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Municipal records keeping in British Columbia : an exploratory survey Billesberger, Valerie May 1990

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MUNICIPAL RECORDS KEEPING IN BRITISH AN EXPLORATORY SURVEY  COLUMBIA:  By VALERIE MAY  BILLESBERGER  B.A., Simon F r a s e r  University,  1985  A THESIS SUBMITTED IN PARTIAL FULFILLMENT OF THE  REQUIREMENTS FOR THE DEGREE OF MASTER OF ARCHIVAL STUDIES  in THE  FACULTY OF ARTS  Administered School  of Library,  Archival  by  and I n f o r m a t i o n  and Department o f H i s t o r y  We a c c e p t t h i s t h e s i s a s c o n f o r m i n g to the required  THE  standard:  UNIVERSITY OF BRITISH COLUMBIA APRIL 1990  © V a l e r i e May B i l l e s b e r g e r ,  1990  Studies  In  presenting  degree at the  this  thesis in  partial  fulfilment  of  the  requirements  for  an advanced  University of British Columbia, I agree that the Library shall make it  freely available for reference and study. I further agree that permission for extensive copying of this thesis for department  or  by  his  or  scholarly purposes may be granted her  representatives.  It  is  by the head of  understood  that  copying  my or  publication of this thesis for financial gain shall not be allowed without my written permission.  Department of  School of L i b r a r y , A r c h i v a l and Information S t u d i e s  The University of British Columbia Vancouver, Canada Date  DE-6 (2/88)  April  27th,  1990  ABSTRACT An exploratory investigation of records keeping practices among villages, towns, districts and cities in British Columbia was conducted to determine how municipalities are currently managing their records.  Drawing from literature on records  management theory and practice, a model of a records keeping system was developed based on the premise that records pass through a series or continuum of identifiable stages from the moment of their creation to their final disposition.  A  questionnaire constructed around key elements of the model was distributed by mail to a nonrandom sample of one hundred and forty-four municipalities.  Data was acquired on the three  general fields of activity considered integral to managing records, namely: records generation and receipt, records classification, and records maintenance.  Among the key findings  of the survey were a lack of standardized f i l e s classification systems, records retention schedules, and records procedures manuals which are identified in records management literature as the core elements of any records keeping system.  Based on a  response rate of 81% (116/144), i t i s concluded that among those villages, towns, districts and cities surveyed, most do not have adequate records keeping systems to effectively serve their information needs.  ii  TABLE OF CONTENTS ABSTRACT  ii  LIST OF TABLES  vi  LIST OF ILLUSTRATIONS  vii  ACKNOWLEDGEMENT  viii  Chapter 1. INTRODUCTION 1.1.  1  Background of Study  1  1.1.1.  1  S t r u c t u r e of M u n i c i p a l Government  1 . 1 . 2 . A d m i n i s t r a t i o n of M u n i c i p a l Records  1.2.  1.1.2.1. Legislation 1 . 1 . 2 . 2 . M u n i c i p a l Manual  5 7  1.1.2.3.  8  T r a i n i n g Programs  Overview of Study  10  1.2.1. 1.2.2. 1.2.3. 1.2.4.  Research Questions Rationale B a s i c Assumptions Limitations 1 . 2 . 4 . 1 . Purpose of Study 1 . 2 . 4 . 2 . Scope of Study 1 . 2 . 4 . 3 . U n i t s of A n a l y s i s  10 10 12 13 13 14 14  1.2.5.  Summary  15  2. THEORETICAL BACKGROUND 2.1.  5  17  Review of the L i t e r a t u r e  18  2 . 2 . Model of Records Keeping System  25  2 . 2 . 1 . D e s c r i p t i o n of Model 2 . 2 . 2 . E x p l a n a t i o n of Model  25 30  iii  3. RESEARCH METHODOLOGY  33  3 . 1 . Q u e s t i o n n a i r e Design and C o n s t r u c t i o n 3 . 2 . Data C o l l e c t i o n Method 3 . 3 . Data P r o c e s s i n g  4.  SURVEY RESULTS 4.1.  37  Survey P o p u l a t i o n  38  4 . 1 . 1 . Population Size 4.1.2. Services 4.1.3. Staff 4 . 1 . 4 . Summary of Survey R e s u l t s  39 41 44 49  4.1.4.1. 4.1.4.2. 4.1.4.3. 4.2.  Population Size Services Staff  49 50 51  Records Keeping A c t i v i t i e s  51  4 . 2 . 1 . Records Generation and R e c e i p t 4 . 2 . 2 . Records C l a s s i f i c a t i o n  52 54  4 . 2 . 2 . 1 . F i l i n g / A r r a n g e m e n t of Records 4 . 2 . 2 . 2 . A c c e s s / R e t r i e v a l of Records 4 . 2 . 2 . 3 . D i s p o s i t i o n of Records 4 . 2 . 3 . Records Maintenance 4 . 2 . 4 . Summary of Survey R e s u l t s 4 . 2 . 4 . 1 . Records Generation and R e c e i p t . . . . 4 . 2 . 2 . 2 . Records C l a s s i f i c a t i o n 4 . 2 . 3 . 3 . Records Maintenance 4.3.  33 35 36  54 56 58 58 60 60 61 62  Records Keeping Systems  62  4 . 2 . 1 . Records Generation and R e c e i p t 4 . 2 . 2 . Records C l a s s i f i c a t i o n 4 . 2 . 3 . Records Maintenance 4 . 2 . 4 . Summary of Survey R e s u l t s  63 65 67 70  4.2.4.1.  Records Generation and Receipt 4 . 2 . 4 . 2 . Records C l a s s i f i c a t i o n 4 . 2 . 4 . 3 . Records Maintenance  iv  70 71 71  5. CONCLUSION  73  5 . 1 . A n a l y s i s of Survey R e s u l t s 5.1.1.  73  Records Generation and R e c e i p t  74  5 . 1 . 1 . 1 . Key F i n d i n g s 5 . 1 . 1 . 2 . I m p l i c a t i o n s of Key F i n d i n g s  74 76  5 . 1 . 2 . Records C l a s s i f i c a t i o n  5.1.3.  5.1.4.  5.1.2.1.  Key F i n d i n g s  5.1.2.2.  Implications  5.3.  78 of Key F i n d i n g s  Records Maintenance Key F i n d i n g s  5.1.3.2.  Implications  81 of Key F i n d i n g s . . .  Summary of Key F i n d i n g s  Records Receipt 5 . 1 . 4 . 2 . Records 5 . 1 . 4 . 3 . Records Recommendations Based Upon 5 . 2 . 1 . Recommendations f o r Keeping Systems 5 . 2 . 2 . Recommendations f o r Research  80 81  5.1.3.1.  5.1.4.1.  5.2.  78  83 84  Generation and Classification Maintenance Survey Study M u n i c i p a l Records Future  Conclusions..  84 85 85 86 86 89 91  BIBLIOGRAPHY  93  APPENDIX  100  1. G u i d e l i n e s f o r Document R e t e n t i o n  100  2. Q u e s t i o n n a i r e and Supporting Documentation  105  3.  128  Condensed V e r s i o n of Codebook  4. A G l o s s a r y of Terms  134  v  LIST OF TABLES  Table 1. 2. 3. 4. 5. 6. 7.  8.  Page P o p u l a t i o n of V i l l a g e , Municipalities  Town, D i s t r i c t and C i t y 40  S e r v i c e s P r o v i d e d by V i l l a g e , and C i t y M u n i c i p a l i t i e s  Town,  District 42  Full-Time Staff in V i l l a g e , and C i t y M u n i c i p a l i t i e s  Town, D i s t r i c t  Part-Time Staff i n V i l l a g e , and C i t y M u n i c i p a l i t i e s  Town, D i s t r i c t  and 45 and 46  Records Keeping S t a f f i n V i l l a g e , and C i t y M u n i c i p a l i t i e s Records Generated by V i l l a g e , and C i t y M u n i c i p a l i t i e s  Town,  District 48  Town, D i s t r i c t  and 53  Records Generation and R e c e i p t : Tasks Performed by V i l l a g e , Town, D i s t r i c t and C i t y Municipalities  55  F i l i n g Systems i n V i l l a g e , City Municipalities  57  Town, D i s t r i c t  and  9. Records Maintenance: Tasks Performed by V i l l a g e Town, D i s t r i c t and C i t y M u n i c i p a l i t i e s 10.  11.  12.  59  Records Generation and R e c e i p t : Percentage of V i l l a g e , Town, D i s t r i c t and C i t y M u n i c i p a l i t i e s With Records Management Techniques  64  Records C l a s s i f i c a t i o n : Percentage of V i l l a g e , Town, D i s t r i c t and C i t y M u n i c i p a l i t i e s With Records Management Techniques  66  Records Maintenance: Percentaqe of V i l l a q e , Town, D i s t r i c t and C i t y M u n i c i p a l i t i e s With Records Management Techniques  69  vi  LIST OF ILLUSTRATIONS  Figure 1.  P  Model of A Records Keeping System  vii  a  g  26  e  ACKNOWLEDGEMENTS There  are  many  people  knowledge  in  Professor  Susan  practical  advice,  refine for  and  the  study. and  connection  with  what  this  study.  Professor  i s presented  received  the  fruition,  am  I  Clerk,  of  the  however,  e n c o u r a g e m e n t o f K e i t h , my  without  h e l p m a t e and  viii  the  time  indebted  to  whose  skills  helped  am  also grateful Officers'  participated in  District  and  Eastwood  I w i s h t o t h a n k Norman Cook,  D o n a l d West, M u n i c i p a l  to  I  Municipal  members who  were o f g r e a t a s s i s t a n c e i n numerous ways. come  their  editing  here.  from  of  Terry  i n s i g h t s and  i t s individual  In p a r t i c u l a r ,  generously  and  invaluable  assistance and  gave  Stephenson  clarify  Association,  who  the  Administrator, of Mission  who  None o f t h i s w o u l d h a v e constant  husband.  support  and  CHAPTER I INTRODUCTION With the steady growth of urban centres in modern times, there has been a gradual increase in the range of services provided by municipal governments (Bish 1987, 18). Today nearly 1  a l l citizens are affected on a day-to-day basis by local government operations, ranging from general administration to the provision of essential services.  Records are the means by which  these operations are documented, constituting an information base essential to the administration of local affairs. This study was undertaken to investigate the current state of municipal records keeping practices within the province of British Columbia.  The objectives were: (1) to assess how  villages, towns, districts and cities are managing their records; (2) to identify common problems in records administration; and (3) to make recommendations for improving municipal records keeping systems.  1.1.  Background of Study  1.1.1.  Structure of Municipal Government  Under the Constitution Act of 1982, local government in Canada i s the exclusive responsibility of the individual  Bish states: "Mandates from the province to the local governments have increased significantly since municipalities were f i r s t required, in 1896" to perform certain functions (1987, 21). For an historical account of this, see Taylor (1984). 1  provinces.  Through the p r o v i s i o n s of t h i s a c t ,  legislatures  are empowered to make laws,  and o p e r a t i o n of l o c a l government.  the  provincial  governing the f o r m a t i o n  In B r i t i s h Columbia,  the  M u n i c i p a l A c t s e t s out the b a s i c powers and r e s p o n s i b i l i t i e s l o c a l self-governance,  p r o v i d i n g the l e g a l ,  of  p o l i t i c a l , and  economic framework w i t h i n which m u n i c i p a l government must 2  operate.  Under the c u r r e n t l e g i s l a t i o n ,  classifications (1)  the f o l l o w i n g f o u r  or types of m u n i c i p a l i t i e s e x i s t :  A m u n i c i p a l i t y s h a l l be i n c o r p o r a t e d as a:  (a) v i l l a g e , i f the p o p u l a t i o n does not exceed 2,500; (b) town, i f the p o p u l a t i o n exceeds 2,500 but does not exceed 5,000; or (c) c i t y , i f the p o p u l a t i o n exceeds 5,000. (2) Notwithstanding s u b s e c t i o n (1), i f the area t o be i n c o r p o r a t e d exceeds 800 hectares and has an average p o p u l a t i o n d e n s i t y of l e s s t h a t 5 persons a h e c t a r e , the m u n i c i p a l i t y s h a l l be i n c o r p o r a t e d as a d i s t r i c t (1986, s e c . 2 0 : 9 ) . M u n i c i p a l i t i e s are governed by l o c a l l y e l e c t e d  councils,  comprised of a mayor and aldermen s e r v i n g t h r e e year terms. Under the a c t ,  the purpose of these l o c a l a u t h o r i t i e s  are  twofold: One i s t o c a r r y out the d u t i e s i m p o s e d . . . b y the p r o v i n c e which has c r e a t e d them and t o which they are u l t i m a t e l y answerable. The other i s t o c a r r y out the wishes of the i n h a b i t a n t s of the area under t h e i r j u r i s d i c t i o n w i t h i n the scope and t o the e x t e n t p e r m i t t e d by law (Crawford 1954, 3 ) . T h i s d u a l mandate i s achieved through two i n t e r r e l a t e d activities,  namely: l o c a l p o l i c y - m a k i n g and the p r o v i s i o n of  The M u n i c i p a l A c t does not r e g u l a t e , except where e x p r e s s l y p r o v i d e d , the C i t y of Vancouver. I t has i t s own c h a r t e r which i s a p r i v a t e b i l l of the l e g i s l a t u r e (Brown and O l i v e r 1976, 8 ) . 2  local services. Both of these functions, however, are subject to the conditions and regulations set forth in the act. A l l council activities are coordinated through a councilcommittee or council-chief administrative system.  These are  comprised of on-going committees and temporary special-purpose boards or commissions usually composed of one or two council members and interested citizens.  Varying in nature and purpose  by locality, these committees and boards act as advisory bodies to the council as a whole regarding specific legislative provisions and/or administrative functions such as finance, zoning, and personnel. Under the act, the variety and range of services which can be provided by municipalities is extensive.  The decision of what  services w i l l be provided are generally made by council, based upon legislated requirements, local needs and the resources of The range of services carried out by municipalities can include: airports f a c i l i t i e s , animal control, building inspection, business licensing, cemetery operations, c i v i l defence and emergency services, economic development, firearms control, f i r e protection and regulation, general administration, health regulation, house numbering, industrial parks, irrigation and flood control, marina operation and development, museum operation, noise control, nuisance control, parks planning and zoning, pest control, police protection, public library service, public transit, public works, recreation f a c i l i t i e s and programs, recycling, refuse collection and disposal, sewage treatment and disposal, sewers, sign regulation, social welfare administration, soil fill regulation and removal, storm drainage, street lighting, subdivision and housing development, tax collection, telephone service, television rebroadcasting, untidy and unsightly premises control, urban renewal, water supply and distribution, wharf operation, and weed control (British Columbia Ministry of Municipal Affairs 1986b, 3; Bish 1987, 19).  3  the m u n i c i p a l i t y , w h i l e the task of c a r r y i n g them out are r e s p o n s i b i l i t y of o f f i c e r s  the  and employees.  The number and type of s t a f f  employed v a r i e s ,  depending upon  both the s i z e of the m u n i c i p a l i t y and the range of s e r v i c e s provided.  Under the a c t ,  however,  whom the c o u n c i l must a p p o i n t , treasurer,  tax c o l l e c t o r ,  t h e r e are c e r t a i n  namely,  and a u d i t o r .  the p o s i t i o n s  officers of  clerk,  There are p r o v i s i o n s  the a c t which permit one i n d i v i d u a l to h o l d s e v e r a l o f f i c e s as c l e r k / t r e a s u r e r or t r e a s u r e r / t a x Revenue f o r m u n i c i p a l o p e r a t i o n s of s o u r c e s ,  (e.g.,  provincial  p r o v i n c i a l grants, user  Property t a x e s , however,  source of revenue f o r m u n i c i p a l i t i e s ,  such  i s d e r i v e d from a v a r i e t y  business taxes and m i s c e l l a n e o u s  garbage p i c k - u p ) .  in  collector.  i n c l u d i n g : property taxation,  license fees,  being  charges are the main  followed by g r a n t s from the  government.  