Report 14 - Access to Information Review Task Force

TRANSITORY RECORDS - A REVIEW

Published: March 2001

Christine M. Arden

Table of Contents

Introduction
Project Scope
Methodology
Records Management and Disposition
Current Guidance For Transitory Records
Findings
Transitory Records: A Proposed Definition
Record Types Which Are Transitory in Nature

Duplicates/Extra Copies
Published Materials
Draft Documents and Working Materials
Transmittal Memoranda and Correspondence
Blank Forms and Printed Documentation
Computer Records

Transitory Records - How Long Do I Keep Them?
How Do I Decide What Falls Into the "Transitory Record" Category?
Recommendations
Conclusion

Introduction

In 1998, Jan Duffy, Vice President of New Markets at LGS Canada projected that by 2000 over 80% of information in the workplace would be created electronically and maintained in both electronic and hard copy formats. Today each person is an "information manager" and can create, capture and dispose of electronic documents and e-mails from his or her workstation. Terms such as working copy, administrative copy, official record, office of record, information copy and versions are commonly used in the workplace to describe the numerous originals and copies of business records which are created on a day to day basis.

Records are created to support the day-to-day operations of government institutions and can be found in central file rooms, in individual desks, on personal computers and in group or corporate electronic workspaces. They are created, transmitted and stored on paper, through departmental intranets, in image and document management systems, on electronic record keeping systems, in knowledge management repositories and in e-mail systems.

Technology has influenced the way in which recorded information is created and managed throughout government institutions. From a business perspective all media needs to be managed to ensure that the official record is maintained in accordance with regulatory requirements and that working copies are disposed of in a timely fashion, once their administrative need has been met. In this new environment, how are archival records identified and is the term "transitory records" being used consistently across government?

The ease with which records are created, copied, updated, transmitted, and stored is making decisions about records disposition more complicated for government institutions. "Transitory records", like all other records, are received, transmitted and captured on a variety of media. Regardless of the medium on which they are created and captured, "transitory records" should be maintained in accordance with a set of defined information management policies and procedures and be disposed of once they have served their purpose.

Project Scope

In its consultations with the ATI Coordinators and in several other consultations, the Access to Information Review Task Force determined that the level of discomfort among government institutions remains high on the subject of "transitory records". Government institutions are uncertain about what transitory records are and when to destroy them. This has an impact on access to information in many ways:

1. Transitory records fall into the definition of records under the Act;
   
2. The appropriate disposal of transitory records and good file management are factors in an effective access process;
3. Section 67.1, adopted in 1998, creates an offence for destroying records in order to obstruct the right of access under the Act and the interaction of section 67.1 and the disposal of transitory records raises a dilemma for public servants.

As a result the Task Force hired Christine Ardern, an information management consultant, to undertake a short-term project to

• Examine the existing guidance about transitory records
  
• Research and compile policies and practices in other jurisdictions
  
• Develop a clearer definition of transitory records
  
• Develop updated and expanded examples to assist government institutions in identifying transitory records.

Methodology

The consultant researched the use of the term "transitory records" and identified similar terms in use in other jurisdictions. In addition, information was gathered about the types of documents which fall within a "transitory record" definition. Appendix "A" provides a list of resources used and communications.

Data was collected from several sources through

• Interviews with officials from the National Archives of Canada and Treasury Board Secretariat
  
• Interviews and e-mails with archives and records management practitioners from Canada, the UK, US and Australia.
  
• Correspondence with archives and records management educators
  
• An internet search of archival and records management policies and procedures to review the use of the term "transitory" and "transitory records"
  
• A review of Records management and archival publications and standards
  
• Research at Inform: The Faculty of Information Studies Library at the University of Toronto

Appendix "B" provides examples of current definitions and guidelines used as the basis for the report.

Records Management and Disposition

Any discussion of records management and disposition requires an understanding of the responsibilities for managing records to meet both the business needs of government institutions and the requirements of the National Archives of Canada Act.

The National Archives of Canada provides authority for disposition to government institutions through its "Multi-Institutional Disposition Authorities" (MIDA) and through "Institution Specific Disposition Authorities" (ISDA).

The authorities do not provide or authorize retention periods for records but rather "allow institutions empowered to use them to dispose of records under certain terms and conditions".

The following statements document the roles of the National Archivist and government institutions with regard to records retention and disposition:

….the National Archivist issues "Records Disposition Authorities" to enable government institutions to dispose of their records which no longer have operational utility, either by permitting their destruction, by requiring their transfer to the National Archives, or by agreeing to their alienation from the control of the Government of Canada.

