Table of Contents ................................................................................................................................................. 3

.......................................................................................................................................................... 4

................................................................................................................ 4

Objectives ............................................................................................................................................................. 4

Policy Principles .................................................................................................................................................. 5

Scope .................................................................................................................................................................... 5

Policy Details ....................................................................................................................................................... 6

Records and Information Management ....................................................................................................... 6

Transparency ............................................................................................................................................... 6

Integrity ......................................................................................................................................................... 6

Protection ..................................................................................................................................................... 6

Compliance .................................................................................................................................................. 7

Retention ...................................................................................................................................................... 7

Disposition .................................................................................................................................................... 7

............................................................................................................... 8

Record Creation .............................................................................................................................................. 8

Naming Conventions ...................................................................................................................................... 8

Record Maintenance ...................................................................................................................................... 9

Retention and Disposition .............................................................................................................................. 9

Protection ....................................................................................................................................................... 10

Electronic Document & Record Management System (EDRMS) .......................................................... 11

Personal Information and the Freedom of Information & Protection of Privacy Act (FOIP) .............. 11

Roles and Responsibilities........................................................................................................................... 13

Director of Corporate Services ................................................................................................................ 13

Accountability ............................................................................................................................................. 13

Directors and Managers ........................................................................................................................... 13

Corporate Records and Information Coordinator ................................................................................. 14

EDRMS Steering Governance Committee ............................................................................................ 15

EDRMS Working Group (Department Representatives)..................................................................... 15

Information Systems ................................................................................................................................. 16

All Personnel and End-users ................................................................................................................... 16

Training ............................................................................................................................................................... 17

Review and Monitoring ..................................................................................................................................... 18

CONFIDENTIALITY: ......................................................................................................................................... 18

NON COMPLIANCE: ........................................................................................................................................ 18

POLICY AUTHORITY: ..................................................................................................................................... 18

ATTACHED SCHEDULES .............................................................................................................................. 19

Schedule “A” - Definitions ..................................................................................................................... 20

Schedule B - Applicable Legislation, Acts and Regulations .......................................................... 28

Schedule C - Standards ...................................................................................................................... 29

Schedule D – Security Caveats .......................................................................................................... 30

Schedule E – County wide approved Naming Conventions ........................................................... 31

Schedule F – Records vs Non-Records ............................................................................................ 33

Schedule G – Retention Schedule (File Plan) .................................................................................. 36

This policy sets out the County of Grande Prairie No. 1’s responsibilities and activities in relation to

the Records and Information Management Program in accordance with legislation, acts, regulations

and professional best practice principles and amendments thereto. The County’s Records and

Information Management Program is the professional practice of managing all of the Records and

Information of our municipality throughout their life cycle, from the time they are created to their

eventual disposition. This includes identifying, classifying, storing, securing, retrieving, tracking and

destroying or permanently preserving records.

The purpose of Records and Iinformation Management is part of the County’s broader function

of Records and Information Governance, Risk, and Compliance and is primarily concerned with

managing the evidence of the County’s activities as well as the reduction or mitigation of risk

associated with It.

A file plan is a document listing all the titles of the records series, length of time each document or

record will be retained as an active record, the reason for its retention (administrative, legal, fiscal,

Municipal Government Act

Freedom of Information & Protection of Privacy Act

Various Acts & Regulations

Legislative Services

All County Policies P1

April 9, 2001

Motion #04/260/2001

June 27, 2016 - #CM20160627.1048

Records and Information Management Policy

June 2019

and historical) and disposition as legislated, with input from the Corporate Records and Information

Coordinator and the various County Departments ... It also promotes the effective management of

these records and information across the municipality, recognizing their value as a corporate asset

for the delivery of efficient, appropriate, open and transparent services. It also sets out to ensure the

County complies with its legislative obligations as required in all applicable legislations, Acts, and

Regulations and amendments thereto, as listed in the County’s Retention Schedule.

This policy applies to:

All the County employees, contractors, temporary help, and agents or representatives acting

on behalf of the County who create or collect records and information;

All records and information the County holds, including any information created, received and

maintained by the County in the course of its work, irrespective of format.

Please see Schedule “A”

Objectives

The overall objective of this policy is to ensure that all Records & Information of the County are

managed according to the Municipal Government Act, R.S.A. 2000, c. M-26 and amendments thereto

also known as the MGA, the FOIP Act and GARP (ARMA) generally accepted recordkeeping

principles; available for decision making; protected from unauthorized loss and/or release; and

disposed of only after all legal obligations have been met. This policy provides the County with a

management framework including (but not limited to) policies, standards, guidelines, procedures and

systems that are flexible, efficient, and effective for managing Records and Information. The

objectives of this policy are to ensure that the County;

Provides clear direction to all Directors, Managers, and all Employees including temporary

and seasonal, Agents and Representatives on their responsibilities for Records and

Information Management, and provides an understanding of the importance of proper storage

and retrieval of records and information;

Ensures that records and information of historical value are preserved;

Maintains a Records and Information Management Program culture where records and

information are managed coherently and consistently across the organization;

Collects information efficiently to support the County’s objectives, vision and values and

strategic themes;

Makes appropriate information accessible to everyone as required;

Ensures all departments are following the proper naming conventions for Records and

Information Management are set up by each department for consistency in searching and

retreivability of records and information.

The County has also approved a number of County wide naming conventions that all

departments are required to use regarding legal land locations, addressing, etc.. You will also

find information regarding characters that cannot be used in SharePoint, as outlined in

Schedule “E”;

Maintains records and information in a safe and secure environment;

Keeps information for no longer than is necessary in accordance with the County’s official

retention schedule (file plan), and various legislation and amendments thereto;

Identifies and protects the County’s vital records and information (those required to maintain business continuity in the event of a disaster, and without which the County could not operate).

This is done by Systems and includes::

1) Backups are stored in 3 buildings (Community Services Building, Administration

Building, and Public Works/Systems Building)

2) Historical retention is locked in Administration Building Server Room.

Policy Principles

The County recognizes that the Municipality’s Records and Information are a valuable and mandated

corporate asset and will be managed in a manner that:

Ensures its quality and integrity;

Ensures information is organized and classified in a manner which facilitates access by those

who require the information to continue their assigned work;

Safeguards designated information against unauthorized access;

Will help protect essential information against loss;

Will help eliminate unnecessary duplication or collection of information by including in the

training to the end user the importance of one copy as it relates to FOIP and Records &

Information Manangement .

