99-02-01 Implementation Guide

UPDATED

July 2019

99-02-01

GUIDE FOR ESTABLISHING AND

IMPLEMENTING A RECORDS

MANAGEMENT PROGRAM

TAB PRODUCTS

(FORMERLY: ARENBURG CONSULTANTS LTD.)

COPYRIGHT 1989, UNPUBLISHED WORKS

COPYRIGHT ACT APPLIES TO USE AND REPRODUCTION

LATEST REVISION, MARCH 2019

TOMRMS Maintenance Manual 99-02-01 Guide for Establishing and Implementing a Records Management Program

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COMMERCIAL STATEMENT

This document is the copyright of The Information Professionals (InfoPros) and is issued in

confidence only for the purpose for which it is supplied. It may only be reproduced for use solely

in connection with this procurement. No further indication or request for permission needs to

be made for reproduction for this purpose. It must not be reproduced, in whole or in part, for

any other reason without the consent in writing of InfoPros and then only on condition that this

note be included in such reproduction.

CONTACT

Nina Beck, President

The Information Professionals

613.298.6206

[email protected]

mailto:[email protected]


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TABLE OF CONTENTS

I. INTRODUCTION TO IMPLEMENTATION GUIDE ......................................................................... 1

II. ESTABLISHING A BASIC RECORDS MANAGEMENT PROGRAM .................................................. 2

1. INTRODUCTION ........................................................................................................................................................................... 2

2. POLICY .......................................................................................................................................................................................... 3

3. STAFFING AND RESPONSIBILITIES ............................................................................................................................................... 4

4. EQUIPMENT AND SUPPLIES ........................................................................................................................................................ 5

5. ACTIVE RECORDS - CENTRALIZED VS DECENTRALIZED .............................................................................................................. 7

6. INACTIVE RECORDS - STORAGE .................................................................................................................................................. 8

7. INFORMATION ACCESS AND PROTECTION .............................................................................................................................. 12

III. IMPLEMENTING THE RECORDS MANAGEMENT SYSTEM ........................................................ 13

1. INTRODUCTION ......................................................................................................................................................................... 13

2. THE RECORDS MANAGEMENT SYSTEM .................................................................................................................................... 14

3. IMPLEMENTATION SCHEDULING .............................................................................................................................................. 15

4. IMPLEMENTATION ACTIVITIES .................................................................................................................................................. 17

IV. RECORDS MANAGEMENT PROGRAM ENHANCEMENTS ......................................................... 23

1. INTRODUCTION ......................................................................................................................................................................... 23

2. AUTOMATION ............................................................................................................................................................................ 24

3. VITAL RECORDS PROTECTION ................................................................................................................................................... 28

4. DISASTER RECOVERY PLANNING............................................................................................................................................... 33

5. FORMS MANAGEMENT ............................................................................................................................................................. 36

6. MICROIMAGING ........................................................................................................................................................................ 40

7. MANUALS MANAGEMENT ........................................................................................................................................................ 44

8. ARCHIVES ................................................................................................................................................................................... 47


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I. INTRODUCTION TO IMPLEMENTATION GUIDE

This guide is intended to help you plan the establishment of a Records Management Program

and the implementation of a standard records classification and retention system. The guide will

identify the steps involved and their order of priority. It will also explain alternative approaches

dependent on your unique requirements and resources.

The benefits of managing information resources are substantial, but in order for you to achieve

them, the system must first be implemented. This will require the involvement of all departments

and staff in varying degrees. The guidelines provided will assist you in taking the necessary steps

to ensure a smooth implementation of a basic records management program.


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II. ESTABLISHING A BASIC RECORDS MANAGEMENT

PROGRAM

1. INTRODUCTION

Establishing a basic Records Management Program involves only two of the many components

of a total program. These two, the cornerstones of any records management program, are the

Records Classification Scheme and the Records Retention Schedule.

In order for you to implement the records classification scheme and the records retention

schedule, a number of decisions must be made. These decisions concern:

The development of a policy statement on records management,

The number and level of records management staff,

The degree of centralization vs decentralization of records

The facility to be used for storing inactive records

The type of filing equipment and supplies to be considered standard, and

The quantity to be purchased.

You must also be aware of the impact of the Municipal Freedom of Information and Protection

of Privacy Act (MFIPPA) on records management, when implementing this Program.

The remainder of this section describes what you must take into consideration when making

these decisions and some of the possible options.


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2. POLICY

Without top management support and approval, the records management program will not

succeed. This involves the development, approval and distribution of policy and procedures for

maintenance of a records management program. A sample Policy Statement is included in the

Records Management Manual.


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3. STAFFING AND RESPONSIBILITIES

This Implementation Guide deals with staffing and responsibilities from the perspective of

implementing the Records Classification Scheme and Records Retention Schedule. Staffing and

responsibilities to maintain the Records Management System, once implemented, are described

in detail in the Records Management Manual.

We have identified two options for you to consider in staffing the implementation process as

follows:

A Records Coordinator is designated to carry out all project management activities

associated with the implementation. An Implementation Team is put together for the

duration of the implementation project and departmental staff have been assigned to

assist in local implementations. The proposed skill sets/qualifications required for both

the Records Coordinator and the Implementation Team members are addressed below.

A Records Coordinator is designated to carry out all project management activities and

the remainder of the implementation staffing is made up of departmental staff. The

departmental staff will only participate in the implementation of their department at the

direction of the Records Coordinator. The proposed skill sets/qualifications are similar to

those identified for the first option.

STAFF QUALIFICATIONS

RECORDS COORDINATOR

Ability to liaise with all levels of management

A background in records management and/or information technology

Previous experience in project management

Knowledge of organization and standard operating procedures

Participation in implementation training seminar provided by TOMRMS provider.

IMPLEMENTATION TEAM AND/OR DEPARTMENT STAFF

Knowledge of current records keeping practices

Previous experience in working with the organization


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4. EQUIPMENT AND SUPPLIES

You can realize substantial savings in filing and retrieval time and floor and file space through the

standardization of filing equipment and supplies. If you do not have a records management

program you in all likelihood have not set or maintained any standards in terms of the type of file

equipment and supplies used. This has probably resulted in the use of cabinets that are very

inefficient for storage and retrieval of records and if not replaced will increase records

management costs substantially over the long term.

When you are selecting standard file equipment, consider economy and efficiency as it relates to

the number of files that can be stored per square foot of floor space used by the cabinet.

Purchase of filing equipment should never be based solely on its unit price.

These same considerations apply to your choice of supplies. Selecting the correct weight and

style of folders means not having to spend the time and labour on replacing worn or damaged

folders, with the accompanying requirement to retype the labels and apply the coding in the

proper place on the folder.

Another time saver is the use of colour coded end tab file folders. Colour coding can reduce your

retrieval time by as much as forty percent. You should also accomplish a reduction in the number

of misfiles and an increased ability to detect those misfiles that do occur.

Recommended standards for the equipment and supplies are illustrated in the Records

Management Manual. Once you have decided which type of equipment will be your

organization's standard, the appropriate supplies can be matched to this choice.

In order for you to cost justify replacing existing filing equipment and supplies to achieve the

benefits outlined above, you must determine the potential floor space savings and the potential

filing and retrieving time savings. The following explains what data you will need to gather during

the "inventory" in order to determine the procurement options most feasible for each

department. This inventory data is also necessary for determining the implementation time

frames, staffing requirements and for ensuring that no records are overlooked in the conversion

process (see Implementation Scheduling).


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EQUIPMENT AND SUPPLY INVENTORY

To complete a proper inventory we recommend that you identify each cabinet with a numbered

label and mark its number and location on a floor plan. We further suggest that you meet with a

user area representative to discuss the following:

Equipment and supplies budgets;

Any problems or concerns they have with their present equipment and supplies;

Restrictions to equipment height;

Need for centralization;

Level of duplication;

Volume of inactive records;

Need for specialized equipment;

Plans for restructuring or reorganizing the department;

Time spent filing; and

Plans for automating functions within the department.

Verify exactly which cabinets are to be included in the implementation.

