Records management

This chapter provides an overview of records management. Records and information are of fundamental importance to the efficient conduct of public business. They document decisions, transactions and administrative procedures, serve as the “official memory” of the local government, and in many cases, help form the basis of future decisions. As such, records must be readily accessible, authentic, protected and disposed of appropriately. 

Records management is defined as the systematic control of records from creation or receipt, through their processing, distribution, organization, storage and retrieval to their ultimate disposition.

It is important to note that the definition of a record is different under the Right to Information and Protection of Privacy Act (RTIPPA). More information on RTIPPA can be found in chapter 7. 

A Records Management Program improves the efficiency and effectiveness of the operation of a local government by:

1. providing better use of resources (space, time, people, money), as valuable time can be wasted trying to find a document when there is not an adequate filing system in place
2. meeting operational requirements (e.g., number of years council and committee meeting minutes, financial and other information is kept)
3. meeting administrative requirements (to support and inform day-to-day activities and operations)
4. meeting legal requirements (for compliance with laws and for protection and support during litigation), especially as it pertains to the Right to Information and Protection of Privacy Act (RTIPPA)
5. meeting fiscal requirements (records required for audit)
6. preserving valuable historic information

A well-run Records Management Program will provide the right information to the right person at the right time. 

Established in 1967, the Provincial Archives of New Brunswick collects and preserves the documents of the people, institutions and government of the province. It is  located on the campus of the University of New Brunswick in Fredericton. Once any local government records are transferred to the Archives, the care, custody and control passes to the Archives. The Archives Act designates the Provincial Archives responsible for the preservation of government records, including local government records. 

The Municipal Records Authority (MRA) is the official guide for the management of local government records within the Province of New Brunswick. Developed by the Provincial Archives with the assistance and cooperation of a committee of New Brunswick local government clerks and administrators, the MRA is periodically updated and serves two purposes:  

1. It provides a comprehensive file plan and retention/disposition of records schedule.
2. It enables consistent handling and efficient use of local government records and ensures that records of long-term value are identified and protected via transfer to the Provincial Archives. 

A record is recorded information, regardless of medium, created or received in the course of business, and maintained as evidence of such activity. Records can be:  

• documents (Word files, PDFs, spreadsheets 
• communications and emails 
• audio and video recordings (meetings, security footage) 
• paper documents (application forms, maps 
• photographs 
• databases  
• photographs, prints and drawings
• motion picture films, video tapes and microfilms
• sound recordings, magnetic tapes, computer cards and other readable records

all other documentary materials regardless of physical form or characteristics. 

The physical form of a record is irrelevant; it is the content that determines whether it is a record, not the medium on which it is stored.  

More information is available online at: How to identify records.

An email or electronic information is considered a record when it provides evidence of a business activity, decision, or transaction related to the function of a local government. 

Records management principles apply to information generated by or held on a computer or other digital devices (e.g., cell phone, iPad). 

Some examples of local government records include: 

• personnel files 
• annual reports  
• emails 
• studies and surveys 
• agendas and minutes of meetings 
• invoices 
• by-laws 
• municipal plans 
• performance appraisals 
• street maintenance work 
• inventories 
• fire investigations 

1. Published items: library materials acquired for reference or background information, subscriptions to newspaper or magazines and published material created by others
2. Transitory and temporary information (immediate or short-term value with no future value): convenience/duplicate copies, stocks of publications, stationery and unused forms, informal notes, worksheets, research notes and rough drafts. NOTE: drafts sent out for comments or containing information not included in later drafts is a record and should be kept.
3. Unsolicited records such as material received from various suppliers or organizations (e.g., catalogues, pamphlets, course and seminar announcements, etc.)
4. Examples of other documents that are not records:
   • duplicate copies of minutes
   • social event announcements
   • notice of campaigns

The development, implementation and maintenance of a records management program should be a goal of every local government. The records produced and used are a valuable resource and should be properly managed. 

Following are seven components an organization must have in place to operate a basic records management program: 

1. Records manager 
2. Inventory of records 
3. File classification plan 
4. Retention schedules 
5. Filing centres 
6. Policies and procedures 
7. Use of technology 

An individual appointed to assume responsibility for all records management functions within the local government organization regardless of the type of system that exists (centralized or decentralized), and formats of the records. This person(s) will be responsible for planning, organizing, implementing, monitoring, and coordinating the maintenance, protection, retrieval, and disposition of all information in the organization.

An inventory is commonly the first step in establishing a records management program. A records inventory is a detailed review of the organization’s information in all formats. The inventory will provide:

• the type of records (paper, electronic, video)
• the volume/quantity of records in all formats
• where records are physically stored
• how records are used by the employees
• the life cycle period either active or semi-active or inactive
• identification of the records that are vital
• identification of who has the official record and who has the copies

A file classification plan allows for the organization of records systematically by subject or numeric system and allows for easy retrieval of information. Archives N.B. created a numeric file classification plan for the management of municipal records and is suggested in the guidelines of the Municipal Records Authority (MRA). 

A retention schedule is the authority that permits local governments to proceed with the destruction of public records or the transfer of public records to the Provincial Archives.  It is a timetable that identifies the length of time records are kept in office, in storage, and when final disposition can occur. The mandatory retention schedules are found in the Municipal Records Authority (MRA) standards.

The local government filing centres should be centralized or decentralized depending on office locations and on server configurations for electronic records. All filing centres should be under the control of a records manager or designated employee. 

Written policies and procedures must be made available to all local government staff.  Circulating this information will assist in keeping staff informed and aware of their responsibilities. This contributes to a more effective and efficient record keeping system. It is recommended to have these policies included in the orientation package for new employees. Council members should also be made aware of the existence of the local government’s records management system, its importance and how it generally works. Internal policies and procedures concerning the operations of filing centres should be made available to the records office staff or employees who are in charge of keeping the records. 

A local government should take advantage of the benefits offered by software created for the management of electronic documents or records. The acquiring of the hardware and software to facilitate the storage and retrieval of records, once authorized, should be under the control of the records manager with guidance/assistance from the information technology experts. 

Contacts for further information: 

Provincial Archives of New Brunswick
Government Records and Corporate Information Management Unit 

23 Dineen Drive, P.O. Box 6000 
Fredericton, N.B. E3B 5H1 
Email: [email protected]