INFORMATION MANAGEMENT TOOL KIT

FOR

FIRST NATIONS GOVERNMENT IN BRITISH COLUMBIA

2010

Volume 1 – For the Executive Director/Band Administrator/Senior Administrator

Prepared by

Alexandra E. Bradley, CRM

Harwood Information Associates Limited

Cataloguing In Publication Data

© 2009 First Nations Public Service. All rights reserved. No part of this publication may be stored, reproduced, transcribed, translated or transmitted into any other form without the prior written permission of the First Nations Public Service of British Columbia. Without restricting the generality of the foregoing, no one may make commercial use of any content of this publication whatsoever, including selling any information, software, products or services or displaying or otherwise using any content of this publication on any website.


DISCLAIMER

The contents of this publication are for general information purposes only for First Nations organizations and are not intended to provide legal advice or opinion of any kind. The contents of this publication should not be relied upon. No lawyer-client or other relationship is created by using the contents of this publication. The contents of this publication should not be seen as a substitute for obtaining competent legal counsel or advice or other professional advice. If legal advice or counsel or other professional advice is required, the services of a competent professional person should be sought. While the First Nations Public Service has made reasonable efforts to ensure that the contents of this publication are accurate, the First Nations Public Service does not warrant or guarantee the accuracy, currency or completeness of the contents of this publication. The First Nations Public Service expressly disclaims all representations, warranties, conditions and endorsements. In no event shall the First Nations Public Service, its directors, agents, consultants or employees be liable for any loss, damages or costs whatsoever, including (without limiting the generality of the foregoing) any direct, indirect, punitive, special, exemplary or consequential damages arising from, or in connection to, any use of any of the contents of this publication.

