Procedures for the transfer of physical and analog government records

On this page

• 1. Effective date
• 2. Application
• 3. Definitions
• 4. Context
• 5. Purpose
• 6. Requirements
  • 6.1 Criteria for transferring records to LAC
  • 6.2 Completing the transfer request form
  • 6.3 Review and approval by assigned archivist
  • 6.4 Pick up or delivery of transferred records
  • 6.5 Integration of transferred records into the LAC collection
• 7. Roles and responsibilities
• 8. Monitoring, evaluation and review
• 9. Consequences
• 10. Information
• Appendix A: Definitions
• Appendix B: Related documents
• Appendix C: Packaging, packing and labelling containers of archival records for transfer
• Appendix D: Transfer checklist and information needed to fill out the online form
• Appendix E: Summary of transfer process

1. Effective date

These procedures were approved by the Director General of the Government Record Branch at Library and Archives Canada (LAC) and take effect on July 22, 2024.

2. Application

These procedures apply to all Government of Canada institutions which are subject to the Library and Archives of Canada Act (LAC Act).

These procedures are applied in accordance with paragraph 8(1)(f) and sections 12 and 13 of the LAC Act and are to be used in the transfer of physical and analog archival government records to LAC when their retention period has expired.

These procedures fall under LAC’s Evaluation and Acquisition Policy Framework (2016), the Directive on Disposition Authorizations (2016), the Operational standard for the use of disposition authorizations (2015), and the Government records disposition program. They must be interpreted along with the associated policies (see Appendix B: Related Documents).

These procedures apply to government records in the office of a minister but do not apply to other types of records found in the office of a minister. These procedures must be applied alongside the Guidelines on Managing Records in a Minister’s Office (2020).

These procedures do not apply to digital government records. These procedures must be applied alongside the Procedures for the transfer of digital government records.

These procedures, as well as the Procedures for the transfer of digital government records, replace the Procedures for the Transfer of Unpublished Information Resources of Enduring Value from Government of Canada Institutions to Library and Archives Canada (2014).

3. Definitions

Government institution (Institution fédérale)

Has the same meaning as in section 3 of the Access to Information Act or in section 3 of the Privacy Act, or means an institution designated by the Governor in Council.

Government record (Document fédéral)

A record that is under the control of a government institution.

Physical and analog record (Document physique et analogique)

A physical record is tangible and can be read or deciphered without the use of a machine or computer. This includes, for example, textual records, maps, plans, stamps on paper, printed photographs, documentary art, etc.

An analog record is created by a physical process and may require a machine to read or decipher. These include, for example, photographs and films made with light-sensitive materials, video and sound recordings on tape, phonograph records, microfilm or microfiche, etc.

Record (Document)

Means any documentary material other than a publication, regardless of medium or form.

See Appendix A for definitions of other terms used in these procedures.

4. Context

Under the LAC Act, LAC is mandated to be the permanent repository of government records that it determines to be of historical or archival value, in accordance with its Evaluation and Acquisition Policy Framework (2016) and the Directive on Disposition Authorizations (2016).

These procedures also enable LAC to manage government archival records received via transfer from government institutions in accordance with its Access Policy Framework (2016) and Preservation Policy Framework (2022).

These procedures enable government institutions to fulfill their obligations to protect and transfer government archival records in accordance with the disposition authorizations issued to them by LAC.

These procedures have been written in response to operational changes within LAC regarding how transfers of physical and analog government archival records are conducted.

5. Purpose

The purpose of these procedures is to facilitate the transfer of physical and analog archival government records from government institutions to LAC when their retention periods have expired.

These procedures enable government institutions to properly prepare physical and analog archival government records for transfer to LAC and to efficiently complete the transfer in a timely manner.

These procedures describe the steps required for government institutions to complete the transfer of their physical and analog archival government records into the control and custody of LAC. They include instructions and recommendations to ensure the physical and intellectual integrity of the records for long-term preservation and access.

