2.4 Transfer within Government - RIM Manual

Authority

The Managing Government Information Policy (MGIP) requires that

• “ministries must authorize the transfer” of any government information to another government body before making such a transfer (4.1), and 
• “must ensure that the transfer of government information and associated metadata in their custody or control is: (a) undertaken in accordance with corporate policies, standards and procedures; and (b) managed and documented appropriately with due regard for applicable access, confidentiality, and security provisions.” (4.2)

Transfer Within Government

Data and records may be transferred within (or into) government due to reorganization, the ending of functions or programs, or when government inherits records from an agency not covered by the IMA. These transfers must be documented and managed appropriately to preserve the integrity of the data and records and to ensure that responsibility for specific government records is clearly designated.

Principles

When transfers are necessary, the integrity of the information needs to be maintained to protect its value and support services to citizens. The following principles apply:

1. Records follow function. When legal custody of a program is transferred, it is necessary to also transfer associated operational and administrative records. This includes:
   • Information in both digital and physical formats and systems.
   • Records managed in the office as well as those stored in offsite facilities.
   • Both scheduled and unscheduled information.
   • Records at all stages in the lifecycle (active, semi-active, and inactive).
2. Protect information integrity.
   • Maintain the authenticity, reliability, privacy and security of the information throughout the transfer process.
   • Ensure information remains accessible to those who need to use it.
   • When personal information is transferred, ensure that established access controls are retained.
   • Record the chain of custody.
3. Manage government information in accordance with schedules.
   • Process inactive records appropriately, in consultation with the receiving agency. Where practical, obtain authorization and destroy any information already eligible for destruction instead of transferring it to the receiving agency.
   • The inheriting ministry or agency may continue to use the relevant approved Operational Records Classification System (ORCS). In such a case, it is acceptable for a schedule to be used by more than one ministry or agency.
4. Identify the Office of Primary Responsibility (OPR).
   • It is essential to identify an OPR for all government information, i.e., the ministry or body responsible for its ongoing maintenance, security, and accessibility, and for the associated costs.
   • Update OPR information when information is transferred within or into government.

Best Practices

Ministries are responsible for ensuring that transfers of data and records are managed appropriately through the following practices:

1. Comply with policy: Transfer of government information (including data and records) follows government-wide and ministry-specific policies, standards and procedures and takes place in a secure manner that protects sensitive, confidential and personal information.
2. Document the transfer: Transfers are authorized and appropriately documented to protect the integrity and authenticity of information that the ministry or IMA agency is receiving. The transferring agency retains documentation of all information that is transferred, the recipient, and the date of transfer, and maintains the resulting documentation in a file classified under ARCS 432-25, Records management: Custody management case files. This documentation includes metadata and other sources providing:
   • Identification of records and data, including titles and unique identifiers;
   • Administrative documentation, including scheduling information, custodial history, and digital preservation data;
   • Access and rights information, including security classifications, access restrictions, Freedom of Information (FOI) / investigations / litigation underway or anticipated, intellectual property rights such as patents or copyright, and related information.
3. Inform central agency: Communicate timely, accurate information about organizational changes and resulting records transfers to Government Records Service (GRS). This will enable GRS to provide appropriate support services, track custody, and ensure that costs are assigned to the appropriate ministry/agency/office.