First Nations Public Service of British Columbia

Information Management Toolkit

Table of Contents

Volume 1

1. Introduction to Records and Information Management in British Columbia First Nations Government Organizations

1. 1 Introduction Page 7

1. 2 Recorded Information Management Defined Page 8

1. 3 Understanding what is a “record” Page 9

1. 4 Why is Records Management Important? Page 11

1.4.1 Chain of evidence Page 11

1. 5 Business Case for Recorded Information Management Page 14

1.5.1 “Intelligent conversation” between records

managers, IT, and legal advisors Page 15

1. 6 Required Program Components Page 15

1.6.1 Standards defining program design and operation Page 16

1. 7 Support and Resources Page 16

1.7.1 Personnel competencies of Records Staff Page 17

1.7.2 Staff training and ongoing support Page 19

2. Program Design and Operation

2.1 Steps in RIM Program Development Page 21

2.2 Information Survey Page 22

2.3 RIM Policy Page 22

2.4 Model Bylaw Content Page 23

2.5 The Life Cycle of Information Page 23

2.6 Information Capture and Registration Page 24

2.7 Managing Active or Current Records Page 25

2.7.1 Model Classification System Page 26

2.7.2 Daily Office Routines Page 27

2.8 Program Documentation and Procedures Page 28

2.9 Managing Inactive Records Page 28

2.9.1 Retention and Disposition Schedules Page 29

2.9.2 Managing Records Transfer and Disposition Page 30

2.9.3 Managing Records Storage Page 31

2.9.4 Records Destruction Processes Page 32

2.10 Managing Permanent Records Page 33

2.10.1 Role of Archives Page 34

2.11 Program Maintenance Page 35

2.11.1 Quality Assurance and Auditing Page 35

Table Of Contents

2.12 Program Operational Issues Page 36

2.12.1 BC Freedom of Information and Protection of

Privacy Act and Records Management Page 36

2.12.1.1. Commissioner’s Orders and

Records Management Page 37

2.12.1.2. FOIPPA and Electronic Records Page 38

2.12.1.3. FOIPPA and Use of Personal

Information Page 40

2.12.1.4. FOIPPA and Records Available

Without Request Page 40

2.12.2 Information Protection and Security Page 41

2.12.3 Vital/Essential Records Page 42

2.12.3 Traditional Knowledge and Information Page 46

3. Electronic Records Considerations

3.1 Electronic records defined Page 45

3.2 Hard copy vs. Digital formats Page 47

3.2.1 Mix of formats today Page 47

3.2.2 Scanning and Imaging Page 48

3.3 Data and Metadata Requirements Page 48

3.4 “Authentic and Reliable” Electronic Records Page 49

3.5 Integrity of Electronic Records Management Systems =

Electronic Records as Evidence Page 50

3.5.1 The Hearsay Rule Page 50

3.5.2 British Columbia Evidence Act Page 51

3.5.3 British Columbia Electronic Transactions Act Page 51

3.5.4 Canada Evidence Act Page 52

3.5.5 Judicial Interpretation of Electronic Records Page 55

3.5.6 Canadian General Standards Board Electronic

Documents as Documentary Evidence Page 57

3.6 Partnership with Information Technology Page 58

3.7 Life Cycle Management of Electronic Records Page 59

3.7.1 Creation Phase Page 59

3.7.2 Registration/Capture Page 60

3.7.3 Use/Maintenance/Retrieval Page 61

3.7.4 Disposition/Deletion Page 62

3.7.5 Preservation Page 62

3.7.6 Quality assurance and audit trails Page 63

3.8 Managing records in directories Page 63

3.9 Managing electronic mail Page 65

3.9.1 Electronic mail is a record Page 65

3.9.2 Electronic mail responsibilities Page 66

3.10 Managing digital photographs Page 66

3.11 Managing database records Page 67

3.12 Managing web content and links Page 69

Table Of Contents

3.13 Electronic records management applications Page 69

3.13.1 Better, more functional tools Page 70

3.13.2 Standards for selecting records management

Applications Page 71

3.13.3 How to select the “right” application Page 72

3.13.3.1 The request for proposals Page 72

3.14.4 Implementation and operational issues Page 73

4. Summary Page 75

Index Page 76

Appendices: Page 80

A. – Model Records Management Bylaw Page 81

B. – Glossary Page 107

C. – References and Links Page 109

Volume 2 – Filing Toolkit

A. Introduction Page

B. Sample Filing Procedures Page

C. Filing Equipment Standards Page

D. Sample File Closing, Storage and Destruction Procedures Page

E. Sample Transitory Records Schedule Page

F. – Document Naming Conventions Page

Appendix 1 – Records Classification and Retention Schedule

1. Introduction to the Records Classification System

and Retention Schedule Page 8

2. Structure and Logic of the Classification System and

Retention Schedule Page 8

2.1 Sections Page 8

2.2 Primary and Secondary Subjects Page 9

2.3 Retention Periods Page 10

3. Records Classification and Retention Schedule Page 16

4. Index Page 123

Appendix 2. – Legal Citation Listing

1. BC Legal Retention Requirement for Records Page 152

2. BC Legal Requirement to Prepare and Maintain Records with

No Specified Retention Period Page 162

3. Canada Legal Retention Requirements for Records


1. Introduction to Recorded Information Management in British Columbia First Nations Governments

The purpose of this tool kit is to provide general records and information guidance to staff in the various First Nations government organizations in the province of British Columbia (BC).

In most First Nations government organizations in BC, the person responsible for recorded information management (RIM) will be the Chief Administrative Officer. Recorded information management will be one of many responsibilities for this individual. Therefore, while the professional literature of records and information management contains much more detailed information on every aspect of the management of recorded information, this publication provides basic principles and fundamental operating processes, based on industry standards and best practices. It is written as a practical handbook enabling the manager to read selectively about aspects of records management, and then follow up, if required, through the lists of references to additional information that are included in the Appendices. The manual also includes the basic records management instruments including a records classification and retention schedule, a model bylaw, as well as samples of forms and practical tips for all aspects of records management.

