any potential holds

Ensure there are no current or anticipated legal holds or outstanding Access to Information or Privacy (ATIP) requests preventing the disposition of the records in question.

4. Documenting decisions

Documentation of disposition decisions should also be subject to a retention policy. See the GVT for Information Management for recommendations on how long this material should be kept.

Implementing a documented disposition process

Once the retention period has expired, implementing the documented disposition process includes:

1. Verification of information

The information collected to create the documented disposition process (i.e., disposition authorization coverage, security classification for the records, and potential holds) should be verified to ensure it continues to be accurate.

2. Approval from the OPI

Documented approval (e.g., email confirmation, completion and signature on a form) should be obtained from the OPI for the disposition to go forward.

In rare circumstances, the OPI may not approve, and a new retention period may need to be set. In this case, documentation should be kept explaining why the disposition action did not occur and the rationale for the new retention period (and the retention schedule updated). This does not relate to cases where disposition cannot occur due to ATIP requests or legal holds; in these cases, the retention period does not change, but disposition actions are suspended.

3. Completion and documentation of the disposition action

The following information about disposition should be captured and documented in the system that manages records throughout their lifecycle.

Metadata about the records: identifying information (file, document, or series title), dates, format, retention specifications and disposition authorization clause. For information about archival records please see LAC’s Operational Standard for Digital Archival Records' Metadata which applies to records under the control of institutions to be transferred to Library and Archives Canada
Information about disposition: name of disposition recommender, date of the internal authorization for the disposition method, and date of disposition, internal authorization for this action, and confirmation that it occurred
Information provided by the new custodian: If records are transferred to another institution, identifying information should be provided by the new custodian, including a control number or identifier

The exact form that the documentation takes may vary depending on the material and how much is being disposed of. For instance, if disposing of digital records stored in a system that manages information and data, the documentation may take the form of a report exported from the system upon destruction. The institution may also wish to retain the audit logs or other metadata associated with the destroyed digital resources to document disposition and/or satisfy specific legal requirements.

Appendix A: Definitions

Alienation

Definition 1: Removal of records from the care and control of the Government of Canada.

Source: Policy on Holdings Management

Definition 2: A process that involves an institution that is subject to the LAC Act transferring records to a party that is not subject to the LAC Act.

Business records

Records that support operational purposes and reflect institutional decision-making.

Source: Library and Archives Canada, Disposition authorization for transitory records (2016/001)

Note: The Directive on Service and Digital requires the departmental CIO to be responsible for identifying information of business value, based on an analysis of the functions and activities carried out by a department to enable or support its legislated mandate (4.3.1.10). The identification of information of business value serves as evidence of a department carrying out mandated activities. This identified information and data serves as a record (or evidence) of those actions and must be created, captured, and managed appropriately throughout the lifecycle and until disposition

Classification

Systematic identification and/or arrangement of business activities and/or records into categories according to logically structured conventions, methods, and procedural rules.

Note: Not to be confused with security classification.

Source: ISO International Standard 15489-1, 2016

Destruction

The definitive obliteration of a record or file beyond any possible reconstitution.

Source: ARMA International, Glossary of Records Management and Information Governance Terms

Disposition

Destruction or alienation of records, or transfer of records of archival value to LAC.

Source: Library and Archives Canada, Operational standard for the use of disposition authorizations

Disposition authorization (DA)

The instrument that Library and Archives Canada issues to enable government institutions to dispose of records which no longer have operational utility, either by permitting their destruction, by requiring their transfer to Library and Archives Canada or by agreeing to their alienation from the control of the Government of Canada.

Source: Library and Archives Canada. Disposition of government records, Frequently asked questions

Information life cycle

Encompasses the planning, collection, creation, receipt, capture, organization, use, re-use, dissemination, maintenance, protection and preservation, disposition, and evaluation of information.

Source: Treasury Board of Canada Secretariat. Policy on Service and Digital

Metadata

Information used to contextualize, manage, preserve and provide access to documentary heritage.

Source: Library and Archives Canada, Policy on Holdings Management Policy on Holdings Management

Office of Primary Interest (OPI)

The federal government institution -- department, agency, board, office or commission -- to which the authority, responsibility and accountability to perform a particular function on behalf of the Government of Canada has been specifically assigned by legislation, regulation, policy or mandate.

Source: Library and Archives Canada, Disposition of government records, Frequently asked questions

Record

Any documentary material other than a publication, regardless of medium or form.

Source: Library and Archives of Canada Act

Repository

A preservation environment for information and data resources which includes specified physical or electronic storage space and the associated infrastructure required for its maintenance.

Source: Treasury Board of Canada Secretariat. Policy on Service and Digital

Retention period

The period of time a record must be kept to meet administrative, fiscal, legal or historical requirements. It is typically established based on business need, type of record, legislated/regulatory requirements, and/or societal expectations.

Retention specification

Consists of three elements: i) a “retention period” (duration of time for which a record is retained), ii) a “retention trigger” (an event in time that begins a “retention period”), and iii) a “retention rationale” that explains or justifies a “retention period” and its corresponding “trigger.”

Transitory records

Records that are not required to control, support, or document the delivery of programs, to carry out operations, to make decisions, or to provide evidence to account for the activities of government at any time. Examples include convenience copies of materials already stored in a corporate repository, sales product bulletins, listserv information and discussion threads, individual copies of team or institutional newsletters, failed print jobs, contact lists, personal notes, etc.