The County declares (except as stated in this policy or as otherwise agreed in writing) ownership and

control of all records and information information that are created,requested externally for legal

issues, FOIP request, or other municipalities, etc., or received in support of its operations and internal

administrative support.

Scope The scope of this Policy is the County records and information in any form; and therefore includes

physical and electronic records in all form and formats, whether or not those documents are official

business records.

All of the County records and information items are in scope in terms of the information held within

them, and system outputs, which means the amount of records and information that is produced by a

person or department.

The infrastructure and systems on which information is communicated and stored, and within which

data may be backed up and recovered, is out of scope of this policy and falls under Information

Systems. This document refers to the County’s effective Records and Information Management

program.

Policy Details

Records and Information Management

The County recognizes the value of its information assets and will ensure that these assets are

managed effectively in accordance with the following information governance principles:

Transparency

The County’s business processes and activities, including its Records and Information Management Program, shall be documented in a transparent and verifiable manner, and the documentation shall be available to all personnel and appropriate interested parties, provided they have been given access privileges by the assigned department representative who has created it, and has ownership of the document or record.

The County shall maintain records and information in a manner that ensures timely, efficient, and

accurate retrieval of information. The County will maintain an inventory of its records and information

assets. Records and information shall be made available unless there is a compelling reason not to,

recognizing all the relevant legislative and regulatory requirements and amendments thereto. This

applies to both internal and external users of information. The County will present and organize

records and information to maximize its availability. The storage and organization of records and

information will promote its sharing, thereby minimizing duplication of effort and the cost of its

retrieval, as well as contributing to improved decision making.

Integrity

The County’s Records and Information Management Program shall be constructed so the

records and information generated by or managed for the municipality has a reasonable and

suitable guarantee of authenticity and reliability, as outlined in the MGA and FOIP, and any

other applicable regulations or acts.

Protection

The County’s Records and Information Management Program shall ensure a realistic level of

protection to records and information that are private, confidential, privileged, secret,

classified, essential to municipal business continuity, or that otherwise require protection.

The protection of records and information shall be carried out in accordance with FOIP Act

and the County’s approved Security Caveats which are currently listed in Schedule “D”; and

may be amended from time to time.

Disposal of records and information of a personal or confidential nature will be carried out

securely. Records and Information ownership rights will be observed. Records and

Information from third party sources will only be used in accordance with the license or

permissions granted. The intellectual property rights of the County will be considered in

relation to the distribution of its information assets, which is a definable piece of information,

stored in any manner which is recognized as 'valuable' to the municipality.

Compliance

The County will comply with applicable laws and other binding authorities, as well as with this

policy and any other applicable internal policies,bylaws, regulations, procedures, etc..

Retention

The County shall maintain its records and information for the required time, taking into

account its legal, regulatory, fiscal, operational, and historical requirements, and in

accordance with the County’s Retention Schedule. The Records and Information

Management and retention of information will take into account its value to the County.

Information will only be retained as long as there is a business need and to ensure

compliance with the relevant legal and regulatory requirements as per Schedule “G”-

Retention Schedule (File Plan).

Disposition

The County’s Records and Information Management Program shall provide secure and appropriate

disposition for records and information that are no longer required to be maintained by applicable

laws, legislation and policies.

All information that comes into the County shall be properly retained as per the County’s Retention

Schedule, in our Records and Information Management System.It shall be managed through its

lifecycle, which may take it through a variety of different storage environments under the control of

different owners. At all times there shall be clear responsibility for its management.

The County recognizes that an effective Records and Information Management Program must be

incorporated within the culture, business processes, organization and infrastructure of the County.

The County will:

Cultivate a suitable business culture where users value, protect, and manage

information, including records;

Develop the professional skills necessary to provide effective leadership and oversight on our Records and Information Management Program; with funding to come from the responsible department;

Ensure our key Records and Information Management Program activities are

embedded into our business processes - how we organize, store, secure, protect,

share, label, communicate and destroy information;

Establish appropriate business structure, lines of communication, department roles

and responsibilities, authority, and suitable delegation of responsibilities to support the

Records and Information Management Program.

Deploy, support and maintain the appropriate hardware, software and network for

capturing, storing, communicating and retrieving information in accordance with this

policy.

Reduce or eliminate various means of electronic document storage that act as an

alternative to the County’s EDRMS.

The County will protect and defend records and information and information systems by ensuring

their:

Availability Reducing risk of loss of service

Integrity Avoiding unauthorized modification

Confidentiality Avoiding unauthorized disclosure

Authentication Validating the source of information

Record Creation

The County shall have in place a record keeping system for both physical and electronic records.

This system includes the policies, procedures, guidelines and standards related to the management

of records at the County. The purpose of such a system is to provide efficient and systematic control

of the creation, receipt, maintenance, use and disposition of records, including the processes for

capturing and maintaining evidence of and information about business activities and transactions in

the form of records. It must also take into account the legal and regulatory environment applicable to

the County.

The County will distinguish between non-records and records, such that non-records may be

amended or deleted, but records cannot be altered as per Schedule “F” – Records vs Non-Records

Naming Conventions

This is how the County’s business units title their records and information. A collection of words or

numerical numbers which allow users to search for useful documents and information in the County’s

EDRMS. These naming conventions are to be agreed to at a business unit level and shared with all

other units as best business practice.

The County currently has county wide approved naming conventions that are listed in the attached

Schedule “E” – County wide approved Naming Conventions.

Record Maintenance

The record keeping system must be maintained so that the records are properly stored and

protected, and can easily be located and retrieved. The County will:

Ensure that adequate storage accommodation is provided for the records in a

dedicated, secure records store;

Monitor the movement and location of records so that they can be easily retrieved;

Provide an audit trail of recordkeeping activities;

Minimize or eliminate where possible the duplication of electronic and physical records;

Control access to the information in accordance with the County’s current Security

Caveats as per Schedule “D” – Security Caveats;

Ensure authenticity so that records retain their legal integrity;

Identify vital records and apply appropriate protection to them, including the

Information Systems business recovery plan that ensures the restoration these

records;

Identify records no longer required for the conduct of current business, and if

appropriate transfer to designated storage in accordance with the approved Retention

Schedule as outlined in Schedule “G”.