" where records clearly do not have a disposition authority or where there is some doubt regarding disposition, consultation should take place between representatives of the institution's corporate records and/or information management office located at the Headquarters and representatives of the Government Archives and Records Disposition Division (GARDD)"

The authorities are "designed to eliminate the need for government institutions individually to prepare submissions for and negotiate agreements with the National Archivist for records which have similar administrative or operational status". Disposition authorities are statements about archival value of the records not the business value of the record. Institutions are expected to set their own retention criteria to determine the business value of transitory and other non-archival records.

Current Guidance For "Transitory Records"

For purposes of the report, the requirements to deal with "transitory records" of government institutions were reviewed in guidelines provided by the National Archives, the Treasury Board Secretariat and the Management of Government Information Holdings Policy.

While the Management of Government Information Holdings Policy does not address "transitory records" specifically, it requires that government institutions manage their information resources.
It states that:

"Government institutions must ensure that all information … is scheduled for retention and disposal (Section 6);".

Section 67.1 of the Access to Information Act states that

1. No person shall, with intent to deny a right of access under this Act,
   1. destroy, mutilate or alter a record;
   2. falsify a record or make a false record;
   3. conceal a record; or
   4. direct, propose, counsel or cause any person in any manner to do anything mentioned in any of paragraphs (a) to (c).

Section 5 of the National Archives Act requires government institutions to obtain the consent of the National Archivist before disposing of their records and that those records having archival value be transferred to the care of the National Archives, once they are no longer required for business purposes.

The National Archives of Canada issued its Authority for the Destruction of Transitory Records in 1990 to provide authorization for government institutions to dispose of their "transitory records". It addresses the issue of "transitory records" from the perspective of the National Archives of Canada. According to the criteria of the National Archives, "transitory records" have no archival value.

Section 4 of the Authority for the Destruction of Transitory Records provides the following definition of a "transitory record".

• Transitory Records are those that are required only for a limited time to ensure the completion of a routine action or the preparation of a subsequent record. Transitory records do not include records required by government institutions or Ministers to control, support or document the delivery of programs, to carry out operations, to make decisions or to account for activities of government.

At the present time, "transitory records" include the following record types within the Authority for the Destruction of Transitory Records:

• Personal documents, such as resumes and casual communications;
  
• Initial drafts not communicated outside the creating office;
  
• E-mail messages used for casual communications;
  
• Annotated drafts where annotations become a part of a subsequent version, and are not evidence of decisions related to the evolution of the final document;
  
• Copies for reference/information or convenience only;
  
• Electronic documents which are used to produce a hard copy version which is maintained in the hard copy files;
  
• Copies of publications;
  
• Documents that have no corporate, legal, or archival value.

The Treasury Board Secretariat issued its "Additional Information and Guidance concerning the Application of Section 67.1 of the Access to Information Act" to further explain the concept of "transitory records". The guideline builds on the definitions provided within the National Archives Authority for the Destruction of Transitory Records and provides examples of how to apply the definition of "transitory record".

Findings

The term "transitory record" is used in Canada to deal with records of a temporary nature of short-term value, found in both administrative and operational records created by a government institution.

The majority of responses to an on-line search for "transitory records" were references to policies and procedures in Canadian organizations subject to Freedom of Information and Privacy legislation. In Australia and the United Kingdom such records are defined as "transitory in nature", "facilitative" and "ephemeral". The term "transitory record" is not used. In the U.S. such documents are considered "non-records" "temporary" or "transitory correspondence and transitory files". The term, or similar ones representing records of temporary and limited value, is used in the context of an overall records management and archives policy and procedures framework, not only from an archival perspective.

In one of the most widely used Records and Information Management Textbooks: Information and Records Management, Robek, Brown and Stephens define transitory correspondence as follows:

• Transitory correspondence consists of easily used, routine materials, e.g. short-lived papers involved in answering routine requests for information or publications in requesting or transmitting routine data to other offices, in making hotel reservations or arranging for conferences and the like. Transitory correspondence often may be authorized for disposal within six months or less. Every office has such papers and needs to segregate them. They should be kept in folders, separate from general correspondence if they amount to 5 % or more of the papers.

"A Federal Records Management Glossary" published by the National Archives and Records Administration, Office of Records Administration, Agency Services Division defines "transitory correspondence files" as:

• correspondence relating to matters of short-term interest, such as acknowledgements for publications received, routine inquiries for publications and announcements of savings bond campaigns, in contrast to administrative and program correspondence making up general correspondence files.

The last statement "in contrast to administrative and program correspondence making up general correspondence files" clearly defines the "ephemeral value" of the correspondence.

The New South Wales State Records Act

• "makes provision for the disposal of records in accordance with Normal Administrative Practice (NAP) The definition of records which can be destroyed under this category is narrow and covers records which are "<<transitory>> in nature, such as ephemeral, facilitative or duplicate records. For example, they may be records of little value that only need to be kept for a short time (only a few hours or a few days)."

This definition is consistent with Normal Administrative Practice guidelines for similar types of documents provided by the National Archives of Australia.