6. Requirements

6.1 Criteria for transferring records to LAC

In order to transfer records to LAC, the institution must ensure that the records meet all of the criteria listed below.

If the institution does not know how to achieve one of these criteria or if any of the criteria cannot be met, the institution must contact their assigned archivist to discuss the situation.

6.1.1

The records are physical and analog government records as defined in Appendix A.

6.1.2

The institution has a valid disposition authorization in place issued by LAC.

6.1.3

The records proposed for transfer are identified as archival under the institution’s disposition authorization.

6.1.4

The retention period for the records has expired.

6.1.5

The transfer of these records does not contravene a rule or order of a court of tribunal or contravene an express provision in any other Act (e.g. Canadian International Trade Tribunal Act, Federal Court Rules, Access to Information Act, Privacy Act), such as records identified under an ATIP or other litigation hold.

6.1.6

Prior to transfer, the institution has provided the necessary information about the records, as required in section 6.2.2 below, including an inventory.

6.1.7

Prior to transfer, the institution has ensured that the material is packed in containers that meet LAC requirements. Please consult with their assigned archivist and Appendix C for details.

6.2 Completing the transfer request form

The institution must submit requests to transfer archival records to LAC using LAC’s Transfer Request Form. This form can also be found on the LAC website under Services for the Government of Canada.

This section outlines all the information required to submit a transfer request.

If you have any questions or need help with the form, please contact the
Liaison Centre (centredeliaison-liaisoncentre@bac-lac.gc.ca) or the institution’s assigned archivist.

6.2.1 Information about pick-up or delivery of the records

The institution must provide the address where the records are located as well as the contact information of the person responsible for arranging the transfer of records to LAC.

In the National Capital Region (NCR)

LAC will arrange to pick up records that are located in the NCR (Ottawa, Gatineau, and the surrounding area).

Outside the National Capital Region

If the records are located outside of the NCR, the institution is responsible for sending them to LAC by courier. See section 6.4 below for more details.

Under certain circumstances, LAC may be able to pick up records in the Toronto-Quebec City corridor. The institution must contact their assigned archivist for more details.

6.2.2 Information about the records

LAC requires information about the records being transferred in order to confirm that the records are archival under the institution’s disposition authorization, to ensure that appropriate preservation measures are taken, and to provide a description that will support making the records discoverable, available, and accessible to researchers.

The institution is required to provide the following information about the records being proposed for transfer:

• The disposition authorization number under which the records are being transferred.
• The intellectual context of the records. This may include details such as:
  • the business unit or program that created the records
  • the date range during which the records were active
  • the purpose and use of the records
  • the organization of the records
  • any relevant clauses of the disposition authorization
• A detailed inventory which, at minimum, follows the instructions provided in LAC’s Inventory Template (available in the Request to transfer government records form).
  • Each sheet within the Inventory Template indicates the mandatory fields as well as specific instructions for each media type.
  • LAC may require that the institution include more information in the inventory than the minimum required.
  • Please note: Inventories where the lists themselves contain classified or protected C information cannot be securely submitted through the web form. Please contact the institution’s assigned archivist to arrange for an alternative method of submission for these inventories or lists.
• The physical characteristics of the transfer, including:
  • number and size of containers
    • Please note: container types and labels are required to meet LAC requirements. See Appendix C.
    • If any of the containers are a non-standard size, the institution must contact their assigned archivist as soon as possible to ensure the containers meet LAC requirements.
  • types of media (textual, maps, architectural drawings, technical drawings, photographs, films, video recordings, audio recordings, documentary art, philatelic records, etc.);
    • If a proposed transfer includes multiple media, LAC may require that the institution segregate the records by media and use specialized containers for the transfer. Please see Appendix C and consult the institution’s assigned archivist for more information.