Retention and Disposition

The County has developed, approved, and will maintain a retention schedule categorizing its various

business functions and records, specifying a retention period and disposition (destroy or transfer to

archive) for each activity. It will also designate which records are vital and permanent.

Not all records and information meets the criteria of a record. These will be referred to as Non-Records. Please refer to Schedule “F” – Records vs Non-Records.

These will be referred to as unmanaged records. Those documents that meet the criteria of a record, and have been identified as such, can and therefore shall be managed as records and will simply be referred to as records.

Deletion refers to the informal act of destroying (physical) or deleting (electronic) documents.

Disposition refers to the formal process whereby records are destroyed or transferred in accordance with the approved Retention Schedule, under the direction of the Corporate Records & Information Coordinator.

The County will apply disposition to all records in accordance with the retention schedule in a manner that ensures:

Records of business value are identified and retained as outlined in the County’s

Retention Schedule;

The retention schedule is reviewed and updated at a minimum every three years;

An audit trail is maintained of disposition activities;

Disposition activities of applicable records are suspended in accordance with a FOIP

request or other legal proceeding, until such proceedings are completed;

Non-records and unmanaged records will be deleted in a consistent manner according

to internal County Records vs Non-Records Guidelines as outlined in Schedule “F”;

Non-records and unmanaged records will be destroyed so that reconstruction or

recovery is unlikely;

Physical and electronic records destroyed in accordance with the retention schedule

will be destroyed either by electronic means, shredding or burning, such that the

records cannot be recovered in any way.

The County will apply deletion to all non-records and unmanaged records in accordance with the

following:

The County has established appropriate retention periods suitable for the use of these

documents, according to the Municipal Government Act, Freedom of Information and

Protection of Privacy Act, and any other regulations or citations and amendments thereto that

are applicable;

Automatic (machine-initiated) deletion (based on pre-determined retention periods) of

electronic documents shall be acceptable for the destruction of non-records and unmanaged

records.

Protection

All of the County staff is required to share information responsibly and ethically, and records and

information that has been stored on the County systems should be available to those people within

the County who have a legitimate interest, as determined by your position. However, this does not

necessarily mean full staff or public access. Information that is (or should be) protectively marked will

be limited to those who genuinely need access to it. Sensitive information on individuals must also be

marked, and access strictly limited to those who need it to carry out their duties.

Access will be controlled by the use of protective markings, descriptors, and passwords, as specified

in the set up of access in the EDRMS. Where access must be limited, the information must be

protected and labelled properly. It must also be stored in an appropriately secure storage container or

system.

The County will:

Maintain and publish clear and concise information security and access policies;

Maintain and publish a list of protective markings and descriptors for documents;

Provide appropriate information infrastructures, capable of supporting security and access requirements;

Require staff to label information with the appropriate protective markings and descriptors;

Undertake periodic reviews of accessibility, security and privacy of information held within each department;

Investigate shortfalls of accessibility, or breaches in security or privacy, to reduce risk of repetition;

Monitor compliance with information access requests;

Assess and manage risks to the confidentiality, integrity and availability of information at all stages of the information lifecycle;

Balance the need to protect information with the need to effectively make use of it;

Develop a risk-aware culture;

Take appropriate measures to protect information from inadvertent or unauthorized creation, access, alteration, transmission or destruction;

Comply with all legislative and other mandatory requirements relating to the protection or destruction of information;

Appoint appropriately qualified individuals to roles with clearly defined responsibilities for aspects of records and information assurance;

Ensure that all staff is aware of their responsibilities regarding information, its management and use.

Electronic Document & Record Management System (EDRMS)

The County shall implement and maintain an EDRMS for the administration and management of

records (electronic and physical) and information. This system will allow the County to, at a minimum:

Provide a means whereby all personnel can declare electronic and physical records

within the EDRMS, by configuring and customizing the EDRMS software as required;

Provide a suitable means to ensure all declared records, undeclared records, and non-

records have appropriate security permission providing for appropriate access for all

employees, while restricting access to those who should not access documents;

Provide a means of recording and maintaining the County’s retention schedule/file

plan;

Provide for the identification of record and information state and status;

Provide a means of managing physical records as well as electronic records;

Apply System Assisted Classification (SAC) and System Facilitated Declaration (SFD)

techniques where warranted;

Identify and manage Vital Records in as outlined in the Records vs Non-Records

Guideline attached as Schedule “F”;

Provide a means of applying the County’s approved retention schedule to all records;

Manage the lifecycle of all records, from creation through to final disposition (deletion

or transfer);

Transfer records of historical value (archival records) to an outside agency.

Information in structured data stores, such as spreadsheets and l databases, shall be managed as recorded information like other records. Key outputs, or the contents of the data store at certain times, shall be treated as other documents, and retained in accordance with the retention schedule.

Personal Information and the Freedom of Information & Protection of Privacy Act

(FOIP) The County has to collect and use information about people with whom it works. These may include

members of the public, current, past and prospective employees, clients and customers, and

suppliers. This personal information must be handled and dealt with according to the FOIP Act,

however it is collected, recorded and used, and whether it be on paper, in computer records or

recorded by any other means.

The County regards the lawful and correct treatment of personal information as very important to

successful operations and to maintaining public confidence in the County. The County will treat

personal information lawfully and correctly. To this end, the County fully endorses and adheres to the

FOIP Act. All FOIP inquiries and requests are handled by the Corporate Records and Information

Coorrdinator, as designated or directed by the CAO.

The County will:

Observe fully the obligations of the County specified by the FOIP Act regarding the collection

and use of information;

The County will maintain a listing of personal information banks;

Make every reasonable effort to assist FOIP applicants in their efforts to access records;

Where access to personal information is granted in accordance with a request under the FOIP

Act, the County will provide a copy of the record if requested, if the copy can reasonably be

reproduced;

Meet its legal obligations to specify the purpose for which information is used;

Collect and process appropriate information and only to the extent that it is needed to fulfil

operational needs or to comply with any legal requirements;

Apply system reports and random samplings to determine the length of time personal

information is held;

Ensure that any third party processors contracted by the County adhere to the MGA, FOIP,

and all other controls that may be department specific;

Where a contractor provides services to the County, the County will clearly indicate through

provisions in the contract the records over which the County has control;

Ensure personal information shall be adequate, relevant and not excessive in relation to the

purpose for which they are processed;

Ensure personal information is accurate and where necessary, kept up to date;

Not process personal information for any purpose longer than is necessary for that purpose,

or for any reason other than which it was intended;

Ensure appropriate technical and organizational measures are taken against unauthorized or

unlawful processing of personal information and against accidental loss or destruction of, or

damage to personal information;

Not transfer personal information to a country or territory outside Canada unless that country

or territory ensures an adequate level of protection for the rights and freedoms of data

subjects in relation to the processing of personal information;

Ensure that the rights of people about whom information is held can be fully exercised under

the FOIP Act. These include:

o the right to be informed that processing is being undertaken;

o the right of access to one’s personal information;

o the right to prevent processing in certain circumstances;

o The right to correct, rectify, block or delete information that is regarded as wrong

information.