Municipalities,  along with u n i n c o r p o r a t e d t e r r i t o r i e s ,  form p a r t of a r e g i o n a l system of l o c a l s e l f - g o v e r n a n c e . system was e s t a b l i s h e d  also  This  i n 1965 by the p r o v i n c i a l government  in  order "to p r o v i d e a federated approach t o l o c a l c o n t r o l over problems t r a n s c e n d i n g m u n i c i p a l boundaries i n e i t h e r  a  m e t r o p o l i t a n area or i n a nonmetropolitan area" (Higgins 219) .  The governing body i s a board comprised of  municipal o f f i c i a l s ,  c a l l e d municipal d i r e c t o r s ,  elected who are  appointed by t h e i r m u n i c i p a l c o u n c i l , and independent e l e c t e d members,  called electoral  area d i r e c t o r s .  1986,  locally  Although the  s t r u c t u r e of these D i s t r i c t s i s c u r r e n t l y under review by the 4  p r o v i n c i a l government,  a t present  " f u n c t i o n s . . . p e r f o r m e d by a  m u n i c i p a l i t y may be e x e r c i s e d by a R e g i o n a l D i s t r i c t i n a l l or some of i t s  member m u n i c i p a l i t i e s which i n c l u d e s the  electoral  areas" s u b j e c t t o a p p r o v a l by the p r o v i n c i a l government 1986,  (Higgins  219). At the time of the present survey,  t h e r e were one hundred  and f o r t y - f i v e m u n i c i p a l i t i e s w i t h i n B r i t i s h Columbia, of f o r t y - s i x v i l l a g e s , thirty-eight cities.  t h i r t e e n towns,  forty-eight  comprised  districts,  and  Although t h e r e i s wide v a r i a t i o n i n s i z e ,  most m u n i c i p a l i t i e s have s m a l l p o p u l a t i o n s of l e s s than 5,000. Supported by o n l y a s m a l l t a x - b a s e ,  the a d m i n i s t r a t i v e d u t i e s  these s m a l l m u n i c i p a l i t i e s are o f t e n the r e s p o n s i b i l i t y of one person "without the advantage, area  which i s present  [ m u n i c i p a l i t y ] , of a s p e c i a l i s t  1976,  17).  Bish,  staff"  only  in a larger  (Brown and O l i v e r  author of L o c a l Government i n B r i t i s h  summarizes the g e n e r a l nature of m u n i c i p a l government as  Columbia, follows:  L o c a l g o v e r n m e n t [ s ] . . . a r e d i v e r s e not o n l y i n k i n d , but a l s o i n geographic scope. The c o n d i t i o n s , l i f e s t y l e s and p r e f e r e n c e s of c i t i z e n s across a l a r g e p r o v i n c e encompassing v a r i o u s c l i m a t i c zones and s p e c i a l i z e d r e s o u r c e bases, from r u r a l f i s h i n g v i l l a g e s , t o farm towns and m e t r o p o l i t a n c e n t r e s , adds d i v e r s i t y and c o m p l e x i t y t o the demands p l a c e d on l o c a l governments as they f u l f i l t h e i r d u a l r o l e s as a d m i n i s t r a t i v e e x t e n s i o n s of the p r o v i n c i a l government and as s e l f governments responding to the demands of t h e i r electors. The net r e s u l t i s a complex system of many l o c a l governments i n t e r a c t i n g w i t h one another and w i t h p r o v i n c i a l m i n i s t r i e s (1987, 7 - 8 ) . 1.1.2. 1.1.2.1.  A d m i n i s t r a t i o n of M u n i c i p a l Records Legislation  Under the M u n i c i p a l A c t , r e c o r d s generated through the 5  of  legislative  and a d m i n i s t r a t i v e a c t i v i t i e s  of the c o u n c i l and a l l  a d v i s o r y bodies are the d i r e c t r e s p o n s i b i l i t y of the m u n i c i p a l clerk.  S e c t i o n 244 of the a c t i d e n t i f i e s  guidelines  and p r o v i d e s g e n e r a l  f o r the c l e r k r e g a r d i n g the management,  and use of these r e c o r d s as  preservation,  follows:  The c o u n c i l s h a l l appoint a c l e r k , who, i n a d d i t i o n t o the d u t i e s and powers p r e s c r i b e d by c o u n c i l . . . (b) i s r e s p o n s i b l e f o r the p r e p a r a t i o n and s a f e p r e s e r v a t i o n of the minute books and other r e c o r d s of the b u s i n e s s of c o u n c i l and i t s committees; (c) has custody of a l l by-laws, and i s r e s p o n s i b l e f o r t h e i r proper completion and f o r the p r e s e r v a t i o n and safekeeping of the o r i g i n a l by-laws; (d) s h a l l keep on hand a t l e a s t one c e r t i f i e d copy of each bylaw, and s h a l l make the copy a v a i l a b l e f o r p e r u s a l by any person d u r i n g r e g u l a r o f f i c e h o u r s ; (e) s h a l l cause to be f u r n i s h e d c o p i e s of bylaws and of c o u n c i l minutes other than minutes of a s p e c i a l meeting from which persons have been excluded under s e c t i o n 220 f o r reasons of p u b l i c i n t e r e s t , and may charge a fee of not more than 25c a page f o r each copy to an a p p l i c a n t f o r a copy, not exceeding $5 a c o p y . . . ( 1 9 8 6 , 60). The a c t i m p l i c i t l y leaves the a d m i n i s t r a t i o n of r e c o r d s c r e a t e d by m u n i c i p a l o f f i c e r s Under S e c t i o n 251,  the c o u n c i l i s a u t h o r i z e d t o d e f i n e and a s s i g n  by bylaw the powers, officers  and departments up t o the c o u n c i l .  duties,  and r e s p o n s i b i l i t i e s  of "municipal  and employees" as "deemed necessary t o c a r r y on the good  government of the m u n i c i p a l i t y and the p r o v i s i o n s of the (1986,  act"  62).  The Document D i s p o s a l Act o u t l i n e s the  statutory  requirements f o r the r e t e n t i o n of p u b l i c documents w i t h i n B r i t i s h Columbia.  It defines  the a u t h o r i t i e s and p r e s c r i b e s 6  their  responsibilities for handling both the destruction and preservation of government records.  However, this legislation  only applies to the ministries and institutions of the provincial 4  government. 1.1.2.2. Municipal Manual Prior to 1986, there was "no digest or information booklet" on "municipal record keeping procedures" to assist municipal officers and employees responsible for the management of records (Moore 1980, n.p.).  In that year, the Ministry of Municipal  Affairs issued a five page supplement to the Municipal Manual 5  entitled "Document Retention." supplement states:  The introduction to the  The information i s presented only as general guideline for municipalities and regional districts to assist in developing a records and documentation policy. There are no provisions in the Municipal Act which relate to this subject (1986, 6:1). The supplement introduces some components characteristic of a records management program, namely, records retention schedules and micrographics.  General record types are briefly described in  terms of their administrative, legal, f i s c a l , and potential  Although municipalities archives, this s t i l l requires sec.4:2).  section 4 of the Document Disposal Act enables to preserve their records in the provincial provision i s only an option which, i f acted upon, the approval of the Provincial Archivist (1979,  5  .  .  Section 6, "Document Retention," of the Municipal Manual i s reprinted in appendix 1 with the permission of the Ministry of Municipal Affairs. 7  historical values. This is augmented by recommendations on how long these records should be retained as well as the method of disposal.  Suggestions are put forth for planning and developing  an "on-going document disposal program" using the provisions contained within the Document Disposal Act as a guide.  In  addition, the application and use of microfilming, including legislated requirements,  is discussed as an alternative way of  maintaining permanent records.  1.1.2.3. Training Programs Although municipal administration i s a recognized f i e l d of study at a number of post-secondary institutions in British Columbia, including Malaspina College, the British Columbia Institute of Technology, and the University of Victoria, only the Municipal Administration Training Institute at Camosun College offers instruction on records administration.  Established in the  1980's by the Municipal Officers Association, the institute offers a week long program annually on the basic responsibilities of local government administrators.  Included in this program i s  a two and a half hour session that introduces basic management concepts, principles and techniques on records administration. The program addresses the need, including the rationale, for the "systematic management and control of records from their receipt or creation...until eventual disposal...or placement in archival retention" (Municipal Officers Association 1987, MATI 605:3).  However, restricted by time, the curriculum 8  does not  provide sufficient information on how to develop and implement such a comprehensive system. This brief overview reveals a number inadequacies in the present structure for the administration of municipal records within British Columbia.  These may be summarized as follows.  i) Municipalities lack sufficient leqislative authority to develop and establish an effective records keeping system.  There are no provisions in the Municipal Act  or Document Disposal Act which actually prescribe the conditions and procedures under which municipalities must manage their records. i i ) Existing guidelines in the Municipal Manual provide inadequate information to assist municipalities in the development of a comprehensive records keeping system. There i s no information on techniques such as f i l e s classification systems, records retention schedules and records procedures manuals which are identified as the "core elements" of an effective system for managing records throughout their lifespan (Dojka and Conneen 1984,  27).  i i i ) Training in records administration for municipal o f f i c i a l s i s underdeveloped. Current curricula being offered by post-secondary institutions on municipal administration either do not include courses in records management or provide only limited instruction.  9  1.2.  Overview of Study  1.2.1.  Research Questions  Based upon a review of literature on the theory and practice of records management, a conceptual model was developed to define and operationalize the components of a records keeping system. From this model, the following research questions were developed to focus and guide the collection, organization and analysis of data on municipal records keeping practices: (i) How i s the generation and receipt of records being managed? (ii) How i s the classification of records being administered?  and ( i i i ) How i s  the maintenance of records being handled?  1.2.2.  Rationale  In the introduction of his book Local Government Records: An Introduction to Their Management. Preservation and Use. Jones comments that "...except for a few specialized studies relating to local records in particular communities, literature on the subject i s virtually nonexistent" (1980a, 3).  Although his  statement was made a decade ago in reference to the United States, the literature reviewed for this study indicates that in general the situation i s l i t t l e changed today.  For in spite of  what Jones describes as "the continuing significance of local records," there are limited resources available, particularly  10  with regards to Canada, to guide research (1980a, 3-4). Therefore, the present study was undertaken to acquire knowledge that can be applied to: (1) develop municipal records administration as an area of study; and (2) assist the development of systems for managing municipal records. From a methodological perspective, the research design of this study offers background and technical knowledge which can f a c i l i t a t e future research in this f i e l d of study.  The social  science research techniques which were used allowed for the systematic collection, organization, and interpretation of empirical data.  This particular approach enables others to  replicate, extend or modify ideas acquired through research (Adams and Schvaneveldt 1985; Babbie 1979).  The methodology of  this study can potentially support the development of theory on municipal records administration that, in turn, could be applied to the general management of records. In addition, this study serves to assist in the development of systems for managing municipal records.  In recent years, due  to the rising volume of documentation and growing demand for information essential to their operations, an increasing number of municipalities in British Columbia have been seeking ways to  For example, information about the administration of local government records within British Columbia i s extremely limited. The only research studies found on this topic were the Vancouver Island Project (Artibise et al 1982-83, 1983; Baskerville and Gaffield 1983-84) and an unpublished report on the state of archives in British Columbia (DeLozier 1985). In both cases, however, the data collected only pertained to archival materials being managed by municipalities. 11  gain systematic control of their records.  In 1987, the Municipal  Officers' Association of British Columbia with the support of the Ministry of Municipal Affairs and the Union of British Columbia Municipalities established a Records Management Review Committee to assess the need for improving records management practices amongst municipalities throughout the province.  Since then, the  committee has been given the mandate "to encourage the development and enhancement of records management, information management and archives programs in British Columbia's local government"  as well as "to promote education and training for  local governments in the fields of records and information management and archives" (Municipal Officers' Association of British Columbia 1989, n.p.).  The present study can support this  effort and potentially serve as a basis to stimulate concerted action to establish sound records keeping systems for municipalities.  1.2.3.  Basic Assumptions  Underlying the presentation and interpretation of the data collected through the survey are two basic, interrelated assumptions. managing.  First, i t i s presupposed that records require  Created and accumulated to serve information needs,  records are important resources within an organization which are essential to the administrative and operational activities of an organization. The second assumption, directly related to f i r s t one, i s 12  that synonymous with records management i s the concept of control.  Serving as the means through which documentary  information i s disseminated, used and retained, records, regardless of medium, need to be systematically managed from the moment of their creation or receipt onward in order to ensure their optimum use, accessibility, and protection.  1.2.4.  Limitations  Research in any f i e l d requires a plan or strategy for data collection and interpretation.  Referred to in social science  literature as research design, i t defines the parameters for understanding and evaluating the findings of a study.  As with  most strategies for conducting scientific inquiry, the research design of this study has limitations directly related to i t s purpose, scope and units of analysis. These limitations, including their implications, are explained as follows. 1.2.4.1. Purpose of Study Literature on the subject of municipal records keeping i s virtually nonexistent. The main or underlying purpose of this study, therefore, was to gather information and build knowledge on a relatively unstudied topic.  In social science literature,  studies that are conducted for this expressed purpose are referred to as exploratory (Adams and Schvaneveldt 1985; Babbie 1979).  