• The security categories for the records.
  • Records categorized as Top Secret must be segregated from all other records, and they must be clearly indicated in the inventory which accompanies the transfer.
  • In accordance with Treasury Board Secretariat Directive on Service and Digital, section 4.3.1.11, and the Directive on Open Government, section 6.5, institutions are responsible for maximizing the removal of access restrictions on departmental information before it is transferred to LAC.
  • For more information on security categories please consult definition in Appendix A or section J.2.4 of the Appendix J: Standard on Security Categorization of the Directive on Security Management of the Treasury Board Secretariat.
  • Please note: The highest security category of these records must be indicated in the online form, and the security category for each file or non-textual record must be indicated in the inventory.

6.2.3 Terms and conditions

The institution must confirm in the form that there are no legal or operational needs that prevent the records from being transferred to LAC.

The institution must confirm in the form that they understand that the transfer process will result in the transfer to LAC of the permanent legal care and control of the specified records, including the administration of the Access to Information Act and the Privacy Act, as well as any other applicable legislation.

6.2.4 After the request is submitted

The institution will receive an automatic confirmation email with the transfer request number (e.g. TGR-FY23-123) after submitting the request.

6.3 Review and approval by assigned archivist

After the institution submits the transfer request through the web form, the request is reviewed by the institution’s assigned archivist.

The assigned archivist is responsible for:

• reviewing the submission
• consulting the institution if needed to address any issues or obtain further information
• approving or rejecting the request

6.3.1 Approved requests

The assigned archivist will approve requests that meet all of the criteria from sections 6.1 and 6.2 of this procedure.

After the assigned archivist has reviewed and approved the transfer request, an automatic email notification is sent to the requester that includes the transfer request number.

6.3.2 Rejected requests

The assigned archivist will reject transfer requests that do not meet the mandatory requirements described in sections 6.1 and 6.2.

Before rejecting a request, the assigned archivist will contact the institution to discuss whether these issues can be addressed so that a transfer can take place. For example, if the inventory does not include all required information or if the containers do not meet LAC’s requirements, etc. The institution must provide the missing information and/or take the required actions so that the transfer meets LAC requirements. If the institution cannot meet LAC’s requirements, the transfer will be rejected. Furthermore, if the records are not archival, the transfer request will be rejected.

However, if the issues are resolved to LAC’s satisfaction, the assigned archivist will then accept the transfer request.

After the assigned archivist has reviewed and rejected the transfer request, an automatic email notification is sent to the requester. This email will include the transfer request number.

6.4 Pick up or delivery of transferred records

Once the transfer has been approved, the Physical Control team at LAC will contact the institution to arrange pick up or delivery of the records.

6.4.1 Pick up of records by LAC

LAC will pick up records within the NCR and occasionally in the Quebec City – Toronto corridor.

The institution is responsible for:

• providing a contact person to coordinate with LAC for an efficient and safe pick-up
• packing and labelling the records in accordance with LAC requirements Please consult Appendix C for details.

The LAC Physical Control team is responsible for:

• coordinating a time and place for the pick-up with the contact person provided
• picking up the records
• assigning a registration control number once the records are in LAC’s custody

6.4.2 Delivery of records by the institution

If the records are outside the NCR, the institution must arrange for the records to be delivered to LAC.

The institution is responsible for:

• packing and labelling the records in accordance with LAC’s requirements. Please consult Appendix C;
• packing and sending classified and/or protected records in accordance with the RCMP guide, GCPSG-007 Transport, Transmittal and Storage of Protected and Classified Material (2022) (PDF document)^Footnote1
• taking all necessary steps to ensure that that the records arrive in good condition and safely at LAC. Records with particular attributes (e.g. fragility, exceptional monetary value, rarity, etc.) may require special containers or specialized transport service
• arranging for a courier service and assuming the transportation costs
• providing LAC with a tracking number from the courier

LAC is responsible for:

• providing the shipping address
• providing the contact information where the institution must send the tracking number
• assigning a registration control number once the records are in LAC’s custody

6.5 Integration of transferred records into the LAC collection

After the records have been picked up or received by LAC, the Physical Control team will register the containers in LAC's database. The institution will receive an automatic email to indicate that the transfer has been picked up and registered. This email will include the registration control number (e.g. 2021-0123) assigned by LAC.