Roles and Responsibilities

Director of Corporate Services

The Director of Corporate Services must ensure the establishment of an effective Records and

Information Management Program function within the County. It is the responsibility of the Director of

Corporate Services to:

Implement this policy in a cohesive manner across all of the County;

Communicate this policy throughout the County and ensure proper training in Records and

Information Management principles to employees is being done;

Support the corporate vision, values and strategies that address information as a strategic

business asset of the County;

Support the Corporate Records and Information Coordinator to oversee the Records &

Information Management Program;

Support the Corporate Records and Information Coordinator, all departments, and other

stakeholders to develop retention periods/policies for the deletion of recorded information

other than managed records, namely:

o Non-records, including non-work documents

o Unmanaged physical records, and undeclared electronic records

o Email not declared as records, including inbound, outbound, and stored email,

regardless of location

Ensure all employees are aware of their obligation to manage information appropriately;

Ensure all data protection and security of information policies and procedures are understood,

implemented and adhered to;

Support the Records and Information Coordinator in the designation and training of

Department Champions (DCs), and new end-users;

Ensure that Records and Information Management Program be maintained and updated by ensuring adequate staff.

Accountability

The Director of Corporate Services shall oversee the Records and Information Management Program

and support the delegated responsibility for the Records and Information Management Program to

the Corporate Records and Information Coordinator.

Directors and Managers

Ensure all employees are aware of their obligation to manage information appropriately;

Ensure all data protection and security of information policies and procedures are understood,

implemented and adhered to;

Support the Records and Information Coordinator in the designation and training of

Department Champions (DCs), and new end-users.

Support the corporate vision, values and strategies that address information as a strategic

business asset of the County;

Support the Corporate Records and Information Coordinator to oversee the Records &

Information Management Program;

To ensure department compliance with this policy.

Corporate Records and Information Coordinator

The Corporate Records and Information Coordinator provides leadership, direction and vision for the

County’s overall Records and Information Management Program, including an organizational -wide

framework for the governance of Records and Information Management, and advises the Director of

Corporate Services (or designate) on policies, procedures and guidelines, standards and practices in

support of the County's corporate records and information. It is the responsibility of the Corporate

Records and Information Coordinator to:

Oversee the creation of policies, standards and guidelines related to the Records & Information Management Program;

Chair the EDRMS Working Group;

Work with IT to obtain and utilize software that enables and facilitates records and information management at the County;

Identify records and information, rules, and standards to manage and maintain the County’s Records and Information;

Interpret and explain the policy requirements to all employees;

Regularly measure and report on the overall quality and health of the Records & Information Management Program as described below in the matrix;

Develop and provide training as required and requested;

Serve as the principal contact and provider of advice regarding the management of county records, information and FOIP;

Determine what, if any, security classification or designation levels need to be attached to the recorded information;

Establish and maintain an approved retention and disposition schedule, and any other legal and policy obligations to ensure the timely disposition of recorded information that is no longer required;

Advise managers and department champions on year end processes, and oversee the destruction and transfer of records in accordance with the approved retention schedule;

Notify Directors/Managers prior to the approved destruction of records and receive final destruction sign offs from Department Managers;

Provide guidance in determining whether or not records and information or other material have an operational, fiscal, administrative or informational/ historical value and must be protected from deterioration or loss;

Arrange for the transfer of records & information designated as having historical value to the appropriate outside agency;

Make recommendations to eliminate significant deficiencies, and suggest improvements to the information management program, and report significant findings to the Director of Corporate Services;

Work with business units and departments to establish communication and training programs pertaining to Records and Information Management.

Establish and measure acceptable minimum thresholds for the following key electronic recordkeeping performance metrics, according to Generally Accepted Recordkeeping Practices:

o Qualification Rate (percentage of specified documents that meet the criteria of a record);

o Declaration Rate (percentage of qualified records that records were declared as records);

o Classification Accuracy Rate (percentage of declared records known to be correctly classified).

Monitor compliance with information access requests;

Conduct periodic random sampling of records and information, and structured data within

each department to assess compliance with this policy.

EDRMS Steering Governance Committee

The County shall monitor and measure all key elements of its Records and Information Management

Program and deal with escalated issues that may arise from time to time. The County has:

Form a Permanent EDRMS Steering Governance Committee to monitor and oversee all

Records and Information Management Program activities in compliance with this policy. This

committee shall be comprised of the following members, at a minimum:

o Director of Corporate Services

o Legislative Services Manager

o Information Systems Manager

o Corporate Records and Information Coordinator.

EDRMS Working Group (Department Representatives)

To facilitate organization-wide information management, each department will designate a

Department Representative. The duties of the Department Representative will be minimal, and they

may fulfil this role for more than one department. Each representative shall have duties with respect

to the information in the custody or control of their business unit or department. It is the responsibility

of the representative to:

Be the primary link between his/her department and the Corporate Records and Information

Coordinator;

They will be a sitting member on the EDRMS Working Group;

Identify the records required to be maintained by the Department, and communicate to

employees the specific requirements of the Department relating to these Business Records;

Make employees in the department aware of procedures for the offsite storage of physical

records and for the management and storage of electronic records;

Ensure that any recorded information subject to a Hold Directive are immediately identified

and safeguarded from any deletion processes and the Corporate Records & Information

Coordinator is informed;

Assist with any search for documents requested for litigation, compliance, audit, regulatory or

other purposes within specific business unit;

Facilitate the appropriate destruction of information, under the direction of the Corporate

Records and Information Coordinator;

Facilitate department employees understanding of this policy;

Take reasonable steps to ensure that his/her department complies with this policy;

Working with the Corporate Records and Information Coordinator and the group, develop

functional requirements and specifications for the declaration of electronic records;

Prepare and transmit critical EDRMS performance measures to the Corporate Records and

Information Coordinator as required;

Information Systems

Information Systems provides support of the Records & Information Management Electronic System.

