Records Retention and Disposition - An Introduction

Section 12.(1) of the Library and Archives of Canada Act states that:

"No government or ministerial record, whether or not it is surplus property of a government institution, shall be disposed of, including by being destroyed, without the written consent of the Librarian and Archivist or of a person to whom the Librarian and Archivist has, in writing, delegated the power to give such consents."

In accordance with the provisions of the Library and Archives of Canada Act, a Records Disposition Authority (RDA) is the instrument that the Librarian and Archivist of Canada issues to enable government institutions to dispose of records (Information Resources of Business Value (IRBV) and Information Resources of Enduring Value (IREV)) that no longer have operational value.

There are three types of RDAs:

Institution-Specific Disposition Authorities (ISDA): Cover particular operational program records / IRBVs specific to individual federal government institutions.

Multi-Institutional Disposition Authorities (MIDA) for Operational and Medium-Specific Records (formerly known as "Generic Authorities"): Cover operational records / IRBVs which are common across all, or a multiple number of government institutions. For example: Institutional Records in the Office of a Minister, Records of Deputy Heads of Government Institutions, Electronic Imaging Systems, Poster-Creating Areas of Government Institutions, Audio-Visual Records Stored on Behalf of Client Departments, Operational Case File Records, Surplus Publications in Government of Canada Institutions and Transitory Information Resources of Government Institutions.

Multi-Institutional Disposition Authorities (MIDA) for Common Administrative Records / IRBVs: Cover common administrative records / IRBVs common across federal government institutions, for example, administrative, financial and human resources records / IRBVs.

Institution-Specific Disposition Authorities (ISDA)

ISDA are applied to records (IRBVs / IREVs) created, collected, received and managed by a single federal government institution to support and document business functions, programs, processes, transactions, services and other activities, uniquely or specifically assigned to that particular institution by regulation, legislation or policy. The ISDA represent the Librarian and Archivist of Canada’s approval for the disposition of these records (IRBVs / IREVs) and provide the terms and conditions for disposition.

ISDA are also required for administrative records that are unique to particular organizations or programs (i.e., that are institution specific). These records (IRBVs / IREVs) are excluded from the MIDA, for example: committees, task forces, communications, etc.

Information Management (IM) is responsible for coordinating the development of ISDA with LAC on behalf of the department's programs and services.

ISDA Development Process

The development of Institution Specific Disposition Authorities (ISDA) has changed due to LAC’s new methodology. The new methodology will be included in this document once it becomes available.

Records Disposition Authorities (RDA)

The RDA outline the terms and conditions for disposition of records / IRBVs, providing a listing or description of those records / IRBVs deemed to be of historical or archival value (now referred to as Information Resources of Enduring Value, IREV) that must be transferred to LAC at the end of their retention period.

The signed RDA are the instruments authorizing the disposition of departmental records (IRBVs / IREVs), either by permitting their destruction (at the discretion of institutions), by requiring their transfer to Library and Archives Canada or by agreeing to their alienation from the control of the Government of Canada.

Retention Periods

Once an ISDA is approved, the department is required to determine the appropriate retention period for records / IRBVs with and without archival value (IREV). A retention period is the length of time information must be kept before it is eligible for disposition. The beginning of the retention period is usually contingent upon an event that signals the termination of the active life of the record (IRBV / IREV): claim termination, policy superseded, contract termination, etc. The program areas, in consultation with Information Management (IM), determine the minimum length of time information must be retained to meet both the department's operational requirements and relevant legislative requirements.

There are several factors that influence the determination of retention periods:

Statements about the nature of records (IRBVs / IREVs) and their retention made in legislation that gives the department or program its mandate, regulates its operation, or affects it in other ways (such as its financial administration, the Employment Insurance Act, etc.;
Statements about the nature of records (IRBVs / IRBVs) and their retention in regulations created to support the daily operations of a program;
Statements about the nature of records (IRBVs / IREVs) and their retention in internal policies, directives or operational manuals designed to ensure that the necessary information is available to all who require it to carry out tasks throughout all stages of a program's operation.

The purpose of these statements in such instruments is intended to ensure the availability of necessary records (IRBVs / IREVs) throughout all stages of an institution's programs or services.

Essentially, the length of time that records (IRBVs / IREVs) should be kept is determined by:

financial value (audits, financial transactions and / or the basis for recouping overpayments);
informational value (program administration);
research value (program evaluation and review);
legal value (prosecutions, obligations and agreements);
privacy and access rights and limitations (protection of personal information).

Multi-Institutional Disposition Authorities (MIDA)

MIDA were designed to eliminate the need for government institutions to prepare individual submissions and negotiate agreements with the Librarian and Archivist of Canada for records / IRBVs that have similar administrative or operational status. The MIDA represent the Librarian and Archivist of Canada's approval to dispose of such records / IRBVs under certain terms and conditions.

LAC issued the Retention Guidelines for Common Administrative Records of the Government of Canada to aid in setting retention periods for common administrative records / IRBVs across federal government institutions. Although the retention periods suggested are meant to be taken as guidelines only, in cases where the Privacy Act is implicated the LAC guidelines must be respected. The Retention Guidelines for Common Administrative Records of the Government of Canada can be accessed through the Library and Archives Canada Website.

Generic Valuation Tools (GVT)

GVTs are tools which identify IRBVs for generic functions under MIDAs. They provide recommendations on business value and proposed retention periods on specific topics. These are not authorities to dispose of information resources.

Records Retention and Disposition Guide