At this point, the records are not searchable in LAC's public-facing online catalogue, but the assigned archivist can use the registration control number or the transfer request number to locate the records on the institution’s behalf at any point.

The assigned archivist is responsible for describing the records in LAC's online catalogue. This description, including a finding aid, relies extensively on the information provided by the institution through the transfer submission including the inventory.

At this point, the records are assigned a BAN (Branch Accession Number, e.g. 2018-00237-9) or other unique reference numbers. The assigned archivist will provide the relevant reference number(s) to the institution as part of the acquisition notification.

Institutions can find and access transferred records through the public interface on LAC’s website by using the provided reference number.

7. Roles and responsibilities

LAC is responsible for:

• providing advice and guidance on the application of these procedures
• designating appropriate staff to implement these procedures
• developing guidelines, tools, best practices and services as required to support the application of these procedures
• confirming that transfer requests meet all LAC requirements
• approving or rejecting transfer requests
• coordinating pick-up or delivery of transferred records
• integrating records into the LAC collection following transfer

Institutions are responsible for:

• adhering to these procedures
• designating appropriate staff to implement these procedures
• notifying and consulting with LAC on any matters that may impede
  • regular transfers of archival government records
  • or adherence to these procedures
• ensuring transfers meet all LAC requirements
• coordinating pick-up or delivery of transferred records
• protecting archival records until their transfer to LAC is completed

8. Monitoring, evaluation and review

The LAC business area responsible for acquisitions of government archival records will monitor and evaluate these procedures every three years or as required, beginning on the effective date. LAC will analyze progress, effectiveness, and attainment of objectives and will identify potential improvements to activities associated with the acquisition of physical and analog government archival records.

9. Consequences

Non-compliance with these procedures may result in:

• suspension by LAC of the institution’s disposition authorization
• delayed transfers

10. Information

If you have any questions about this procedure, please contact:

Appendix A: Definitions

Accession (Acquisition)

A group of records in LAC’s holdings from the same entity (source) with the same place of origin or history (provenance) and that are accepted all at once.

Acquisition (Acquisition)

Acquisition is the process of acquiring documentary heritage of historical or archival value. Acquisition takes place when a decision is made to take control of documentary heritage for the purpose of preserving it for use by future generations.

Acquisition notification (Notification d’acquisition)

Communication sent by the assigned archivist to the transferring institution. This communication includes the relevant reference number(s) that allow the institution to find and access transferred records through the public interface of LAC’s website.

Archival record (Document archivistique)

A government record that has continuing usefulness or significance to Canadian society and is required to be transferred to LAC when its retention period has expired. This identification is carried out by LAC and recorded in a disposition authorization.

Branch Accession Number (BAN) (Numéro d’acquisition de la direction (BAN))

A unique number assigned to records by LAC when the assigned archivist creates an accession in LAC's database for transferred records. It is always referred to using the abbreviation BAN. This number consists of 10 digits, starting with the fiscal year of accession (e.g. 2018-00237-X) and is searchable in LAC’s online database.

Control (Contrôle)

The authority to make decisions about publications and records and their management for the purpose of preservation, access, and disposition, whether exercised or not and regardless of who has custody. LAC control over publications and records may be partial or complete and may be subject to agreements. See also “Custody”.

Custody (Garde)

The possession of publications and records, regardless of who has control over it. Custody may be shared and may be subject to agreements. See also “Control”.

Disposition (Disposition)

Either the transfer of archival records to LAC or the destruction or alienation of non-archival records by the institution. Disposition can occur only when the retention period of a record has expired.