According to Babbie, a recognized leader in the f i e l d of  social science research, exploratory studies are "...essential 13  whenever a researcher i s breaking new ground, and they can almost always yield new insights into a topic for research" (1979, 86). As for other research designs, exploratory research provides a basic strategy on how to conduct a study.  With this  particular type of research, however, data interpretation i s limited to describing the patterns and relationships found between variables studied.  In terms of the present study, this  means that the results of the survey cannot explain or account for the current state of municipal records keeping systems in British Columbia.  1.2.4.2  Scope of Study  Because i t i s designed to focus on the current status of municipal records keeping systems in British Columbia, this study constitutes a form of cross-sectional research.  The versatility  of this particular approach permits analysis of a large population in relation to multiple variables (Adams and Schvaneveldt 1985, 115)).  With cross-sectional studies, however,  data collection i s restricted to a specific period in time. Therefore, the survey findings only represent the state of municipal records keeping systems at the time of the actual survey.  1.2.4.3. Units of Analysis Given i t s exploratory nature, the research was aimed at finding out the range of patterns and possible relationships 14  between variables relevant to the subject of inquiry.  In order  to include a wide variety of respondents, data was collected from a nonprobability or nonrandom sample of the entire population. Although a nonprobability sample is considered useful for exploratory research, i t has a number of limitations (Adams and Schvaneveldt 1985; Babbie 1979; de Vaus 1986).  Reflecting ideas  expressed by others, Adams and Schvaneveldt state: with....nonprobability samples i t would not be possible to indicate the probability that a given element would be in the sample. Nor would one be able to t e l l i f each element had the same chance of being selected. Since these dimensions are not known, i t makes i t d i f f i c u l t , i f not possible, to make certain inferences about the population based on the sample or to describe a sample with a high degree of assurance that the description w i l l hold for the entire population (1985, 182). Based upon this, the findings of the study can only represent or describe the population from which they were drawn.  1.2.5.  Summary  This f i r s t chapter has provided the context for understanding the study that was undertaken.  In chapter 2 the  theoretical rationale for the study is presented.  Literature in  records management and archival science that was found relevant to the research purposes of the study is reviewed.  This i s  followed by the presentation of a conceptual model of a records keeping system which was developed to operationalize the variables studied. In chapter 3 the research methodology that was employed to acquire, organize and analyze data is explained. Concepts and 15  terminology considered important to understanding this chapter are defined in a glossary found in appendix 4.  A description of  the instrument developed for data collection i s provided along with an explanation of how the data, once collected, was prepared for computer analysis.  The instrument along with supporting  documentation are reproduced in appendix 2 while a condensed version of the codebook developed for processing data i s in appendix 3. Chapter 4 presents the results of the survey, derived from the information collected.  Quantitative data i s presented  primarily in the form of tables, describing similarities and differences found among villages, towns, districts and c i t i e s with regards to population size, services, staff and records administration. In chapter 5, the significant findings of the study, including their implications, are summarized.  This includes a  section in which suggestions are put forth, based upon insights gained through the study, for improving municipal records keeping systems and conducting future research in this f i e l d .  16  CHAPTER TWO THEORETICAL BACKGROUND The concept of records management, i f not the formal practice of i t , was formally introduced in the United States during the 1940's.  Since then, as American archivist Frank  Evans' essay on the history of i t s development states, "records management has evolved rapidly into a specialized phase of general management dealing with the origin, use and control of records" (1967, 32).  Australian archivist Ian Maclean maintains:  As late as the beginning of the twentieth century, records were kept in a relatively simple arrangement which more or less reflected the natural order of their creation or receipt or issue. It was generally accepted that they were kept as evidence of the fact or creation, receipt or issue and as evidence of the views and information passed. Nowadays, however, i t i s generally accepted...that the arrangement of records i s planned with the purpose of making them available for use. In other words there has been a change in emphasis from "evidential status" to "use" as the raison d'etre for records, and from "natural order" to "planned arrangement" as the basis for keeping - in fact a change from "record keeping" to "records management" (1959, 400). Since the 1940's, certain basic concepts about records management have been developed.  By analyzing the theory and  practice governing the administration of records, this study has developed a conceptual model of records keeping activities in order to c l a r i f y and operationalize the variables relevant to the research purposes of the study.  1  This chapter w i l l provide a  For purposes of this study, Stogdill's definition of a model, i.e., "...a set of defined concepts and a set of statements about the relationships between the concepts...," has been adopted (1970, 10) . 17  d e s c r i p t i o n and e x p l a n a t i o n of the s t r u c t u r a l and o p e r a t i o n a l characteristics  of t h i s model, i n c l u d i n g : (1)  u n d e r l y i n g assumptions based; and  (2)  the t h e o r i e s  or  and p r i n c i p l e s upon which the model  is  the meaning and r e l a t i o n s h i p s between the  concepts or v a r i a b l e s i n the model. The chapter begins with a review of the l i t e r a t u r e t h a t was found r e l e v a n t t o the t o p i c being i n v e s t i g a t e d , p r e s e n t a t i o n of the model developed f o r t h i s  f o l l o w e d by the  study.  a r c h i v a l s c i e n c e and r e c o r d s management l i t e r a t u r e ,  Rooted i n the  p r o v i d e s an overview of the t h e o r e t i c a l and t e c h n i c a l  review  knowledge  used t o c o n s t r u c t the model.  2.1.  Review of the Over the p a s t f o r t y y e a r s ,  Literature  an e x t e n s i v e body of  literature  on the p r i n c i p l e s and p r a c t i c e s of managing r e c o r d s has developed by i n d i v i d u a l s i n the f i e l d s archival science. techniques, records,  In t h e i r d i s c u s s i o n s  been  of r e c o r d s management and of the b a s i c  concepts,  and i s s u e s p e r t a i n i n g t o the a d m i n i s t r a t i o n of  contributors to t h i s  such q u e s t i o n s  l i t e r a t u r e have sought t o  as what i s r e c o r d s management,  how s h o u l d a system  f o r managing r e c o r d s be o r g a n i z e d , what are the d u t i e s responsibilities  of r e c o r d s s t a f f ,  answer  what i s the  and  relationship  between r e c o r d s management and a r c h i v e s a d m i n i s t r a t i o n ? Answers t o q u e s t i o n s  such as these tend t o be obscured by  inadequate standard terminology and i n s u f f i c i e n t scientific  techniques  i n s t u d i e s conducted. 18  a p p l i c a t i o n of  Nevertheless,  through the process questions,  c o n t r i b u t o r s have developed and e s t a b l i s h e d  theoretical of r e c o r d s  of f o r m u l a t i n g and seeking answers t o  these  a base of  and p r a c t i c a l knowledge to guide and d i r e c t the  study  management.  The b a s i c concept of r e c o r d s management i s the l i f e  cycle  t h e o r y which i s based on the premise t h a t r e c o r d s pass through a s e r i e s or continuum of i d e n t i f i a b l e  stages or phases from the  moment of t h e i r c r e a t i o n to t h e i r f i n a l d i s p o s i t i o n e i t h e r by d e s t r u c t i o n or permanent r e t e n t i o n . In the f i e l d s  of r e c o r d s management and a r c h i v a l s c i e n c e ,  t h e r e appear t o be two t h e o r e t i c a l p e r s p e c t i v e s of a r e c o r d . i n the l i f e  The f i r s t p e r s p e c t i v e  on the l i f e  cycle  d e f i n e s the stages or phases  c y c l e of a r e c o r d p r i m a r i l y i n terms of the  frequency  of t h e i r use by the a d m i n i s t r a t i o n t h a t c r e a t e d or r e c e i v e d them (Diamond 1983;  Dokja and Conneen 1984;  S t a t e E d u c a t i o n Department 1985; From t h i s p e r s p e c t i v e ,  MacDonald 1982;  New York  Smith 1986).  the f i r s t stage i s r e c o r d s c r e a t i o n .  T h i s i s when " i n f o r m a t i o n i s r e c e i v e d or generated and r e c o r d e d f o r the f i r s t t i m e ,  bringing records into existence"  S t a t e E d u c a t i o n Department 1985,  41).  The next stage  (New York is  g e n e r a l l y known as the p e r i o d of a c t i v e use which can "range from a few days t o s e v e r a l years" stage,  (Diamond 1983,  1).  During  r e c o r d s are r e f e r r e d t o more than once per month per  l i n e a r foot  or f i l e  drawer by the c r e a t i n g agency  (British  Columbia Records Management Branch 1986; Maedke et a l This is  this  f o l l o w e d by a t h i r d stage c a l l e d i n a c t i v e use. 19  1981). Although  r e c o r d s a t t h i s stage are s t i l l r e q u i r e d by the c r e a t i n g agency, they are r e f e r r e d t o l e s s than once per month per f i l e drawer (New York S t a t e E d u c a t i o n Department 1985).  The l a s t stage  the d e s t r u c t i o n or permanent r e t e n t i o n of r e c o r d s . A t t h i s  is stage,  r e c o r d s which are no longer u s e f u l t o the c r e a t i n g agency are d e s t r o y e d w h i l e those w i t h c o n t i n u i n g or enduring v a l u e are preserved. Branch)  One source  identifies  ( B r i t i s h Columbia Records Management  those s e l e c t e d  f o r permanent r e t e n t i o n as  i n a c t i v e r e c o r d s i n which "there i s one r e f e r e n c e per year or l e s s per 5 l i n e a r metres" by the c r e a t i n g agency  (1986,  n.p.).  An i n t e g r a l p a r t of t h i s p a r t i c u l a r p e r s p e c t i v e ,  however,  is  that  2  not a l l r e c o r d s pass through these s t a g e s . In c o n t r a s t ,  proponents of the second t h e o r e t i c a l  p e r s p e c t i v e d e f i n e the stages or phases of a r e c o r d ' s l i f e strictly  cycle  i n terms of the f u n c t i o n s or s e r v i c e s performed by s t a f f  t o serve i n f o r m a t i o n needs.  For example, Rhoads suggests t h e r e  are "four major headings or phases r e p r e s e n t i n g the t o t a l  life  c y c l e of r e c o r d s " : The r e c o r d s c r e a t i o n phase i n c l u d e the elements of forms d e s i g n and management, the p r e p a r a t i o n and management of correspondence, the management of r e p o r t s and d i r e c t i v e s , the development of management i n f o r m a t i o n systems, and the a p p l i c a t i o n of modern technology t o these p r o c e s s e s . Records use and maintenance i s a phase encompassing the development of f i l i n g and r e t r i e v a l systems, f i l e s management, m a i l and telecommunications For example, Diamond s t a t e s : "Some r e c o r d s may have no i n a c t i v e p e r i o d , w h i l e o t h e r s may remain i n t h i s stage f o r s e v e r a l y e a r s or even * permanently' (that i s , f o r the l i f e of the o r g a n i z a t i o n ) " (1983, 2 ) . 20  management, the s e l e c t i o n and management of o f f i c e c o p y i n g machines, systems a n a l y s i s , the development and maintenance of v i t a l r e c o r d s programmes, the o p e r a t i o n of r e c o r d s c e n t r e s , and the a p p l i c a t i o n , as a p p r o p r i a t e , of automation and reprography t o these p r o c e s s e s . The r e c o r d s d i s p o s i t i o n phase i n c l u d e s the i d e n t i f i c a t i o n and d e s c r i p t i o n of r e c o r d s s e r i e s , the development of r e t e n t i o n and d i s p o s i t i o n s c h e d u l e s , r e c o r d s a p p r a i s a l , r e c o r d s d i s p o s a l and the t r a n s f e r of permanently v a l u a b l e r e c o r d s t o the archives. A r c h i v e s a d m i n i s t r a t i o n encompasses the d e s i g n and e q u i p p i n g of a r c h i v a l r e p o s i t o r i e s , methods and p r o c e s s e s f o r the r e p a i r and c o n s e r v a t i o n of a r c h i v e s , the development of access p o l i c i e s , r e f e r e n c e s e r v i c e procedures, and the d i s s e m i n a t i o n of a r c h i v e s and a r c h i v a l i n f o r m a t i o n . A number of these elements are i n c r e a s i n g l y dependent on the use of computers and m i c r o g r a p h i c s (1983, 2 ) . From t h i s p e r s p e c t i v e ,  therefore,  the stages r e p r e s e n t  the  b a s i c or fundamental t a s k s i n v o l v e d i n the care and management of r e c o r d s . During the p a s t f o r t y y e a r s , models of the l i f e  cycle  concept have been developed by proponents of both t h e o r e t i c a l perspectives.  Although the s t r u c t u r a l and o p e r a t i o n a l  c h a r a c t e r i s t i c s of these models v a r y , they serve as a f o u n d a t i o n f o r the b a s i c concepts and techniques r e c o r d s management.  3  of modern  Rhoads, r e f l e c t i n g ideas espoused by  An example of how the s t r u c t u r a l and o p e r a t i o n a l c h a r a c t e r i s t i c s of these models v a r y i s p r o v i d e d by comparing Couture and Rousseau w i t h A t h e r t o n . Couture and Rousseau m a i n t a i n t h a t a "document's complete l i f e c y c l e " i s comprised of the f o l l o w i n g stages which r e f l e c t P e r o t i n ' s n o t i o n of " s u c c e s s i v e stages": analysis, conception, composition, printing and reproduction, storage, d i s t r i b u t i o n , r e c e i p t , u t i l i z a t i o n , f i l i n g , r e t r i e v a l , and d e s t r u c t i o n or permanent r e t e n t i o n (1986, 51). A t h e r t o n , on the other hand, proposes a " u n i f i e d m o d e l . . . r e f l e c t i n g 21  Atherton  (1985-86), C h a t f i e l d (1940), Couture and Rousseau  (1986), De Puy (1960), Diamond (1983), Dojka and Conneen (1984), G a r r i s o n  (1960), Penn (1981), and P e r o t i n (1966)  maintains: A comprehensive r e c o r d s management system w i l l be concerned w i t h e v e r y t h i n g t h a t happens t o the r e c o r d s of an o r g a n i z a t i o n throughout t h e i r e n t i r e " l i f e c y c l e , " t h a t i s , from t h e i r " b i r t h " through t h e i r a c t i v e and p r o d u c t i v e l i f e as means of a c c o m p l i s h i n g the o r g a n i z a t i o n ' s f u n c t i o n s , to t h e i r "death" or d e s t r u c t i o n when a l l u s e f u l purposes have been served, or t h e i r " r e i n c a r n a t i o n " as a r c h i v e s i f they have v a l u e s w a r r a n t i n g permanent p r e s e r v a t i o n (1983, 24). Published a r t i c l e s ,  r e p o r t s , guides and books  reviewed  on r e c o r d s management p r o v i d e d e t a i l e d d e s c r i p t i o n s and explanations directing,  f o r "planning, organizing, c o o r d i n a t i n g ,  c o n t r o l l i n g , and s u p e r v i s i n g a l l types of  r e c o r d s . . . f r o m t h e i r c r e a t i o n to f i n a l d i s p o s i t i o n " et a l 1972,  212).  