It is the responsibility of IS to:

To install, provide direction, and set up the meta data fields for Sharepoint

Ensure the systems used to communicate and store records & information are as reliable and

efficient as practicable;

Implement deletion capabilities for all electronic documents other than declared records, in

accordance with the County’s policies for deletion of such documents. Such capabilities

should extend to all storage media upon which such documents may be found, including but

not limited to shared drives, local hard drives, portable media, social media, remotely-located

storage such as cloud-based storage, backup media, etc.;

Consult with the Corporate Records and Information Coordinator prior to the selection,

construction, or acquisition of any system that records electronic information;

Integrate where possible, sources of records and information with the EDRMS to facilitate the

collection and management of County records and information.

All Personnel and End-users

All employees and those acting on behalf of the County are responsible for ensuring the proper

classification, transmission, maintenance, storage and protection of recorded information. Working

individually or collectively, employees must ensure information is properly managed as a corporate

asset. It is the responsibility of all personnel to:

Assure the quality, authenticity, and reliability of information they create;

Safeguard records and information the County has entrusted to them;

Account for other people’s need for recorded information that they create or control, and

share the information appropriately as required by the County;

Ensure compliance with this Records & Information Management policy;

Ensure compliance with the MGA and the Freedom of Information and Protection of

Privacy Act and the role it plays on the County as a public authority;

With guidance from the Directors/Managers, assess the importance, urgency and

sensitivity of information;

Ensure that information that needs to be kept confidential (for security or privacy reasons)

is not inappropriately divulged;

Work cooperatively and diligently to correct errors in Records and Information

Management and reduce risk of recurrence;

Use the County’s information technology in an appropriate way, and avoid unacceptable

use;

Keep accurate and complete records;

Follow the specific requirements of his/her department when making decisions about

whether to classify information as a record, a work-in-progress (WIP), or a reference

document;

Distinguish Records from Non-Records in accordance with Schedule “F” Records vs Non-

Records guidelines;

Abide by all Legal Hold Directives preventing information deletion of as a result of current

or anticipated litigation, government investigation or audit;

Ensure any records in his/her custody or control are not removed from the County

premises unless such removal is required to conduct the County’s business and unless

any confidential or personal information contained therein is safeguarded in an

appropriate fashion;

Return information promptly to the County when the purpose for which the information

was removed from the County premises has ended;

Return all Records to the County upon termination of his/her employment or contractual

relationship with the County.

Training Full trainng will be provided to all employees that are required to use the EDRMS. The training matrix

will include training per department, as well as additional training for the EDRMS Working Group.

Methods will include a classroom settings, one on one, printed materials with clear instructions, and

eventually How-To Videos.

The focus for all users will be in The Hub Platform, as well as limited access to Collabware, the

records center.

Review and Monitoring This policy establishes a performance-monitoring framework to evaluate the effectiveness and

efficiency of the Records and Information Management Program in the County. The Corporate

Records and Information Coordinator will monitor and review this policy on an annual basis, or more

frequently if deemed necessary by the Director of Corporate Services in which this position ultimately

reports to, to ensure:

The scope and content of the policy is appropriate and in line with legal requirements;

All departments are aware of their responsibilities and that the creation, maintenance and

disposal of records and information is being carried out in line with the policy and supporting

standards;

Training and awareness is provided to all end-users.

CONFIDENTIALITY: The use and interpretation of all County Policies and schedules will comply with all aspects of the Freedom of Information and Protection of Privacy Act (FOIP). Any breaches of the FOIP Act will be subject to disciplinary action.

NON COMPLIANCE: Failure to comply with this policy could expose the County to significant loss in terms of increased

risk of litigation or legal sanction, increased cost of litigation, loss of reputation, or reduction in

operating efficiency.

The consequences of non-compliance of this Policy will be at the discretion of the CAO or their designate, and may include disciplinary action up to and including termination. The Chief Administrative Officer must approve any exceptions to the Policy.

POLICY AUTHORITY: The County Administrator has the authority to amend the related Schedules of Policy P1 from time to

time to keep current, enforceable and compliant with statutes and legislation in the Province of

Alberta. Any changes that are made to Policy are to be approved by Council.

ATTACHED SCHEDULES Schedule “A” - Definitions

Schedule “B” – Applicable Legislation, Acts, and Regulations

Schedule “C” – Standards

Schedule “D” – Security Caveats

Schedule “E” – County Wide Approved Naming Conventions

Schedule “F” – Records vs Non-Records

Schedule “G: - Retention Schedule

Schedule “A” - Definitions

Archival Recorded information and other items of enduring value that are worthy of

permanent retention and special management because of the importance of

the information they contain for continuing administrative, operational, legal, or

fiscal purposes or for historical or other research.

ARMA Originally, ARMA was the acronym for the Association of Records Managers

and Administrators. Over the years, we have seen a broadening of the

profession as records management has become a recognized and integral part

of information governance, which is key to doing business. To reflect the

changing environment and this "expansion" of the profession, the association's

Board of Directors decided to discontinue using ARMA as an acronym and

adopted "ARMA International" as a general descriptor of the association.

Auto-Delete The process whereby a machine-driven process will automatically delete a

document, without any human intervention, once a condition has been

satisfied. Example – “Delete 3 years after Last Modified Date ” or “Delete 2

years after receipt”.

Case Category A category containing documents whereby the business activity has a defined

end date. Typically a Person, Place, Event, or Thing. Disposition is triggered by

a date, such as “End of Useful Life” (A machine), or “Close of all Legal Matters”

(A workplace Accident). Example – employment files, typically qualified for

disposition 3 years after termination of employment. All records within a case

file reach disposition and are processed as a complete, intact group – they are

never separated or processed as individual records. Many organizations have

50% or more of all business records as case files.

Category A node in the hierarchical file plan. Denotes a set of records of similar subjects,

i.e. Travel Requisitions. All categories are linked via a child/parent relationship.

Classify The process whereby a user assigns a formal retention rule to a document, as

part of the Declaration process. Classification can be achieved explicitly (the

user selects and assigns a category), or implicitly (by virtue of selecting a

storage location such as a folder, that matches the subject of the document,

and which bears the appropriate retention rule for that subject).

