432 - Records Management

Records relating to the management of ministry/agency records including the control and administration of ministry/agency files, development and amendment of records schedules Operational Records Classification Systems (ORCS) and ongoing records schedules (ORS), the maintenance and retrieval of records in offsite storage, and the disposition (i.e., destruction or transfer) of both onsite and offsite records.

Record types include correspondence, records schedules, forms, lists, reports, and other types of records as indicated under relevant secondaries.

For agreements, see primary 146.
For audits and compliance, see primary 975.
For disaster recovery plans for vital records, see secondary 275-30.
For records storage, retrieval, and disposition reports, see appropriate case file in this primary.
For registering and tracking the status of accessions, applications, and schedules, see secondary 100-05.
For training, see primary 1735.

non-OPR NOTE: Offices will retain non-OPR copies of records for: SO nil DE

Primary-Secondary Records Series OPR
  A SA FD
432-00 Policy and procedures
(covers approved records schedules as well as other policy documentation)
SO nil DE
432-01 General CY+2y nil DE
432-02 (superseded by secondary -20 Accession case files, -30 Destruction case files – authorized internally, or -35 Destruction case files – authorized by central records services agency)      
432-03 (superseded by secondary -20 Accession case files, -30 Destruction case files – authorized internally, or -35 Destruction case files – authorized by central records services agency)      
432-09 (superseded by secondary 100-05 Lists, spreadsheets, and registers)      
432-10 File lists and indexes
(supersedes secondaries 423-03 Current file lists and 423-05 File retrieval indexes)
SO =  when file list/index is updated, or all records have been destroyed, sent to storage, or transferred to archives
SO nil DE
432-12 OPR designations/matrices
SO = when documentation is updated and no longer relevant for current files
SO nil DE
432-15 RM support service requests and responses
(arrange by office name, then chronologically)
(covers helpdesk correspondence and other types of requests relating to records management services provided to clients throughout government)
(does not cover requests relating to accessions; classify those under secondary 432-20)
(supersedes secondary 420-06 Records management service requests)
NOTE: Classify follow-up action on relevant RM advisory issues case file (secondary -50)
CY+1y nil DE
432-20 Accession case files
(arrange by accession number)
(covers authorities to transfer records and apply approved schedules [ARS 617], authorities to apply schedules [ARS 130], records retrievals and returns, and other forms)
(includes file lists, forms, and correspondence)
SO = when no longer needed to locate and retrieve files or for other reference purposes
DE = These files can be destroyed because key information about accessions is retained in the Master accession case files maintained by the central records service agency in accordance with the Records Management Services ORCS (Schedule 201294).
SO nil DE
432-25 Custody management case files
(covers documentation of the management and transfer of legal custody of records)
(supersedes secondary 423-20 Custody management files)
SO = upon completion of transfer and when no longer required for reference purposes
NOTE: This secondary is for cases where legal custody of records is transferred to or from another ministry/agency, or legal custody is permanently transferred from the provincial government to another entity (i.e., permanent alienation of records).
The office responsible for administration and care of the records is their legal custodian.  Both the prior and new legal custodians will need to establish files under this secondary.
SO nil DE
432-30 Destruction case files – authorized internally
(covers final disposition actions [i.e., destructions] administered by the ministry/agency)
(includes correspondence, file lists, Records Destruction Authorizations [ARS 518], Tobacco Form for Destruction Applications [Form D], records retrieval and return forms, and other forms)
OPR = Office with signing authority for destruction, i.e., either the office of the agency Records Officer or other office with authority for sign-off of the relevant category of destruction.
If your ministry requires central records services agency sign-off for disposition actions, use secondary -35 (below) instead of this one.
31y = allows time for program area accountability issues to emerge and be addressed
DE = Records that document destroyed records can be destroyed when they become inactive because the existence of these records is adequately documented in approved records schedules, and the disposition process is adequately documented in policy.
CY+30y nil DE
432-35 Destruction case files – authorized by central agency
(covers final disposition actions [i.e., destructions] administered by individual offices upon authorization of the central records services agency Ministry Records Officer)
(includes correspondence, file lists, Records Destruction Authorizations [ARS 518], Tobacco form for destruction Applications [Form D], records retrieval and return forms, and other forms)
SO = when no longer needed for reference purposes (e.g., when the file has had no activity for over two years)
DE = These records can be destroyed when they become inactive because the existence of destroyed records is adequately documented in central records services agency records.
SO+1y nil DE
432-40 Operational records schedule development/amendment files
(covers development and review of new and amended ORCS and other ongoing records schedule)
(includes agendas, amendment packages, archival appraisal documentation, correspondence, drafts, presentation notes, review documentation, signed project charters, and working notes)
(supersedes secondary 430-30 Operational records schedule development/amendment)
SO = when a comprehensive amendment has been completed, or when the schedule is no longer in use, or when the development project has been abandoned, and when no longer needed for reference purposes
DE = These records can be destroyed when no longer needed because records schedules and the associated archival appraisal decisions are adequately documented in approved ORCS and ORS master copies, which are fully retained under the central records services agency’s Records Management Services ORCS (Schedule 201294).
NOTE: This secondary is for use when a ministry or agency develops or amends its own ORCS.  For documentation of ORCS developed by the central records services agency, use secondary -45 instead.
SO+5y nil DE
432-45 Other schedule consultation files
(covers review and amendment of schedules [e.g., administrative and special schedules] that are the responsibility of the central records services agency or another agency)
(supersedes secondary 430-20 Other schedule consultation files)
SO = upon approval and publication, or abandonment, or when no longer needed for reference purposes (e.g., after no activity on the file for one calendar year)
SO nil DE
432-50 RM advisory issues case files
(arrange by office name or by issue, as appropriate)
(covers issues that escalate beyond the liaison and advice normally provided, and other issues warranting a special file; e.g., vital records, records preservation / conservation, digital imaging, or microfilm)
(includes correspondence and working materials)
(supersedes secondary 420-25 Records management issues)
SO = when the issue is resolved or closed, and when no longer required for reference purposes
DE = These records will be destroyed because records management issues are sufficiently documented in central records services agency records and policies.
SO+5y nil DE
432-60 RM projects and plans
(supersedes secondaries 420-35 Records management plans, 420-40 Records management projects, 423-30 Records inventories and retention studies, and 430-50 Records schedule implementation files)
SO = when project/plan is completed, replaced or abandoned (e.g., when no new documentation has been added to the file for five years)
NOTE: Classify disaster recovery plans for vital records under secondary 275-30.
SO+2y nil DE

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