Although i t  (Fugita  i s sometimes made d i f f i c u l t by  the l a c k of adequate standard t e r m i n o l o g y ,  analysis  of  l i t e r a t u r e suggests t h e r e i s g e n e r a l agreement on the functions  this basic  and scope of a system or programme f o r managing  r e c o r d s throughout t h e i r l i f e  cycle.  C e n t r a l t o the s t r u c t u r e of a r e c o r d s management  system  are the i n t e r r e l a t e d f u n c t i o n s of s e r v i c e and c o n t r o l (Atherton 1985-86; Charman 1969;  C h a t f i e l d 1940,  Dojka and  the p a t t e r n of a continuum r a t h e r than a c y c l e " c o n s i s t i n g of f o u r stages: " c r e a t i o n or r e c e i p t of records", "classification", " s c h e d u l i n g of the i n f o r m a t i o n " and "maintenance and use" (198586, 48). 22  Conneen 1984; Maedke et a l 1981).  Service  functions  encompass the b a s i c a c t i v i t i e s performed by r e c o r d s  staff,  r e g a r d l e s s of the s i z e and complexity of an o r g a n i z a t i o n ' s operations,  to f a c i l i t a t e  "effective  management of r e c o r d e d  i n f o r m a t i o n through a l l s t a g e s . . . from c r e a t i o n t o d i s p o s a l " (Atherton 1985-86, 51). functions f a l l activity:  (1)  A n a l y s i s of these suggests  into three basic categories  or f i e l d s  c r e a t i o n and accumulation; (2)  arrangement; and (3)  service of  o r g a n i z a t i o n and  maintenance and use.  I n t e r r e l a t e d w i t h these s e r v i c e f u n c t i o n s ,  is  the  concept of c o n t r o l , the second f u n c t i o n of a r e c o r d s management system.  Maedke et a l m a i n t a i n :  Records are c r e a t e d i n a v a r i e t y of types of documentation and i n a v a r i e t y of media. They are then d i s t r i b u t e d t o those f o r whom they were created. A f t e r the r e c i p i e n t s take a p p r o p r i a t e a c t i o n , the r e c o r d s are maintained i n d i f f e r e n t types of equipment i n v a r i o u s arrangements f o r v a r y i n g p e r i o d s of time. At each stage of a c t i v i t y some k i n d of c o n t r o l i s mandatory (1981, 5 ) . The f u n c t i o n of c o n t r o l i s performed through implementation of v a r i o u s "records-management t e c h n i q u e s ,  11  generally  r e f e r r e d t o i n the l i t e r a t u r e as components or  elements,  which have been developed t o f a c i l i t a t e s p e c i f i c functions  (Djoka and Conneen 1984,  20).  4  service  Djoka and Conneen  Records management techniques developed include the following: correspondence management, directives management, r e p o r t s management, forms management, m a i l management, copy r e p r o d u c t i o n management, f i l e s c l a s s i f i c a t i o n system, i n f o r m a t i o n retrieval system, records retention schedule, active files management, i n a c t i v e f i l e s management, v i t a l r e c o r d s p r o t e c t i o n program, m i c r o g r a p h i c s management, a r c h i v e s a d m i n i s t r a t i o n , and r e c o r d s manual management (Couture and Rousseau 1986; Diamond 1983; 23  (1984), G a r r i s o n example,  (1960), and Maedke et a l  (1981),  for  s t a t e t h a t the c r e a t i o n , r e c e i p t and d i s t r i b u t i o n of  r e c o r d s can be c o n t r o l l e d through implementing v a r i o u s combinations of the f o l l o w i n g components o r correspondence management, management,  elements:  d i r e c t i v e s management,  forms management, m a i l management,  reports  and copy  r e p r o d u c t i o n management. In the l i t e r a t u r e reviewed,  it  i s g e n e r a l l y agreed t h a t  these components or elements determine the scope of a r e c o r d s management system.  Conneen and Dojka,  supported by o t h e r s  i n c l u d i n g Couture and Rousseau (1986) and Maedke (1981), s t a t e t h a t the concept of a p p l y i n g records-management techniques t o c o n t r o l r e c o r d s throughout t h e i r l i f e c y c l e  is  " e m p h a t i c a l l y not an a l l - o r - n o t h i n g p r o p o s i t i o n . . . . There are choices  t o be m a d e . . . " based upon the a v a i l a b i l i t y of  resources,  the s i z e of o p e r a t i o n s and the needs of management  (1984, 20-21).  In other words, the c o n t r o l f u n c t i o n of a  r e c o r d s management system i s t a i l o r e d t o s u i t the nature and e x t e n t of an o r g a n i z a t i o n ' s  operations.  The l i t e r a t u r e a l s o i n d i c a t e s ,  however,  t h a t t h e r e are a  number of r e c o r d s management techniques which should be the core elements of any r e c o r d s keeping system Rousseau 1986;  Dojka and Conneen 1984).  Dojka and Conneen 1984; Rhoads 198 3 ) .  Garrison  24  1960;  (Couture and  Generally, i t  is  Maedke et  1981;  al  and  agreed t h a t t h e s e core elements should be: a classification  system,  files  a records r e t e n t i o n schedule  r e c o r d s procedures manual.  Combined, i t  and a  i s suggested t h e s e  p r o v i d e a f o u n d a t i o n f o r e s t a b l i s h i n g and m o n i t o r i n g an e f f e c t i v e r e c o r d s keeping  2.2.  system.  Model of Records Keeping System Stogdill,  literature,  supported by s o c i a l s c i e n c e r e s e a r c h  s t a t e s t h a t "a set  of r e a l events" cannot be  understood u n t i l we have a c q u i r e d "a model or t h e o r y adequately accounts characteristics  that  f o r the s t r u c t u r a l and o p e r a t i o n a l  of the system being observed"  Based upon the t h e o r i e s  (1970  4,  9).  and p r a c t i c e s reviewed on the  management of r e c o r d s , a conceptual model of a r e c o r d s keeping system was  2.2.1.  developed.  D e s c r i p t i o n of Model  I l l u s t r a t e d i n F i g u r e 1 i s the model of a r e c o r d s keeping system developed f o r t h i s study. r e f e r s t o the t h r e e g e n e r a l f i e l d s managing r e c o r d s , (1)  Records keeping  of a c t i v i t y i n t e g r a l  namely:  r e c o r d s g e n e r a t i o n or r e c e i p t means  the  c r e a t i o n or r e c e i p t and d i s t r i b u t i o n of i n f o r m a t i o n i n the form of r e c o r d s ; (2)  records c l a s s i f i c a t i o n  means the assignment  r e c o r d s or t h e i r i n f o r m a t i o n i n t o c a t e g o r i e s or 25  of  to  RECORDS KEEPING SYSTEM  Generation & Receipt  Classification  Correspondence • Management  Files Classification System  Directives Management  Records R e t e n t i o n Schedule  Forms Management  Information Retrieval System  Maintenance  A c t i v e Records Management  Semi-Active Records Management Inactive Records Management  Reports Management  V i t a l Records Management  Reproduction Management  Micrographics Management  Mail Management  Manual Management  FIGURE l . Model o f a Records Keeping System.  26  groups f o r purposes of i d e n t i f i c a t i o n ,  arrangement,  access,  or r e t e n t i o n and d i s p o s i t i o n ; and (3) r e c o r d s maintenance means the p h y s i c a l c a r e and management of a c t i v e , records,  semi-active  and i n a c t i v e  i n c l u d i n g those t h a t are v i t a l a n d / o r of  enduring v a l u e . In the model, system r e f e r s to the program f o r c o n t r o l l i n g or m o n i t o r i n g records g e n e r a t i o n or r e c e i p t , classification,  and maintenance,  comprised of a combination  of the f o l l o w i n g r e c o r d s management techniques  or  components.  Correspondence Management S t a n d a r d i z e d p r a c t i c e s f o r the composition and p r o d u c t i o n of a w r i t t e n or p r i n t e d communication i n the form of a l e t t e r  or memorandum.  D i r e c t i v e Management S t a n d a r d i z e d p r a c t i c e s f o r the p r e p a r a t i o n , issuance  and d i s t r i b u t i o n of w r i t t e n or p r i n t e d  instructions prescribing policies be f o l l o w e d i n c a r r y i n g out  and procedures  to  responsibilities.  Reports Management S t a n d a r d i z e d p r a c t i c e s f o r the c r e a t i o n ,  issuance  and d i s t r i b u t i o n of accounts of o p e r a t i o n s or o t h e r a d m i n i s t r a t i v e i n f o r m a t i o n recorded i n n a r r a t i v e , statistical,  g r a p h i c or other form f o r use  forming d e c i s i o n ,  d i r e c t i n g operations  e v a l u a t i n g performance. 27  or  in  Forms Management Standardized p r a c t i c e s  f o r the d e s i g n ,  distribution  and r e v i s i o n of a p r i n t e d r e c o r d w i t h blank spaces f o r the e n t r y of v a r i a b l e data by hand or machine. M a i l Management Standardized practices  for processing,  s o r t i n g and  r o u t i n g any w r i t t e n communication r e c e i v e d or prepared f o r d i s t r i b u t i o n or d i s p a t c h . Reproduction Management Standardized p r a c t i c e s  f o r d u p l i c a t i o n of  u s i n g e i t h e r an e l e c t r o s t a t i c stencil  copier,  records  offset  press,  d u p l i c a t o r , s p i r i t d u p l i c a t o r or  typewriter. F i l e s C l a s s i f i c a t i o n System Standardized p r a c t i c e s  for arranging records  into  s u b j e c t groups or c a t e g o r i e s u s i n g numbers a n d / o r l e t t e r s for identifying,  g r o u p i n g , and c o d i f y i n g  the r e c o r d e d i n f o r m a t i o n i n t o a c o h e s i v e whole. Records R e t e n t i o n  Schedule  Standardized practices  for determining:  (1)  the  l e n g t h of time r e c o r d s should be maintained i n an office  before being t r a n s f e r r e d to a dormant  s t o r a g e area and (2)  the l e n g t h of time each type  of r e c o r d must be r e t a i n e d before f i n a l  disposition  e i t h e r by d e s t r u c t i o n or permanent r e t e n t i o n .  28  I n f o r m a t i o n R e t r i e v a l System Standardized  p r a c t i c e s f o r indexing records  by  a s s i g n i n g r e c o r d s , based on t h e i r content, i n t o predetermined c a t e g o r i e s f o r purposes o f information  retrieval.  A c t i v e Records Management Standardized  p r a c t i c e s f o r managing t h e storage,  r e t r i e v a l , r e f e r e n c e , d i s p o s a l and p r e s e r v a t i o n o f r e c o r d s which a r e r e q u i r e d and used i n t h e conduct of c u r r e n t  affairs.  S e m i - a c t i v e Records Management Standardized  p r a c t i c e s f o r managing t h e s t o r a g e ,  r e t r i e v a l , r e f e r e n c e , d i s p o s a l and p r e s e r v a t i o n o f r e c o r d s which s t i l l r e t a i n value f o r a d m i n i s t r a t i v e and  o p e r a t i o n a l a c t i v i t i e s but are not r e q u i r e d o r  r e f e r r e d t o c o n s t a n t l y f o r the conduct o f c u r r e n t affairs. I n a c t i v e Records Management Standardized  p r a c t i c e s f o r managing t h e s t o r a g e ,  r e t r i e v a l , r e f e r e n c e , d i s p o s a l and p r e s e r v a t i o n o f r e c o r d s which s t i l l  r e t a i n value f o r a d m i n i s t r a t i v e  o p e r a t i o n a l o r r e s e a r c h purposes but a r e r e q u i r e d or r e f e r r e d t o i n f r e q u e n t l y . V i t a l o r E s s e n t i a l Records Management Standardized  p r a c t i c e s f o r the s e l e c t i o n ,  d u p l i c a t i o n , storage and p r o t e c t i o n o f a c t i v e , 29  semi-active  or i n a c t i v e r e c o r d s which are  essential  i n the event of an emergency f o r the resumption a n d / o r c o n t i n u a t i o n of b a s i c f u n c t i o n s and responsibilities. M i c r o g r a p h i c s Management S t a n d a r d i z e d p r a c t i c e s f o r the use of microform media: a f i l m image on a r o l l or r e e l , magazine or cartridge,  jacket,  m i c r o f i c h e , and a p e r t u r e or t a b  c a r d f o r purposes of s t o r i n g a n d / o r p r e s e r v i n g information. Manual Management S t a n d a r d i z e d p r a c t i c e s f o r the p r e p a r a t i o n and r e v i s i o n of r e c o r d s procedures manuals f o r of i n s t r u c t i o n and r e f e r e n c e  2.2.2.  purposes  for personnel.  E x p l a n a t i o n of Model  In t h i s model, the concept of r e c o r d s keeping t h r e e primary t a s k s each of which r e p r e s e n t s  involves  a general  field  of a c t i v i t y i n t e g r a l to managing r e c o r d s f o r i n f o r m a t i o n needs.  L i n k e d by the u n d e r l y i n g f u n c t i o n of s e r v i c e ,  t a s k s are i n t e r r e l a t e d and interdependent,  these  constituting a  continuum r a t h e r than s u c c e s s i v e s t a g e s . T o g e t h e r , these t h r e e t a s k s comprise the  infrastructure  f o r managing r e c o r d s from t h e i r c r e a t i o n and r e c e i p t t o final  disposition.  The t a s k s d e f i n e d f o r g e n e r a t i o n  r e c e i p t and c l a s s i f i c a t i o n  their  or  cover the time from when r e c o r d s 30  are f i r s t produced or r e c e i v e d t o when they are d i s t r i b u t e d and o r g a n i z e d .  Maintenance encompasses t a s k s p e r t a i n i n g t o  the c a r e of these r e c o r d s through the p e r i o d s of active,  s e m i - a c t i v e and i n a c t i v e  their  use.  The t h r e e primary t a s k s of g e n e r a t i o n or r e c e i p t , classification,  and maintenance are f a c i l i t a t e d through t h e  a p p l i c a t i o n of r e c o r d s management t e c h n i q u e s ,  namely:  correspondence management, d i r e c t i v e management,  forms  management,  r e p o r t s management, r e p r o d u c t i o n management,  management,  file  plan,  c l a s s i f i c a t i o n system,  i n f o r m a t i o n r e s e a r c h system,  s e m i - a c t i v e r e c o r d s management,  mail  records r e t e n t i o n  a c t i v e r e c o r d s management,  i n a c t i v e r e c o r d s management,  v i t a l r e c o r d s management, m i c r o g r a p h i c s management and manual management.  V a r i a t i o n s i n the o r g a n i z a t i o n of these t h r e e  principal fields  of a c t i v i t y are p o s s i b l e  i n the  development  of a system t o c o n t r o l the a d m i n i s t r a t i o n of r e c o r d s . Each r e c o r d s management technique i s designed  to  s y s t e m a t i c a l l y c o n t r o l one of the t h r e e t a s k s performed by records s t a f f , (1)  summarized as  follows.  The g e n e r a t i o n and r e c e i p t of r e c o r d s can be managed  through correspondence management, r e p o r t s management, d i r e c t i v e s management,  forms management, m a i l management and  r e p r o d u c t i o n management. (2)  The c l a s s i f i c a t i o n of r e c o r d s can be f a c i l i t a t e d through  a files  c l a s s i f i c a t i o n system,  r e c o r d s r e t e n t i o n schedule and  i n f o r m a t i o n r e t r i e v a l system. 