Classification Accuracy Rate The percentage of a specified quantity of declared electronic records

that are known to be classified correctly. Ideal target rate = 100%, i.e. all

declared records are classified correctly. Key performance metric of an

EDRMS.

County The municipal corporation of the County of Grande Prairie No. 1 having jurisdiction under the Municipal Government Act and other applicable legislation.

DC Department Champions. A person within a business unit (e.g.

department/division) who has been delegated with specified recordkeeping

duties on behalf of the department. The duties are delivered in support of the

EDRMS project. Such duties could include measuring and reporting daily

critical performance measurements, creating new case categories as they

emerge, etc.

Declare Make a document a record. Once declared, a document is tracked by EDRMS

software, and prevented from deletion (locked), except via a formal disposition

process.

Declaration Rate The percentage of a specified quantity of electronic documents that meet the

criteria of a record, which are declared within an EDRMS as a record. Desired

declaration rate is 100%, and generally accepted principles are 85%. i.e. all

documents that are records are declared. Key performance measure of an

EDRMS.

Deletion As distinguished from Disposition. An arbitrary deletion by a person or

process. Deletion of a document by any method other than Disposition. Some

examples of deletion:

1) A system allows a user to specify (arbitrary) criteria for retention. A

document’s retention criteria has been met, and the system

automatically deletes the document, with or without any human

intervention.

2) End user with deletion privileges deletes the document

3) A system administrator deletes a document

Disposition As distinguished from Deletion. Formal, structured process of determining

what happens to records at the end of their retention period. The process is

human-initiated, and the decision as to what is destroyed/transferred is

ultimately governed by an approved retention schedule.

Disposition yields (3) possible outcomes following the expiration of the

retention period:

1) Destroy

2) Transfer to outside agency for permanent archival storage

3) Unknown. Retain until disposition is known. Some possibilities:

Held for legal review

In Dispute

Disposition simply not yet known or decided

Document A single piece of recorded information, in any form, physical or electronic. May

or may not meet the criteria of a record.

Document State Record State. At any point in time, a given document is considered to be in one

of the following three states:

Record. Known to meet the criteria of a record. Does not imply that the

document is being managed as a record. Critical to this state is that it is

“known” by the RIM Manager, so appropriate management can be applied

to the document.

Unknown. It is not known (for whatever reason) by the RIM Manager if this

document is a record or a non-record. May be a record or a non-record.

Critical to this state is that it is “unknown” by the RIM Manager.

Non-Record. Known to not meet the criteria of a record. Does not meet the

criteria of a business record, according to the organization’s definition of a

record. Critical to this state is that it is “known” by the RIM Manager, so

appropriate management can be applied to the document.

Document Status The Status of a document as declared by the user during declaration into

an EDRMS. The user declares the document status to be one of the

following three possibilities:

Work In Progress (WIP). Official business, but not yet ready to be

declared as a record. This implies the document is a record, and must

eventually be declared as such.

Record. The user believes this to meet the criteria of a record, and/or is

choosing it be managed as a record in the EDRMS. Once declared, it will

be subject to formal recordkeeping control.

Reference. The user believes this document does not meet the criteria of

arecord, but needs it to be retained as long as needed for the completion

of the

EDRMS Electronic Document and Records Management System. A business

information system in which the records of an organization are created,

captured, maintained, and disposed of. Such a system also ensures their

preservation for evidential purposes, accurate and efficient updating, timely

availability, and control of access to them only by authorized personnel. An

EDRMS includes rules and procedures governing the storage, use,

maintenance and disposition of records and/or information about records, and

the tools and mechanisms used to implement these rules.

An EDRMS delivers specified recordkeeping controls. Most systems can

manage electronic and physical records. Many are comprised of general-

purpose content management systems that deliver recordkeeping capability.

An EDRMS can be configured to store exclusively records, however it will

typically store all three of the following categories of items:

Declared Records

Non-Records

Non-Declared (unmanaged) records

Event Date The date that triggers the Disposition of a set of record(s) in a case file.

Suppose for example a retention rule for Contracts is “Destroy 2 years

following contract end”. The trigger date for records about contracts is

therefore the contract end date. If the contract for Safe-Tee Security for

instance ends Jan 15 2009, the records are qualified for disposition on Jan 15

2011.

File Multiple meanings:

1) An electronic document (recorded information in digital form, any format) 2) A collection of related documents (the “contract file”). Could represent one

or more physical folders of related documents. 3) A physical folder 4) The act of placing an electronic document into a storage or management

system (to “file” a document into an EDRMS).

In an EDRMS setting, a “file” most closely relates to a category, as

distinguished from a document (recorded electronic information).

FOIP The Freedom of Information and Protection of Privacy (FOIP) Act aims to strike a balance between the public’s right to know and the individual’s right to privacy, as those rights relate to information held by public bodies in Alberta.

GARP Generally Accepted Recordkeeping Principles.

Hold Directive (Legal Hold, Suspension). Process which an organization uses to preserve all

forms of relevant information when litigation is reasonably anticipated.

Suspends the normal disposition or processing of records. A legal hold is

typically issued as a result of current or anticipated litigation, audit, government

investigation or other such matter to avoid evidence spoliation.

Information The data collected that are processed, analysed, interpreted, classified or

communicated in order to serve a useful purpose, present facts or represent

knowledge in any medium or form. This includes any data, file, content,

record, or other tangible artifact in any form, including books, documents,

maps, drawings, photographs, letters, vouchers and papers, sound recordings

(audio), videotapes, electronic (digital) files, electronic mail transmissions,

databases and spreadsheets, graphical, physical sample, textual or numerical

form, and any other recorded information, photographed, recorded or stored in

any manner.

Non-Record A document that does not meet the criteria of a record, i.e. does not have

enduring business value. Examples include transient, redundant, or duplicate

copies of documents. . Also includes documents not related to business (non-

work documents).

Physical A document that is not electronic, e.g. document, folder (of

documents), box, or artifact. It is managed or tracked as a

record by the EDRMS.

Electronic The body (content) of the record is in electronic form, e.g. word

processing documents, PDF files, spreadsheet, digital images,

etc. Not declared as a record in an EDRMS.

Non-Work Electronic Documents an employee creates and stores on an office computer

system which are not related to the business. Such documents may be stored

in an EDRMS, co-mingled with records, non-records, and undeclared records.