Make a list of all pieces of equipment included within the user area. Include details on equipment

type, filing capacity, actual volume of files, sample date ranges and types of supplies in use or

required, e.g. folders, fasteners, labels, guides, etc.

You may consider making conversion to new equipment and supplies optional and therefore, in

consultation with the manager of that department/area, may choose to continue to use the filing

equipment and supplies currently in use. Modifications may be made to existing equipment to

conform to the standard. For example, lateral drawer cabinets with retractable doors may be

converted to lateral fixed shelf cabinets by removing the suspension bar.

All of these factors should be taken into consideration when you are placing an order for

equipment and supplies. It is very important that you ensure the requirements are clearly

established with the vendor. Also keep in mind delivery lead times required by individual vendors.


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5. ACTIVE RECORDS - CENTRALIZED VS DECENTRALIZED

No organization, including yours, should permit bits and pieces of its records to be scattered

randomly wherever they happen to be created or accumulated. Neither should you arbitrarily

force the centralization of records without regard to the practical needs of the staff who must

use the records.

Unless your organization is extremely small, with a file area exceptionally well located for central

access, a completely centralized file system is not desirable. On the other hand, a completely

decentralized system encourages duplicate filing and usually results in poor utilization of

equipment. With the file function distributed over the entire staff, time may be lost because file

operation and maintenance are imposed on people who may be unskilled in the intricacies of

proper filing.

It will be important for you to determine what balance between centralization and

decentralization each department will require to best suit their needs to access records.

Centralized files are records of common interest or value to many employees that are placed in

one location under the control of one supervisor. These records may include, orders, invoices,

estimates, quotations, credit memos, shipping information, and so forth. Central location and

control has many advantages.

Fully centralized filing can work reasonably well for the smaller organization where each unit has

convenient access to files. As the size increases, however, certain records are better filed in the

department where they originate and where they get frequent reference. An exception would

be where enough additional file room staff are hired to provide for speedy delivery of the files to

the user on request.

Decentralized files are records that are created and used by a single organizational unit and

maintained and controlled at the point of origin.

More often than not, a combination of these two systems is the most efficient way to proceed.

Many organizations use this modified filing system in which the filing control is centralized but

certain records are located at the point of use to facilitate administrative operations. Typical

decentralized records include those of personnel, credit, sales, payroll, engineering and financial

departments. For control, we recommend that you unify all sections under one responsible

Records Coordinator, whose job it is to establish and maintain uniform file systems throughout

the organization and also to provide the necessary supervision over the program.


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6. INACTIVE RECORDS - STORAGE

USING YOUR OWN FACILITY OR A COMMERCIAL RECORD CENTRE

Establishing an inactive storage area for your records may be one of the most important aspects

in your fight to reduce file volumes in the office areas. Staff will not surrender records to you for

safekeeping unless they are certain that you will be able to retrieve them when required.

If your facility does not provide quick and accurate retrieval of requested records, you will have

a difficult time convincing anyone to follow the retention schedule. If, however, you do provide

good service they will be more than willing to let you look after records which are no longer

required on a constant basis.

Too many companies cease to concern themselves with corporate documentation once it is

moved from the active office areas to inactive storage. This "out of sight, out of mind" attitude is

seen in most areas which have not been managed properly. Records are relegated to dark

basement areas where a natural destruction process occurs through neglect. The condition of

records is worsened by staff who pull records and rummage through cartons. Important records

are stored with useless papers. There are no access restrictions or reference controls.

The goals of a record storage program, within the framework of the records management

program are to cost effectively and efficiently store those outdated records that require further

retention while at the same time to dispose of those records that are of no further use.

The decision to use commercial facilities or to operate your own centre will depend upon a

number of factors: frequency of retrieval; length of retention; availability of suitable storage area;

availability of staff to operate the centre; etc.

Many organizations will have no choice as there will be no commercial centre available. The

remainder of this section of the guide will describe the features of an inactive records storage

centre. The procedures for sending records to and retrieving them from the centre are outlined

in the Records Management Manual.

PRELIMINARY CONSIDERATIONS

Record centres can be established and managed by your organization or can be placed into the

care of a professional off-site storage company. In either case, the selection should be made after


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a careful appraisal of the facility, costs, security, and personnel. The record centre must provide

for the goals outlined above and fulfil your total records management objectives.

Ideally, the record centre should be located close to the your offices. You may be able to house

the inactive record centre within the same building, storing only vital records at an alternate site.

Proximate record centres offer immediate retrieval and service of all records for users.

You may also opt to store semi-active records on-site and inactive records off-site. The on-site

centre would house records which are referenced more often. They are moved off-site with the

other records as they age. Combining these two functions is particularly effective with larger

organizations.

OFF-SITE RECORD CENTRE SELECTION

Before a decision can be made on an appropriate centre, consider: location and availability to

staff; construction and layout of building; security installations in the building; and, maintenance

and potential expansion to meet future needs.

The site should be located away from flood plains or high-risk industries. Zoning, land renovation

and growth patterns must also be considered. If possible, tour other organizations' record

centres as well as commercial facilities. Reviewing sites and interviewing other managers will

assist you in setting criteria for your centre.

EQUIPMENT AND LAYOUT

Inactive records should be packed into standard record cartons. They are available from a

number of manufacturers. Engineering drawings or plans should be placed in special cartons or

cylinders for protection. Never allow loose files to be placed on the shelves.

Steel shelving is used in most centres. The shelving can be placed end-to-end and almost back-

to-back to form double units. Fire regulations usually require a 12" space between shelves to

allow for sprinkler water to run down in the event of a fire. Mobile shelving is not recommended

as its high cost is not justified in this instance.

The physical layout of the centre should be planned carefully. Configurations should yield

approximately 5 cubic feet of storage space for every foot of floor space in the entire storage

area. Lighting fixtures and sprinkler heads should be no closer than 18" from the top of the tallest

carton. Aisles should be 30" to 36" wide for retrievals. In large centres a wider centre aisle is


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required for movement of equipment with pallets. Columns in the storage area should be

incorporated into the shelving rows to avoid aisle obstructions. Aisles should not be too long as

this makes retrieval difficult. A general office area, a loading dock and a work area will be required

in larger facilities. An open area for storage of forms and supplies is often included in the record

centre.

Once the shelving has been installed, a numbering system, based on aisle, bay, shelf and shelf

position, is designed to locate cartons. Cartons are usually stored two high and two deep on each

shelf but any variation is possible.

MANAGING THE RECORD CENTRE

A trained staff member on at least a part-time basis will be required. For the most part, manually

managing a record centre is not a complicated task. However, record volumes will tend to bog

the process down. Automation of the operation of the centre is also quite a viable option. This is

covered in more detail in the Records Management Program Enhancements section of this guide.

Personnel in the Record Centre must provide for record transfers to and from departments, for

record storage and retrieval and for destruction in accordance with the approved policy.

The procedures for the storage, destruction and retrieval of records are covered in the Records

Management Manual. Internal procedures for the operation of the centre will be established

once the decision has been made on types and level of service to be provided.

THE COMMERCIAL RECORD CENTRE

There are many reasons why you might choose to store your records in a commercial record

centre. In some cases it may be cheaper than operating your own centre. Commercial centres

usually employ professional staff trained to manage inactive records efficiently. In addition, you

only pay for what you use.

It is very difficult to anticipate your long term space requirements. Although we suggest an

allocation for expansion of 30 to 40% (or 15% per year), many organizations will be unwilling to

allow for such a large amount of unused space. With a commercial centre, you only pay for what

you use.


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Professional centres are equipped with sophisticated security alarms, the cost of which is spread

over many users. Records are handled by well trained and bonded staff. Most also have vault

storage areas for vital and archival records.

Using a commercial record centre at the start of a program is a viable option. It requires a lower

level of funding than would an in-house centre.

Remember, however, that all facilities are not the same. Some have better facilities than others

and virtually all have differing price structures. Some charge less for storage and more for

retrieval. You must closely investigate the pricing structure to find one which is best for you.

Engage an energetic and efficient staff from the very beginning of the program. A large staff is

not required to manage a centre, particularly if automation is used. All staff members should be

familiar with the goals of the program.

