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Retention Guidelines for Common Administrative Records of the Government of Canada
Section 2, Part 1
General Administration Function
(Subject-based arrangement)
Section 3 - Exceptions to the General Retention Guideline - General Administration Function
| Subject Group | Subject and Description | Retention Guidelines and / or Remarks Always apply the General Retention Guideline unless specified otherwise |
|---|---|---|
| 3.1 Access to information and privacy | Individual requests for access to records under the acts | Minimum 2 years following the date on which a request was responded to and a subsequent complaint, if any, was fully processed. 2 This retention is governed by the Privacy Act and must be adhered to. See Treasury Board's publication Info Source: Sources of Federal Employee Information, Main Book Standard Personal Information Bank PSU 901, Access to Information and Privacy Requests, for additional information on this standard bank. |
| Privacy requests - individual case files | Minimum 2 years following the date on which a request was responded to and a subsequent complaint, if any, was fully processed.3 This retention is governed by the Privacy Act and must be adhered to. See Treasury Board's publication Info Source: Sources of Federal Employee Information, Main Book Standard Personal Information Bank PSU 901, Access to Information and Privacy Requests, for additional information on this standard bank. | |
| Reports, registrations | 2 years | |
| 3.2 Books, pamphlets and publications | Compilation and editing, printing and binding, sale and distribution | |
|
1 year after publication appears or is cancelled | |
| 3.3 Correspondence management | Correspondence procedure, quality and production control, use of form and guide letters, signing authorities, channels of communication, etc… | |
| 3.4 Forms management | Analysis, design and control, identification, authorization, review, preparation and physical characteristics of forms | |
|
1 year after superseded or obsolete | |
| 3.5 Library services | Delivery of library, documentation or reference services | |
|
1 year | |
| 3.6 Licences and Permits | Parking and permit applications issued to individuals or to/by institutions | 2 years after the permit expires. This retention is governed by the Privacy Act and must be adhered to. See Treasury Board's publication Info Source: Sources of Federal Employee Information, Standard Bank PSE 914, Parking, for additional information on this standard bank. |
| 3.7 Mail, postal and messenger services | Delivery of mail, messenger and postal services, bulk payment system, liaison with public and private service providers | |
|
1 year after superseded | |
|
1 year | |
| 3.8 Management of technology | Electronic systems development, maintenance, and technical assistance for office systems and databases that support common administrative functions | |
| 3.9 Office Services | Drafting information services | |
|
1 year after drafting is completed | |
| Duplication and reproduction services4 | ||
| General and internal office procedures and services, including information processing | ||
|
1 year | |
| Photocopying and Printing Services | ||
|
1 year after job completed | |
| Secretarial and stenographic services | 1 year after services provided | |
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| Translation services | 1 year after services provided | |
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| Word processing, typing and transcribing services | 1 year after services provided | |
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| 3.10 Records Management | Developing, adopting and implementing essential records programmes, micrographic and imaging programmes, classification systems, records inventories etc… | |
| Automation | ||
| Disposition of records | ||
|
||
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2 years after Records Disposition Authority files are superseded or amended by the Librarian and Archivist of Canada 5 | |
|
10 years after files or records destroyed | |
| Master Numerical Index Cards or Master Control Records | 2 years after superseded | |
| 3.11 Security | Encompasses the business processes and activities which produce records created by government institutions relating to the primary components of security such as classification and designation, security and risk management, control of access, personnel security, safeguards and security breaches and violations. More specifically, this sub-function includes the classification of sensitive information in the national interest; the administration of security clearances on government employees and contractors; all aspects of physical security related to sensitive or classified information; and the secure handling of information assets | |
| Breaches | 6 months | |
| Clearances and reliability checks | ||