Should be subject to deletion. Not subject to disposition.

Physical Records Those records that are not electronic. The content (body) of the record is not

stored within the EDRMS. Physical records typically take the following three

forms:

Box Contains multiple physical documents. A box is numbered via an

affixed label. Typically a barcode is applied for tracking purposes. The

box typically contains folders (of individual documents). A box is

considered to be a single record for disposition purposes.

Folder A file folder (jacket) containing a set of documents. Folders are

numbered and have a label affixed to them for retrieval purposes.

A folder is considered a single record for disposition purposes. A folder

often will have a Start and End date, representing the oldest and

newest correspondence, respectively. A folder may be part of a series

of multiple folders containing records on a given topic.

Non-Electronic Document. (N-Doc). A physical record where the content

(body) of the record is not stored within the EDRMS, however the

record is tracked and managed by the EDRMS in the same manner as

an electronic record. An electronic record has its content and metadata

stored in the EDRMS, whereas an N-Doc has only metadata stored in

the EDRMS. Some examples may be large maps, historical artifacts,

leather-bound books, core samples, microfiche rolls, etc.

An EDRMS with physical records management capability will manage physical

records (boxes, folders, N-Docs) alongside electronic records and apply the

same retention rules to them. It will also include electronic and physical records

in searches and legal holds.

Qualification, Record Determination that a document is a business record. Common criteria:

Records a decision

Created in the conduct of the business of the organization

Necessary for the conduct of the business

Constitutes evidence that a legal or policy obligation was followed

Qualification, Disposition Determination that a document is eligible for its end-of life disposition,

i.e. can be destroyed or transferred following the end of its designated

retention period.

Qualification Rate The percentage of a defined collection of documents that meet the criteria of a

business record, i.e. have business value. A key measure of performance in an

EDRMS system.

MGA Municipal Government Act, R.S.A. 2000, c. M-26 and amendments thereto also known as MGA;

Record A document or artifact that meets the criteria of a record (Information created,

received, and maintained as evidence and information by an organization or

person, in pursuance of legal obligations or in the transaction of business).

Either physical or electronic form:

Physical A document that is not electronic, e.g. document, folder (of

documents), box, or artifact. Identified as a record and therefore

has recordkeeping controls applied to it. May optionally be

recorded within (tracked by) a EDRMS.

Electronic The body (content) of the record is in electronic form, e.g. word

processing documents, PDF files, spreadsheet, digital images,

etc. If declared as a record in a recordkeeping system

(EDRMS), it is subject to recordkeeping control.

A document that is being managed as a record. Smallest atomic unit that can

reach disposition. Characteristics of a record:

1) It is assigned a retention rule from the official retention schedule

2) It may only be deleted or transferred, in accordance with the formal

records disposition process

3) Metadata is recorded about the record

One of (3) possible choices of Document Status (along with Reference or

Work In Progress) specified during document declaration in an EDRMS.

Record, Undeclared A document stored in an EDRMS that meets the criteria of a record, and

therefore is a business record, but is not subject to recordkeeping control. It

has not been declared to be a record to the EDRMS, and therefore may not be

known to be a record. Because it has not been declared, it is not subject to the

recordkeeping controls of the EDRMS.

Retention Schedule Also known as a File Plan. The list of approved retention periods and

disposition rules for each business activity or subject within the organization.

Driven by legislative obligations (various laws and regulations that apply to the

municipality), and county operational corporate policies.

Reference One of (3) possible choices of Document Status (along with Work In Progress

or Record) specified during document declaration in an EDRMS. Does not

meet the criteria of a record. Generally, a reference document is needed for

the conduct of business, therefore needs to be retained for a specified period

of time. Sometimes created outside the organization. Not subject to formal

disposition. Will typically be retained for as long as needed, then deleted.

Schedule Two meanings:

1) Noun. The “schedule”. The retention schedule (list of categories and their retention rules)

2) Verb. To “schedule”. The act of applying the retention rules to qualified records.

SAC (System Assisted Classification). A software capability whereby documents are

classified against a pre-determined classification scheme, without user

intervention. The analysis is carried out by software that determines the

document’s subject matter, then proposes the best match against the

classification scheme.

SFD (System Facilitated Declaration). The methods, techniques and (sometimes

proprietary) EDRMS product features that are designed to minimize user

interaction during the classification and declaration of electronic records.

Administrative Category A category containing documents whereby the business activity is

ongoing without any defined activity end date, e.g. “Travel”. Documents are

qualified for disposition once they reach a certain age, i.e. after 2 years.

Individual documents reach disposition and are processed independently of the

other documents of the same subject. Individual documents can reach the age

of disposition, while those not yet aged to disposition are left behind.

Transfer Move record to a physically separate storage location for permanent storage.

In the case of an electronic record, the original record is removed from the

EDRMS. Also known as “accessioning”.

Unknown One of (3) possible choices of Document State (along with Non-Record or

Record) specified during document declaration in an EDRMS.

Unknown Disposition. Disposition Status is Unknown. See Disposition.

Vital Records Recorded information required to re-establish or continue an organization in

the event of a disaster; containing information necessary to recreate an

organization's legal and financial position and preserve the rights of the

organization and its stakeholders. The informational value is so great, and the

consequences of loss are so severe, that special protection is justified in order

to reduce the risk of loss.

Work In Progress (WIP). One of (3) possible choices of Document Status (along with Reference

or Record) specified during document declaration in an EDRMS. Presumed to

be a record (meets the criteria of a record), but not yet ready to be declared as

a record (i.e. incomplete, not yet approved, etc.). A document stored in an

EDRMS in a WIP state must later be declared as a record.

Schedule B - Applicable Legislation, Acts and Regulations

Municipal Government Act (MGA)

Freedom of Information and Protection of Privacy Act (FOIP)

Limitations Act

All other legislation and regulations that are required

Schedule C - Standards

The following standards that support governance of the EDRMS Portal:

GARP/ The Principles (ARMA):

http://www.arma.org/r2/generally-accepted-br-recordkeeping-principles

ISO 15489:

http://www.iso.org/iso/catalogue_detail?csnumber=31908

Electronic Records as Documentary Evidence:

http://www.scc.ca/en/standardsdb/standards/22952

Administrative Records Disposition Authority:

http://www.im.gov.ab.ca/documents/publications/ARDA.pdf

Schedule D – Security Caveats

ASB Inspections

Economic and Development

Family Services

Financial Services

Fire Incidents

FOIP

Human Resources

Insurance

Law Enforcement

Legal Issues – Administration

Legal Issues – Agriculture

Legal Issues – Assessment

Legal Issues – FCSS

Legal Issues – Planning and Development

Legal Issues – Public Works

Payroll

Personnel

Procurement Services

Training

And any other caveat that may be added at a future date.