Be certain that the decisions you make will last for the duration of the program. Moving a centre

will be costly and can be fatal for the credibility of the program. Be flexible in arriving at your

decisions regarding the facility, equipment and staff.


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7. INFORMATION ACCESS AND PROTECTION

The Municipal Freedom of Information and Protection of Privacy Act (MFIPPA) will have a major

impact on the way in which your organization will collect, use, share, store and eventually

destroy its information. Under MFIPPA, any member of the public has the right to request

information held by any municipality and its agencies, boards and commissions.

MFIPPA is based on two foundational principles: that the public has the right to access

government information, with limited and specific exemptions, and that the municipality has a

responsibility to protect the privacy of its residents, on whom it holds an extensive amount of

personal information. MFIPPA also has very specific requirements relating to timelines and

appeals, which are facilitated through the Office of the Information and Privacy Commissioner

(IPC) for Ontario.

In order to best ensure compliance with MFIPPA, municipalities should undertake to understand

their collective responsibilities under MFIPPA, including the development of policies, standard

operating procedures, and staff training. It is important to note that a lack of compliance with

MFIPPA can have several negative repercussions for municipalities, including fines, litigation, and

a loss of public trust.

The relationship between the implementation of a reputable records classification scheme and

retention schedule like TOMRMS is critical to for MFIPPA compliance because, in implementing

TOMRMS into your municipality, the municipality must first identify and properly describe its

general records within a published directory, in addition to a directory of Personal Information

Banks held by the organization. A Personal Information Bank is a collection of personal

information that is organized and capable of being retrieved by an individual's name, number or

symbol. The records management system which we have developed will help you to organize and

segregate those records effectively to meet the legislative requirements.


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III. IMPLEMENTING THE RECORDS MANAGEMENT

SYSTEM

1. INTRODUCTION

This section gives an overview of the Records Management System, what is involved in

scheduling the implementation and the activities involved in converting to the system.

All of the details concerning these activities will be addressed during the one day training seminar

and workshop. A review of the material in this Guide prior to the training session and again during

the implementation process will help you ensure a successful start to a well accepted, dynamic

records management program.


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2. THE RECORDS MANAGEMENT SYSTEM

The Records Management System provides a complete basic system for organizing paper records

and controlling their retention. This is particularly important considering the requirements of the

Municipal Freedom of Information and Protection of Privacy Act (MFIPPA) . As they relate to the

provision of records in response to freedom of information requests.

Included in this basic records management system are:

A records classification system;

Records retention/disposition schedules; and

A manual of procedures for maintenance and use of the system.

RECORDS CLASSIFICATION

All categories of information are organized in a hierarchical subject based system. These

categories can be applied uniformly in any department. This allows you to identify who holds

what information; identify and reduce duplication; move staff between departments without

retraining; and easily substitute for staff on vacation or sick leave.

RETENTION SCHEDULING

Retention periods for all records are identified. The periods are tied to the records classification

system eliminating the need to purge documents from within folders. Retention periods for office

life and total legal retention are identified. The area responsible for maintaining the official

record copy is also outlined which allows holders of any copies to discard them when no longer

required.

PROCEDURES MANUAL

This is a set of procedures for using the system on a daily basis. The Manual is written in the easy

to follow and understand playscript format and covers accessing both active and inactive records.

It also includes the records management policy statement, organization and staffing including

responsibilities, and recommended standards for filing equipment and supplies.

A User Guide is also provided as a separate quick reference manual covering those topics likely

to be used most often.

Commented [ek1]: Nina, this text is outdated. I updated the paragraph.


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3. IMPLEMENTATION SCHEDULING

Implementation should include all records holdings with the exception of personal working

papers, library material, publications, blank forms and records currently maintained at a Record

Centre or Archival facility.

There are two methods of implementation scheduling to be considered. The first is to begin filing

using the Classification Scheme from a predetermined start date and maintain a parallel filing

system for a number of years until the records related to the previous file system(s) have been

transferred or destroyed. There are some benefits to this approach in that there is a decrease in

implementation resources required initially and perhaps some staff will feel more comfortable

with an extended transition period.

The second method involves the conversion of all on-site records over a relatively short period

of time. There are some disadvantages to this method, namely an increased investment in

implementation resources to convert all the records at once. Also, this method of

implementation will require significant adjustments by the departmental staff in a short period

of time. However, in most instances the conversion of all on-site records to a new file system

outweighs the advantages of parallel filing.

Another variable in the methodology of implementation involves installing the new file system in

numerous departments simultaneously versus a phased in approach on a department by

department basis. Unless you have available staff with experience in other major file system

implementations, the more desired method would be a phased in approach.

Once you have determined the best method of implementation for your organization, an

Implementation Schedule can be developed. This schedule should indicate the steps to be

completed, the time required to complete each task, and the number of staff allocated to each

task. The initial steps to be completed include such things as:

Having the Records Coordinator complete the training seminar/workshop;

Preparing a plan for implementing the records management program;

Completing a records inventory and modifying the classification scheme;

Presenting this plan to senior management and obtaining their approval;

Presenting the plan and the records management system to all staff or to selected liaison

staff in each department and obtaining feedback;

Further customizing the system where this may be appropriate to ensure staff support;

Obtaining approval for the records management program;


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Selecting and training staff to complete the implementation tasks; and

Providing each department with an implementation project schedule.

Ongoing implementation tasks, as further described in the following pages of this section, must

also be part of the Implementation Activity Schedule. Finally, the Schedule should also include

time for follow-up supervisory tasks and ongoing reports to management on the progress of the

implementation according to the Schedule.

In order to determine the time required for completing these tasks and other implementation

steps, you should complete an inventory of your current records holdings as described previously

under Equipment and Supplies. This data you should take with you to the training seminar and

workshop, where we will assist you in developing a schedule of activities, including staff and time

requirements. To verify whether the timing for these tasks are realistic for your situation, you

can work through the implementation steps, noting the time spent to complete each task for a

given volume of records (e.g., one cabinet). This time can then be applied to the completion of

each task for the existing volume of records in each department. The following pages give an

overview of the Implementation Steps.


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4. IMPLEMENTATION ACTIVITIES

This section provides a brief explanation of the actual steps involved for converting the existing

records from the present multiple and individual systems to the one standard system for all

records. These descriptions will provide an understanding of the complexity of the conversion

process and the need for you or a designated Records Coordinator to attend the training seminar

and workshop. It also serves to create an awareness of how important the initial and ongoing

involvement of all staff is to the success of the records management program.

INITIAL MEETING

On the predetermined Department implementation start date, conduct a short start-up meeting

to introduce the Implementation Staff to the Department Staff and briefly review the tasks and

timetable involved in the implementation of the new Records Management System. Entertain

any questions and take the opportunity to promote the advantages of the system.

PREPURGE

The prepurge task is intended to eliminate records that are obviously no longer required or are

duplicated elsewhere and should not be included in the implementation process.

Be cautious with this task as some records may be of historical significance documenting events

and warranting permanent preservation.

Draft a memorandum to all department managers requesting their participation in the prepurge.

Include a start date and a deadline for completion in the memorandum. It should be made clear

in the memorandum that the Records Coordinator is available to discuss which records may be

included in the prepurge. Have this memorandum approved by a senior official and distribute the

memorandum to all department managers.

Follow up with each department manager on the start date to determine the level of

participation and where required, promote increased involvement. Further follow-up will be

determined based on the level of initial participation of the department.

On the deadline date, remove the boxes from the department and destroy the records in the

prescribed manner. Be aware that the Municipal Freedom of Information and Protection of

Privacy Act (MFIPPA) governing Disposal of Personal Information may apply.


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CLASSIFY RECORDS

When the prepurge activity is complete, the remaining files are coded according to the

Classification/Retention System. This task requires a knowledge of the Classification Scheme and

Retention Schedule. Each file will first be examined to determine its subject classification and

relevant retention requirements. The Scope Notes included in your Manual will help you to

understand what is included or excluded. If necessary, refer to the alphabetic cross reference

section of the Classification Scheme. Less active records have to be identified for transfer to the

Record Centre or an archival facility or for destruction. The staff coding the records will review

their retention and classification decisions with the file custodian and negotiate any changes.