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2 years after an employee leaves the institution for which the clearance was obtained. This retention is governed by the Privacy Act and must be adhered to. See Treasury Board's publication Info Source: Sources of Federal Employee Information, Standard Bank PSE 924, Personnel Security Screening (Reliability Screening/Security Clearance) for additional information on this standard bank. | |
|
1 year | |
| Communications | ||
| Identification methods | ||
|
2 years after expiry. This retention is governed by the Privacy Act and must be adhered to. See Treasury Board's publication Info Source: Sources of Federal Employee Information, Standard Bank PSE 917, Identification and Building-Pass Cards for additional information on this standard bank. | |
| Informatics | ||
|
2 years after last administrative use. This retention is governed by the Privacy Act and must be adhered to. See Treasury Board's publication Info Source: Sources of Federal Employee Information, Main Book Standard Personal Information Bank PSU 905, Electronic Network Monitoring Logs for additional information on this standard bank. | |
| Physical | ||
|
2 years or 1 year after requirement ceases | |
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| Regulations and orders | 5 years after superseded or revoked6 | |
| Reports and returns | ||
|
5 years | |
| 3.12 Travel / Transportation | Baggage | |
|
1 year | |
| Effects - property and goods | ||
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|
1 year | |
| Freight and express | ||
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|
1 year | |
| Rates, tariffs, schedules, etc. | Active until superseded or revoked | |
| General | ||
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|
1 year | |
| Hotel reservations | ||
|
6 months | |
| Personnel | ||
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|
1 year | |
| 3.13 Visits, tours and itineraries | General | |
|
1 year | |
| Routine itineraries | 6 months |
2. As per the Privacy Act, under Privacy Regulations, Section 7, the "head of a government institution shall retain for a period of at least two years following the date on which a request for access to personal information is received by the institution under paragraph 8(2)(e) of the Act
- (a) a copy of every request received; and
- (b) a record of any information disclosed pursuant to such a request."
Section 8 (2) (e) of the Privacy Act deals with requests made by an investigative body specified in the regulations.
3. As per the Privacy Act, under Privacy Regulations, Section 7, the "head of a government institution shall retain for a period of at least two years following the date on which a request for access to personal information is received by the institution under paragraph 8(2)(e) of the Act
- (a) a copy of every request received; and
- (b) a record of any information disclosed pursuant to such a request."
Section 8 (2) (e) of the Privacy Act deals with requests made by an investigative body specified in the regulations.
4. Previously "Requisitions" identified under this heading. As requisitions are financial in nature the LAC teams feels they fall more appropriately under the retention guidance provided for the Comptrollership function for financial records, which is 6 years. As such, this item is not part of the General Administrative function and should be pulled. The Comptrollership Function suggests a standard retention period of 6 years for financial transaction records such as vouchers, invoices, claims etc... This retention is applied after all administrative actions have been completed. Also, what LAC is currently investigating, is whether there are any legislative or policies in place which bolster the need to apply the same retention period to common administrative records (6 fiscal years) that support or document a financial action. References: the 1996 Treasury Board "Policy on Electronic Authorization and Authentication" Appendix A, Guidelines, iii Audit states that "The electronic authorization and authentication system and processes should be designed to ensure complete auditability. The audit trail should include delegation matrices, user profiles and all the electronic authorization and authentication data and files required to reconstruct the sequence of events and the transactions processed" and the Treasury Board "Policy on Internal Audit" (April 1, 2006) under section 5. Policy Requirements, 5.5 states that "Deputy heads of all departments are responsible for:" under 5.5.3 "Ensuring that the audit committee receives all of the information and documentation needed or requested to fulfill its responsibilities, subject to applicable legislation."
5. Former retention guidance provided stated "Until superseded or amended." Suggested retention change to 2 years in keeping with the change in the subject heading from RDA's to "RDA files" (the former of which are not considered common administrative records).
6. Former retention guidance provided stated "Until superseded or revoked." New retention guidance of "5 years after superseded or revoked" applied as regulations and orders can be linked to Policy and Procedures and should therefore inherit the same retention period.