Appendix "A" documents some of the comments received in response to the consultant's enquiry about the term "transitory records" or the use of similar terms to address records of short-term value.

Transitory Records: A Proposed Definition

The project scope requires that the consultant develop a clearer definition of transitory records and provide updated and expanded examples to assist government institutions in identifying "transitory records".

Since the term "transitory records" is accepted within the Government of Canada, the assumption has been made, for purposes of this project, that it will continue to be used. Its use should reflect both the needs of the National Archives of Canada from the perspective of the Disposition Authority and the government institution's needs to manage its records in a business context. If it cannot reflect both perspectives, then thought should be given to using a different term in one context, to remove the confusion which government institutions are experiencing.

The following section provides an expanded definition of "transitory records" and provides a listing of the types of records which would fit into such a category. Should a decision be made to change the terminology, the principles behind the definition will still exist.

Transitory records are records of a temporary nature regardless of the medium on which they are created, which are required for a short time to ensure the completion of a routine action. They have no continuing value or archival value. They do not document the initiation or conduct of a government institution's business and are not needed for statutory, legal, fiscal, administrative, operational or archival purposes. They are not regularly filed in a records or information management system. (This includes both paper and electronic record keeping systems.) "Transitory records" do not set policy; establish guidelines or procedures; document core functions or activities of a government institution; require official action or have any documentary or evidential value.

Record Types Which Are "Transitory" in Nature

The following list has been developed as a discussion point for the National Archives of Canada and the Access to Information Review Task Force to determine what records fall into the "transitory" category. It should be noted that the list is not media dependent. It applies to both paper and electronic documents.

Duplicates/Extra Copies:

• Duplicate/extra copies of records created and circulated for reference purposes, convenience, reading copies or follow-up: branch-wide memos; "all staff" communications; notices of special events and routine administration issues
  
• Duplicate copies of documents maintained in the same file
  
• Facsimile messages where a photocopy has been made for file
  
• Information copies of routine correspondence, minutes, reports, circulars
  
• Electronic documents or e-mail messages, where a hard copy has been printed and filed in the formal records management system or where the final electronic version has been captured to an electronic record keeping system

Draft Documents and Working Materials

• Rough notes, preliminary or informal drafts used in the preparation of correspondence, reports, memoranda, statistics or other records, that are of no value in documenting data collection or in showing how government policies or programs were developed or implemented.

Published Materials

• Books, journals, magazines, periodicals, brochures, newspapers, newsletters, published reports obtained from outside the organization and maintained as reference materials
  
• Reproduced or published materials received from other offices which require no action and are not required for documentary purposes (Originating agency is required to maintain record copy)
  
• Catalogues, trade journals, other publications which require no action
  
• Information downloaded from the Internet for reference purposes.
  
• Information copies of press clippings, press statements or publicity materials
  
• Unsolicited advertising material including catalogues, price lists
  
• Superceded or obsolete manuals or instructions (office of record to maintain)
  
• Telephone Directories

Transmittal Memoranda and Correspondence

• Routine requests for information or publications and copies of replies which require no administrative action, no policy decision and no special research for reply.
• Requests for copies of advertising and public relations material or other stock information
  
• Personal messages and notes (e-mail, voice and paper) which are not directly related to the work of employees within the department and are unrelated to program functions.
  
• Quasi official notices including memoranda about holidays, charity fund raisers and appeals, bond campaigns, etc
  
• Letters of appreciation or sympathy, or anonymous letters
• Transmittal letters that do not add any information to that contained in the transmitted material
  
• Drafts that have not left the originating office
  
• Issuances received from other organizations submitted for general information
  
• Routing slips

Blank Forms and Printed Documentation

• Stocks of blank forms which become obsolete or outdated due to revisions. .
  
• Stocks of printed publications, printed literature pamphlets, informational material
  
• Outdated materials which have no further usefulness.

Computer Records

The following computer records can be disposed of once they have been acted upon or superseded and are not required for ongoing business requirements:

• electronic copies of a master file or portion thereof which:
  
  • have been transferred into the system's main memory for some operational purpose or system function, but which will be obsolete as soon as the function has been completed and validated,
    
  • are used to send information to another location and will become obsolete at the point of transmittal once the action is completed;
    
• information in an electronic transaction file which is used to update a master file and which will be obsolete once the update or data entry is validated and backup procedures are completed;
  
• information which has been gathered electronically by an automated method and stored temporarily in the memory of the collection system, but which will be obsolete once transmitted to a master file or data storage facility, validated and made an ongoing record;
  
• user views of master files that are of no special value in documenting the development or implementation of government policy and that:
  
  • present information from a set of master files,
    
  • can be reconstituted from masters,
    
  • are stored only for use during computer sessions, and
    
  • are obsolete at the completion of the research, production or reference activities;
• outputs from stored user views that: are used for a one-time, immediate purpose not part of normal system operations, and that are not communicated to another person, and that could be reconstituted from existing user views;
  
• output resulting from abnormally ended jobs, programming errors, improper selection criteria or unsuccessful data input;
  
• extra copies of computer output, electronic spreadsheets, or electronic word processing files which have been created for convenient access.
  