Throughout the classifying task there will be a need to modify the Classification Scheme and

clarify Scope Notes. Refer to the Records Management Manual for this procedure. It is critical

during the classifying of records in the Implementation phase that all Implementation Team

members/Department Staff involved are consistent in their coding decision. A daily recap

meeting should be held to discuss any changes required to the Classification Scheme and Scope

Notes.

Having identified all material to be transferred or destroyed and having verified these decisions

with the file custodian, the Implementation Team/ Department Staff may proceed to pull, list,

and box records requiring transfer. Records requiring destruction should also be pulled and listed

separately. These listings will then be forwarded to department management for final approval

of transfer or destruction.

Once the records have been coded and inactive records transferred, all remaining records will be

listed for data entry and conversion.

FILE PREPARATION

The file listings are input to a database on a personal computer (or mainframe if you wish). The

fields in a standard database for file listings are cabinet, drawer, classification code, file title and

tertiary code. Additional fields that will be useful later are: file start date, file end date and

destruction review date. The database is used to generate the final sorted version of the file

listings and to produce file labels. A new folder is then prepared for each file on the database.

Where word processing or database capabilities are not present, file listings and labels are typed.

File folders can be prepared internally or by a vendor. Both options are discussed.


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PREPARATION BY THE VENDOR

The implementation team should meet with the vendor's representative to discuss topics such

as cost and details in the preparation of files such as the layout of the file title. To minimize any

difficulty in matching existing files with the new folders after their delivery, the vendor must

deliver them either in the order in which they originally appeared in the cabinet (the order in

which they are listed) or in classification code order, whichever best suits your requirements.

Please note that if this is the option taken, the vendor must be selected and the order placed at

the beginning of the Implementation Phase.

INTERNAL PREPARATION

If the implementation team is to be responsible for folder preparation, order filing supplies,

arrange for their delivery and arrange for a work area. This should be spacious and free of

distractions. The work area will become somewhat untidy during the day, so it is best if the area

is not in a prominent location.

The clerical staff must be trained in the preparation of folders. See the Records Management

Manual for details on folder preparation.

TRANSFER FILE CONTENTS

Once the new file folders have been prepared, the contents of the existing file folders are

transferred to the new folders. The files are then rearranged into the new classification code

order.

FINE TUNE

Fine tuning is the review of the transferred folders to identify any final changes needed to

enhance the system.

USER TRAINING

Training of all users of the new filing system is essential to their involvement in the ongoing

maintenance of the system. All levels of staff should attend an orientation session of no more

than an hour for a general overview. Department Liaisons should attend a more detailed training

session in addition to the general orientation.


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The following pages provide an outline for these orientation and training sessions.

ORIENTATION SESSION - SAMPLE TRAINING OUTLINE

Introduction

A new system is being introduced.

It has been developed to fit your needs.

Ask questions as they arise--open question and answer session at end.

Agenda

Filing System Features

Standard Classification Scheme

Subject Numeric

Hierarchical

Excludes non-records, give examples

End tab folders and colour coding

Procedures documented in Manual and User Guide

Filing System Benefits

Standardized equipment & supplies

Easier to train new staff

Reduce training for transferred staff

Consistency in communication

Improved access and file organization

Levels of Classification

Primary -- one letter alpha code -- signifies major grouping of files

Secondary -- two digit numeric code -- more specific breakdown

Tertiary -- file folder title with two letter alpha code

Use diagrams to explain

Display list of primary and secondary headings

User Responsibilities

Code documents for filing

Retrieve and refile

Prepare new folders when necessary

Recommend changes to system

General maintenance


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File Retrieval

Analyze class scheme or cross reference

Scan labels within secondary for first two letters of file title

Complete out folder

Re-Filing

Retrieve out folders

Remove documents from out folder

Interfile documents in date order

Refile in correct location

Coding

Identify subject

Determine subject code

Write code on document

Submit for filing

Preparing File Folders

Demonstrate with sample

General Maintenance

Additional folders when too full

Use creases on bottom of folder

Replace worn folders

Remove inactive files

Introduction to Manual and Guide

Explain purpose and contents

Explain cross reference, scope notes

"How Would You Code These Files?" Exercise

Distribute list of sample file titles (approximately 10-15).

Distribute copies of all secondary headings.

Round room, ask them how they would code each file title.

Questions

Evaluations and Wrap Up

Detailed Training Session Training Outline

Introduction

Follow up to Orientation Session


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Designed for Department Liaisons

Practice oriented

Agenda

Responsibilities of Liaison

Practice Exercise -- Coding

Ask each trainee to bring three actual documents (have other documents ready if they forget).

Ask them to turn to classification scheme in their manuals.

In small groups, ask them to review the documents and discuss how they would code them.

Each group leader presents their coding with brief explanation.

General discussion.

Practice Exercise -- Preparing Folders

Each person select one document and prepare a folder.

Prepare more folders as time permits.

Supervise and assist.

Practice Exercise -- Records Retention

In group, list all assigned documents.

Assign disposal dates using the Records Retention Schedule.

Each group leader presents.

General discussion.

Questions

Evaluations and Wrap Up


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IV. RECORDS MANAGEMENT PROGRAM

ENHANCEMENTS

1. INTRODUCTION

To this point you have received in the Records Management System all of the components for a

basic program. Implementing this program will be a monumental task but the effects will far

outweigh any costs incurred.

The program has been designed to provide you with the basics for establishing a very solid

foundation for a more comprehensive program. The components which you have established, or

soon will, are necessary before any more sophisticated advancements can be contemplated.

Classification and retention are essential.

You have, however, only begun to establish a truly comprehensive program. Hopefully, the

awareness of the importance of Records Management within your organization has increased

substantially. You will need this support if you are to continue in your program. Acceptance

should be a little easier to obtain now that you have proven your worth.

For some, the classification and retention will be enough; for others it will only be a start.

Regardless of your situation, you should at least be aware of the other possibilities.

This Section is really a series of short discussions on some of the other program components you

should consider. Each discussion provides an overview of the topic.

There is, of course, much more information available on each topic from a variety of sources. The

staff of the TOMRMS provider will be pleased to provide further information on any of these

topics. We are also available to discuss how our services may be employed to assist you in

investigating or implementing any of these areas. We can be contacted at:


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2. AUTOMATION

INTRODUCTION

One of the first enhancements you will want to consider for your Records Management Program

is the use of computers to relieve you from most of the laborious tasks you now perform.

Computers, operating under instructions detailed in software, are able to manipulate large

volumes of information to both control and report on its distribution.

There are three areas in your basic program where computers can be particularly advantageous:

Active file maintenance;

Inactive storage management;

Freedom of Information requests tracking and reporting.

While any of these functions can be accomplished using any type of computer ranging from a

personal microcomputer to a mainframe computer, this section will deal solely with the options

available on microcomputers. You should seek assistance from your MIS department when

considering mainframe applications.

ACTIVE FILE MAINTENANCE

The number of desirable functions to assist you with the maintenance and to increase the

capabilities of your active file system are almost limitless. They are truly limited only by your

imagination. This does not mean, however, that you should spend all of your time thinking of

new things to do with your computer system.

The first step in looking at any system is the definition of required functions. You can easily

become a slave to the computer by designing a system which requires so much data entry from

you in order to produce the reports you have requested, that it would have been easier to

operate in a manual mode. The computer is there to serve you, not vice versa. It is, therefore,

very important that you determine what capabilities you require from it.

Some of the essential features are:

Automatic assignment of retention parameters in accordance with approved retention

schedule upon creation of file;

File tracking (charge-out);

Commented [ek2]: Yikes! This section seems REALLY outdated.


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Production of file lists by file title or classification code;

Production of lists of records to be destroyed or transferred to inactive storage;

Extensive keyword search capabilities using boolean logic.

Some of the features which should be considered for inclusion are:

Security for access to the entire system and to specific functions within the system;

The ability to be able to limit access to a particular folder or record series;

An easy to follow menu for the inexperienced user but one which does not delay the

experienced user.

Printing of charge-out slips and reminder notices for overdue requests;

Printing of file labels for new folders; and

Ability to track retention periods for a record series after its storage media has changed

(microfilmed).

