STAR 6.0: Standard for Administrative Records

Government of Nova Scotia
STAR: Standard for Administrative Records
Version 6.0

1.0 Structure and Content of STAR 6.0

2.0 Classification by Hierarchy

3.0 How to Use STAR Records Retention Schedules

4.0 How to Use STAR Online

3.0 How to Use STAR Records Retention Schedules

The records retention schedule indicates both the period of retention after a file is no longer active and how the record will be handled at the end of its life cycle. Records are kept as long as required to carry out government business, which can be one year to over one-hundred years, then they may be further retained according to their operational and recordkeeping requirements, and finally, with proper authorization, records are destroyed or sent to the archives.

Records retention schedules are based on specific values that records possess associated record keeping requirements necessary to support accountability of government. Records are appraised by experts for Legal, Fiscal, Audit, Evidential, Informational, and Intrinsic (Archival) values in records. During STAR/STOR development, a rigorous consultation and endorsement process with government experts is completed before the schedule is approved.

Records retention schedules are reviewed in accordance with the Government Records Act, and approved through a process by the Minister responsible for the Act.

Life Cycle of Records

Two different "streams" exist in the life cycle of records:

Preservation

Destruction

The life cycle of a record is divided into three phases:

Active

Semi-active

Final Disposition

Active phase (ACT) is when records are in use on a regular basis and are most effectively maintained by keeping them in the department or agency.

Semi-active phase (SA) is when record are used infrequently and for records that have a long SA period, records are kept off-site in cheaper storage facility like a record centre.

When the semi-active period is over, the records schedule shows the final disposition (DIS) of the record: destruction (D), disposition plan (DP) which is usually the transfer of records to another department or agency of government, or archives (AR) the archival appraisal and transfer to Archives Management of Nova Scotia Archives and Records Management.

Active Period (ACT)
The Active phase (ACT) of the retention schedule shows the length of time that the record is retained in the office after the file is closed. The retention schedule begins here and does not include the active period of time from the creation or receipt of the record until the completion of activity.

By "closed" we mean the completion of the activity of that function for that transaction, project, program or event.

A trigger is used to indicate which event closes that class or group of files and begins the ageing process. Ageing is the period of time between the closing of the file and final disposition. There are two retention triggers in both STAR and STOR: "FY" and "SO" There is an additional trigger in STOR, "CY".

"CY" trigger indicates that the file closes at the end of the calendar year, 31 December.

"FY" trigger indicates that the file closes at the end of the fiscal year, 31 March.

"SO" trigger indicates that some event other than the end of the calendar/ fiscal year renders the file superseded or obsolete and closes the file (SO = superseded or obsolete). Superseded means it has been updated and a new version replaces it. Obsolete means that it is no longer required

The "SO" trigger is always defined in the schedule in the "SO definition" section and is assigned to the secondary number, because the event that closes the file is specific to each class of files.

SO definitions are found below the secondaries and retention schedule on the primary page.

Each retention trigger is followed by a plus sign (+) and a number. The number refers to the length of time, in calendar years, that the record is kept in the department after the trigger has been activated and the file has closed.

Semi-Active Period (SA)
Once records have completed their active stage of retention, they move to the semi-active phase of their life cycle (SA).

Semi-active records must be retained for legal, fiscal, audit, or operational reasons, but they are not needed on a regular basis.

The second part of the retention schedule shows the semi-active period of the record (SA). This is the length of time in calendars years from the end of the active period that the record is to be stored in an off-site storage facility, such as the Provincial Records Centre.

Final Disposition (DIS)
The third part of the retention schedule indicates the final disposition of a record (DIS).

Disposition occurs at the final stage of the life cycle, when the record becomes inactive, and follows the end of the semi-active period. An abbreviation in the column indicates the disposition of the records: "D," "AR," or "DP".

"D" disposition indicates that the records are to be securely destroyed at the end of the semi-active period.

"AR" disposition indicates that the records are to be transferred to the Archives Management Branch of Nova Scotia Archives and Records Management for archival appraisal and retention. An "AR" disposition is always accompanied by an archival disposition plan, which sets out the criteria for archival appraisal. STAR 6.0 contains only one AR disposition. Most STORs will have many AR dispositions.

"DP" disposition indicates that something else has to happen to the record before they can be destroyed. A "DP" indicates that there is a disposition plan that outlines the actions that will be taken with the records during the life cycle. STAR 6.0 has only one DP.

Disposition Plans (DP or AR)

Disposition plans explain any extraordinary measure that needs to be taken during, or at the end of, the life-cycle of a record. The disposition plan consists of four parts: classification number and retentions schedule, secondary scope note, disposition summary, appraisal and evaluation statement, and a brief implementation plan. Disposition plans should be checked at the beginning of a record's life cycle to ensure that records are handled properly from the beginning of their life cycle to the end.

How to Read a Retention Schedule

When laid out in a tabular format, a records retention period will appear as follows:

This schedule indicates that records classified as 3100-33 will close at the end of the fiscal year (FY) 31st March. (2000 fiscal year means the records close 31 March 2001.)

The active retention (ACT) of "FY + 1" means that the records will be retained for another year in active storage in the office so that they are available for supplying information for audit purposes. The records may then be boxed and transferred to the Provincial Records Centre for an additional six years of semi-active (SA) storage. At the end of those six years the records are destroyed (D).

The total retention period is seven years; therefore, the disposition date for these records is seven years after they are closed. (31 March 2001 + 7 = 31 March 2008)

For example: A file that is opened on June 1, 2000 will close on March 31, 2001. It will be kept in the office until March 31, 2002. After March 31, 2002 the file may be transferred to the Provincial Records Centre. The Provincial Records Centre will keep the file for another six years until March 31, 2008, after which the file can be destroyed.

For files classified with 3700-40 and the procurement activity ended 6 June 2000, we would read the schedule this way. ACT – 1 year after the file closes would be 6 June 2001, after this date it can be moved offsite to the Provincial Records Centre. It stays in the Records Centre for another six years and can be destroyed after 6 June 2007. Total retention is seven years, Disposition date is 6 June 2007.

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