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Appendix B: Recommended RBA Disposition Rules

File Type Rule used in Assessment Project Comparison with HC Study Recommendation
Active records Keep all records created after January 1, 2000 (less than 8 yrs old) HC study originally had "less than 6 yrs" Retain assessment project rule
Publications Transfer all publications to NRCan library This was not a HC file type but was found to be useful in the NRCan project Retain assessment project rule
Central registry files Keep all central registry files Same as HC Study.
Note: During the assessment project, a large number of very early registry files were located (70s and earlier). These pre-dated the current NRCan records classification structure and were found to have archival value. It was recommended these earlier records be transferred to LAC.
Keep all registry files for business value except pre-1970s. If pre-1970s registry files are located, let archivist determine whether they should be transferred to LAC.
Scientific data Keep all scientific data, reports, results or scientific case files Same as HC Study There was some debate as to whether all scientific records were truly of ongoing business value. Perhaps some of these were of no ongoing business value; perhaps older scientific records would better serve the scientific community if they were accessible in a repository such as LAC. This is an area that needs discussion and study.
Policy development or working files Keep all policy development records that are still in effect

Decision tree: If a policy development record is found, inform Disposition Expert.

Disposition expert consults with program staff to determine if the policy is still in effect.

If policy is still in effect: KEEP If it is taking a very long amount of time to determine if the policy is in effect (more than a couple phone calls): KEEP

If policy is no longer in effect: disposition expert will consult with archivist to see whether it is of archival value. If policy is no longer in effect and archivist has indicated the file is not archival: DESTROY
HC recommended retention of all policy development or working files. Retain assessment project rule
Program development or working files Keep all program development or "working files" created after January 1, 1993

Decision tree: For program development or working files created before January 1, 1993: disposition expert will consult with archivist to see whether it is of potential archival value.

If program development or working files are determined not to have any archival value, DESTROY.
HC Study recommended retention of all program development or working files and disposal of all program case files dating to more than 15 yrs. Retain assessment project rule with the note that should GC institutions wish to deviate from the rule, justification should be produced by head of the program area that has custody for the records.
Records created by the Office of the Deputy Minister, ADMs or Chief Scientist Keep all records created by the Office of the Deputy Minister

Check with disposition expert if you find files containing records created by the Assistant Deputy Minister or Chief Scientist.

Disposition expert will check with archivist to see if these items have archival value.
Not a category in HC Study Retain assessment project rule
Pre-1946 materials Keep all pre-1946 materials   Retain assessment project rule
Objects Objects:
bottles of liquids, chemicals, lab samples, geological samples, or apparatus Destroy all.
  Retain assessment project rule
Administrative Destroy older than 5 yrs. Category from HC Study Retain HC Study rule
Transitory Destroy all. Category from HC Study Retain HC Study rule
Media records that are non-archival because of the format (see list below) Media records appearing in the same file with textual material files should have the same disposition decision applied to them. Media records found stored separately from textual supporting documents should be analysed separately, by archivist. HC Study did not discuss media. Retain assessment project rule


Disposition Criteria recommended to be eliminated, but used in NRCan Assessment Project:

File Type Rule Comparison with HC Study and Recommendation
Operational Case File Records Operational case file records that meet the definition of case file records under MIDA 2005/006 are no longer part of the RBA project. Eliminate this file type
Publications Transfer all publications to NRCan library This was not a HC file type but was found to be useful in the NRCan project
Non-business related documents/other   HC Study simplified the categories, using "Administrative" and "Transitory" which is recommended for future projects. Breaking the files into further categories seemed to confuse people.
Records with environmental damage   Not used in HC Study and not recommended for future use; technicians should simply make a note in box listing excel sheet
Computer Print outs   Changed to "transitory"

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