As stated previously, there are several additional features which could be included but may or

may not be necessary for your application.

We have made arrangements with one of the leading manufacturers of Records Management

software to produce a package specifically tailored to your Records Management System. It

incorporates all of the basic features, including the retention schedule and classification scheme.

Enhancements such as networking, are available as options to meet the needs of larger

organizations. Information is available on request.

INACTIVE FILE MAINTENANCE

The features required for the maintenance of inactive records will depend greatly on whether

you are operating your own facility or using a commercial facility. You should not, however,

confuse what is required to access the records held within the centre and what features are

necessary to manage the business operation of the centre.

Regardless of who operates the centre, you will need to be able to:

Locate and request a particular file or box of files and to initiate a request for its retrieval;

Monitor retrievals which have been out for an extended period and remind users to

return them to inactive storage; and

Monitor destruction dates and print authorization lists for each department.


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If you are using a commercial record facility, they should be able to provide some of these

features for you. Some of the more sophisticated centres will allow you to access your database

in their system using your computer, a modem and your assigned password. This negates the

need for you to store large volumes of information on your computer.

If the commercial facility does not provide these features or you are operating your own facility,

you can usually have modifications made to your software to incorporate them.

If you are operating your own facility you may want to include some of the following features:

Management of the storage space through automatic assignment of storage boxes to

available space;

Chargeback system based on utilization rate and storage volume;

Printing of pick lists and accession lists in aisle and bay order to facilitate storage and

retrieval; and

Specialized reports covering space usage and total centre activity for a given period.

Specialized packages are available for these functions from a number of vendors. Caution should

again be taken to clearly develop your criteria before purchasing any package.

THE MUNICIPAL FREEDOM OF INFORMATION AND PROTECTION OF

PRIVACY ACT (MFIPPA)

Meeting the provisions of this legislation presents a whole new and different set of problems for

the Records Manager.

There is a specific need to track requests as they arrive and are processed to ensure that

deadlines are not exceeded.

Identification and publication of Personal Information Banks held within your facilities is

required.

Charging or waiving a fee for each request must be monitored.

Establishing a precedent file based on previous decisions of the Commissioner can be very useful

in formulating your program.


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Above all, completing the reports required by the legislation, let alone your own internal reports,

can certainly be a full time function.

If ever there was a case for automation, meeting the provisions of FOI is it. Although not very

complicated, the process can be very cumbersome if completed manually. Using a computer

software program, you can complete the tasks in a very short period. Printing of reports can be

accomplished with a single keystroke on a keyboard instead of poring over mounds of paper to

compile statistics. You must remember that a whole series of reports are required even if you

have only received one request.

The Information and Privacy Commissioner (IPC) for Ontario is offering free software which can

be used to compile and submit required reports. This software can be obtained by contacting the

Commissioner's office directly.

CONCLUSION

The use of computer technology in the management of paper based records is particularly

effective. Many of the tasks conducted by Records Managers are clerical in nature. Using a

computer with well designed software can free Records Managers from these tasks and allow

them to devote their all too scarce time to managing the very valuable resource - information.

Commented [ek3]: I don’t think that this is true…


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3. VITAL RECORDS PROTECTION

INTRODUCTION

Thankfully, only once in a while do we come across a situation which points to the necessity of

having a Vital Records Program. On July 12, 1973, the Federal Records Centre in St. Louis, Missouri

caught fire and burned for 5 days. 17,500,000 records were destroyed or severely damaged. On

May 31, 1985 a series of tornadoes destroyed several businesses in the Barrie, Ontario area,

completely destroying all of the records for businesses in the affected areas.

During the past decade a number of factors have contributed to more stringent protection

programs for corporate records. The increasing complexity and occurrence of data processing

systems has created a concern over protecting vital corporate information which is handled by a

number of users. In addition, an increase in corporate employee crime has created an interest

for greater security. Traditional security measures are being replaced by more sophisticated

systems for protecting assets including property, equipment, products, employees and business

records.

Interestingly, there has been a tremendous amount of energy and resources spent to protect

valuable assets including all aspects of operations and production. Only recently, however, has

the same amount of attention been paid to corporate information and the value it represents.

Loss of vital information affects the very existence of any corporation. This may be even more

pronounced in an environment where loss of vital records could have serious consequences for

every resident. Underwriting a Vital Records Program is possibly the most important investment

a corporation can make in its future.

Hazards can take many forms such as floods, fire, storms, sabotage, etc. These dangers exist

throughout the entire life cycle of a document.

Disasters can occur whether or not you are prepared for them. If you are prepared, however, the

effects are less of a disaster. Prevention is the cornerstone of any program. Records Managers,

MIS personnel, security advisors and all staff must participate in preparing prevention, protection

and contingency plans carefully.


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THE VITAL RECORDS PROGRAM

In normal corporations only 2-4% of the records can be considered vital. The percentage in a your

environment may be somewhat higher (5-10%). The loss of this information would be

catastrophic. One definition of a vital record is:

Any record generated and maintained by the organization which contains data for the

continuation of business, to reconstruct the assets and liabilities, to protect the rights of citizens,

to reclaim ownership of the facilities and to assist in the resumption of essential activities.

Several basic classifications of records would be included in this definition. Vital records are

usually identified by functional subject and, thus, are relatively easy to identify in the subject

numeric classification scheme. Legal, financial, by-laws, engineering, planning and executive

records would all be strong possibilities. The goals of the vital records program are similar to

those of the retention scheduling. Both are concerned with the identification, appraisal and

scheduling of documents.

ESTABLISHING PROJECT GOALS

Normally a project committee is formed to establish the goals, supervise the program, and

instruct all departmental representatives in program implementation. The first steps in

commencing the program are:

Create a mission statement for the program and obtain executive approval;

Create a definition of exactly what constitutes a vital record;

Inventory and list all vital records;

Determine the appropriate protection method to be implemented;

Select an appropriate off-site storage centre; and

Instruct all users on proper vital records protection techniques.

The vital records program should also be coordinated with the disaster recovery plan so that not

only will the vital records be preserved but there will be facilities available for using them. Usually

assistance is required from data security specialists, risk managers, insurance experts and

facilities specialists in formulating this aspect of the plan.


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VITAL RECORDS PROTECTION AND THE RECORD RETENTION PROGRAM

The vital records and records retention programs are similar in many ways. Their methods of

design are identical and each requires participation of all staff. There are, however, some

essential distinctions between them which must be understood.

The record retention program is targeted at all records regardless of their value, format or

retention requirements. All records are included in the schedule, even those that have only an

immediate or current retention value. The vital records program is selective and the Master List

will include only a small percentage of all corporate records.

The Vital Record Master List will not only list the record but also will provide reasons for and

methods of protection. It is generally more descriptive than the normal retention schedule. The

two schedules must, however, be closely linked as vital records must also be scheduled for

eventual destruction or archival preservation.

VITAL RECORDS INVENTORY AND APPRAISAL

The first place to start to look when identifying vital records is the retention schedule. Those

records which were assigned permanent or long term retention may be good candidates. Using

the schedule as the only guide, however, is not advisable. It is recommended that the program

be developed through survey, appraisal and supervision by the committee.

The survey forms should include the following categories:

Name of department/branch;

Classification code and title of record;

Record description;

Reason for protection;

Method of protection;

Frequency of deposit; and

Disposal instructions.

The appraisal must be conducted on several levels and must always be approved at the highest

level. The questions to be considered are:

Would the loss of the record be significant?

Could the information be replaced without considerable loss of time and funds? And

What would be the financial, legal and administrative implications of this loss?


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After the reasons for designating a particular record as vital have been determined, the method

of protection and frequency of deposit must be decided. Since the vital record must be protected

soon after creation, it is wise to make an authentic copy of the record and to store it off-site.

Costs for duplication and transfer must be weighed against the value of the record. Protection

methods are beneficial only if they do not present a serious financial burden.

In addition, the frequency of deposit and update cannot present unfair administrative problems.

If the method of duplication is complex or difficult to maintain, there will be a strong tendency

not to adhere to the program. The cost for the program and the methods of implementation

must be carefully considered.