31  (3)  The maintenance of r e c o r d s can be monitored through  active  r e c o r d s management,  semi-active  i n a c t i v e r e c o r d s management,  records  management,  v i t a l records p r o t e c t i o n  program, m i c r o g r a p h i c s management and manual management. In summary, the model i s s t r u c t u r e d around a d e s c r i p t i o n of the p r i n c i p l e component a c t i v i t i e s process. records,  of the r e c o r d s keeping  The t h r e e primary t a s k s are e s s e n t i a l regardless  t o managing  of t h e i r p h y s i c a l form or volume,  the r e c o r d s management techniques the v a r i a t i o n p o s s i b l e  are o p t i o n a l ,  while  representing  i n a records administration  system.  Combined, these p r o v i d e an a n a l y t i c a l framework adequate s t u d y i n g any  system.  32  for  CHAPTER THREE RESEARCH METHODOLOGY The  r e s e a r c h aims of the study r e q u i r e d the  systematic  c o l l e c t i o n of i n f o r m a t i o n from a p o p u l a t i o n too l a r g e and too dispersed for d i r e c t observation.  For t h i s r e a s o n , the data  c o l l e c t i o n method s e l e c t e d f o r conducting the survey was a s e l f a d m i n i s t e r e d q u e s t i o n n a i r e d i s t r i b u t e d and r e t u r n e d through the mail.  T h i s chapter d e s c r i b e s the r e s e a r c h methods u n d e r l y i n g the  development and a d m i n i s t r a t i o n of the q u e s t i o n n a i r e ,  and the  p r e p a r a t i o n of q u e s t i o n n a i r e data f o r computer a n a l y s i s .  3.1.  1  Q u e s t i o n n a i r e Design and C o n s t r u c t i o n Designed t o c o l l e c t data r e l e v a n t t o the r e s e a r c h purposes  of  the s t u d y ,  the q u e s t i o n n a i r e was comprised of the  f o u r s e c t i o n s : g e n e r a t i o n and r e c e i p t of r e c o r d s ; of  following  classification  r e c o r d s ; maintenance and use of r e c o r d s ; and g e n e r a l  information.  The f i r s t t h r e e s e c t i o n s c o n t a i n e d  questions  designed t o a c q u i r e i n f o r m a t i o n about r e c o r d s keeping systems w h i l e the l a s t s e c t i o n c o n s i s t e d of q u e s t i o n s  formulated t o  o b t a i n a g e n e r a l p r o f i l e of the survey respondents,  including  p o p u l a t i o n s i z e of the m u n i c i p a l i t y , s e r v i c e s performed, and staff. In o r d e r t o determine s i m i l a r i t i e s and d i f f e r e n c e s  within  Concepts and terminology considered important to u n d e r s t a n d i n g the r e s e a r c h methodology of t h i s study are d e f i n e d i n appendix 4. 33  the survey p o p u l a t i o n , a contingency q u e s t i o n format w i t h c l o s e d - e n d e d response c a t e g o r i e s  was s e l e c t e d .  The content and  wording of these were developed through l i b r a r y r e s e a r c h and i n t e r v i e w s w i t h i n d i v i d u a l s knowledgeable research,  r e c o r d s management,  i n the f i e l d s  of  survey  and m u n i c i p a l government w i t h i n  B r i t i s h Columbia. F o l l o w i n g the completion of a d r a f t , the q u e s t i o n n a i r e was pretested to evaluate municipal c l e r k s ,  i t s design,  format, and l a y o u t .  s e l e c t e d from v i l l a g e ,  Four  town, d i s t r i c t and c i t y  m u n i c i p a l i t i e s w i t h i n the survey p o p u l a t i o n , were m a i l e d a copy of the d r a f t q u e s t i o n n a i r e to complete.  T h i s was f o l l o w e d up by  an i n - p e r s o n i n t e r v i e w with each c l e r k t o determine any problems or d i f f i c u l t i e s  encountered with q u e s t i o n sequence,  s p a c i n g and response c a t e g o r i e s .  wording,  Feedback r e c e i v e d through the  p r e t e s t was s y n t h e s i z e d and i n c o r p o r a t e d i n t o the f i n a l of the  version  questionnaire.  The q u e s t i o n n a i r e was produced i n a bound b o o k l e t  form,  2  t o t a l l i n g twenty pages.  On the f i r s t page,  t h e r e was an  i n t r o d u c t o r y statement t h a t i n c l u d e d : the purpose of the  study,  terms of p a r t i c i p a t i o n , b a s i c i n s t r u c t i o n s f o r c o m p l e t i n g and r e t u r n i n g the q u e s t i o n n a i r e ,  the assurance of c o n f i d e n t i a l i t y and  an e x p l a n a t i o n of f o l l o w - u p procedures. b e g i n n i n g of each s e c t i o n i n t r o d u c t o r y statement,  In a d d i t i o n , a t  i n the q u e s t i o n n a i r e ,  the  t h e r e was a b r i e f  o u t l i n i n g i t s purpose and c o n t e n t .  The f i n a l v e r s i o n of the q u e s t i o n n a i r e t h a t was used f o r the survey i s reproduced i n appendix 2. 34  3.2.  Data C o l l e c t i o n Method On March 26th 1988,  the q u e s t i o n n a i r e was d i s t r i b u t e d by  m a i l t o one hundred and f o r t y - f o u r m u n i c i p a l i t i e s comprised of forty-five villages,  t h i r t e e n towns,  forty-seven  d i s t r i c t s and  3  thirty-eight cities.  The q u e s t i o n n a i r e was sent t o  m u n i c i p a l c l e r k who, as p r e v i o u s l y s t a t e d ,  is responsible  managing r e c o r d s generated by the C o u n c i l and i t s ( M u n i c i p a l A c t , 1986).  the  Committees  The names and addresses f o r the  were drawn from a membership l i s t  of the Union of  Columbia M u n i c i p a l i t i e s , dated December  for  mail-out  British  1987.  In o r d e r t o encourage a h i g h response r a t e ,  each  q u e s t i o n n a i r e was accompanied by a c o v e r i n g l e t t e r  from the  M u n i c i p a l O f f i c e r s ' A s s o c i a t i o n of B r i t i s h Columbia as w e l l as a stamped,  self-addressed  envelope to r e t u r n the  completed  4  questionnaires. mailing, letter  In a d d i t i o n , three weeks a f t e r the  first  a second copy of the same q u e s t i o n n a i r e w i t h a f o l l o w - u p  and stamped,  self-addressed,  t o those who had not responded.  r e t u r n envelope were m a i l e d  5  The survey p o p u l a t i o n i n c l u d e d a l l v i l l a g e , town, c i t y and d i s t r i c t m u n i c i p a l i t i e s w i t h i n B r i t i s h Columbia, i n c o r p o r a t e d p r i o r t o 1986. The study was f o r m a l l y endorsed by the E x e c u t i v e of the M u n i c i p a l O f f i c e r s ' A s s o c i a t i o n of B r i t i s h Columbia. The P r e s i d e n t , George Paul, provided a letter to distribute with the q u e s t i o n n a i r e , encouraging members t o p a r t i c i p a t e i n the s t u d y . T h i s l e t t e r i s reproduced i n appendix 2. 5  .  .  .  The f o l l o w - u p l e t t e r which was sent w i t h the second m a i l - o u t of the q u e s t i o n n a i r e i s reproduced i n appendix 2. 35  3.3.  Data P r o c e s s i n g A numeric coding scheme was developed t o c o n v e r t a l l data  collected  i n t o a s t a n d a r d i z e d format f o r computer p r o c e s s i n g and  analysis.  Each q u e s t i o n was assigned v a l i d and m i s s i n g  categories, response  d e r i v e d from a combination of the  forced-choice  c a t e g o r i e s and an examination of q u e s t i o n n a i r e  A codebook,  code  l i s t i n g each v a r i a b l e w i t h t h e i r  returns.  code  assignments and v a l u e s was c o n s t r u c t e d to guide the  process.  The coded responses f o r each q u e s t i o n n a i r e were r e c o r d e d d i r e c t l y on s t a n d a r d data p r o c e s s i n g sheets and then entered onto a computer.  P r i o r to analysis,  data e n t r y was p r o o f e d f o r accuracy  t o ensure t h a t a l l data was c o r r e c t l y coded. U s i n g the S t a t i s t i c a l Package f o r the S o c i a l S c i e n c e s X),  (SPSS-  s t a t i s t i c s were compiled through u n i v a r i a t e and b i v a r i a t e  analysis  of the d a t a .  Frequency d i s t r i b u t i o n s f o r a l l  as w e l l as c r o s s - t a b u l a t i o n s  variables  on s e l e c t e d items were c a l c u l a t e d  to  compile data f o r d e s c r i b i n g the c u r r e n t s t a t e of m u n i c i p a l r e c o r d s keeping o p e r a t i o n s among those surveyed.  A condensed v e r s i o n of the codebook developed t o a n a l y z e data i s c o n t a i n e d i n appendix 3. 36  CHAPTER FOUR SURVEY RESULTS Of the one hundred and f o r t y - f o u r m u n i c i p a l i t i e s surveyed, one hundred and s i x t e e n p r o v i d e d usable responses, 64% (29/45) of the v i l l a g e s ,  representing  100% (13/13) of the towns,  87%  (41/47) of the d i s t r i c t s and 87% (33/38) of the c i t i e s f o r an o v e r a l l r e t u r n r a t e of 81% (116/144)  1  The q u e s t i o n n a i r e was  completed by v a r i o u s types of m u n i c i p a l o f f i c e r s and r e c o r d s keeping personnel Administrators,  (10% or 11/114), i n c l u d i n g :  Clerk Administrators, Clerk Treasurers, Clerks,  Deputy/Assistant Clerks,  Secretaries,  Divided into three sections, results  (90% or 103/114)  of the survey.  and Records Managers.  t h i s chapter p r e s e n t s  the  The f i r s t s e c t i o n p r o v i d e s g e n e r a l  i n f o r m a t i o n about the survey p o p u l a t i o n , d e s c r i b i n g s i m i l a r i t i e s and v a r i a t i o n s found among v i l l a g e ,  town, c i t y and d i s t r i c t  m u n i c i p a l i t i e s w i t h regards t o t h e i r p o p u l a t i o n s i z e , performed and s t a f f .  The next s e c t i o n p r e s e n t s  d e s c r i p t i o n of survey respondents' identifies This is  services  a general  r e c o r d s keeping o p e r a t i o n s and  the p r i n c i p a l d u t i e s or t a s k s performed by  staff.  f o l l o w e d by a s e c t i o n d e s c r i b i n g systems f o r c o n t r o l l i n g  Although t h e r e i s no agreed upon standard f o r a minimum response r a t e , these r e s u l t s f a l l w i t h i n the range c o n s i d e r e d acceptable. For example, E a r l Babbie, a r e c o g n i z e d l e a d e r i n survey r e s e a r c h methods, m a i n t a i n s : " . . . a response r a t e of 50 p e r c e n t i s adequate f o r a n a l y s i s and r e p o r t i n g . A response r a t e of a t l e a s t 60 p e r c e n t i s good. And a response r a t e of 70 p e r c e n t or more i s v e r y good" (1979, 335). 37  or m o n i t o r i n g these t a s k s ,  a d d r e s s i n g the q u e s t i o n s :  (1)  How i s  the c r e a t i o n and r e c e i p t of r e c o r d s being administered? i s the c l a s s i f i c a t i o n  (2) How  of r e c o r d s being managed? and (3)  How i s  the maintenance of r e c o r d s being handled? The survey r e s u l t s statistical  are presented p r i m a r i l y through  t a b l e s compiled from the raw data t h a t was  collected.  Using a s t a n d a r d i z e d format, the t a b l e s r e p o r t f i n d i n g s  in  percentages computed from the t o t a l number of u s a b l e responses i n each c a t e g o r y ,  i n d i c a t e d i n brackets below the p e r c e n t  figures.  In accordance w i t h standard p r a c t i c e s f o r the p r e s e n t a t i o n  of  numerical d a t a , a l l percentages with decimal f r a c t i o n s have been 2  rounded o f f t o whole numbers.  4.1.  Survey P o p u l a t i o n T a b l e s 1 through 5 p r o v i d e a g e n e r a l d e s c r i p t i o n of  village,  town, d i s t r i c t and c i t y m u n i c i p a l i t i e s t h a t  the  responded,  summarizing i n f o r m a t i o n a c q u i r e d about t h e i r p o p u l a t i o n s i z e , s e r v i c e s and s t a f f .  Combined, these t a b l e s p r e s e n t a g e n e r a l  p r o f i l e of the survey p o p u l a t i o n , p r o v i d i n g the c o n t e x t f o r p r e s e n t a t i o n of f i n d i n g s on how v i l l a g e ,  the  town, d i s t r i c t and c i t y  m u n i c i p a l i t i e s are managing t h e i r r e c o r d s .  F i g u r e s were rounded o f f u s i n g a method by Walker and Durost (1936) . I f the f i r s t decimal d i g i t was l e s s than f i v e , the l a s t r e t a i n e d d i g i t was not changed and i f i t was more than f i v e , i t was i n c r e a s e d by one. When the f i r s t decimal d i g i t was e x a c t l y f i v e , the l a s t d i g i t was r e t a i n e d i f the second decimal d i g i t was even and i n c r e a s e d by one i f the second decimal d i g i t was odd. 38  4.1.1.  Population Size  T a b l e 1,  P o p u l a t i o n of V i l l a g e , Town, D i s t r i c t and C i t y  Municipalities,  presents  the range i n p o p u l a t i o n s i z e among the  f o u r t y p e s of m u n i c i p a l i t i e s . p o p u l a t i o n of v i l l a g e s  and over t h r e e q u a r t e r s of the towns are  In c o n t r a s t ,  d i s t r i c t and c i t y m u n i c i p a l i t i e s are  c h a r a c t e r i z e d by a d i v e r s e p o p u l a t i o n base, 1,000  the  and towns are l i m i t e d i n both s i z e and  range s i n c e a l l v i l l a g e s under 5,000.  T h i s t a b l e suggests t h a t  r a n g i n g i n s i z e from  t o over 100,000. Under the p r e s e n t M u n i c i p a l A c t , an area i s c l a s s i f i e d  village  i f the p o p u l a t i o n does not exceed 2,500; a town i f  p o p u l a t i o n ranges between 2,501 area exceeds 800 h e c t a r e s  as a the  and 5,000; a d i s t r i c t i f the l a n d  and t h e r e i s a p o p u l a t i o n d e n s i t y of  l e s s than 5 persons per h e c t a r e ; and a c i t y i f the p o p u l a t i o n exceeds 5,000 (1986  sec.20,  9).  Two f a c t o r s may account f o r the  survey data d i f f e r i n g from these l e g i s l a t e d First,  requirements.  i n the past m u n i c i p a l i t i e s were not c l a s s i f i e d  a  village,  town, d i s t r i c t or c i t y based on t h e i r p o p u l a t i o n s i z e or  density.  When the A c t was r e v i s e d t o i t s p r e s e n t form,  changes were not made r e t r o a c t i v e ,  the  resulting in villages,  towns,  d i s t r i c t s and c i t i e s w i t h p o p u l a t i o n s t h a t d i d not conform t o criteria  i n the M u n i c i p a l A c t (Brown and O l i v e r 1976,  Second, once an area i s  i n c o r p o r a t e d as a v i l l a g e ,  d i s t r i c t o r c i t y under the present l e g i s l a t i o n , remains unchanged, r e g a r d l e s s of i n c r e a s e s population,  8).  unless a r e c l a s s i f i c a t i o n  its  town,  status  or decreases i n  i s requested by the  the  TABLE 1 P o p u l a t i o n of V i l l a g e , Town D i s t r i c t and C i t y M u n i c i p a l i t e s S i z e of  Population  Type of M u n i c i p a l i t y  Village Under 1,000  Town  District  City  8% ( 1/13)  7% ( 3/41)  3% ( 1/33)  41%* (12/29)  1,000  -  2,500  59% (17/29)  2,501  -  5,000  77% (10/13)  24% (10/41)  9% ( 3/33)  5,001  -  10,000  15% ( 2/13)  15% ( 6/41)  27% ( 9/33)  10,001  -  20,000  22 = ( 9/41)  30% (10/33)  20,001  -  40,000  7% ( 3/41)  15% ( 5/33)  40,001  -  70,000  10% ( 4/41)  12% ( 4/33)  70,001  - 100,000  7% ( 3/41)  Over 100,000  * A l l f i g u r e s i n brackets percentages were c a l c u l a t e d  are the from. 40  number  of  7% ( 3/41)  3% ( 1/33)  usable  responses  m u n i c i p a l i t y and approved by the p r o v i n c i a l government 1987,  17).  Based upon these f a c t o r s ,  s i z e and range o u t s i d e the l e g i s l a t e d  variations i n population requirements appear t o be  i n h e r e n t among the f o u r c l a s s i f i c a t i o n s may h e l p e x p l a i n the survey data  4.1.2.  (Bish  of m u n i c i p a l i t i e s .  