Records and Information Management (RIM) 101



Records and Information Management (RIM) 101 Table of Contents [skip to content] TOC \o "1-3" \h \z \u Introduction PAGEREF _Toc393280298 \h 1Objectives PAGEREF _Toc393280299 \h 2Section One: Why Manage Records and Information? PAGEREF _Toc393280300 \h 2Is This You? PAGEREF _Toc393280301 \h 2Records and Information Management Can Help! PAGEREF _Toc393280302 \h 3RIM Benefits PAGEREF _Toc393280303 \h 3Why is RIM Important? PAGEREF _Toc393280304 \h 3The Goals of RIM PAGEREF _Toc393280305 \h 3The Importance of Records PAGEREF _Toc393280306 \h 3Section Two: Public Records PAGEREF _Toc393280307 \h 4What is a Public Record? PAGEREF _Toc393280308 \h 4Types of Public Records PAGEREF _Toc393280309 \h 4Business Records PAGEREF _Toc393280310 \h 4Business Records Examples PAGEREF _Toc393280311 \h 4Transitory Records PAGEREF _Toc393280312 \h 5Transitory Records Examples PAGEREF _Toc393280313 \h 5Email is not a Recordkeeping System PAGEREF _Toc393280314 \h 6Summary PAGEREF _Toc393280315 \h 6Managing Records PAGEREF _Toc393280316 \h 7Self-Test: True or False PAGEREF _Toc393280317 \h 7Section Three: Your Obligations PAGEREF _Toc393280318 \h 8Legislation PAGEREF _Toc393280319 \h 8Archives and Recordkeeping Act, 2006 (ARA) PAGEREF _Toc393280320 \h 8The Corporate Policy on Recordkeeping PAGEREF _Toc393280321 \h 8Your Role as an OPS Employee PAGEREF _Toc393280322 \h 8Self-Test: True or False PAGEREF _Toc393280323 \h 9Section Four: Scenarios PAGEREF _Toc393280324 \h 9Self-Test: Scenario One PAGEREF _Toc393280325 \h 9Self-Test: Scenario Two PAGEREF _Toc393280326 \h 10Self-Test: Scenario Three PAGEREF _Toc393280327 \h 10Self-Test: Scenario Four PAGEREF _Toc393280328 \h 11Self-Test: Scenario Five PAGEREF _Toc393280329 \h 11Course Summary PAGEREF _Toc393280330 \h 11Additional Resources PAGEREF _Toc393280331 \h 12For More Help: PAGEREF _Toc393280332 \h 12Completion PAGEREF _Toc393280333 \h 12IntroductionThis is the accessible text document format of the course that is suitable for a screen reading device. At the end of the course you will be prompted to update your learning history. To ensure this is tracked accurately, you must complete one format of the course in its entirety.If you would like to use the interactive format, please close this document and select the “Watch it” Training Format. Tips for taking the module[INSERT TIPS FOR TAKING MODULE HERE].Objectives Welcome to the Records and Information Management (RIM) 101 ecourse brought to you by MGCS Information, Privacy and Archives Division.Prior to completing this course, please ensure that you have obtained approval from your manager to register in the program.This course will take approximately 45 minutes to complete.By the end of the Records and Information Management (RIM) 101 ecourse, you will be able to:Understand the importance of records and information management (RIM) and its benefits.Know your obligations as a public servant for RIM under law and policy.Define public records; identify the two different types of public records, and how to effectively manage them.Section One: Why Manage Records and Information?Is This You? “I spent 45 minutes looking for the latest version of this document on the shared drive.”“I can’t get that document for you, Bob’s away.” “Does anyone remember the decision that was made at that meeting last year?”“I have 2000 emails in my inbox.” “Is this the final approved version of the document?” Records and Information Management Can Help!RIM BenefitsRecords and information management allows you to:Reduce clutter and find the right information more easily.Share reliable information with others in the OPS.Minimize duplication of work.Make informed decisions based on up-to-date information.Provide accessible and improved service delivery to Ontarians.Increase your ability to meet business, legal and accountability requirements (e.g. access to information requests, litigation and reporting requirements).Why is RIM Important?The citizens of Ontario have a vital right of access under the Archives and Recordkeeping Act, 2006 (ARA) and the Freedom of Information and Protection of Privacy Act (FIPPA) to information about government decisions and activities, which fosters government accountability and transparency.The Goals of RIMA complete and authoritative record of government decisions, policy development, activities and operations is created.Quality information about government decisions and activities is available so citizens can participate meaningfully in the democratic ernment program and service delivery is efficient. Information is created, maintained and disposed of in accordance with legislation and policy requirements.The Importance of RecordsRecordsAre a valuable public asset, providing evidence of the progress and application of government policies and programs. Must be managed to meet legal or financial obligations and to create a complete record of government decisions and actions.Are for the benefit of present and future generations and form an important part of the history of government.Are our responsibility to manage as public servants, to serve the people of Ontario.Section Two: Public RecordsWhat is a Public Record?Public records are records made or received by a public body (e.g. Ontario Government Ministries) in carrying out its activities. Public records:Exist in many forms, e.g., paper and digital, including emails, and carry the same recordkeeping obligations in any form.Are subject to the ARA and FIPPA.Are to be maintained and disposed of as outlined in an Archivist of Ontario-approved records series.Types of Public RecordsBusiness Records: Records that have ongoing value or usefulness to business.Transitory Records: Records that have no ongoing business value or usefulness and are not needed to ensure program accountability and support business needs.Business RecordsHave ongoing business value or usefulness and are needed to ensure program accountability and support business needs.Are required to:meet legal or financial obligations, ordocument, support or direct government