METHODS OF PROTECTION

Not all vital records merit expensive duplication. Several options are available to management.

The topic of micrographics is covered a little later in this manual and will not be repeated here.

We will, instead, cover other alternatives.

If a duplicate copy of the record is made in the normal course of business, it may serve as the

protected copy. Obviously the copy must be sent to another location and must be maintained

unaltered. This type of protection is usually referred to as "built-in dispersal". It is important to

remember that the record must be maintained in the alternate location for the entire vital record

period and that updates must be received and incorporated in a timely manner.

Duplicates of data processing tapes may be sent off-site. This will already be normal procedure

in most organizations but the storage facility should be evaluated. Magnetic media require very

specific environments for proper storage. A complete listing of all records stored on the tapes

must be provided to the committee. Another option is to store a paper, Computer Output

Microfilm (COM) or optical disk copy of the computer data off-site.

Photocopying of documents is also an alternative but a costly one. Care must be taken to ensure

that the copies are complete and legible.

There are many options available for duplication and storage of vital records. In each case the

cost of the duplication must be weighed against the effect of the loss of the particular document.


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OFF-SITE STORAGE FACILITIES

The subject of Record Centres is explained earlier in this Implementation Guide. Suffice it to say

that a general warehouse should never be used for vital records. They are valuable documents

which require special protection in a facility with special safeguards to protect them from

unauthorized access or inadvertent destruction.

CONCLUSION

The program developed must be realistic; not all potential hazards can be eliminated. Some risk

will remain. A Vital Records Program is an insurance policy; one on which you hope you never

have to collect. The initial costs of the system may be expensive but if you ever have to use it,

the program will prove to be a real bargain.


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4. DISASTER RECOVERY PLANNING

INTRODUCTION

Simply identifying your vital records may not be enough. You will need to have a plan to recover

operations in the event of a disaster. Your plan will have to cover procedures for using the

backups of the vital records and for staff recovery of normal work routine.

This plan will, obviously, become part of your plan for Emergency Preparedness. It is, again, an

insurance policy on which you hope never to collect.

THE DISASTER RECOVERY PLAN

A disaster recovery plan is a pre-planned strategy for recovery from any catastrophe, be it man-

made or natural, which causes suspension of normal business operations. The plan reduces the

possibility of disaster and minimizes interruptions to normal operations.

Vital records are those which are essential to the operation and continuation and/or resumption

of operations following a disaster.

BENEFITS

A Disaster Recovery Plan, like a Vital Records Program, is an insurance policy which you hope you

will never have to use. The costs of developing and maintaining the program can be extensive

but the rewards are exceptional.

Some of the benefits are:

BACKUP Ensures adequate backup of standard procedures and provision for off-site storage areas.

COMMUNICATION Opens channels of communication and eases pressure from auditors.

CO-ORDINATION Facilitates effective and efficient co-ordination of recovery tasks; bankers, insurance agents, and lawyers.

ECONOMICS Lessens the financial repercussions.

PHYSICAL SECURITY Assesses physical security for the building and surrounding environment.


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SAFETY Prevents damage to property, prevents injury to personnel and public, and safeguards the continuation of the organization.

SERVICE Provides rapid restoration of services and operations. Creation of a good, workable plan encourages operation under any number of conditions until all functions and services can be restored to normal.

PLAN DEVELOPMENT

The first phase of establishing a plan involves developing procedures which are pre-planned

through cost-benefit analysis and feasibility studies. With input from the executive,

administrative and end-user groups, specific requirements may be assessed and evaluated.

Essentially one must define a document in these simple terms: "how important is it?"

Some of the issues which should be addressed include:

The application, its importance, what its loss would mean to the business and its resource

requirements;

The legal, financial and tax requirements;

The cost of reproducing the document now, if lost, compared to the cost of creating it in

the first place;

The vulnerability of the organization if the plan is not put into place;

What records can be stored somewhere else without inconveniencing anyone;

The existing storage units;

The existing plans and security measures, if any;

The value of the documents for insurance purposes;

The signing of a formal agreement which addresses fiscal concerns and outlines the

project proposal in definite terms; and

The provision of deadlines so key responsibilities are covered (it is easy to get

sidetracked).

After planning the functions that are performed before and after the disaster a Disaster Manual

would outline the basic recovery plan.

IMPLEMENTATION

In the second phase the action plan is developed in response to the extent of the possible

interruptions and damages. The reporting structure is established and reflects the sequence of


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steps followed for every area defined. This applies to the prevention, action and recovery teams.

An action plan may include up to twelve different teams. The Finance Team would, for example,

arrange for emergency funds to cover transportation, housing and food. Also they would

establish a line of credit with an alternate facility if necessary. Other teams established might

include Support Services, Backup/Off-site, Communications, Operations, Administration,

Facilities Restoration and Security. Each team needs checklists and progress report logs.

Checklists might include supplier names and phone numbers, lists of supplies, and an emergency

phone list of team members.

MAINTENANCE

The last phase of disaster recovery planning depends upon the development of a testing plan and

the quality of the maintenance programs. With live testing, staff are scheduled, back-up systems

are run and repeated until all errors have been worked out.

CONCLUSION

The development of a comprehensive and effective disaster recovery plan is a critical component

of a complete Records Management Program. It, in conjunction with a Vital Records Program,

will ensure the capability of your organization to meet its commitments to constituents,

customers and clients.


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5. FORMS MANAGEMENT

INTRODUCTION

An often overlooked segment of the Records Management profession that can produce

tremendous savings is Forms Management. Forms Management is the systematic control of

business forms creation, production and use. In other words, Forms Management is the function

that establishes standards for the analysis, creation, design and revision of all forms within an

organization and assures that they are designed, produced and distributed economically and

efficiently. Its principal objective then, is to assure maximum economy and efficiency in an

organization's written communications.

In many organizations forms are regarded as sacred entities. Some of them have been in

existence since the dawn of the corporation. They are seen as untouchable. Unfortunately, they

may have long outgrown their usefulness. Forms are merely a vehicle for collecting, processing

and disseminating information. As the informational needs of the organization change, so must

the vehicles used to collect that information.

A Forms Management program involves:

An evaluation of the information flow within your organization to determine who needs

and receives what types of information;

A survey of your total information requirements;

An analysis of your present forms to determine the necessity and efficiency of each

individual form;

A redesign and or combining of forms to create a more effective distribution of

information; and

Determination of the best method of producing required forms.

PROGRAM ADVANTAGES

The advantages of this kind of program are decreased cost and increased efficiency accomplished

by ensuring:

Your staff are using the best possible clerical tools available;

Forms are designed to be completed quickly and accurately;

Each form performs a useful, unique function;


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Every form you purchase is being obtained at its most economical level; and

You know exactly how much your forms are costing.

PROGRAM COMPONENTS

The four parts of a Forms Management program are:

Inventory;

Analysis;

Design; and

Control.

PROGRAM OBJECTIVES

The objectives of a Forms Management Program are:

To ascertain that each form fulfils a basic requirement of an approved operating

procedure;

To design each needed form so that it will perform its purpose efficiently and effectively;

To specify the most economical method of manufacture; and

To establish a system of stock control and replenishment that will make forms available

when needed, in economical quantities.

PROGRAM JUSTIFICATION

The true cost of forms to an organization is often unclear. In one case we asked a client what

their forms budget was for the year. The executive stated that they only spent $100,000.00 per

year on forms printing (this included computer output forms) so it was not worth looking at it.

Unfortunately, he was only looking at the actual cost for producing the forms. There is much

more to it than that.

The true cost of forms is broken down to three segments. These are estimated at:

4.4% for printing;

11.2% for file maintenance; and

84.4% for clerical processing.


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Using this standard "rule of thumb", we pointed out that this client was actually spending over a

1/4 million dollars per year that could be allocated to analyzing the workflow involving forms.

This organization now has a Forms Management program.

Initially, forms were developed to overcome the problem of repetitive work created when

information was duplicated from one document to another. Bit by bit, the saving grace of

business became its nemesis. The use of forms became counter-productive in that they were

poorly designed and produced by anyone that thought they would like to produce a form. More

often than not, these forms systems can be substantially improved through eliminating,

combining or adding forms or copies of forms.