Schedule E – County wide approved Naming Conventions

Legal Land Description

Use dashes, no spaces, no leading Ø’s , W6. All segments must be used.

SE-31-72-12-W6 (Quarter) LSD-Section-Township-Range-W6

1-31-72-12-W6 (LSD) LSD-Section-Township-Range-W6

Plan-Block-Lot

In a data field or when needing a “short” format, use no spaces, use ;(semicolons) and in order from largest

area to smallest area.

Plan;Block;Lot

123456;1;1

123456;;1

When writing a document to people that may find the short format confusing, spell out each of the fields to

eliminate confusion. Keep it in the same order.

Plan 123456;Block 1;Lot 1

Roll Number

Store as a number wherever possible. No spaces and no leading Ø’s. It reduces the chance of bad numbers .

10000

131900

Linc

Store as text wherever possible because the leading Ø’s are important. Ensure it matches what is in Land

Titles.

00123454678 Naming Conventions for Addressing

TWP RD – township road – this is as on rural addressing signs and how it is entered into Bellamy

RGE RD – range road – this is as on rural addressing signs and how it is entered into Bellamy

HWY – highway – this is as on rural addressing signs and how it is entered into Bellamy

ST – Street

AVE - Avenue

Rural Address examples:

741002A RGE RD 34 – there is no space between address and “A”, “B”, and so on

54056 TWP RD 710A – there is no space between road number and the “A” of the roads number

6A 54056 TWP RD 710A – no spaces between numbers and letters always—no hyphens

Civic Address Examples

11221A 98 ST – no space between house number and “A” (only if it is a letter)

10014 96A AVE – no space between 96 “A” Ave (only if it a letter)

Always in capital letters

327 SCOTT LANE – name in capital letters

MUNIID

Store as a number wherever possible. These numbers are

assigned by Alberta Municipal Affairs,

and every Alberta Municipality has one.

133 is the County of Grande Prairie’s MUNIID

Phone Numbers in The Hub

780-532-9722 or 1-403-555-1212 No Brackets around area code and no spaces

Schedule F – Records vs Non-Records

OFFICIAL RECORDS VS NON- RECORDS

When handling records—official or transitory—there are two essential legal authorities to consider:

The Municipal Government Act (MGA), enacted under the authority of the Alberta Provincial Government, provides basic information o n the legislated requirements for records management in municipal government. The MGA:

Mandates the municipal records management program,

Assigns accountability to the CAO for management of records in their custody or control,

Requires records retention and disposition schedules for all municipal records, and

Advises on the destruction of municipal records.

The Freedom of Information and Protection of Privacy Act (FOIP) ensures that the municipality protects the privacy of individuals by controlling the manner in which public bodies collect, use and disclose personal information. The FOIP Act:

Requires the municipality to be accountable to the public by providing a right of access to records in the custody or control of the government, subject to limited and specific exceptions, and

Limits the collection, use and disclosure of personal information by the municipality and sets rules for the protection of personal information.

RECORDS IN THE COUNTY OF GRANDE PRAIRIE

What is a record?

The FOIP Act defines “record” as a record of information in any form and it includes:

Notes Maps

Images Drawings

Audiovisual recordings Photographs

X-rays Letters

Books Vouchers

Documents Papers

Any other information that is written, photographed, recorded or

stored in any manner

Records provide evidence of municipal business and can be in any medium or format. Decisions we document that are related to our jobs, whether we use a computer, pen, camera or phone, can produce a record.

There are two classes of records: Official Records and Transitory Records.

What Are Official Records?

Official records document and provide evidence of business transactions. They are records that must be retained and filed in official records systems, and managed in accordance with municipal policies, standards, and practices. These are records that document or provide evidence of a municipality’s business activities.

Official records:

contain information that has ongoing business value,

are required to support business operations,

document and provide evidence of business transactions,

are required by legislation,

protect the rights of citizens and the government,

provide evidence of compliance with accountability or other business requirements, and

have future business, financial, legal, research or archival value.

Official records should be stored securely so that they will be readily available to those who need them and are authorized to access them. They must be retained and disposed of in accordance with an approved Records Retention and Disposition Schedule.

What Are Non-Records?

Non-Records or transitory records are records in any format that are ofshort-term value, with no further uses beyond an immediate transaction.

In other words, transitory records are only required for a limited period of time, in order to complete a routine action or to prepare a subsequent draft or final version.

Non- Records:

have no further value beyond an immediate and minor transaction,

are produced or received in the preparation of other records which supersede them or for convenient reference,

are not needed as evidence of a business activity and, as such, can normally be routinely disposed of,

are not filed in official records systems, and

are not required to meet legislative or regulatory obligations.

Why is it important to effectively manage transitory records? A significant amount of information retained by municipalities is temporary in nature and does not merit long-term retention. It has been estimated that in most cases only 20 percent of recorded information is official, while 80 percent is transitory. Hence, if transitory records are not destroyed, valuable space is taken up on servers and hard drives, in file rooms, workstations and storerooms, and makes it more difficult to locate and retrieve the records that we need.

A records retention and disposition schedule is a legal document that outlines how long records are to be kept, where

they are to be kept, and what their final disposition will be

Examples of Official Records Examples of Non-Records

Policies, directives, briefing notes,

Final reports and recommendations,

Business deliverables,

Draft materials in the preparation of legislation, legal documents, audit reports, etc.,

Accounting working papers,

Work plans, schedules, assignments and performance results,

Materials of historical or research importance,

Agendas and minutes of meetings, or

Legal agreements of any kind.

Advertising materials and junk mail,

Blank information media such as obsolete stationery and blank forms,

Notices of social events such as retirements or office parties,

Duplicate copies used for convenience,

“FYI” email notices on meetings,

holidays, boardroom reservations etc.,

Photocopies of departmental publications, or

Draft documents, working or research materials used in preparation for the final version.

Schedule G – Retention Schedule (File Plan)

Currently a work in progress