decision-making, policy development, activities or operations.Business areas are required to store business records in commonly accessible physical or electronic repositories.Business Records ExamplesAdministrative RecordsHR managementPurchasingAccommodations and moveable assetsFinancial managementCommunications Records Projects or initiativesCommunications planningPublic eventsMedia relationsPolicy and Planning Records Policy coordinationPolicy developmentProgram and service development and planningLegal Services RecordsDeputy Ministers’ Office RecordsTransitory RecordsHave no ongoing business value or usefulness and are not needed to ensure program accountability or support business needs. Are not required to:meet legal or financial obligations, ordocument, support or direct government decision-making, policy development, activities or operations.Are subject to FIPPA, litigation hold and committee requests as long as they are in existence.Should be disposed of when no longer needed.Transitory Records ExamplesDrafts Containing minor changes to grammar or style.Administrative Messages“The heating is fixed”“I’m on my way to the meeting and will be 15 minutes late” “Thank you for the information”Convenience CopiesMeeting agendas provided at meetingsGeneral AnnouncementsMessages about holidays and special eventsIT help desk notificationsFire drill noticesNewslettersReference MaterialsCommunication and writing style guidesResearch guidesCitation guides and formatting guidesTechnical and software manualsEmail is not a Recordkeeping SystemEmail is a vehicle for communication and should not be used as a repository for managing public records.Public records sent or received using the email system must be managed in the same way as public records in all formats:Transitory email records should be disposed of when no longer needed.Business email records must be kept in commonly accessible electronic repositories.SummaryBusiness Records Have on-going business value or usefulness and are needed to ensure program accountability and support business needs. Needed to meet fiscal or legal obligations and to document, support or direct government decision-making, policy development, activities or operations.Transitory Records Have no on-going business value or usefulness and are not needed to ensure program accountability or support business needs.Not required to meet fiscal or legislative obligations or to document, support or direct decision-making, policy development, activities or operations. Managing RecordsBusiness RecordsBusiness areas are required to store business records in commonly accessible physical or electronic repositories. Transitory Records Delete or destroy when the record has served its purpose.Self-Test: True or False1. There are two types of public records: business and transitory. True or False?The answer is TRUE.Public records are records made or received by a public body (e.g. Ontario Government Ministries) in carrying out its activities and they fall in two categories, business or transitory.2. Business records have no ongoing business value or usefulness. True or False?The answer is FALSE.Business records are records that have ongoing business value or usefulness and are needed to ensure program accountability and support business needs.3. Email business records do not need to be kept. True or False?The answer is FALSE.Email business records must be kept because they have on-going business value or usefulness, they are needed to ensure program accountability and support business needs, or contain information that supports, directs or informs decision-making, policy development, activities or operations, and need to be kept to meet legal or financial obligations. Like all other business records, email business records must be saved in commonly accessible electronic repositories. These records must be saved using the file extension: Outlook Message Format-Unicode (.msg).4. Convenience copies and minor drafts are examples of transitory records. True or False?The answer is TRUE.Like other types of transitory records, convenience copies and minor drafts have no ongoing business value or usefulness and are not needed to ensure program accountability and support business needs. They are not required to meet fiscal or legislative obligations or to document, support or direct decision-making, policy development, activities or operations. Section Three: Your Obligations LegislationAs an OPS employee you have obligations for RIM under: HYPERLINK "" \o "Click to access the Information Security, Privacy and Classification Policy" The Archives and Recordkeeping Act, 2006 (ARA) HYPERLINK "" \o "Clcik to access The Corporate Policy on Recordkeeping" The Corporate Policy on RecordkeepingArchives and Recordkeeping Act, 2006 (ARA)The purpose of the ARA is to:Ensure that the public records of Ontario are managed, kept and preserved in a useable form for the benefit of present and future generations.Foster government accountability and transparency by promoting and facilitating good recordkeeping by public bodies.Encourage the use of Ontario’s archival records as a vital resource for studying and interpreting the history of the province. The Corporate Policy on RecordkeepingThe policy requires program areas to create and maintain business records in order to ensure program accountability and support the program’s business needs. It also requires business areas to store business records in commonly accessible physical or electronic repositories.Your Role as an OPS EmployeeTo understand and apply RIM-related legislation, directives, and procedures.To identify business and transitory records and manage them accordingly.To create and maintain business records whenever it is necessary to document, support or direct government decision-making, policy development, activities or operations.Business areas are required to store business records in commonly accessible physical or electronic repositories. Self-Test: True or False1. All OPS employees are legally responsible for managing records. True or False?The answer is TRUE.As an OPS employee you have obligations for records and information management under: The Archives and Recordkeeping Act, 2006 (ARA) and the Corporate Policy on Recordkeeping.2. Only paper records need to be managed. True or False?The answer is FALSE.As an OPS employee you are responsible for managing public records (transitory or business records) in all forms. This includes paper, electronic or records in any other format.3. Records form an important part of the history of government. True or False?The answer is TRUE.The Archives and Recordkeeping Act, 2006 (ARA) ensures that the public records of Ontario are managed, kept and preserved in a usable form for the benefit of present and future generations. The ARA encourages the use of Ontario’s archival records as a vital resource for studying and interpreting the history of the province. 