Regardless of the efficiency of your organization, it is almost certain that, on initiating a Forms

Management program, you will save anywhere from 20% to 30% of what you are currently

spending on forms.

For example, with another client, we identified one particular "form system" consisting of eight

forms. In parts of six of these forms they gathered identical information. We combined these

six forms into one and added a few boxes for information that was specific to each form. Through

this process, we eliminated not only the printing and stocking costs, but also the collecting and/or

transcribing clerical cost which makes up the 84.4% of the allotted cost.

Using the previously mentioned 30% savings and the 1/4 million dollars, it was easy to justify the

creation of a Forms Manager position. With $30,000 as a base salary, there were still

considerable savings to be had from the $75,000 overall savings.

INVENTORY

Without a Forms Management program, you have a problem, but without an inventory you will

never know the extent of your problem. You must find out (at least):

All of the forms in use throughout the organization;

The monthly usage of each form;

The specific work unit(s) that uses each form;

To what extent forms are duplicated between each unit;

The efficiency of each form;

The total current cost of buying, manufacturing, designing, storing and distributing these

forms; and

The amount of control exerted over these forms and the current effectiveness of it.


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ANALYSIS

Forms Analysis is the means of telling what should go on that form. It is a specialized kind of

methods improvement or procedural simplification, its approach to such improvement and

simplification being through the forms involved.

Although you could go about this whole process on a form-by-form basis and still come up with

considerable savings, this method is not recommended. You might be improving individual forms

but you would miss the even greater savings to be had through form system improvement.

A much better way of attacking the problem would be to separate groups of forms into form

systems, then, from the procedure, chart out the system to see what information is gathered,

where and why. The results of this will be a superior system with easier to use forms.

DESIGN

The major principles of good forms design are that:

The sequence of items should be logical;

The amount of writing (or entry) should be minimal;

The characteristics of the equipment you are using should be used to their fullest; and

Layout should achieve good visual effect.

Good forms design encompasses not only the placement of the items but also the type face, use

of lines, spacing, readability and entry equipment.

If you work systematically through all of the above, you will be pleasantly surprised to see the

amount of savings that you come up with.


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6. MICROIMAGING

INTRODUCTION

Microimaging deals with more than microfilm technology. Optical Disk technology is a recent

addition to the list of possible types of image storage and retrieval of information.

Organizations today are being throttled by paperwork. Whether that paperwork is produced by

themselves or thrust upon them by outside organizations, they are finding that they just can't

handle the volume.

After the benefits to be derived from properly researched Retention Schedules and efficient filing

systems and equipment have been fully explored, one must look at more effective ways of storing

that information which remains. This usually leads to a consideration of alternative media such

as microfilm, magnetic tape, floppy disks or optical disks.

Two of these, microfilm and optical disk are referred to as microimaging because they actually

store and retrieve exact images. They are an extremely effective means for storing your

information in considerably less space than hard copy (paper).

USES OF MICROIMAGING

Space requirement reduction is not the only valuable use for microimaging. Some others include:

Protecting very active records by using an imaged copy instead of the original;

Vital records protection; and

Wide distribution of imaged copies (when required).

MICROIMAGING METHODS

There are two microimaging methods available today. Each method has its advantages and

disadvantages so each must be closely evaluated and matched to your specific requirements.

These methods use optical disk or micrographic technology.

Optical Disk, like any computer based system, utilizes a digitizing process that reduces the

document to disk format. These images can then be retrieved very quickly on screen by anyone

that requires them (as long as they have the authority). Alternatively, a hard copy can be

reproduced (only if absolutely necessary).


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Optical disk systems capture information in one of two ways. Information already produced on

paper is scanned into the system and indexed accordingly. Information which resides on a

computer can be transferred directly. The disk is a platter onto which the information is

transferred. Once stored, it cannot be changed. The file, however, can be updated with changes,

additions or deletions.

Storage capacities are exceptional and retrieval is extremely fast if the information has been

properly indexed. Initial systems are, however, very expensive and are really economically viable

only in very specific instances.

Micrographics can be produced and used in several methods, formats and sizes.

Microforms can be produced by rotary camera, planetary camera, step and repeat camera or

computer output microfilm/microfiche (COM). The rotary camera is a high speed camera that

uses 16mm. film and operates in a manner similar to a photocopier. The planetary camera

consists of a table and camera on what seems to be a pole. This type of camera usually uses

either 16mm. or 35mm. film and is much slower in its operation because the camera has to be

positioned for each image taken. It does, however, accommodate filming of documents of

differing sizes and can produce a much sharper image than a rotary camera.

The step and repeat camera is a combination of the two previous cameras. It films an image that

has automatically been placed under the lens then automatically removed. The image is

recorded on 105mm. film in precisely aligned rows (microfiche - almost postcard sized).

Computer Output Microfilm (COM) can be produced in several sizes through equipment that is

either attached or separate from the host computer. COM is a very effective alternative to

producing the enormous volumes of paper computer reports which seem to be over-running

almost every office. COM can be the backbone of most Vital Records and Disaster Recovery

Plans.

IMAGING SUBJECTS

It is often very difficult to determine the best possible candidates for microimaging. Many things

can be imaged but the most common types of documents for microfilming are cheques or other

accounting information. Other subjects for imaging are maps, plans, technical drawings,

catalogues, parts lists or price lists. Generally, items microfilmed from paper are large volume

documents which have a fairly long retention period. Any documentation produced on paper

from computers is a good candidate for COM.


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Almost any documentation can be a good candidate for optical imaging. Because of the cost

involved, the documents should be:

High volume;

Valuable documents in terms of either the cost to produce them or the financial impact

of their loss;

Required for access by more than one person at the same time; and

Be part of a well defined process (e.g., mortgage applications).

IN-HOUSE OR SERVICE BUREAUS?

If you have the expertise, space and equipment, this whole process can be done on your

premises. The lack of any of these, however, does not preclude you from the savings or efficiency

to be obtained.

Service bureaus are ready and waiting to assist you with any or all of the above. Whether that

be the imaging process, the production of finished output or all of these, that help is available.

The quality is usually very high and the costs can be more palatable.

FEASIBILITY STUDY

Once you have decided that something definitely has to be done, you have to go through the

process of deciding which is the best method for your situation. The Feasibility Study is the major

tool to help you decide.

Lay out your options and cost them out (help is available) by documenting the current systems

methods, procedures and costs. Then, to compare apples with apples, do the same with each of

the options. The solution for you will soon be self evident.

LEGAL ASPECTS

There are several provisos required before you can produce an alternate image of the document

and destroy the original. Some of these are:

There must be a policy statement approved at the highest level possible, establishing the

Program as a normal business operation;

The imaging process must be conducted in the regular course of business by qualified

Personnel;


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In some instances, you require written permission from various government sources; and

Imaging must be done to archivally accepted standards.

The absence of any of these will require you to keep the original documents. If this causes

problems, you will need to rethink your requirements and options. If you have to keep your

documents, it is still possible to go ahead with the project as long as you store these documents

in a less costly location (record centre).

To be acceptable in court, your imaging system must be fully and properly documented and each

group of images must be properly identified.

CONCLUSION

The use of imaging technology is a very effective means of storing and disseminating information

throughout your organization. A well designed program can become an important part of your

overall Records Management Program. An investment in this type of technology can have

significant long term benefits.


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7. MANUALS MANAGEMENT

INTRODUCTION

A major enhancement you should consider for your program is manuals management. Like any

organization, almost all of your instructions for using computer systems, maintaining office

equipment and, hopefully, for completing most of your routine tasks are contained in manuals.

If they are not organized in a logical and easy-to-understand style, they can actually hinder rather

than assist completion of a task.

Manuals are used to:

Reduce time to find solutions to problems.

By using an alphabetical index, and a TAB/SECTION/SUBJECT breakdown, information can be

located and read in very short order. The required instruction is located, read and understood

and the employee returns to the job at hand without delay.

Reduce training time for new, temporary, promoted or contract staff.

By having all job outlines and procedures properly documented in playscript format, these staff

members can work their way through their new tasks much faster (step-by-step). Because the

playscript procedure shows not only their actions but also those steps completed by others

before and after them they will have a better working knowledge of the entire system.