Disposition authorization (Autorisation de disposition)

In accordance with the provisions of section 12(1) of the Library and Archives of Canada Act, a disposition authorization is the instrument that the Librarian and Archivist of Canada issues to enable government institutions to dispose of records when their retention period has expired, either by permitting their destruction, by requiring their transfer to Library and Archives Canada, or by agreeing to their alienation from the control of the Government of Canada. Disposition authorizations are granted in two ways: i) on an institution-specific basis, or ii) on a multi-institutional basis. In these procedures, this term encompasses all the documents issued by Library and Archives Canada and that make it possible to determine the archival value of the records of a government institution. This includes records disposition authorizations (RDA), multi-institution and institution-specific disposition authorizations (MIDA and ISDA), disposition authorizations (DA), disposition frameworks, and application guides.

File (Dossier)

An organized unit of records brought together because they relate to the same subject, activity, or transaction.

Finding aid (Instrument de recherche)

LAC uses the definition of finding aid from the Rules for Archival Description (PDF document). A finding aid is a descriptive tool containing information that establishes control over records and facilitates their retrieval. See also “Inventory”.

Government institution (Institution fédérale)

Has the same meaning as in section 3 of the Access to Information Act or in section 3 of the Privacy Act, or means an institution designated by the Governor in Council.

Government record (Document fédéral)

A record that is under the control of a government institution.

Inventory (Inventaire)

A detailed list of files or items proposed for transfer to LAC. This list must follow the instructions in the LAC Inventory Template. See also “Finding aid”.

Media (Support)

The materials or base on which information is stored.

Physical and analog record (Document physique et analogique)

A physical record is tangible and can be read or deciphered without the use of a machine or computer. This includes, for example, textual records, maps, plans, stamps on paper, printed photographs, documentary art, etc.

An analog record is created by a physical process and may require a machine to read or decipher. These include, for example, photographs and films made with light-sensitive materials, video and sound recordings on tape, phonograph records, microfilm or microfiche, etc.

Record (Document)

Any documentary material other than a publication, regardless of medium or form.

Registration (Enregistrement)

The process of establishing the initial physical and intellectual control over the records received by LAC following a transfer. It includes assigning a registration control number by LAC.

Registration control number (Numéro de contrôle d’enregistrement)

Unique identifier generated by LAC to indicate that the initial physical and intellectual control of transferred records has been established. This number consists of 8 digits, starting with the fiscal year of registration (e.g. 2022-0045).

Retention period (Délai de conservation)

The amount of time a record must be kept under the control of a government institution to meet operational, administrative, fiscal, legal, or historical requirements.

Security category of the records (Catégorie de sécurité des documents)

Assignment of a security category to information resources or records based on the degree of injury that could reasonably be expected to result from their compromise.

An information resource or a record can be protected or classified. LAC uses the definitions found in section J.2.4, “Information confidentiality categories”, of Appendix J: Standard on Security Categorization of the Directive on Security Management of the Treasury Board Secretariat.

Transfer (Transfert)

The process of physically relocating records from a government institution into the custody and control of LAC. This process includes the reassignment of physical and intellectual ownership of the records to LAC.

Transfer request number (Numéro de la demande de transfert)

A unique identifier generated by LAC when a transfer request is received via its website. This number always includes the acronym TGR (Transfer of Government Records), followed by FY (Fiscal Year), the last two digits of the current fiscal year, and 3 digits indicating the order receipt of the request by LAC (e.g. TGR-FY23-123).

Appendix B: Related documents

Federal Acts

• Library and Archives of Canada Act

Treasury Board of Canada Secretariat

• Policy on Government Security
• Directive on Security Management
• Policy on Service and Digital
• Directive on Service and Digital
• Directive on Open Government

Library and Archives Canada

• Evaluation and Acquisition Policy Framework
• Preservation Policy Framework
• Access Policy Framework
• Policy on Library and Archives Canada Security
• Directive on Disposition Authorizations
• Operational standard for the use of disposition authorizations

Other Government Sources

• GCPSG-007 (2002) - Transport, Transmittal and Storage of Protected and Classified Material (PDF document) (access restricted to Government of Canada departments and agencies)

Appendix C: Packaging, packing and labelling containers of archival records for transfer

This appendix outlines requirements for packaging, packing, and labelling containers of archival records for transfer to LAC. The institution must adhere to these requirements in order to ensure the long-term preservation of the records, to maximize storage space in LAC facilities, and to reduce waste and duplication of effort.