This  findings.  Services  T a b l e 2,  S e r v i c e s Provided by V i l l a g e , Town, D i s t r i c t and  C i t y M u n i c i p a l i t i e s , suggests t h a t the b a s i c s e r v i c e s performed by m u n i c i p a l i t i e s are remarkably uniform and s i m i l a r .  Although  the M u n i c i p a l A c t (1986) g i v e s some scope f o r v a r i a t i o n i n the specific a)  f u n c t i o n s performed by m u n i c i p a l i t i e s ,  a l l of the v i l l a g e s ,  towns,  g e n e r a l government s e r v i c e s accounting,  d i s t r i c t s and c i t i e s p r o v i d e  (e.g.,general  administration,  assessment);  b) a l l of the towns and over t h r e e q u a r t e r s of districts  and c i t i e s p r o v i d e p r o t e c t i v e  fire protection, c)  the data shows:  emergency  villages,  services  (e.g.,  police,  services);  a l l of the towns and d i s t r i c t s as w e l l as over t h r e e  of the v i l l a g e s engineering,  quarters  and c i t i e s p r o v i d e t r a n s p o r t a t i o n s e r v i c e s  p u b l i c works, p u b l i c t r a n s i t ) ;  d) a l l of the v i l l a g e s  and towns as w e l l as over t h r e e  quarters  of the d i s t r i c t s and c i t i e s p r o v i d e environmental h e a l t h (e.g., e)  (e.g.,  water s u p p l y , sewage, garbage/waste  two t h i r d s of the v i l l a g e s  services  collection);  and d i s t r i c t s along w i t h over  three  q u a r t e r s of towns and c i t i e s p r o v i d e p u b l i c h e a l t h and w e l f a r e 41  Table 2 S e r v i c e s P r o v i d e d by V i l l a g e , Town, D i s t r i c t Municipalities  Type of S e r v i c e  and C i t y  Type of M u n i c i p a l i t y  Village  Town  District  General Government  100% (29/29)  100% (13/13)  100% (41/41)  100% (33/33)  Protective  83% (24/29)  100% (13/13)  98% (40/41)  97% (32/33)  Transportation  97% (28/29)  100% (13/13)  100% (41/41)  97% (32/33)  Environmental H e a l t h  100% (29/29)  100% (13/13)  95% (39/41)  97% (32/33)  P u b l i c H e a l t h & Welfare  66% (19/29)  77% (10/13)  66% (27/41)  85% (28/33)  Environmental Development  76% (22/29)  100% (13/13)  88% (36/41)  94% (31/33)  Recreation, Education  90% (26/29)  100% (13/13)  93% (38/41)  94% (31/33)  Fiscal  97% (28/29)  100% (13/13)  88% (36/41)  94% (31/33)  Other  10% ( 3/29)  8% ( 1/13)  17% ( 7/41)  18% ( 6/33)  Cultural,  42  City  services f)  (e.g.,  hospital,  cemetery/crematorium, s o c i a l  a l l of the towns and over t h r e e q u a r t e r s of the  districts (e.g.,  welfare);  villages,  and c i t i e s p r o v i d e environmental development  housing,  n a t u r a l resources development,  services  p l a n n i n g and  zoning); g)  a l l of the towns and over three q u a r t e r s of the  villages,  d i s t r i c t s and c i t i e s p r o v i d e r e c r e a t i o n a l , c u l t u r a l and educational services museums, f)  (e.g.,  parks and r e c r e a t i o n  facilities,  schools);  a l l of the towns and over t h r e e q u a r t e r s of the  districts  and c i t i e s p r o v i d e f i s c a l s e r v i c e s  r e s e r v e s and  (e.g.,  villages, debt  charges,  allowances).  Under other s e r v i c e s ,  respondents  r e p o r t e d a range of  s e r v i c e s i n c l u d i n g r e s p o n s i b i l i t y f o r e l e c t r i c a l g e n e r a t i o n and distribution,  f o r e s t r y management,  economic development, information services. villages,  towns,  airport f a c i l i t i e s ,  l i q u o r agency,  library service,  l a n d and and t o u r i s t  However, l e s s than one q u a r t e r of  d i s t r i c t s and c i t i e s p r o v i d e these  the  miscellaneous  services. These r e s u l t s  tend to support the f i n d i n g s of a study  undertaken by Brown and O l i v e r i n 1976 f o r the B r i t i s h Columbia M u n i c i p a l A d m i n i s t r a t i o n Education C o u n c i l . report,  In t h e i r  they maintained t h a t the f u n c t i o n s of v i l l a g e ,  final town,  d i s t r i c t and c i t y m u n i c i p a l i t i e s d i f f e r e d p r i m a r i l y o n l y i n terms of s c a l e and s i z e of expenditure  43  (1976,  22).  4.1.3.  Staff  Tables found  3 t h r o u g h 5 show t h e  i n the  number and t y p e s o f  municipalities. District size  among t h e  villages  have  the ten  districts  staff  or less  full-time  and c i t i e s  4,  range  villages,  towns,  districts  part-time  staff.  ten  results range  the  Among v i l l a g e s from t e n  number r a n g e s Table  5,  to  over  Town, size  six  among e a c h  are v a r i a t i o n s ,  the  quarters  employees.  Similar to  districts  and c i t i e s  employees than v i l l a g e s  and towns t h e  number o f p a r t - t i m e  forty while  in districts  or less to  over  Records Keeping S t a f f reports  the  44  the of  employ a s m a l l number o f  districts  however,  of  City  majority  the  and C i t y M u n i c i p a l i t i e s ,  to  hundred.  D i s t r i c t and  towns and o v e r a t h i r d o f  from t e n  of  In c o n t r a s t  villages,  or less to  of  employees  the  number o f  followed  over h a l f  of  i n T a b l e 3,  in their  in staff  and c i t i e s  Over t h r e e  or l e s s part-time  staff  quarters  exceed f i f t y .  in Village,  Although there  of  in  Villages,  full-time  from l e s s t h a n t e n  shows t h e  range  Town,  a r e c h a r a c t e r i z e d by a v a r i e d number  municipalities.  have  in Village,  employees w h i l e  The number o f  Part-Time Staff  Municipalities,  differences  by  Over t h r e e  and towns d o e s n o t  ranging in size  Table  by h a l f  Staff  s m a l l e s t number.  twenty or l e s s .  both v i l l a g e s  this,  Full-Time  employed  four types of m u n i c i p a l i t i e s .  have  towns h a v e  of  T a b l e 3,  staff  and  and C i t y M u n i c i p a l i t i e s , p r e s e n t s t h e  by t o w n s ,  for  similarities  followed and  the  cities  survey  have  a  greater  and t o w n s . employees  and c i t i e s  ranges  the  240.  in Village, types of  Town,  records  District keeping  Table 3 F u l l - T i m e S t a f f i n V i l l a g e , Town, and D i s t r i c t Municipalities  Number o f S t a f f *  Type o f  Village  City  Municipality  Town  District  City  10 o r L e s s  90% (26/29)  17% ( 2/12)  3% ( 1/39)  3% ( 1/30)  11  -  20  10% ( 3/29)  42% ( 5/12)  23% ( 9/39)  3% ( 1/30)  21  -  50  42% ( 5/12)  26% (10/39)  27% ( 8/30)  51  - 100  8% ( 3/39)  23% ( 7/30)  101 - 300  21% ( 8/39)  27% ( 8/30)  301 - 600  13% ( 5/39)  13% ( 4/30)  O v e r 600  8% ( 3/39)  3% ( 1/30)  45  Table 4 Part-Time S t a f f  Number o f S t a f f *  i n V i l l a g e , Town, D i s t r i c t Muncipalities  Type o f  Village  and C i t y  Municipality  Town  District  City  10 o r L e s s  83% (19/23)  50% ( 5/10)  37% (13/35)  39% (11/28)  11  -  20  175 ( 4/23)  30% ( 3/10)  14% ( 5/35)  14% ( 4/28)  21  -  40  203 ( 2/10)  17% ( 6/35)  113 ( 3/28)  41  -  120  14% ( 5/35)  21% ( 6/28)  121 -  240  11% ( 4/35)  11% ( 3/28)  6% ( 2/35)  3% ( 1/28)  O v e r 240  46  staff  e m p l o y e d by e a c h t y p e  few v i l l a g e s , specifically municipalites processor clerk.  towns, c i t i e s t o manage t h e i r  and d i s t r i c t s records.  I t suggests  employ  and, w i t h  On t h e o t h e r  the exception  hand, r e l a t i v e l y  m i c r o f i l m operator,  members of  typist/word  of v i l l a g e s ,  a  few o f them h a v e a  records  Comments r e c e i v e d f r o m r e s p o n d e n t s ,  staff  that  Among t h e f o u r t y p e s  a l a r g e number have a s e c r e t a r y , a  operator  input clerk,  of m u n i c i p a l i t y .  manager o r  filing data  archivist.  suggest the reasons f o r t h i s :  Secretary i s also typist/word processor operator, f i l i n g c l e r k and d a t a i n p u t c l e r k ( V i l l a g e Municipality). A l l above [ t y p i s t / w o r d p r o c e s s o r , f i l i n g c l e r k , d a t a i n p u t c l e r k ] i s done by t h e S e c r e t a r y and A d m i n i s t r a t o r (Town M u n i c i p a l i t y ) . None o f t h e s e a r e s p e c i f i c a l l y h i r e d f o r o n l y r e c o r d s management f u n c t i o n . M u n i c i p a l C l e r k a p p o i n t e d a s r e c o r d s manager ( D i s t r i c t M u n i c i p a l i t y ) . A l l s t a f f p e r f o r m a b o v e f u n c t i o n s - no s p e c i f i c j u s t f o r record keeping (City M u n i c i p a l i t y ) . This evident third  limited  range of records  among v i l l a g e s .  of v i l l a g e s  municipal treasurer, following  officers  keeping s t a f f  Under t h e c a t e g o r y  indicated records  jobs  i s particularly  of "other",  over  one  were managed p r i m a r i l y by  such as c l e r k - t r e a s u r e r , a s s i s t a n t c l e r k -  and c l e r k / a d m i n i s t r a t o r .  This  i s exemplified  by t h e  comments f r o m a few o f t h e r e s p o n d e n t s :  Clerk-Administrator  i s the only o f f i c e  employee.  The V i l l a g e C l e r k a c t s a s s e c r e t a r y f o r t h e C o u n c i l t h e A s s i s t a n t C l e r k a c t s as data i n p u t c l e r k . C l e r k - T r e a s u r e r and A s s i s t a n t C l e r k - T r e a s u r e r . . . o n l y two p e r s o n s t h a t h a n d l e f i l e s .  47  and  TABLE 5 Records Keeping S t a f f i n V i l l a g e , Town, D i s t r i c t and C i t y M u n i c i p a l i t i e s  Type o f Records Keeping S t a f f  Type of M u n i c i p a l i t y  Village  Town  District  City  Secretary  63% (15/24)  92% (12/13)  90% (36/40)  91% (30/33)  Typist  42% (10/24)  61% ( 8/13)  65% (26/40)  79% (26/33)  Word P r o c e s s o r  F i l i n g Clerk  17% ( 4/24)  46% ( 6/13)  47% (19/40)  52% (17/33)  Data Input C l e r k  8% ( 2/25)  15% ( 2/13)  39% (16/41)  36% (12/33)  Microfilm  4% ( 1/27)  8% ( 1/13)  19% ( 8/41)  15% ( 5/33)  Records Manager  -  8% ( 1/13)  20% ( 8/40)  15% ( 5/33)  Archivist  -  -  10% ( 4/41)  21% ( 7/33)  39% (11/28)  15% ( 2/13)  5% ( 2/41)  Other  Operator  48  6% ( 2/33)  4.1.4.  Summary  In describing the survey population as a whole, the findings regarding population size, services, and staff may be summarized as follows. 4.1.4.1. Population Size i) Ten percent (12/116) of the municipalities surveyed have a population of under 1000. i i ) Nineteen percent (22/116) of the municipalities surveyed have a population ranging between 1000 and 2500. i i i ) Twenty percent (23/116) of the municipalities surveyed have a population ranging from 2501 to 5000. iv) Fifteen percent (17/116) of the municipalities surveyed have a population ranging between 5001 and 10,000. v) Sixteen percent (19/116) of the municipalities surveyed have a population ranging between 10,001 and 20,000. vi) Seven percent (8/116) of the municipalities surveyed have a population ranging between 20,001 and 40,000. v i i ) Seven percent (8/116) of the municipalities surveyed have a population ranging between 40,001 and 70,000. v i i i ) Three percent (3/116) of the municipalities surveyed have a population ranging between 70,001 and 49  100,000. ix)  Three percent  surveyed  (4/116) o f t h e  have a p o p u l a t i o n over  municipalities 100,000.  4.1.4.2. S e r v i c e s i)  One h u n d r e d p e r c e n t  surveyed ii)  (116/116) o f t h e  p r o v i d e g e n e r a l government  Ninety-four percent  surveyed iii)  services.  (109/116) o f t h e  provide protective  Ninety-eight percent  municipalities  municipalities  surveyed  municipalities  services.  (114/116) o f t h e  provide transportation  services. iv)  Ninety-seven  municipalities  percent  surveyed  (113/116) o f t h e provide environmental  health  services. v) S e v e n t y - t w o p e r c e n t surveyed vi)  (84/116) o f t h e  provide public  h e a l t h and w e l f a r e s e r v i c e s  Eighty-eight percent  municipalities development vii)  surveyed  municipalities  (102/116) o f t h e provide  environmental  services.  Ninety-three percent  municipalities  surveyed  (108/116) o f t h e  provide  recreational/cultural  services. viii)  Ninety-three percent  municipalities  surveyed  (108/116) o f t h e  provide f i s c a l  50  services.  4.1.4.3. S t a f f i ) Of t h e one hundred and t e n m u n i c i p a l i t i e s t h a t r e p o r t e d t h e i r number of f u l l - t i m e s t a f f , percent  sixty-five  (71/110) i n d i c a t e d they have l e s s than  fifty.  i i ) Of t h e n i n e t y - s i x m u n i c i p a l i t i e s t h a t r e p o r t e d t h e i r number of p a r t - t i m e s t a f f , s i x t y - s e v e n p e r c e n t (64/96) s t a t e d they have l e s s than twenty. iii)  Under types of r e c o r d s keeping s t a f f : e i g h t y  percent  (93/110) have a s e c r e t a r y ; s i x t y - f o u r  (70/110) employ a t y p i s t / w o r d p r o c e s s o r f o r t y - t w o percent nine percent  percent  operator;  (46/110) have a f i l i n g  c l e r k ; twenty-  (32/112) employ a data i n p u t c l e r k ;  t h i r t e e n percent  (14/111) have a m i c r o f i l m o p e r a t o r ;  t h i r t e e n percent  (14/111) employ a r e c o r d s manager; and  ten  4.2.  percent  (11/113) have an a r c h i v i s t .  Records Keeping A c t i v i t i e s T h i s s e c t i o n p r o v i d e s a g e n e r a l d e s c r i p t i o n of the r e c o r d s  keeping o p e r a t i o n s of the v i l l a g e , town, d i s t r i c t and c i t y m u n i c i p a l i t i e s w i t h i n the survey p o p u l a t i o n . presented  Information i s  on the t h r e e g e n e r a l f i e l d s of a c t i v i t y i n t e g r a l t o  managing r e c o r d s f o r i n f o r m a t i o n and communication needs, namely: (1) r e c o r d s g e n e r a t i o n or r e c e i p t  ( i . e . , the c r e a t i o n o r r e c e i p t  and d i s t r i b u t i o n of i n f o r m a t i o n i n the form of r e c o r d s ) ; (2) records c l a s s i f i c a t i o n  ( i . e . , the assignment of r e c o r d s o r t h e i r  i n f o r m a t i o n i n t o c a t e g o r i e s or groups f o r purposes o f 51  i d e n t i f i c a t i o n , arrangement, access and d i s p o s i t i o n ) ; and (3) r e c o r d s maintenance ( i . e . , the p h y s i c a l care and management o f a c t i v e , s e m i - a c t i v e , and i n a c t i v e r e c o r d s , i n c l u d i n g those t h a t are v i t a l and/or o f enduring v a l u e ) .  W i t h i n each o f these  g e n e r a l f i e l d s of a c t i v i t y , the p r i n c i p l e d u t i e s o r s e r v i c e f u n c t i o n s performed by s t a f f a r e i d e n t i f i e d , p r o v i d i n g a data base from which t o assess how m u n i c i p a l i t i e s a r e managing t h e i r records.  4.2.1.  Records Generation  and R e c e i p t  Table 6, Records Generated/Received by V i l l a g e , Town, D i s t r i c t and C i t y M u n i c i p a l i t i e s , r e p o r t s t o what degree t h e t h r e e b a s i c types o f r e c o r d media a r e used by m u n i c i p a l i t i e s . Although  some v a r i a t i o n s a r e e v i d e n t , t h e data suggests  d i f f e r e n c e s e x i s t among m u n i c i p a l i t i e s . towns, d i s t r i c t s and c i t i e s generate  Overall, villages,  and/or r e c e i v e p r i m a r i l y  paper r e c o r d s , f o l l o w e d by machine-readable r e c o r d s m i c r o f i c h e , f l o p p y d i s k s , magnetic tapes) audio-visual records  t h a t few  (e.g.,  and t o a l e s s e r degree,  (e.g., video tapes, c a s s e t t e s , f i l m  etc.).  