RETENTION SCHEDULESAlberta Education

Retention Scheduling at Alberta Education

• Future Practice• Government of Alberta• Alberta Education• Flexible Scheduling

• Current Environment• Case Study

• Field Services

• Next Steps• Alberta Education Retention Schedules• Legislation

FUTURE PRACTICEA Move Towards Flexible Scheduling

Government of Alberta• Information Management Framework and Information

Management Strategic Plan• Cross-government records classification and retention

and disposition schedules for common functions• Replacement of Administrative Records Disposition

Authority (ARDA)

Alberta Education• Working with established standards and guidelines to

move towards a more functional approach to information organization

• Retention and disposition with a focus on flexible scheduling

Flexible Scheduling – What?• Appraisal criteria to establish retention periods to multiple

similar groups of information across an organization• Streamlining retention schedules into limited categories or

buckets• Reduces duplication between department and business

units

Flexible Scheduling – Why?• Reduces the number of record series into grouped

buckets• Reduces the number of repeating retention categories from

hundreds of records series to only those that relate to functions and processes

• Requires less effort inventorying and scheduling• More efficient, cost effective, and easier for users to work with

• More transparency for users• Drop-down menus which allows quick access and meaningful user

classification

Flexible Scheduling – How?• Decomposition of business functions and activities• Business, legal, and regulatory requirements are mapped

to records series• Goal is the synthesis of records series based on similar

business purposes, retention requirements, and legal obligations

CURRENT ENVIRONMENTMoving away from subject-based retention

Subject-based Retention Schedules• Retention and Disposition Schedules based on subject• Example:

• Negatives: consistently need to be updated, duplication and overlapping of subject items

Caution• Following information is based the analysis of Alberta

Education’s organization and the applicable legislation. It serves only as a model

• Your organization's appraisal of information resources and business requirements may differ based on your own strategic objectives

CASE STUDYAn examination of Field Services

Field Services• Review of Relevant Leg/Reg

• Ministry’s client interfacing division – Field Services• Analysis of relevant regulations

• Charter Schools Regulation (S.37)• Closure of Schools Regulation (S.58)• Early Childhood Services Regulation (S.30(4))• Private Schools Regulation (S. 28 (6))• School Councils Regulation (S. 22(10))• Administrative Records (ARDA – gen 2 yr)

Field ServicesInformation Resource Inventory

• Articles of incorporation• School Charter• Indications of Community

Support• Measures• Selection Criteria• Policy Development Plan• Budget Reports• Any other information required

for applicant’s submission.• Exemption Requests• Exemption Approvals• School Closure Notifications• Extension Approvals for School

Closure Procedures

• Registration Application (Supporting Documents)

• Annual Operating Plan• Accreditation Application• Policies (related to evaluation of students,

teacher growth, supervision, and evaluation on teachers, safety for outdoor and field trips and health protocol)

• Application for Grant • Grant Approval / Denial Notification• School Closure Notifications• Operator Annual Budgets• Operator Annual Financial Statements• Operator Insurance Policy• Operator Fidelity Bond• Education Plan• Annual Education Results

Field Services• Map Information Resources to Existing Retention

Schedules or Develop New Schedule for Record Series by Appraisal

• Map business requirements to records series in file plan

NEXT STEPSWhat you can do to map legislation to retention

Alberta Education Retention Schedules

Schedule 2000/019-A001 – School Funding and Operations (Case File Series)

• 01 School Authorities• General case records relating

to the administration of school authorities

• Records may include: agreements, committees, meeting, planning, reports, studies, statistics, etc.

• Closure criteria: Calendar year end (December 31)

• Retention: 10 years• Final Disposition: Archives

Private Schools Regulation

2(1) An application for registration as a registered private school must be submitted to the Minister and must include […]”

Schedule 2000/019-A001

Item 02 Private Schools Operators – General• General case records relating to the application, approval and

operation of private schools• Records include applications to operate, copy of certificate of

incorporation; fire, health, and building inspections, zoning approval, approval to operate, school handbooks, policies, copies of lease agreement, change of address, etc.

• 10 years retention then sent to Archives

Student Evaluation Regulation• 2 The Minister may establish tests, examinations or other

methods for determining the ability, achievement or development of students or other individuals, including but not limited to provincial achievement tests, diploma examinations and provincially-administered national and international tests

• Schedule 1997/035• Item 02 Student Assessment and Testing – Policy

• Subject records relating to development of assessment (evaluation), reporting and results of student performance in relation to provincial goals and standards

• Records include policy, legislation and procedures development• 7 years retention then Archives

Student Records Regulation

4(1) Subject to subsection (2), a board shall keep a student record containing the information referred to in section 2(1) and (3) for 7 years after the student ceases to attend a school operated by the board or until the student record has been forwarded to another school in accordance with section 8(1)

THANK YOU. QUESTIONS?Mathew Paliga

Business Analyst

Strategic Services and Governance Division

Alberta Education

44 Capital Blvd

10044-108 Street

Edmonton, AB

Wk phone: 780-643-9270

Fax: 780-427-4710

Mathew.Paliga@gov.ab.ca

Kathleen BrowRecords Management Business AnalystStrategic Services and Governance DivisionAlberta Education44 Capital Blvd10044-108 StreetEdmonton, AB Wk phone: 780-638-3498Fax: 780-427-4710Kathleen.Brow@gov.ab.ca

Sources

School Act and Regulations• http://www.education.alberta.ca/department/policy/legislati

on/regulations.aspx

NARA (U.S.A. National Archives)• http://

www.archives.gov/records-mgmt/faqs/flexible-scheduling.html

Service Alberta

http://www.im.gov.ab.ca/documents/imtopics/Developing_Records_Retention_and_Disposition_Schedules_July_7.pdf

Government of Alberta Information Management Website http://www.im.gov.ab.ca/

Administrative Records Disposition Authority (ARDA) http://www.im.gov.ab.ca/documents/publications/ARDA.pdf