LAC's Physical Control team can provide training sessions on packing and labelling. The institution may request training by contacting their assigned archivist, who will put them in contact with the Physical Control team.

All transfers must be packed and transported to LAC in a way that ensures it arrives safely. The institution must inform LAC of any concerns including fragility, security categories, exceptional monetary value, previous treatments for mould or pests, etc.

Choosing containers

LAC does not provide packing supplies to government institutions. If the institution requires assistance to find a supplier that meets the requirements listed below, their assigned archivist can put them in contact with LAC’s Physical Control team.

LAC does not accept:

• “Bankers Box” style boxes
• boxes with detachable lids
  • Some exceptions may apply for oversized or specialized containers.
• storage cabinets filled with records.

Unless otherwise instructed by LAC, the institution must pack records for transfer in B30 boxes. A B30 box is the term LAC uses for standard boxes that open from the top (see Figure 1). The maximum acceptable dimensions for a B30 are:

• height: 26.5 cm (10 3/8”)
• width: 29 cm (11 5/16”)
• depth: 39 cm (15 1/4”)

B30 boxes must be sealed top and bottom using two-inch packing tape. Do not close boxes by interlocking the flaps, since this can damage the records.

The institution must not fold, cut, roll, or otherwise modify a record in order to fit it in a B30 box. Oversize or specialized containers are necessary for records which do not fit in a B30 or which have specific preservation concerns (e.g. fragile material or pastel works that may be smudged if not correctly packed). The institution must contact their assigned archivist to confirm the correct type of containers are being used.

Packing containers

All containers must weigh less than 11 kg, or 25 pounds.

All Top Secret records must be packed in separate containers from records with a different security category so that LAC can take the appropriate precautions during and after their transfer. The security category of each file or item must be indicated in the inventory but must not be indicated on the exterior of the boxes.

All records must be accurately reflected on the inventory submitted with the transfer request. The institution must contact their assigned archivist for further guidance.

• Each file must be clearly labelled with the file number, title, and dates as they appear in the inventory.
• Do not write on individual items such as photographs, maps, or works of art. Ensure these items are clearly labelled using an appropriate folder or label with the item number, title, and dates as they appear in the inventory.

Packing requirements may vary depending on the specific records. In some cases, the assigned archivist may provide requirements which differ from those listed below.