4. The Corporate Policy on Recordkeeping is an OPS policy that must be followed when managing records. True or False?The answer is TRUE.The Corporate Policy on Recordkeeping defines and establishes requirements for the creation and management of authentic, reliable, enduring and useable business records in support of business functions and activities. Section Four: ScenariosSelf-Test: Scenario OneA ministry steering committee meets monthly to discuss updates to the Ministry’s policy framework. The leading program area develops Terms of Reference, meeting agendas, minutes and materials for review by all members.Are these Business or Transitory records?Answer: Business RecordsThe committee records are all business records for the leading program area because they document and support the activities of the steering committee and direct decision-making and policy development. Committee members will need to assess whether these records have ongoing value or usefulness to support or document their decision-making, activities or operations.Self-Test: Scenario TwoAn email is sent to all staff from the Chair for the Federated Health charity campaign about an upcoming bake sale with all proceeds going toward the campaign.Is this a Business or Transitory record?Answer: Email Sent – Business RecordEmail Received – Transitory RecordThe email sent by the Federated Health chair to all staff about the bake sale is a business record and needs to be kept by the Chair because it supports and documents government activities and decision-making. The email received by staff members is a transitory record and can be disposed of when no longer needed.Self-Test: Scenario ThreeA manager is to present at a senior management team meeting; her presentation is emailed to her Director for approval. The Director responds requesting a significant revision to the approach used for the presentation.Is this a Business or Transitory record?Answer: Business RecordsThe presentation is a business record because it documents and supports decision-making.The email, with the attached presentation, sent to the Director is a business record because it supports and documents activities.The email request from the Director is a business record because it documents and supports decision-making.Self-Test: Scenario FourYou receive a complaint from a citizen regarding a program administered by your unit. You document the details of the citizen complaint and the response you provided.Are these Business or Transitory records?Answer: Business RecordsThe records reflecting the complaint and response are business records because they support and document government activities and decision-making. Self-Test: Scenario FiveYou receive an email from the property management in your office building that the windows are scheduled to be cleaned. Is this a Business or Transitory record?Answer: Transitory RecordThis email is transitory. It has no ongoing business value or usefulness and is not needed to ensure program accountability or support business needs.Course SummaryUnder the ARA, you have a legal obligation to manage your public records.Public records are made or received by public bodies in the course of carrying out their responsibilities. They may only be disposed of as outlined in an Archivist of Ontario-approved records series.Business records are public records that have on-going business value or usefulness and are needed to ensure program accountability and meet business needs.Transitory records are public records that have no on-going business value or usefulness and are not needed to ensure program accountability and support business needs.Transitory records that are subject to a litigation hold, a FIPPA request or a committee request cannot be disposed of. Public records exist in many forms, e.g., paper and digital, including emails, and carry the same record and information management obligations in any form.YOU are responsible for managing information in the workplace.Additional ResourcesIn addition to your RIM obligations under the ARA, you must be aware of related laws and OPS policies and directives: HYPERLINK "" \o "Click to access The Corporate Policy on Recordkeeping" The Corporate Policy on Recordkeeping HYPERLINK "(vwReadResourcesByRefId_Content)/cpd2008.08.18.14.34.52.PSU_res/$File/InformationSecurity&PrivacyClassificationPolicy-Aug05.pdf" \o "Click to access the Information Security, Privacy and Classification Policy" Information Security, Privacy and Classification Policy HYPERLINK "" \o "Click to acces the Information Security, Privacy and Classification Policy" Archives and Recordkeeping Act, 2006 (ARA) HYPERLINK "" \o "Click to access the Information Security, Privacy and Classification Policy" Freedom of Information and Protection of Privacy Act (FIPPA) For More Help: HYPERLINK "" \o "Click to access Your Ministry Records Contact" Your Ministry Records ContactThe Information, Privacy & Archives Division iNetwork E-mail recordkeeping@ontario.ca CompletionCongratulations on completing Records and Information Management (RIM) 101. Please select the Complete button [INSERT LINK HERE – given by OPS L&D] to mark this complete in your learning history. ................
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