Identifying and Disposing of Non-Government Records

 

It is the responsibility of record creators and users to determine if a record is a government record or a non-government record. Sometimes this decision is straightforward, but often it is a judgment call that requires careful consideration. The following information is intended to assist users in distinguishing between government and non-government records and to provide guidance on the disposal of non-government records.

Government Records
Government Records are all recorded information that relate to the transaction of government business, regardless of physical form, including documents, maps, electronic records, e-mail, drawings, photographs, letters, vouchers, papers, etc., which are received, created, deposited or held by a department, agency, board, commission, crown corporation or other institution of the Government of Saskatchewan.

Government records are those that are required by a public body to control, support or document the delivery of programs, to carry out operations, to make decisions or to account for activities of government. All government records are considered to be either "official" or "additional" and should be managed in accordance with The Archives Act, 2004. As such, official and additional records should be filed, retained and disposed of according to ARMS 2006 or ORS and approved institutional policy. For further information see Section 6 of the Saskatchewan Records Management Guidelines: Disposing of Records.

Non-Government Records
Not all material requires filing, retention and authorization from the Provincial Archivist before its destruction. According to The Archives Act, 2004 and The Freedom of Information and Protection of Privacy Act (FOIPP), the following are considered to be non-government records and can therefore be destroyed when no longer needed:

A. Transitory records
B. Publications
C. Non-work-related records

The disposal of non-government records does not need to be documented. These records are not subject to the retention requirements stated in the Administrative Records Management System 2006 (ARMS 2006) or an Operational Records System (ORS).

Controlling the growth of non-government records through regular destruction or deletion should be a part of routine records management practices in government offices. Transitory records have no long-term value and are typically produced for convenience or short-term reference. Publications are widely distributed and available from various sources. With some exceptions, transitory records and publications can be destroyed once they are no longer referenced. Non-work- related records are employees' own records. Disposal of employees' non-work- related records remains at the discretion of the employees. It is recommended that non-work-related records be kept separate from government records and that those in electronic format be frequently removed/deleted from the system.

A. Transitory Records
Transitory records are records of temporary usefulness that are needed only for a limited period of time, to complete a routine task, or to prepare an ongoing document. They are not required to meet statutory obligations or to sustain administrative or operational functions. Once they have served their purpose, they should be destroyed.

Examples of transitory records:

  • Convenience copies (duplicate copies) -- extra copies produced for convenience of reference that are exact copies of documents filed in a record keeping system and that are not annotated or changed in any manner. Examples: extra copies of information for distribution purposes, notices or memos regarding holidays or special events circulated to all staff or posted in shared folders, etc. Note: if a copy has been altered with handwritten comments, notes, etc., it is considered a new record and must be filed. Day files or chronological files are not convenience copies, they are considered records and are scheduled in ARMS 2006.
  • Drafts and working materials -- only those drafts that do not document significant steps in the development of a final version of a document and are not needed to track the evolution of policy, decision, legislation, contracts, etc., are considered transitory records. They can be destroyed once the final record has been produced and has been incorporated within a record or information management system. For example, drafts with proofreading and formatting notes, drafts of correspondence with mistakes, etc. are considered transitory records.
  • Advertising material -- solicited and unsolicited material received from businesses or individuals advertising their products. Examples: paper or electronic brochures, company profiles, sales letters, catalogues, junk mail, etc. Note: If advertising material is relevant to your work, you may choose to file it for future reference.
  • Blank forms, obsolete stationery, etc. that have no further use.

Note: marginal notes and comments or "post-it" notes attached to government records are part of the record; they are not separate transitory records. If the record is subject to a FOIPP request, such attached notes are reviewed for release together with the rest of the record.

Transitory Records are subject to FOIPP and legal proceedings. It is recommended that transitory records be destroyed once they have served their purpose. At the time that a FOIPP request is received, all undestroyed transitory records related to the request are subject to the Act. In these situations, existing transitory records cannot be destroyed until the applicant's request has been processed and any appeal period has been completed. It is an offence to willfully destroy records that have been requested under FOIPP. Similarly, transitory records related to any legal action must not be destroyed while such legal action is underway. FOIPP coordinators, legal counsels and records managers are responsible for notifying staff regarding FOIPP requests or any legal action.

B. Publications
Publications are typically available from other sources such as libraries. Books, magazines, periodicals, pamphlets, brochures, journals and newspapers, whether printed or electronic, are not considered government records and can be destroyed or deleted. This includes publications received from external sources as well as extra copies of internal publications. The exception is Publication Development Files, as identified in ARMS 2006, Primary 1455. Original records relating to the development of internal and external publications are considered government records and should be filed, along with at least ONE copy of the publication, in Primary 1455 of ARMS 2006 (or an appropriate Operational Records System). Extra copies of annual reports and other major internal publications do not need to be classified. However, before disposing of old copies, contact the Legislative Library to ensure that copies of these publications have been retained.

C. Non-Work-Related Records
Non-Work-Related records are records of government employees concerning their private life. These records do not pertain to any aspect of government business. Typical examples of personal records are employees' personal e- mails and letters, records of other organizations with which an employee is involved, but not as part of the government business, i.e. associations, community organizations, etc.

 

 

Exceptions
The above categories of non-government records are not absolute; there are always exceptions to the general guidelines. Records could appear to meet the criteria of being transitory, but because of how they are used in the course of government business, they should be retained. Temporary information such as telephone messages, routing slips, open envelopes, etc., are usually considered transitory records and as such may be discarded. There are exceptions, however, such as: an envelope with a stamp showing the date received; a telephone slip providing evidence of an individual calling on a certain date and time; a note giving instructions on how to conduct a task; a telephone message giving authorization to carry out a certain activity, etc.

An e-mail message inviting an employee for lunch could typically be considered to be a personal record and as such can be deleted. However, if an employee is meeting with someone to discuss government business, and the message includes details regarding matters to be discussed, the e-mail should be considered a government record and filed accordingly.

Quick Reference: What to file? What to delete?
Asking the following questions may assist in making the decision on whether or not a record is a government or non-government record.

Question

If the Answer is...

Does the record document or provide evidence of a business activity, decision or transaction related to the functions and activities of your organization?

No - it is not a government record and it can be disposed of or deleted

Yes- it should be classified and retained

 

Question

If the Answer is...

Does it contain information of a short-term value?


Is it a non-annotated duplicate circulated for reference purposes while the actual document has been filed?


Is it a draft version that will have no value once a final version is produced?

Yes - it is a transitory record and it can be disposed of or deleted

No - it is a government record and it should be classified and retained

 

Examples of government records and non-government records:

Government Records

Drafts of contracts, agreements and background material


Policies and procedures


Work schedules and assignments


Drafts circulated for comments or approvals


Final reports or recommendations


Records showing that services have been provided or obligations have been met Financial transactions


Annotated copies of a document that record significant input to the development of the final version

 

Non-government Records

Electronic publications received, not created, by a government institution (they may or may not have ISBN identification)


E-mails or memorandums widely distributed concerning routine administrative matters not pertaining directly to your program area


Rough drafts, or any copy of a record, that do not reflect significant steps in the preparation of a final document (and does not record decisions)


Duplicate copies of documents distributed solely for convenience of reference (i.e. meeting agendas, reports, etc.)


Mail received through a listserv


Junk mail, unsolicited advertisements, etc.


Personal messages from/to your friends, family members, etc.

 

For more information on disposal of non-government records please contact the Government Records Branch of the Saskatchewan Archives at 787-0734 or recordhelp@archives.gov.sk.ca