Media	Requirements	Considerations
More than one type of media Photographs in file folders with textual records Posters and architectural plans Etc.	Contact the assigned archivist for specific requirements. Records may require segregation by media type. When segregating records, the intellectual control must be maintained (e.g. file numbers). See the section on Segregation of records by media type for further guidance on how to segregate records.	Different types of media have different requirements for transportation and long-term preservation. When digital carriers such as floppy disks or CDs are found, the institution must refer to the Procedures for the transfer of digital government records.
Textual records in file folders	Loose pages must be placed in file folders. Place files vertically in each box in sequential order based on the file numbers or names. Files must be placed in the same order as listed on the inventory. File labels must all face in the same direction. Leave approximately 2.5 cm (1 inch) of space in each box. The last box of material should be the only one not completely full. Use brown paper or bubble wrap to support the files in this box. The institution must inform LAC when a box has filling.	LAC does not accept: records in plastic binders, hanging folders. Where possible, remove all metal fasteners (staples, binder clips, paper clips, split pins, etc.), remove all elastic bands, and use acid-free folders which are free of colourants and dyes.
Bound volumes Ledgers Note books Albums Unpublished books Etc.	Contact the assigned archivist for specific requirements. Volumes that can fit in a B30 should be packed vertically in acid-free file folders with the spine down. Larger volumes must be laid flat in an appropriate container.	Bound volumes are often old and fragile. Special precautions must be taken when handling them.
Art and objects Paintings Drawings Posters Official seals Etc.	Wear nitrile gloves. Contact the assigned archivist for specific requirements. May require segregating from other media types.	Different types of art and objects have different requirements for transportation and long-term preservation.
Photographs Prints Negatives Slides For more information on types of photographic processes, see Lingua Franca	Wear nitrile gloves. Contact the assigned archivist for specific requirements. Prints that fit in a B30 should be packed vertically in acid-free folders or envelopes. If panoramic photographs are rolled or folded, do not unroll or unfold them. Indicate their location in the inventory. Some photographic records are fragile (such as glass plates) or flammable (such as nitrate negatives) and require segregation from other media and other formats of photographs. Special precautions must be taken when handling and transporting these records.	Different types of photographic records have different requirements for transportation and long-term preservation.
Maps, plans, and technical drawings	Contact the assigned archivist for specific requirements. If folded, do not unfold. Indicate their location in the inventory. May require segregation from other media types. Usually these do not fit in B30s	Best stored flat in oversized folders (known at LAC as FMH folders) with no more than 10 items per folder. May also be lightly rolled in oversized boxes (known at LAC as RBX).
Audiovisual VHS tapes Audio disks Motion picture films Etc.	Contact the assigned archivist for specific requirements. Where feasible, pack in B30 boxes. May require segregation from other media types. Motion picture films must be packed horizontally (i.e. not on the edge of the reel). Video cassette tapes must be packed vertically.	Some formats (especially audio disks) are fragile and require special care for transportation and long-term preservation.

Segregation of records by media type

When transferring records in more than one media type, the institution may be required to segregate the records by media type. For example, if textual records include cartographic material within the files, the assigned archivist may require the institution to segregate the cartographic material from the textual records and add them to separate boxes at the end of the sequence. Media types are routinely segregated to accommodate different long-term preservation needs.

Segregating media that is interfiled in textual files or file wallets:

• Add all items of the same media type to boxes at the end of the sequence.
• Ensure the intellectual control between the original file and the removed items, such as file numbers and previous location, are maintained both on segregated items and in the inventory.
  • Items must be labelled in the segregated container with the source file number.
• Include a note on plain white paper in the source file to indicate that an item has been removed for preservation purposes. Include the box number where the item has been added, and the item number if different than the file number. LAC can provide a standard form for this note.

Labelling containers

All containers must be clearly labelled using black permanent marker.

All containers must be numbered sequentially starting at #1. Partial numbers or alphanumeric numbers such as “8.1” or “7A” are not accepted.

Do not include the security category of the records on the exterior of the container (e.g. Top Secret). This information must only be indicated in the inventory.

If the institution is preparing two or more transfers for pick up at the same time by LAC, they must include the transfer request number (e.g. TGR-FY23-123) on every container.

For B30 containers, label the narrow side of the container. The number must appear in the upper right corner of the container (see Figure 2).

For oversized and specialized containers, label the side visible when placed on a shelf (see Figure 3).

Oversized folders (known at LAC as FMH folders) must be labelled when empty to prevent damaging the records. Label FMH folders in the right-hand corner opposite the fold (see Figure 4).

Under certain circumstances, the assigned archivist will provide container numbers and labelling instructions which may differ from the requirements listed here. In these cases, the institution must follow the instructions provided by the assigned archivist.

Preparing containers for pick-up or courier

The Physical Control team will contact the institution after the transfer request has been approved by the assigned archivist.

For records within the National Capital Region, LAC’s Physical Control Team will provide specific instructions on how to prepare records for pick-up.