Of p a r t i c u l a r note i s t h e f a c t t h a t over t h r e e q u a r t e r s o f v i l l a g e , town, d i s t r i c t and c i t y m u n i c i p a l i t i e s have machinereadable records.  T h i s suggests t h a t a l a r g e p r o p o r t i o n o f  m u n i c i p a l i t i e s have a t l e a s t some automated o r r e c o r d s keeping  computerized  operation i n place.  T a b l e 7, Records Generation  and R e c e i p t : Tasks Performed by  V i l l a g e , Town, D i s t r i c t and C i t y M u n i c i p a l i t i e s , suggests 52  similar  Table 6 Records Generated by V i l l a g e , Town, D i s t r i c t and C i t y M u n i c i p a l i t i e s  Types o f Records Generated  Type o f M u n i c i p a l i t y  Village  Town  District  City  Paper Records  100% (29/29)  100% (13/13)  100? (41/41)  100? (33/33)  Machine Readable  76% (22/29)  77% (10/13)  98% (40/41)  88% (29/33)  Audio-Visual  24% ( 7/29)  23% ( 3/13)  44% (18/41)  49% (16/33)  53  types o f t a s k s a r e performed by m u n i c i p a l s t a f f .  The survey  f i n d i n g s show:  data  r  a) a l l towns, d i s t r i c t s and c i t i e s as w e l l as over t h r e e q u a r t e r s of t h e v i l l a g e s generate  correspondence  ( i . e . , communication i n  the form o f a l e t t e r o r memorandum); b) over t h r e e q u a r t e r s of towns, d i s t r i c t s and c i t i e s a l o n g w i t h s l i g h t l y l e s s than t h r e e q u a r t e r s o f the v i l l a g e s  generate  directives  (i.e.,  i n s t r u c t i o n s p r e s c r i b i n g p o l i c i e s and  procedures  t o be f o l l o w e d i n c a r r y i n g out r e s p o n s i b i l i t i e s ) ;  c) over t h r e e q u a r t e r s of v i l l a g e s , towns, d i s t r i c t s and c i t i e s generate  r e p o r t s ( i . e . , accounts  of o p e r a t i o n s o r o t h e r  a d m i n i s t r a t i v e i n f o r m a t i o n recorded i n n a r r a t i v e , s t a t i s t i c a l , g r a p h i c o r o t h e r form f o r use i n forming d e c i s i o n s , d i r e c t i n g operations or evaluating  performance);  d) over t h r e e q u a r t e r s o f v i l l a g e s , towns, d i s t r i c t s and c i t i e s generate  forms ( i . e . , a p r i n t e d r e c o r d w i t h blank spaces  f o r the  e n t r y o f v a r i a b l e data by hand o r machine); e) a l l d i s t r i c t s and w e l l over t h r e e q u a r t e r s of v i l l a g e s , towns and c i t i e s generate a photocopier, spirit  4.2.2.  copies ( i . e . , d u p l i c a t e records using e i t h e r  f a c s i m i l e , typewriter, o f f s e t press, s t e n c i l or  duplicator).  Records C l a s s i f i c a t i o n  4.2.2.1. Filing/Arrangement  o f Records  T a b l e 8, F i l i n g Systems i n V i l l a g e , Town, D i s t r i c t and C i t y M u n i c i p a l i t i e s , r e p o r t s how r e c o r d s a r e organized among t h e f o u r 54  Table 7 Records Generation and R e c e i p t : Tasks Performed by V i l l a g e , Town, D i s t r i c t and C i t y M u n i c i p a l i t i e s  Types of Tasks  Type of M u n i c i p a l i t y  Village  Town  District  City  Generate Correspondence  93% (27/29)  100% (12/12)  100% (41/41)  100% (33/33)  Generate D i r e c t i v e s  74% (20/27)  92% (11/12)  85% (34/40)  82% (27/33)  Generate Reports  86% (25/29)  77% (10/13)  92% (36/39)  97% (32/33)  Generate Forms  79% (23/29)  92% (12/13)  84% (31/37)  82% (27/33)  Copy Records  90% (26/29)  92% (12/13)  100% (41/41)  97% (32/33)  55  classifications are e v i d e n t ,  of m u n i c i p a l i t i e s .  Although a v a r i e t y of systems  two types predominate.  Among v i l l a g e s and towns,  the m a j o r i t y have a c e n t r a l i z e d f i l i n g system ( i . e . , maintained i n one or more c e n t r a l l o c a t i o n s  i n accordance w i t h a  c e n t r a l l y planned and c o n t r o l l e d f i l i n g system). the l a r g e r p r o p o r t i o n of d i s t r i c t s system. staff  In h a l f of the d i s t r i c t s  r e c o r d s are  In  and c i t i e s use a  contrast, decentralized  and over h a l f of the  cities,  members a n d / o r departments m a i n t a i n and c o n t r o l t h e i r own  records. Under the category miscellaneous  of o t h e r ,  respondents  reported  systems f o r f i l i n g t h e i r r e c o r d s .  For example:  F i l e s are maintained r a t h e r haphazardly i n o r d e r of f u n c t i o n i . e . , a c c o u n t i n g , h e a l t h , meetings u t i l i t i e s etc (Village M u n i c i p a l i t y ) . We have a c e n t r a l i z e d f i l i n g system p l u s d e c e n t r a l i z e d f i l i n g system f o r s p e c i f i e d departments ( D i s t r i c t Municipality). These i r r e g u l a r means f o r f i l i n g r e c o r d s , however, in a negligible  number of the  were employed  municipalities.  4 . 2 . 2 . 2 . A c c e s s / R e t r i e v a l of Records Among the four types of m u n i c i p a l i t i e s , t h e i r records  ( i . e . , a s s i g n i n g records,  a l a r g e number index  based on t h e i r  i n t o predetermined c a t e g o r i e s f o r purposes of retrieval).  content,  information  Data compiled from survey responses i n d i c a t e s  t h i s p a r t i c u l a r t a s k or s e r v i c e t h r e e q u a r t e r s of the v i l l a g e s 11/13), d i s t r i c t s  that  f u n c t i o n i s c a r r i e d out i n over (79% or 2 2 / 2 8 ) , towns (85% or  (78% or 32/41) and c i t i e s 56  (87% or 2 8 / 3 2 ) .  TABLE 8 F i l i n g Systems i n V i l l a g e , Town, D i s t r i c t and C i t y M u n i c i p a l i t i e s  Type o f F i l i n g System  Type of M u n i c i p a l i t y  Village  Town  District  Centralized  74% (20/27)  54% ( 7/13)  22% ( 9/41)  36% (12/33)  D e c e n t r a 1 i z ed  11% ( 3/27)  31% ( 4/13)  44% (18/41)  54% (18/33)  Planned  11% ( 3/27)  15% ( 2/13)  27% (11/41)  9% ( 3/33)  Other  Decentralized  4% ( 1/27)  57  ( 2/41)  City  4.2.2.3.  D i s p o s i t i o n of Records  Only a s m a l l number of the m u n i c i p a l i t i e s r e p o r t e d h a v i n g a w r i t t e n r e c o r d s schedule  or r e t e n t i o n p l a n d e t a i l i n g how l o n g  r e c o r d s are t o be maintained. municipalities,  over one t h i r d of v i l l a g e s  towns (38% or 5/13) (32% or 13/41) However,  Among the four t y p e s of  along with l e s s than one t h i r d of  and c i t i e s  several  (3 6% or 10/28) and  (27% or 9/33)  of the respondents  have such a p l a n .  without a r e c o r d s  a l s o s t a t e d one was being developed.  districts  Some of the  schedule  comments  r e c e i v e d from them were: We are i n the process of p u t t i n g r e t e n t i o n schedules and a new f i l i n g system i n p l a c e (Town M u n i c i p a l i t y ) . We are p r e s e n t l y working on a r e c o r d s r e t e n t i o n (District Municipality).  plan  The c i t y has j u s t begun t o . . . w o r k on a uniform r e t e n t i o n / d e s t r u c t i o n procedures and p o l i c i e s ( C i t y Municipality). 4.2.3.  Records Maintenance  T a b l e 9,  Records Maintenance: Tasks Performed by V i l l a g e ,  Town, D i s t r i c t and C i t y M u n i c i p a l i t i e s , i d e n t i f i e s functions  performed by m u n i c i p a l s t a f f .  following s i m i l a r i t i e s classifications  of  and d i f f e r e n c e s  This table among the  indicates  the  four  municipalities.  a) Over one t h i r d of towns, h a l f of v i l l a g e s , districts  the range of  and c i t i e s maintain s e m i - a c t i v e  and two t h i r d s of  records  (i.e.,  records  which s t i l l r e t a i n v a l u e f o r a d m i n i s t r a t i v e and o p e r a t i o n a l functions  but are not r e q u i r e d or r e f e r r e d t o c o n s t a n t l y  58  for  the  Table 9 Records Maintenance: Tasks Performed by V i l l a g e , Town, D i s t r i c t and C i t y M u n i c i p a l i t i e s  Types of Tasks  Type of M u n i c i p a l i t y  Village  Town  District  City  Manage S e m i - A c t i v e Records  62? (18/29)  42! ( 5/12)  68% (28/41)  70% (23/33)  Manage V i t a l / E s s e n t i a l Records  74% (20/27)  77% (10/13)  53% (21/40)  81% (26/32)  Microfilm  10% ( 3/29)  8% ( 1/13)  53% (21/40)  61% (20/33)  14% ( 4/28)  15% ( 2/13)  27% (11/41)  22% ( 7/32)  Records  Issue Records Keeping Manuals  59  conduct of c u r r e n t a f f a i r s ) . b) Over t h r e e q u a r t e r s of the towns and c i t i e s a l o n g w i t h under t h r e e q u a r t e r s of the v i l l a g e s maintain v i t a l / e s s e n t i a l  records  and over h a l f  (i.e.,  i n a c t i v e r e c o r d s which are e s s e n t i a l  active,  of  just  districts  semi-active  or  i n the event of an emergency  f o r the resumption and/or c o n t i n u a t i o n of b a s i c f u n c t i o n s and responsibilities). c) More than h a l f  of d i s t r i c t s and c i t i e s and l e s s than one  q u a r t e r of v i l l a q e s  and towns m i c r o f i l m r e c o r d s  (i.e.,  r e c o r d s on f i l m and s t o r e e i t h e r on a r o l l or r e e l , cartridge, d)  a p e r t u r e or tab c a r d ,  jacket,  photograph  magazine or  and/or m i c r o f i c h e ) .  J u s t over a q u a r t e r of d i s t r i c t s along w i t h l e s s than a  q u a r t e r of v i l l a g e s ,  towns,  •keeping procedures f o r  4.2.3.  and c i t i e s produce manuals on r e c o r d s  staff.  Summary of Survey R e s u l t s  Among m u n i c i p a l i t i e s as a whole,  the p r i n c i p l e d u t i e s  or  t a s k s performed i n r e l a t i o n to r e c o r d s g e n e r a t i o n and r e c e i p t , records c l a s s i f i c a t i o n as  and r e c o r d s maintenance may be summarized  follows.  4.2.3.1 i)  Records Generation and R e c e i p t One hundred percent  (116/116) of the  municipalities  surveyed generate or r e c e i v e paper r e c o r d s . ii)  E i g h t y - s e v e n percent  (101/116) of  the  m u n i c i p a l i t i e s surveyed generate or r e c e i v e readable records. 60  machine-  iii)  T h i r t y - e i g h t percent  municipalities visual iv)  surveyed generate or r e c e i v e  Ninety-eight  percent  (113/115) of  surveyed generate  E i g h t y - t w o percent  surveyed generate vi)  the audio-  records.  municipalities v)  (44/116) of  the  correspondence.  (91/111) of the  municipalities  directives.  N i n e t y percent  (103/114) of the  municipalities  surveyed generate r e p o r t s . vii)  E i g h t y - t h r e e percent  (93/111) of the  surveyed  m u n i c i p a l i t i e s generate forms. viii)  N i n e t y - s i x percent  (111/116) of the  surveyed  m u n i c i p a l i t i e s reproduce or copy r e c o r d s . 4 . 2 . 3 . 2 . Records C l a s s i f i c a t i o n i)  F o r t y - t h r e e percent  (48/113) of the  municipalities  surveyed have a c e n t r a l i z e d f i l i n g system f o r organizing their ii)  records.  T h i r t y - e i g h t percent  (43/113) of the  municipalities  surveyed have a d e c e n t r a l i z e d f i l i n g system f o r organizing their iii)  records.  Seventeen percent  (19/113) of the  surveyed have a planned d e c e n t r a l i z e d organizing their iv)  Three percent  f i l i n g system f o r  records. (3/113) of the  surveyed have miscellaneous organizing their  municipalities  municipalities  f i l i n g systems f o r  records. 61  v)  E i g h t y - t w o percent  surveyed index t h e i r vi)  (93/114) of the  municipalities  records.  T h i r t y - o n e percent  (37/115) of the  municipalities  surveyed have a w r i t t e n r e c o r d s schedule plan, 4.2.3.3. i)  or  retention  d e t a i l i n g how long t h e i r r e c o r d s are t o be k e p t .  Records Maintenance S i x t y - f o u r percent  (74/115) of the  surveyed m a i n t a i n s e m i - a c t i v e ii)  S i x t y - n i n e percent  municipalities  records.  (77/112) of the  municipalities  surveyed m a i n t a i n v i t a l r e c o r d s . iii)  T h i r t y - n i n e percent  (45/115) of the  surveyed m i c r o f i l m t h e i r iv)  Twenty-one percent  records.  (24/114) of the  surveyed i s s u e g u i d e l i n e s r e c o r d s keeping  4.3.  municipalities  municipalities  or manuals t o s t a f f  on  procedures.  Records Keeping Systems Having i d e n t i f i e d the b a s i c t a s k s or s e r v i c e  performed by s t a f f  w i t h i n the t h r e e g e n e r a l f i e l d s  i n t e g r a l t o r e c o r d s keeping,  systems ( i . e . ,  activity the  are c o n t r o l l e d or monitored.  data i s presented only on those m u n i c i p a l i t i e s the a p p l i c a t i o n of r e c o r d s management  f o r h a n d l i n q the q e n e r a t i o n and r e c e i p t , maintenance  of  Tables 10 through 12 d e s c r i b e  degree t o which these a c t i v i t i e s Specifically,  functions  and use of r e c o r d s .  with  techniques)  classification,  and  Combined, these t a b l e s p r o v i d e  data t o answer the f o l l o w i n g q u e s t i o n s : 62  (1)  How i s the  creation,  r e c e i p t and d i s t r i b u t i o n of r e c o r d s being administered? i s the c l a s s i f i c a t i o n  of records being managed?  (3)  (2) How  How i s  the  maintenance of r e c o r d s being handled?  4.3.1.  Records Generation and R e c e i p t  T a b l e 10, Village,  Records Generation and R e c e i p t : Percentage  of  Town, D i s t r i c t and C i t y M u n i c i p a l i t i e s w i t h Records  Management Techniques, r e p o r t s the number of m u n i c i p a l i t i e s w i t h uniform p r a c t i c e s  f o r h a n d l i n g the c r e a t i o n or r e c e i p t and  d i s t r i b u t i o n of i n f o r m a t i o n i n the form of r e c o r d s . indicates a)  the  following.  Less than two t h i r d s of towns,  districts  The t a b l e  l e s s than h a l f of v i l l a g e s  a l o n g w i t h l e s s than one t h i r d of c i t i e s  correspondence management  (i.e.,  and  have  standardized p r a c t i c e s  for  the  c o m p o s i t i o n and p r o d u c t i o n of a w r i t t e n or p r i n t e d communication i n the form of a l e t t e r  or memorandum).  b) Over h a l f of v i l l a g e s ,  d i s t r i c t s and c i t i e s and almost  q u a r t e r s of towns have d i r e c t i v e s management practices  f o r the p r e p a r a t i o n , issuance  (i.e.,  procedures t o be f o l l o w e d i n c a r r y i n g out Over h a l f of v i l l a g e s ,  towns,  f o r the c r e a t i o n ,  of o p e r a t i o n s narrative,  and  responsibilities).  and d i s t r i c t s a l o n g w i t h h a l f  of the c i t i e s have r e p o r t s management practices  standardized  and d i s t r i b u t i o n of  w r i t t e n or p r i n t e d i n s t r u c t i o n s p r e s c r i b i n g p o l i c i e s  c)  three  issuance  (i.e.,  standardized  and d i s t r i b u t i o n of  accounts  or other a d m i n i s t r a t i v e i n f o r m a t i o n r e c o r d e d i n  statistical,  g r a p h i c or other form f o r use i n d e c i s i o n 63  Table 10 Records Generation and R e c e i p t : Percentage of V i l l a g e , Town, D i s t r i c t and C i t y M u n i c i p a l i t i e s With Records Management Techniques  Type of Records Management Technique  Type of M u n i c i p a l i t y  Villaqe  Town  Correspondence Management  41% (11/27)  58% ( 7/12)  37% (15/41)  30% (10/33)  D i r e c t i v e s Management  59% (13/22)  73% ( 8/11)  51% (18/35)  57% (15/27)  Reports Management  52% (13/25)  60% ( 6/10)  56% (20/36)  50% (15/30)  Forms Management  41% ( 9/22)  17% ( 2/12)  29% ( 9/31)  44% (12/27)  Reproduction Management  50% (13/26)  58% ( 7/12)  40% (16/40)  44% (14/32)  M a i l Management  72% (21/29)  77% (10/13)  76% (31/41)  70% (23/33)  64  District  City  making, d i r e c t i n g o p e r a t i o n s or e v a l u a t i n g performance). d) Less than h a l f of v i l l a g e s  and c i t i e s along w i t h l e s s than one  t h i r d of d i s t r i c t s and l e s s than one q u a r t e r of towns have forms management  (i.e.,  uniform p r a c t i c e s  f o r the d e s i g n ,  distribution  and r e v i s i o n of a p r i n t e d r e c o r d with blank spaces f o r the  entry  of v a r i a b l e data by hand or machine). e)  Less than two t h i r d s of towns,  half  h a l f of v i l l a g e s ,  and l e s s than  of d i s t r i c t s and c i t i e s have r e p r o d u c t i o n management  ( i . e . , s t a n d a r d i z e d p r a c t i c e s f o r d u p l i c a t i o n of r e c o r d s u s i n g either a photocopier, stencil f)  facsimile,  typewriter,  offset  press,  d u p l i c a t o r or s p i r i t d u p l i c a t o r ) .  