In addition, the Tool Kit includes Volume 2, with daily record keeping procedures and routines designed for the staff person who is designated to manage records. This includes information management procedures for mail management, file opening and closing, records storage and approved disposal or archival preservation of records. There is also a model classification and retention schedule (included as Appendix 1 and 2) that is based on the typical functions or portfolios present in First Nations organizations. The retention requirements have been reviewed and updated current to December 2009. The standards-based approach reflects the International Standards Organization (ISO) ISO 15489 Information and Documentation – Records Management – Part 1 General[1], and Part 2 – Guidelines.[2] It also reflects the Canadian General Standards Board CAN/CGSB – 72.34-2005 Electronic Records as Documentary Evidence,[3] released in December, 2005.

Records are produced and maintained in diverse formats. In this complex environment, a variety of housekeeping approaches are required. Most importantly, all employees have a records management role to play. These requirements are outlined in detail in the following chapters.

Acknowledgements

The authors would like to thank the advice and assistance of the members of the Records Management Manual Advisory Committee (INSERT acknowledgements here).

1. 2 Recorded Information Management Defined

In today’s organizations, information is at the centre of all business functions, whether it be required for decision making, strategic planning, regulatory compliance or future reference. First Nations governments have a duty to create, receive and use records as a normal part of conducting business. How governments manage information can directly affect their ability to operate efficiently and with full knowledge of past precedents and future requirements. With the ongoing requirement for information access, First Nations governments must be certain that information created today will be available over time and into the future, for as long as the information is required. Herein lies the greatest challenge for record keeping!

Recorded information management is defined as “the systematic control of records throughout their life cycle” by ARMA International. ARMA International is the professional association of records and information managers.[4] The ISO standard earlier cited expands on the concept of life cycle management to include the ”field of management responsible for the efficient and systematic control of the creation, receipt, maintenance, use and disposition of records, including processes for capturing and maintaining evidence of and information about business activities and transactions in the form of records.”[5]

The records management discipline is now often referred to as “recorded information management” or RIM, in recognition of the fact that records come in many formats, ranging from the conventional physical formats such as paper, drawings, photographs, to the more recent digital formats such as electronic documents, spreadsheets and databases, graphical materials and web content. This RIM terminology helps to dispel the perception that staff may hold when they hear the term “record” as referring only to the paper record in a centralized collection.

Records management in a local government organization typically includes:

·  Setting policies and standards;

·  Assigning responsibilities and authorities;

·  Establishing and promulgating procedures and guidelines;

·  Providing a range of services relating to the management and use of records;

·  Designing, implementing and administering specialized systems for managing records; and

·  Integrating records management into business systems and processes.[6]

A systematic approach to the management of records is essential for organizations and society to protect and preserve records as evidence of transactions. A records management system results in a source of information and business activities that can support subsequent activities and business decisions, as well as ensuring accountability to present and future stakeholders.[7]

1. 3 Understanding What is a “Record”

A clear understanding of what we mean by the term “record” is one of the foundations for program development and implementation. The records management standards define a record as “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.”[8]

Although this is the accepted records management definition of a record, First Nations are subject to federal and provincial legislation, depending on particular programs and circumstances.

Within the Federal sphere, public organizations must comply with legislative definitions of “record”, including the following from the Personal Information Protection and Electronic Documents Act [2000, c. 5]. In section 2(1):

“Record” includes any correspondence, memorandum, book, plan, map, drawing, diagram, pictorial or graphic work, photograph, film, microform, sound recording, videotape, machine-readable record and any other documentary material, regardless of physical form or characteristics, and any copy of any of those things.

Public organizations in British Columbia must comply with various legislative definitions of “record”, including FOIPPA. FOIPPA embeds a broader definition. This broader definition is derived from section 29 of the Interpretation Act. Section 29 defines “record” this way:

"record"includes books, documents, maps, drawings, photographs, letters, vouchers, papers and any other thing on which information is recorded or stored by any means whether graphic, electronic, mechanical or otherwise;[9]

Thus, one of the key records management issues for First Nations governments is that, technically, everything is a record. Records have varying values to organizations, and most staff are able to discern between records of passing or transitory value, and records of substantive or business value. RIM programs within First Nations government should assist their organizations with policy development and processes to enable staff to quickly choose between the substantive and the transitory information.