LGMA MATI Foundations – August 2012
Angila Bains
Records Management, and
Information and Privacy
The Local Government Context
Part I: Learning Objectives
What is records management?
Why is records management important?
What are records?
What are our records management
responsibilities?
Records Management Mythology
“Paperless office”
“One Click” – all information at our
fingertips
Records Management = Filing
What is Records Management?
“The field of management responsible for the
efficient and systematic control of the
creation, receipt, maintenance, use and
disposition of records, including processes
for capturing and maintaining evidence of
and information about business activities and
transactions in the form of records.” ISO 15489-1 Standard
What is Records Management?
“The systematic
control of records
throughout their
lifecycle”
ARMA International
Purpose of Records Management
Serves an important administrative function by providing the right information to the right people at the right time, at the lowest possible cost to the organization.
Enables local governments to meet their obligations under Provincial legislation in BC, including FOIPPA, Local Government Act, Community Charter, etc.
Protects the organization from risk
Benefits of Records Management
Preservation of the corporate memory
Facilitates effective decision making
Reduces duplication and storage costs
Improves organizational efficiency
Facilitates access to records throughout
the corporation
Supports litigation
What are Records?
“Information created, received and maintained as
evidence and information by an organization or
person, in pursuance of legal obligations or in the
transaction of business.” ISO 15489 Standard
“Includes books, documents, maps, drawings,
photographs, letters, vouchers, papers and any
other thing on which information is recorded or
stored by any means whether graphic, electronic,
mechanical or otherwise.” FOIPPA, Interpretation Act
Transitory Records
Managed differently from “official” corporate
records
Are temporary in nature and do not provide
evidence of business transactions
Do not have long-term value to the
organization
Can be deleted or destroyed by any employee
when no longer needed
Electronic Records
No distinction in law or regulation
between record formats
Term generally applies to:
– Documents or records created, used or stored
in a digital medium
Tools, technologies and methods
Most pressing records management
issue today
Why Do We Keep Records?
Primary values
–Administrative/operational
–Financial
–Legal or regulatory
Secondary values
–Historic
–Research
Managing Corporate Records
All records are to be managed according to the corporate classification system and retention schedule
– Except transitory records
All records created or received by employees during the course of their work duties are the property of the local government, not the employee
– Includes e-mail
Classification System and Retention
Schedule
Is the foundation of any RM program
Most local governments in BC use a
variation of the LGMA Records Manual
– First published in 1988 by Municipal Officer’s
Association (MOA)
– Revised in 1994 after FOIPPA introduced
– Completely revised in 2006
– Fourth Edition in 2012
Classification System
Represents record series which share common
characteristics and retention periods
Could be alphabetic, numeric, alpha-numeric
Applies to records in all forms (electronic,
paper, micrographic, etc.)
Main purpose is to facilitate retrieval, retention,
and context
Retention Schedule
Determines how long a record is to remain
active, semi-active, and when it is to be
destroyed or permanently retained
– Some retentions are defined by legislation
– Local governments must determine other retention
requirements based on administrative, operational and
legal requirements
Provides the legal basis for destroying records
– Records “frozen” for litigation and FOI requests
Employee Responsibilities
Create, receive and use records in your work
– Avoid subjective and potentially embarrassing
comments (can be released under FOIPPA)
Ensure your records (physical and electronic)
are managed according to the corporate
classification system and retention schedule
– This includes e-mail!
Destroy transitory records regularly
Part II: Freedom of Information and
Protection of Privacy
Source: Chris Slane, Let Me Through, I
Have a Morbid Curiosity.
The purpose of the FOIPPA
How we process FOI requests
What information we can withhold
Charging fees
Our duty to protect privacy
Role of the Information & Privacy
Commissioner
Part II: Learning Objectives
The Purpose of the FOIPPA
To make public bodies more accountable
to the public, and
To protect personal information
The FOI process is a “last resort”
Routine requests vs. FOI requests
Fees are not to be a barrier to access
How FOI Requests are Processed
Request must be in writing
Must be for “records” under the “custody
or control” of a “public body”
FOI Coordinator processes request
30-day response deadline
Fee estimates
Exceptions to Disclosure
1. Deliberations of an closed meeting
2. Advice or recommendations
3. Solicitor-client privilege
4. Harm to law enforcement
5. Harm to intergovernmental relations
6. Harm to public body’s government
financial interests
Exceptions to Disclosure (cont)
7. Harm to heritage conservation
8. Information that will be released within
60 days
9. Harm to individual or public safety
10. Harm to third party business interests
11. Harm to personal privacy
From: Manager 1
To: Manager 2
Subject: John Smith - return to work
John came in to talk to me this morning. He was limping and moaning
about his sore knee. What a performance! I should have sold tickets.
Anyway, I don’t believe him.
I think we should seriously consider covert surveillance of this guy. If
we can catch him dancing around, we can nail him.
As you know, I caught him smoking pot a couple of days ago. He
claimed it was for the pain (!) I informed the police and they’re going
to investigate. According to HR, the lawyer says we don’t have any
basis to discipline him for that. Figures....
By the way, please destroy this email after you read it.
Protection of Privacy
Definition of personal information:
“Information about an identifiable individual”
Protection of Privacy
Five Principles:
– Collection
– Use
– Disclosure
– Protection
– Retention
– Accuracy
Appeals and Complaints
B.C. Information and Privacy Commissioner
Typical grounds for appeal/ complaint:
– Improperly withholding information
– Conducting an inadequate search
– Using fees as a barrier to access
– Failing to meet deadlines
– Denying access solely to delay release
– Interpreting requests too narrowly
– Violation of privacy
Points to Remember
Assist the applicant
Remember requester psychology
All records are potentially public
Don’t sit on FOI requests
Protect personal information
It’s all about integrity
Question 2
Your local government has hired a
consultant to prepare a report. Are the
consultant’s records subject to FOI
requests?
Question 3
Your local government has been informed
of a serious structural weakness in a
multi-story strata complex. Can this
information be released?
Question 6
A citizen sends a confidential letter to
your supervisor complaining about you.
Do you have the right to see the letter?
Question 7
A company has sent you sales
information in a letter marked “Strictly
Confidential”. Would releasing this
information be an invasion of privacy?
RM and FOI Resources for Local
Governments
Local Government Management Association
www.lgma.ca
– Records Management Manual for Local Government
in British Columbia, Third Edition, 2006
– Freedom of Information and Protection of Privacy Tool
Kit, 2007 (currently being revised)
ARMA International www.arma.org
Office of the Information and Privacy
Commissioner for BC www.oipc.bc.ca