• input/output formats from mechanical and electronic records systems, such as:
  
  • error or control reports input forms for data entry,
    
  • output used for checking/verifying,
    
  • regular batch reports, system reports,
    
  • transaction reports used for checking and control purposes
    
• reference copies of user manuals etc,
  
• superseded computer logs,
  
• superseded or obsolete computing software if not required to access archival records,
  
• systems back-ups,
  
• test data.

Transitory Records - How Long Do I Keep Them?

In reviewing all the definitions, few, if any, provide specific retention periods and most leave the decision up to the department/employee. The following are examples of statements which relate to retention periods:

• Required to be maintained for a short period of time
  
• At the agency's discretion
  
• Retained for up to six months
  
• Records which are so transitory that they do not need to be scheduled, but can be disposed of without record schedules.
  
• The retention period is limited to the interval required for completion of the action covered by the communication.
  
• Approved for destruction, either immediately or after a short specified retention period

Any decisions to dispose of "transitory records" should ensure where applicable, that the official record has been captured as part of the institution's formal record keeping system.

How Do I Decide What Falls Into the "Transitory Record" Category?

With the transition from a paper-based working environment to one where up to 80% of our records and information are created electronically and stored on a variety of media, managing the various media formats and versions of documents and records is becoming more challenging. The questions listed below relate to overall business functions, activities and would be addressed through records management policies and procedures. Depending on the circumstances, the records may be transitory in one situation and not transitory in another other, causing confusion.

• Which medium is the official copy stored on? Paper or electronic? If it's the electronic record, what do I do with the paper I printed off to look at on the way home? Is that a transitory record?
  
• What is an administrative copy? What is the "official record"? Is one of them transitory?
  
• What do I do with my copies of project files, once the project is completed? When are they transitory and when are they administrative?
  
• We've created a number of draft copies and have now agreed on the final version, what do I do with the earlier drafts I received? Are those transitory?
  
• Copies of a report/minutes of meetings, etc. are distributed to members of a working group to support project and operational activities. What is the value as a record?
  
• The author creates drafts of documents before they are circulated for comment. Can she destroy them without approval?
  
• Draft documents are shared and commented on by members of a working team.
  Who determines if the record can be destroyed?

"Transitory records" should be addressed as part of an overall records management strategy within government institutions to remove some of the confusion. The National Archives has been reviewing the "Authority for the Destruction of Transitory Records" and has identified the fact that the term "transitory records" is being used to address business issues, rather than the archival concerns. A guideline such as the "Normal Administrative Practice" designation prepared by the State Records Authority of New South Wales would provide government institutions with examples on which they could base their own decisions about the value of the record. It would not, however, remove the responsibility from them to manage their records in accordance with their business needs.

Recommendations

Based on the research and subsequent discussions the following recommendations are provided for consideration.

• That the proposed definition of "transitory records" and related record types be reviewed in the context of the requirements of the Access to Information Act, the National Archives Act and the Management of Government Information Holdings Policy and the government institutions that create them, to ensure that the definition can be used consistently from one policy context to another.
  
• That the term "transitory record" be reviewed in light of the needs of both the National Archives of Canada and government institutions to confirm that the term is still applicable within the current work environment and is clearly understood from both the business and archival perspectives. If the term cannot be used in all policy contexts a new term should be adopted
  
• That the use of the terms "transitory", "administrative", "operational" and "archival" be clarified within the context of the business needs of government institutions and the needs of the National Archives of Canada
• That references to records retention, disposition and destruction in existing policy documentation be reviewed to ensure consistency and clarity in defining the roles of the government institutions within the MGIH Policy and the National Archivist through the Records Disposition Authorities

Conclusion

Effective access to information and good records management depend on the public service having a clear understanding of what is required of them.

There are a number of opportunities to work with government institutions to clarify their understanding of "transitory records" in the context of the National Archives of Canada Disposition Authority, the business requirements of the MGIH Policy and the Access to Information Act requirements. The definition and detailed examples presented in the report are based on a number of existing definitions outside the National Archives of Canada, and deal with a small portion of the records that organizations create, retain and dispose of in the course of their normal day-to-day operations.

Since the Access to Information Act covers all records, it also covers transitory records, and once a request for access has been received, transitory records must be processed in the same manner as all the other records.

The ongoing appropriate disposal of transitory records is a healthy records management practice and allows for better, more efficient processing of requests for access to information. It is unlikely that a routine destruction of transitory records would give rise to an allegation of an offence under section 67.1 of the Access to Information Act.