Government

[Acronym of Institution] File:
NA File: 6238-50/XXX

A Guide for Records Disposition Submissions on Records Related to the Business Activities of the [Branch, Division, Unit] of [Name of Federal Government Institution]

Notes for the Analysts and Archivists of the National Archives:

This document is a guide for federal government information managers responsible for drafting a Records Disposition Submission to obtain a Records Disposition Authority (RDA) from the National Archivist of Canada. Assistance and clarification provided by analysts and archivists will also aid the client department in completing the Records Disposition Submission.

The guidelines in this document are not inclusive nor mandatory in all cases. Preparation of a Records Disposition Submission may not involve all the procedures outlined in the guide. For example, where the archivist, based on information provided in the Profile of the institution, determines that the records have no or little archival value, a Records Disposition Submission may not have to provide all the information requested in the guide. The Profile of the client institution will facilitate a detailed identification of the records of potential archival value.

Please note that the National Archives requires an electronic copy of the Records Disposition Submission.

Please remove the above paragraphs when the submission is finalized.

Table of Contents

1. Introduction

2. Background

3. The Institution's Business

4. Information

4.1 Flow
4.2 Sharing Environment
4.3 Identification/Classification Scheme (s)
4.4 Characteristics (All Media)

5. Retention and Disposition - Scheduling Program

Annex A - Identification of Electronic Information

Annex B - Supplementary Information (should not be included in the submission report)

Annex C - Glossary

1. INTRODUCTION

The introductory paragraph of the Records Disposition Submission should indicate the intent and coverage of the Submission. It should indicate the name, title, phone number and email address of the individual(s) responsible for preparing the Submission, as well as the date of the Submission. The following example is provided as suggested wording:

Example: This Records Disposition Submission describes the business lines, service lines, activities and operations of the Department of XXX (Branch, Division, Unit) and associated records in all media (i.e., paper, electronic, sound, video, film, digital etc.) to support the institution. The purpose of the Records Disposition Submission is to permit the identification of archival or historical records for transfer to the care and control of the National Archives by obtaining a new or amended Records Disposition Authority from the National Archivist. XXXXX (Name of contact and title) at XXXX (Name of Institution), (Phone number and email address) and XXXX (Analyst's name and title) of the National Archives of Canada (Phone number and email address) prepared this report. (Date)

2. BACKGROUND

Consider the following questions when preparing the text for this section:

1. Was this Records Disposition Submission a planned priority within an existing Multi-Year Disposition Plan (MYDP)? If so explain how it relates to the MYDP.
   1. Is this the only priority mentioned in the MYDP or is it one of many priorities? If it is an unplanned priority, explain why this particular Submission has precedence.
   2. If there is no MYDP, why is this Submission being prepared and will an MYDP be negotiated?
   3. Is there a documentation strategy in place? If not, why not? Is this Submission a part of that strategy?
   4. Does this Submission involve documents in media other than text? (e.g., film, photo, sound, video, digital, electronic etc.). If so, please ensure that non-textual media archivists are involved in preparing this Submission.
   5. Does this Submission include records identified as having potential archival value prior to the preparation of this Submission? If so, please briefly describe the records. Which existing Records Disposition Authorities, if any, will be superseded entirely or partially by the Authority obtained through this submission?

   Exclusions:

   1. Is this Submission a complete representation of all of the records to be disposed of by the department? If not, why not? For example, is it covering old records which are not part of the corporate system?
   2. Does this Submission amend a previous Authority?

3. THE INSTITUTION'S BUSINESS

Briefly describe the institution's mandate, mission, objectives, priorities, business functions, sub-functions, activities and transactions as presented in their department's Planning, Reporting and Accountability Structure (PRAS), and other sources of information such as strategic, corporate and business plans and the Departmental Report on Planning, Priorities and Performance Reports. Also provide reference to the legislation which the institution has responsibility for, or shares a responsibility for, to Parliament. The documents referred to above should be available on the Treasury Board Secretariat's Website or on the client institution's Website.

Show how the records in the submission relate to the hierarchy of Function, Sub-function, Business Activities and Transactions

IM Business Activity Classification Structure	National Archives Example
Mission Statement Indicates why the organization exists and how it is unique to other institutions.	Connecting Canadians to the sources of their past.
Function Institution's Roles and Responsibilities (Business Line)	1. Acquisition and Holdings Management
Sub-Function Decomposition of a function (Service Line)	1.1 Acquisition 1.2 Archival Control 1.3 Preservation
Business Activities Major tasks performed to accomplish a function or sub-function or how the Institution operates	1.1 "Acquisition:" is comprised of 2 business activities 1.1.4 Government Sector 1.1.2 Private Sector
Transactions	Specific subjects or cases if necessary

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