Depending on the number of containers in a transfer, the institution may be required to stack them on a pallet or pallets. When preparing a pallet of records for transfer,

• use standard size containers,
• stack containers securely,
• ensure the container numbers are visible from the outside whenever possible,
• stack the containers in numerical order by container number (see Figure 5), and
• wrap the pallet in plastic film.

For records outside the National Capital Region, LAC’s Physical Control Team will provide specific instructions and requirements for how to send the records to LAC using an appropriate courier.

Appendix D: Transfer checklist and information needed to fill out the online form

Institutions may use the following checklist to help determine if records meet the criteria for transfer to LAC:

• Do the records meet the criteria for transferring records to LAC? (section 6.1.)
  • Does the institution have a valid disposition authorization?
  • Are the records identified as archival in that disposition authorization?
  • Has the retention period expired?
  • Have you ensured there are no legal reasons which prevent their transfer?
  • Can you provide the following information about the records?
    • The business unit or program that created the records.
    • The date range during which the records were active.
    • The purpose and use of the records.
    • The organization of the records.
    • A detailed inventory which includes all the mandatory information listed in LAC's Inventory Template (available in the Request to transfer government records form).
    • Security categories for all files and/or items.
  • Have you packed the records in containers that meet LAC's requirements? (Appendix C)
    • If you have multiple media, have you contacted your assigned archivist for further instructions?
      • Has the archivist indicated the material is required to be segregated by media? If yes:
        • Have you included a note on plain white paper in the source file to indicate that an item has been removed for preservation purposes?
        • Have you indicated on the inventory the original file where the media was located?
    • If the files contain digital records on portable storage media, have you consulted the Procedures for the transfer of digital government records?
      • Have you maintained the intellectual control between the digital records and the paper files in which they were stored?
• Have you maximized the removal of access restrictions in accordance with Treasury Board Secretariat Directive on Service and Digital section 4.3.1.11 and Directive on Open Government section 6.5?

Information required to fill out the transfer request form (section 6.2)

The Transfer Request Form can be found on the LAC website under Services for the Government of Canada.

• contact information for the person responsible for arranging the transfer of the records
• address where the records are located for pick-up
• information about the records:
  • disposition authorization number
  • intellectual context of the records, such as:
    • the business unit or program that created the records
    • the date range during which the records were active
    • the purpose and use of the records
    • the organization of the records
    • any relevant clauses of the disposition authorization
  • inventory that follows the instruction provided in LAC's Inventory Template (available in the Request to transfer government records form)
    • The inventory must be in Excel format.
    • Only one document may be uploaded per transfer request.
  • physical characteristics of the transfer:
    • number and size of containers
    • types of media, including container numbers where that media is found
    • any preservation or transportation concerns
  • security categories for the records
  • whether any records have been reviewed by ATIP

Appendix E: Summary of transfer process

1. The institution submits a Transfer Request through the Transfer Request Form on the LAC website.
2. The assigned archivist reviews the request and contacts the institution to address any outstanding concerns.
   1. If needed, the institution makes changes to address these concerns.
3. The assigned archivist approves the transfer.
   1. If the assigned archivist rejects the transfer, the process ends here.
      Please note: The rejection of a request to transfer government records does not authorize the institution to destroy these records. The institution remains responsible for protecting archival records and must find a way to resolve the issues identified in order to proceed with the transfer to LAC. The assigned archivist will contact the institution to address the reasons for rejection.
4. LAC's Physical Control team will reach out to the contact provided by the institution to arrange pick-up or provide the necessary information for the institution to courier records.
5. Pick-up or delivery of records occurs.
6. LAC's Physical Control team registers the records in LAC's database.
   1. The institution will receive an automatic email to indicate that the transfer has been registered.
7. The assigned archivist describes the records in LAC's public-facing collection database.
8. The assigned archivist provides control numbers to the institution in the acquisition notification.

Footnote

Footnote 1

This document is only accessible through a Government of Canada computer. If the institution does not have access to this document, they can contact the RCMP for a copy, or one can be provided by the assigned archivist.

Return to footnote 1