Using the Model Guideline
Using the Model Guideline is also available on the ASBOA web site
Functions
The Retention Schedule uses Functional Classification. Records are classified according the functions and activities they support within your organization. This is the current industry standard, and the method Alberta Education is using. Functional classification narrows down the number of record series that an employee needs to understand. Jurisdictions will need to adapt the function list to reflect their culture. For example, payroll may be part of the Finance and Accounting Function or it may be part of the Human Resources Function. The following is the list of functions that our retention schedule is organized into:
1. Administrative Management
2. Corporate Governance
3. Community Programs and Services
4. Educational Programs
5. Finance and Accounting
6. Facilities Management
7. Human Resources
8. Health and Safety
9. Information Management
10. Legal
11. Communications
12. Research and Planning
13. Student Information
14. Transportation
Retention Periods
Retention periods were based first on legal requirements. Legal requirements are all included in the Citation List. If there was no legal requirement for maintaining a record, then the retention period is based on best practices and operational needs. This is described in the Schedule as ‘Operational Value’.
The goal of the work group is to simplify information management programs. Where it makes sense retentions are lumped together into ‘buckets’ so there are fewer retention periods to monitor.
Buckets are particular useful for electronic filing. Among other things it allows a large number of records with a similar retention period to be lumped together and kept for the longer time period. For example if letters from elementary school parents should be kept for 5 days; letters from the superintendent for 30 days, and letters from staff for 14 days, you could put them all in one bucket and keep them for 30 days. For the purposes of our Schedule, we have developed these buckets:
- Short - 2-3 years
- Medium - 5-7 years (mostly financial)
- Long -10-13 years
- Extended 14-17 years (moving towards permanent)
It is recommended, that whenever possible the school year end be used as the close date on files, so most records would only need to be purged once a year, in July or August for example.
How to Read the Retention Schedule:
Record Number: used to organize the schedule. The numbering system is not magical. Jurisdictions could use this numbering system or may change it to meet their own needs
Record Series: Brief descriptive title for each grouping of records within a function
Scope Notes: more detailed description of the record series. (Note that Row 2 is colored and provides the description for the overarching ‘Function’.) Jurisdictions should adapt the language and terms to reflect their own culture.
Responsible Department: who has custody of the ‘master’ record. This is particularly useful in electronic records management. Department names and responsibilities vary between jurisdictions, so each jurisdiction will need to customize to reflect their culture.
Retention: this is the period of time to keep the records. It is always in years unless otherwise noted. Here are some explanations to the different retentions:
Notes: These are self-explanatory - special information that may be needed.
Retention Value and Legal Citation: Explains the value of retention: legal, operational, archival.
The Committee first looked for any legal requirements. If there were legal requirements, those are noted by the numbered code. When more than one legal citation exists, the longest period of time would be listed in the Retention column.
If there was no legal requirement, or if the legal requirement did not define a specific time period to keep a record, the committee assigned it a retention period based on best practices and group experience.
* When there are a number of legislations pertinent to a record series, the value provided will be the maximum legal requirement. (If one law was 3 years, another was 1 and other was 2, the value provided would be the longest – 3)
PIB: Personal Information Banks: The Retention Schedule was reviewed to determine where Personal Information Banks might exist. This information is important for several reasons. First, there are FOIP implications for records series containing personal information; second, identification of PIBs is important for tighter security, particularly for digital records.
How to use the Citation List:
Citation
Provides full details about the legislation including a hyperlink to most recent version of the legislation using Canadian Legal Information Institute (CanLII) at www.canlii.org. Reviewing the Citation Information can provide additional context. The Citation List has undergone a legal review.
DISCLAIMER:
These documents provide practical suggestions with respect to records maintenance and privacy issues and are intended for use by Alberta School Jurisdictions for non-profit educational purposes only and may be used in their entirety subject to the following conditions: (1) modifications are to support Alberta school jurisdiction privacy and information management practices; (2) duplication is for an educational or implementation purpose in a not-for-profit institution; (3) copies are made available without charge beyond the cost of reproduction; and (4) ASBOA is acknowledged.
Information contained in these documents is for general reference purposes and should not be construed as legal advice. Jurisdictions should consult with their own legal counsel for the purposes of interpretation, modification or implementation.
ASBOA accepts no responsibility for the implementation, modification or proliferation of the documents.