RETENTION
SCHEDULES
Alberta Education
Retention Scheduling at Alberta Education
• Future Practice
• Government of Alberta
• Alberta Education
• Flexible Scheduling
• Current Environment
• Case Study
• Field Services
• Next Steps
• Alberta Education Retention Schedules
• Legislation
FUTURE PRACTICE
A Move Towards Flexible Scheduling
Government of Alberta
• Information Management Framework and Information
Management Strategic Plan
• Cross-government records classification and retention
and disposition schedules for common functions
• Replacement of Administrative Records Disposition
Authority (ARDA)
Alberta Education
• Working with established standards and guidelines to
move towards a more functional approach to information
organization
• Retention and disposition with a focus on flexible
scheduling
Flexible Scheduling – What?
• Appraisal criteria to establish retention periods to multiple
similar groups of information across an organization
• Streamlining retention schedules into limited categories or
buckets
• Reduces duplication between department and business
units
Flexible Scheduling – Why?
• Reduces the number of record series into grouped
buckets
• Reduces the number of repeating retention categories from
hundreds of records series to only those that relate to functions and
processes
• Requires less effort inventorying and scheduling
• More efficient, cost effective, and easier for users to work with
• More transparency for users
• Drop-down menus which allows quick access and meaningful user
classification
Flexible Scheduling – How?
• Decomposition of business functions and activities
• Business, legal, and regulatory requirements are mapped
to records series
• Goal is the synthesis of records series based on similar
business purposes, retention requirements, and legal
obligations
CURRENT ENVIRONMENT
Moving away from subject-based retention
Subject-based Retention Schedules
• Retention and Disposition Schedules based on subject
• Example:
• Negatives: consistently need to be updated, duplication and
overlapping of subject items
Caution
• Following information is based the analysis of Alberta
Education’s organization and the applicable legislation. It
serves only as a model
• Your organization's appraisal of information resources and
business requirements may differ based on your own
strategic objectives
CASE STUDY
An examination of Field Services
Field Services
• Review of Relevant Leg/Reg
• Ministry’s client interfacing division – Field Services
• Analysis of relevant regulations
• Charter Schools Regulation (S.37)
• Closure of Schools Regulation (S.58)
• Early Childhood Services Regulation (S.30(4))
• Private Schools Regulation (S. 28 (6))
• School Councils Regulation (S. 22(10))
• Administrative Records (ARDA – gen 2 yr)
Field Services
Information Resource Inventory
• Articles of incorporation
• School Charter
• Indications of Community
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Support
Measures
Selection Criteria
Policy Development Plan
Budget Reports
Any other information required for
applicant’s submission.
Exemption Requests
Exemption Approvals
School Closure Notifications
Extension Approvals for School
Closure Procedures
• Registration Application (Supporting
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Documents)
Annual Operating Plan
Accreditation Application
Policies (related to evaluation of
students, teacher growth, supervision,
and evaluation on teachers, safety for
outdoor and field trips and health
protocol)
Application for Grant
Grant Approval / Denial Notification
School Closure Notifications
Operator Annual Budgets
Operator Annual Financial Statements
Operator Insurance Policy
Operator Fidelity Bond
Education Plan
Annual Education Results
Field Services
• Map Information Resources to Existing Retention
Schedules or Develop New Schedule for Record Series
by Appraisal
• Map business requirements to records series in file plan
NEXT STEPS
What you can do to map legislation to retention
Alberta Education Retention Schedules
Schedule 2000/019-A001 –
School Funding and
Operations (Case File
Series)
• 01 School Authorities
• General case records relating
•
•
•
•
to the administration of school
authorities
Records may include:
agreements, committees,
meeting, planning, reports,
studies, statistics, etc.
Closure criteria: Calendar
year end (December 31)
Retention: 10 years
Final Disposition: Archives
Private Schools Regulation
2(1) An application for registration as a registered private
school must be submitted to the Minister and must include
[…]”
Schedule 2000/019-A001
Item 02 Private Schools Operators – General
• General case records relating to the application, approval and
operation of private schools
• Records include applications to operate, copy of certificate of
incorporation; fire, health, and building inspections, zoning
approval, approval to operate, school handbooks, policies, copies
of lease agreement, change of address, etc.
• 10 years retention then sent to Archives
Student Evaluation Regulation
• 2 The Minister may establish tests, examinations or other
methods for determining the ability, achievement or
development of students or other individuals, including but
not limited to provincial achievement tests, diploma
examinations and provincially-administered national and
international tests
• Schedule 1997/035
• Item 02 Student Assessment and Testing – Policy
• Subject records relating to development of assessment
(evaluation), reporting and results of student performance in
relation to provincial goals and standards
• Records include policy, legislation and procedures development
• 7 years retention then Archives
Student Records Regulation
4(1) Subject to subsection (2), a board shall keep a student
record containing the information referred to in section 2(1)
and (3) for 7 years after the student ceases to attend a
school operated by the board or until the student record
has been forwarded to another school in accordance with
section 8(1)
THANK YOU. QUESTIONS?
Mathew Paliga
Business Analyst
Strategic Services and Governance Division
Alberta Education
44 Capital Blvd
10044-108 Street
Edmonton, AB
Wk phone: 780-643-9270
Fax: 780-427-4710
Mathew.Paliga@gov.ab.ca
Kathleen Brow
Records Management Business Analyst
Strategic Services and Governance Division
Alberta Education
44 Capital Blvd
10044-108 Street
Edmonton, AB
Wk phone: 780-638-3498
Fax: 780-427-4710
Kathleen.Brow@gov.ab.ca
Sources
School Act and Regulations
• http://www.education.alberta.ca/department/policy/legislation/re
gulations.aspx
NARA (U.S.A. National Archives)
• http://www.archives.gov/records-mgmt/faqs/flexiblescheduling.html
Service Alberta
http://www.im.gov.ab.ca/documents/imtopics/Developing_Record
s_Retention_and_Disposition_Schedules_July_7.pdf
Government of Alberta Information Management Website
http://www.im.gov.ab.ca/
Administrative Records Disposition Authority (ARDA)
http://www.im.gov.ab.ca/documents/publications/ARDA.pdf