Reduce costly errors.

By having procedures properly documented in a format that is easily retrievable and readable,

employees will trust and use the procedure manuals instead of making a wild guess as they used

to do when documentation was hard to read or non-existent.

Improve utilization of staff, resources and facilities.

Staff can be cross-trained on basic job functions and have documented back-up for specialized

jobs. In this way, work processes will be covered in the event of sickness, vacations,

maternity/paternity leave or any short staffing situations.


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WHAT IS A MANUAL?

A manual is a structured, easily referenced collection of any or all of the following:

Policy statements;

Operating procedures;

Illustrations (forms, equipment, etc.);

Standards;

Organization charts;

Systems documentation (flow charts, decision tables, data flow diagrams (dfd's), etc.);

Price lists;

Catalogues; and

Information that pertains to the activities of an entity such as an individual, firm,

association, agency or situation.

OBJECTIVES OF MANUALS

All manuals should have specific reasons for their existence. Each should be audited to determine

its effectiveness and whether or not it meets its objectives.

Some objectives for manuals are to:

State and clarify policy;

Define duties, responsibilities and lines of authority;

Formalize operations thereby ensuring uniform treatment of repetitive tasks;

Provide standards against which workers and their superiors can measure their

performance;

Provide information to employees, the public or anyone else who needs it (and is

supposed to have it);

Provide an open and established line of communications between management and staff

that allows for consistent methods of introducing new policies and procedures; and

Educate users.


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INTRODUCING CHANGE TO THE WORKPLACE

Very few people are comfortable with change. Even though these same people may realize that

some change is inevitable, they still feel uncomfortable. In most cases, this inevitability is the

reason for their discomfort.

Any change, whether good or bad will cause stress. And stress leads to conflict. To avoid as much

stress in the workplace as possible, we must properly document these changes. In so doing,

those changes that are bad will be noticed as bad changes and not be made.

Manuals Management will:

Guard against unauthorized or unnecessary change;

Point out where change is necessary; and

Help cope with the effects of necessary change.

COSTS AND BENEFITS

Even though manuals cost money to write, produce and maintain, the organization will benefit

because of:

Reduction of time to find solutions to problems;

Reduction of staff training time;

Reduction of errors; and

Improved utilization of staff, resources and facilities.

When we consider cost, we must not only look at what it will cost us to have this program but

also what it will cost if we don't.

PROTECTION OF YOUR INVESTMENT

Program maintenance is extremely important. Once you have made the investment to improve

employee and organizational efficiency, it makes sense that you protect that investment.

If you allow your policies and procedures program to sink into disrepair, that part of the program

that remains will in no time become out-of-date. At this point, no one will trust the system or

use it to its fullest extent.


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8. ARCHIVES

INTRODUCTION

ARCHIVES IN ONTARIO

Within Ontario there are over 200 organizations which operate archives programs. The archival

holdings document the activities of religious organizations, educational institutions, businesses

such as banks, oil companies, provincial and local governments, performing arts organizations,

museums, etc. The records document the history of each organization, protect the corporate

memory and, as a whole, record the history of the Province of Ontario. Initially the records were

not created for historical reference but to support the day to day activities of the organizations

which created them.

The majority of the information created is of a routine nature and should be disposed of, as

outlined in this manual, on a regular basis. There is, however, a small percentage of material

which supports planning and decisions within the organization and which should be maintained

because of its long-term value for future reference.

ARCHIVES AND RECORDS MANAGEMENT

Although the Records Management manual has been designed to specifically address the

establishment of a records management system, there should be reference to, and awareness

of, the need to identify certain groups of records in the system as having archival value. Through

the retention schedules in the manual, groups of records have been identified as being of archival

interest. Special consideration should be given to those records identified in the schedule as

having archival value.

The retention schedule contained in the policy and procedure manual contains columns denoting

the archival/historic importance of each record series at the secondary level. This is a guideline

to be used by you in your efforts to preserve and protect those records which document the

historical development of your organization.

The use of an archival designation is intended merely as a guide for your use to ensure that

valuable documents are not destroyed.

The manual does not set out to give detailed information on establishing an archives program.

However it provides the names of individuals or groups who will be able to answer questions on


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establishing a program or who can provide assistance in identifying and protecting archival

material.

The following information is designed to provide information on which communities should be

aware of the archival material they hold and also what to do about caring for that material.

RECORDS OF LONG-TERM VALUE

In the day to day operation of any organization, information is created to deal with administrative

matters, activities, decisions, strategic plans, property issues, etc. The information provides

administrative, fiscal, legal and historical information about the organization.

Certain groups of records, because of their long-term value, should be identified and preserved

as part of the operation of the organization to ensure the protection of the corporate memory.

These records, although no longer required for daily administrative purposes, contain

information which is of value for both long-term use and for historical reference.

Within an organization, information may be on a variety of media and deal with such things as

personnel management, accounting matters, building and facilities, etc. The list includes many

types of information which are created to support the activities of the organization. Minutes of

meetings document decisions made; project files show the status and outcome of a project.

These records, and others created in the daily operation of the organization, provide

administrative support to the departments who are responsible for the various functions which

form the basis of your organizational operation.

TYPES OF RECORDS

The manual designated certain records as being of archival interest. The following list provides

general information on the types of records which should be maintained as archival:

Minutes of Meetings

Senior Level Correspondence

Reports

Clippings/Scrapbooks

Photographs/Negatives

Slides

Architectural Plans

Engineering Drawings


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Audio Visual Materials

In-House Publications

Brochures/Promotional Material

Legal Documents

The types of records might detail the organizational structure including organizations charts,

mandates, mission statements, etc; operational activities: working methods, methods of

implementing new directions, changes to current practices, restructuring, etc.; special projects

relating to the activities of the organization.

WHAT TO DO WITH THE ARCHIVAL MATERIAL

ESTABLISHING YOUR OWN PROGRAM

There are two options for dealing with the issue of archival material.

The first is to establish your own program within the organization. This will require a

commitment to budget for professional staff, suitable space for processing and storing

collections (environmentally controlled) and space for researchers to use the collections. If you

are interested in establishing your own program, a number of resources are available to you as

reference materials. Information on these publications can be obtained from the Ontario

Association of Archivists.

If you do decide to establish your own program, the first step in setting up the program is to

obtain approval from management and to develop policies and procedures to govern the

operation of the archives. It will be difficult, if not impossible, to deal with the archival material

without top level support.

Once you have obtained approval for the establishment of the program, the next step is to hire

an archivist.

The other option, if you are able to set up your own program, is to work with an archival

institution in your community which may be able to arrange to look after the collection for you.

In either case, you should obtain assistance from a professional archivist or an archival

association in your area. The following list of people and associations will provide a starting point

from which you can make contact with archivists who will be able to assist you in choosing the

most appropriate way to deal with the archival material identified in the manual.


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Below, you will find information regarding two excellent reference books which you should

consider purchasing. We have also included an excerpt from the Canadian Council of Archives

"Guidelines" publication (Appendix A).

A Manual for Small Archives (Vancouver: Association of British Columbia Archivists, 1988).

The best reference book for beginning archives and archivists. Available from: Association of

British Columbia Archivists, P.O. Box 3859, Main Post Office, Vancouver, British Columbia, V6B

3Z3. Current prices are $40.00 for non-members, $30.00 for members, plus postage and

handling.

Keeping Archives Ann Pederson, Editor, Sydney, Australia: Australian Society of Archivisits Inc.,

1987.

A more advanced archival manual; very good for archives that are established and need more

detailed advice. Available on special order from: Australian Society of Archivists, P.O. Box 83,

O'Connor, A.C.T., Australia, 2601, or more quickly and cheaply from: Society of American

Archivists, 330 South Wells Street, Suite 810, Chicago, Illinois, USA 60606.

CONCLUSION

Protection of archival records is an important part of a comprehensive Records Management

Program. It is also a responsibility owed to the community as a whole. The manual provides

clear guidelines as to which records should receive protection.

By following those guidelines and contacting a trained archivist for assistance, you will have

played your part in preserving the heritage of your organization.