Over t h r e e q u a r t e r s of towns and c i t i e s and over two t h i r d s of  villages practices  and c i t i e s have m a i l management for processing,  4.3.2.  (i.e.,  standardized  s o r t i n g and r o u t i n g m a i l ) .  Records C l a s s i f i c a t i o n  T a b l e 11, Records C l a s s i f i c a t i o n : Percentage  of V i l l a g e ,  Town, D i s t r i c t and C i t y M u n i c i p a l i t i e s w i t h Records Management Techniques, practices  shows the number of m u n i c i p a l i t i e s w i t h uniform  f o r h a n d l i n g the assignment  of r e c o r d s or t h e i r  i n f o r m a t i o n i n t o c a t e g o r i e s or groups f o r purposes of identification, indicates a)  the  arrangement,  access or d i s p o s i t i o n .  This  table  following.  Over t h r e e q u a r t e r s of v i l l a g e s  and two t h i r d s of towns w h i l e  o n l y h a l f of d i s t r i c t s and l e s s than h a l f of c i t i e s have a standardized f i l e s c l a s s i f i c a t i o n 65  system ( i . e . ,  uniform p r a c t i c e s  Table 11 Records C l a s s i f i c a t i o n : Percentage of V i l l a g e , Town, D i s t r i c t and C i t y M u n i c i p a l i t i e s w i t h Records Management Techniques  Type of Records Management Technique  Type of M u n i c i p a l i t y  Village  Town  District  City  Standardized F i l e s C l a s s i f i c a t i o n System*  85% (23/27)  69% ( 9/13)  50% (20/40)  45% (15/33)  Information R e t r i e v a l System  59% (13/22)  45% ( 5/11)  41% (13/32)  36% (10/28)  Records R e t e n t i o n Schedule  (  50% ( 2/4 )  (  69% 9/13)  67% ( 6/9 )  50% 5/10)  * F i g u r e s based upon a combination of the m u n i c i p a l i t i e s w i t h a c e n t r a l i z e d f i l i n g system ( i . e . , a l l r e c o r d s are maintained i n one or more c e n t r a l l o c a t i o n s w i t h a c e n t r a l l y planned and c o n t r o l l e d f i l i n g system) and those w i t h a planned d e c e n t r a l i z e d f i l i n g system ( i . e . , each department maintains t h e i r own f i l e s i n accordance w i t h a c e n t r a l l y planned f i l i n g system) shown i n T a b l e 8, F i l i n g Systems i n V i l l a g e , Town, D i s t r i c t and C i t y M u n i c i p a l i t i e s .  66  for arranging records into subject groups or categories using numbers and/or letters for identifying, grouping, and  codifying  the recorded information into a cohesive whole). b) Less than two thirds of villages and half of the towns, d i s t r i c t s , and cities have an information retrieval system (i.e., standardized practices for assigning records, based on their content, into predetermined categories for purposes of information retrieval). c)  Although half of the villages and towns and over two thirds  of the d i s t r i c t s and cities with written records schedules have uniform practices, overall, only five out of twenty-eight villages, two out of thirteen towns, nine out of forty-one d i s t r i c t s and six out of thirty-three cities have a systematic 3  approach to the disposition of their records. 4.3.3.  Records Maintenance  Table 12, Records Maintenance: Percentage of Village, Town, District and City Municipalities with Records Management Techniques, presents the number of municipalities with uniform practices for dealing with the storage, retrieval, protection, preservation and disposition of active, semi-active and records.  This data indicates the  Total figures responses reported Records.  inactive  following.  for each type of municipality based upon under subsection 4.2.2.3. Disposition of 67  a) Less than two t h i r d s o f towns and d i s t r i c t s and l e s s than of v i l l a g e s and c i t i e s have a c t i v e r e c o r d s management  half  (i.e.,  s t a n d a r d i z e d p r a c t i c e s f o r managing r e c o r d s which a r e r e q u i r e d and used i n t h e conduct of c u r r e n t a f f a i r s ) . b) Less than two t h i r d s of v i l l a g e s ,  l e s s than h a l f o f t h e  d i s t r i c t s and c i t i e s along with only one q u a r t e r o f t h e towns have s e m i - a c t i v e r e c o r d s management ( i . e . , s t a n d a r d i z e d p r a c t i c e s f o r managing r e c o r d s which s t i l l r e t a i n v a l u e f o r a d m i n i s t r a t i v e and o p e r a t i o n a l f u n c t i o n s but are not r e q u i r e d o r r e f e r r e d t o c o n s t a n t l y f o r t h e conduct of c u r r e n t a f f a i r s ) . c) Less than h a l f o f v i l l a g e s and towns along w i t h l e s s than one third  o f d i s t r i c t s and one q u a r t e r o f c i t i e s have i n a c t i v e  r e c o r d s management  ( i . e . , s t a n d a r d i z e d p r a c t i c e s f o r managing  r e c o r d s which a r e maintained  f o r a d m i n i s t r a t i v e , o p e r a t i o n a l or  r e s e a r c h purposes but a r e r e q u i r e d o r r e f e r r e d t o i n f r e q u e n t l y ) . d) Less than h a l f o f c i t i e s , one t h i r d  o f d i s t r i c t s and one t h i r d  of v i l l a g e s and towns have an e s s e n t i a l o r v i t a l  records  p r o t e c t i o n program ( i . e . , a w r i t t e n p l a n f o r t h e p r o t e c t i o n o f a l l a c t i v e , s e m i - a c t i v e and/or i n a c t i v e r e c o r d s which would be e s s e n t i a l i n t h e event o f an emergency f o r t h e resumption and/or c o n t i n u a t i o n o f b a s i c f u n c t i o n s and  responsibilities).  e) With t h e e x c e p t i o n of towns, l e s s than h a l f o f t h e d i s t r i c t s , one t h i r d  o f v i l l a g e s and^less than one t h i r d  micrographics  management  o f t h e c i t i e s have  ( i . e . , standardized p r a c t i c e s f o r the  use o f microform media). f) Although  a l l o f t h e v i l l a g e s and over h a l f o f t h e towns, 68  Table 12 Records Maintenance: Percentage of V i l l a g e , Town, D i s t r i c t and C i t y M u n i c i p a l i t i e s w i t h Records Management Techniques  Type o f Records Management Technique  Type of M u n i c i p a l i t y  Village  Town  District  City  A c t i v e Records Management  48% (14/29)  61% ( 8/13)  51% (21/41)  34% (11/32)  S e m i - A c t i v e Records Management  56% (10/18)  25% ( 1/4 )  48% (13/27)  38% ( 8/21)  I n a c t i v e Records Management  48% (14/29)  42% ( 5/12)  28% (11/39)  24% ( 8/33)  V i t a l Records P r o t e c t i o n Program  29% ( 5/17)  30% ( 3/10)  33% ( 7/21)  42% (11/26)  Micrographics Management  33% ( 1/3 )  100% ( 1/1 )  38% ( 8/21)  25% ( 5/20)  Manual Management  100% ( 4/4 )  50% ( 1/2 )  57% ( 5/9 )  57% ( 4/7 )  69  d i s t r i c t s and c i t i e s have manual management  (i.e.,  standardized  p r a c t i c e s f o r i s s u i n g of r e c o r d s procedures manuals f o r i n t o t a l t h i s accounts f o r only four out of villages,  one out of t h i r t e e n towns,  d i s t r i c t s and f o u r out of t h i r t y - t w o  4.3.4.  twenty-eight  f i v e out of cities.  forty-one  4  Summary of Survey R e s u l t s  Among m u n i c i p a l i t i e s as a whole, m u n i c i p a l i t i e s w i t h systems ( i . e . ,  the survey f i n d i n g s on  standardized practices)  h a n d l i n g r e c o r d s g e n e r a t i o n and r e c e i p t ,  records  and r e c o r d s maintenance may be summarized as 4.3.4.1. i)  staff),  for  classification,  follows.  Records Generation and R e c e i p t Of the one hundred and t h i r t e e n m u n i c i p a l i t i e s which  generate correspondence only t h i r t y - e i g h t  percent  (43/113) have correspondence management. ii)  Of the n i n e t y - f i v e m u n i c i p a l i t i e s t h a t  directives,  fifty-seven  percent  generate  (54/95) have  directives  management. iii)  Of the one hundred and eleven m u n i c i p a l i t i e s  generate  r e p o r t s , f i f t y - f o u r percent  (54/111)  that  have  r e p o r t s management. iv)  Of the ninety-two m u n i c i p a l i t i e s t h a t  forms,  t h i r t y - e i g h t percent  generate  (32/92) have forms  T o t a l f i g u r e s based upon responses r e p o r t e d i n T a b l e 9, Records Maintenance and Use: Tasks Performed by V i l l a g e , Town, D i s t r i c t and C i t y M u n i c i p a l i t i e s . 70  management. v)  Of the one hundred and ten m u n i c i p a l i t i e s t h a t copy  records,  f o r t y - s i x percent  (50/110) have r e p r o d u c t i o n  management. vi)  Of the one hundred and s i x t e e n m u n i c i p a l i t i e s  responded,  seventy-three  percent  that  (85/116) have m a i l  management. 4.3.4.2. i)  Records C l a s s i f i c a t i o n Of the one hundred and t h i r t e e n m u n i c i p a l i t i e s  r e p o r t e d how f i l e s percent  (67/113) have a s t a n d a r d i z e d  classification ii)  are o r g a n i z e d / a r r a n g e d ,  that  fifty-nine  files  system.  Of the n i n e t y - t h r e e m u n i c i p a l i t i e s t h a t index t h e i r  records,  f o r t y - f o u r percent  retrieval iii)  (41/93) have an i n f o r m a t i o n  system.  Of the t h i r t y - s i x m u n i c i p a l i t i e s t h a t  t h e i r r e c o r d s , s i x t y - o n e percent  schedule  (22/36) have uniform  p r a c t i c e s for scheduling records. 4.3.4.3. i)  Records Maintenance Of the one hundred and f i f t e e n  responded,  f o r t y - s e v e n percent  municipalities that  (54/115) have  active  r e c o r d s management. ii)  Of the seventy m u n i c i p a l i t i e s t h a t m a i n t a i n s e m i -  a c t i v e records, f o r t y - s i x percent  (32/70) have s e m i -  a c t i v e r e c o r d s management. iii)  Of the one hundred and t h i r t e e n m u n i c i p a l i t i e s 71  t h a t responded,  t h i r t y - f o u r percent  (38/113)  have  i n a c t i v e r e c o r d s management. iv)  Of the seventy-seven m u n i c i p a l i t i e s t h a t m a i n t a i n  vital  or e s s e n t i a l  records, t h i r t y - f i v e percent  (26/74)  have a v i t a l r e c o r d s p r o t e c t i o n program. v)  Of the f o r t y - f i v e m u n i c i p a l i t i e s t h a t  records,  t h i r t y - t h r e e percent  (15/45)  microfilm  have  m i c r o g r a p h i c s management. vi)  Of the twenty-four m u n i c i p a l i t i e s t h a t  guidelines  issue  or manuals on r e c o r d s keeping p r o c e d u r e s ,  s i x t y - f o u r percent  (14/22) have manual management.  72  CHAPTER FIVE CONCLUSION A survey study was undertaken t o i n v e s t i g a t e the s t a t e of m u n i c i p a l r e c o r d s keeping operations w i t h i n the P r o v i n c e of B r i t i s h Columbia.  Information on s e l e c t e d f a c e t s of  a d m i n i s t r a t i o n was compiled from v i l l a g e ,  records  town, d i s t r i c t and c i t y  m u n i c i p a l i t i e s t o assess how r e c o r d s are managed, t o  identify  common problems, and t o make recommendations f o r improving r e c o r d s keeping systems. D i v i d e d i n t o two s e c t i o n s , survey r e s u l t s courses  this  final  t o determine t h e i r meaning and t o p r e s e n t  of a c t i o n based upon them.  W i t h i n the  imposed by the r e s e a r c h design of the study, examines  chapter a n a l y z e s  possible  limitations  the f i r s t  the key f i n d i n g s and t h e i r i m p l i c a t i o n s .  i s d i r e c t e d by the r e s e a r c h questions  section  The d i s c u s s i o n  posed a t the o u t s e t . How i s  the g e n e r a t i o n and r e c e i p t of r e c o r d s being administered? the c l a s s i f i c a t i o n  of r e c o r d s being managed? and How i s  maintenance of r e c o r d s being handled?  the  In the second  How i s  the  section  recommendations are put f o r t h f o r improving m u n i c i p a l r e c o r d s keeping systems and conducting f u t u r e r e s e a r c h .  5.1.  A n a l y s i s of Survey R e s u l t s Based upon the model developed of a r e c o r d s keeping  system,  i n f o r m a t i o n was a c q u i r e d and compiled on the t h r e e g e n e r a l of  a c t i v i t y associated  w i t h r e c o r d s a d m i n i s t r a t i o n , namely:  73  fields  records generation  and r e c e i p t ;  r e c o r d s maintenance identify  and use.  records c l a s s i f i c a t i o n  The o b j e c t i v e s were:  and  (1)  to  the types of t a s k s or s e r v i c e s performed, and (2)  to  determine which of the s e r v i c e s performed are monitored or controlled.  Combined, t h i s i n f o r m a t i o n p r o v i d e d a data base from  which t o e v a l u a t e and g a i n i n s i g h t s on the r e c o r d s systems of those m u n i c i p a l i t i e s analysis  i)  What f o l l o w s i s  of the survey r e s u l t s r e p o r t e d i n the l a s t  5.1.1. 5.1.1.1.  surveyed.  keeping  chapter.  Records Generation and R e c e i p t Key F i n d i n g s  The m a j o r i t y of m u n i c i p a l i t i e s  the same b a s i c types of r e c o r d s .  surveyed generate and  indicates  most of them produce and d i s t r i b u t e correspondence, forms and r e p r o d u c t i o n s of r e c o r d s .  supports r e c o r d s management  This  that  directives, finding  l i t e r a t u r e which s t a t e s these are  most common types of r e c o r d s generated  and c i r c u l a t e d i n  (Diamond 1983;  Maedke e t a l  ii)  receive  Data compiled on the t y p e s of  r e c o r d s c r e a t e d and r e c e i v e d by m u n i c i p a l i t i e s  reports,  an  Dojka and Conneen 1984;  The m a j o r i t y of m u n i c i p a l i t i e s  the  offices  1981).  surveyed l a c k s y s t e m a t i c  c o n t r o l over the g e n e r a t i o n and r e c e i p t of most r e c o r d s . A n a l y s i s of the data compiled f o r managing r e c o r d s g e n e r a t i o n and receipt, practices  indicates  t h a t most m u n i c i p a l i t i e s do not have  f o r those r e c o r d s which are produced i n the  volume by o f f i c e s ,  namely: correspondence, 74  forms and  uniform  greatest  reproductions  iii)  It  (Diamond 1983; Maedke et a l 1981;  Smith 1986).  i s q u e s t i o n a b l e whether those m u n i c i p a l i t i e s w i t h uniform  practices systematically  c o n t r o l r e c o r d s g e n e r a t i o n and r e c e i p t .  A n a l y s i s of the survey data f o r managing the g e n e r a t i o n and r e c e i p t of r e c o r d s r e v e a l e d the f o l l o w i n g p a t t e r n s : a) More m u n i c i p a l i t i e s , r e g a r d l e s s of t y p e ,  have  uniform p r a c t i c e s f o r r e c o r d types g e n e r a l l y produced by a l i m i t e d range of s t a f f reports)  reproductions),  (i.e.,  correspondence,  suggesting  forms and  t h a t the fewer the number of  i n v o l v e d i n producing r e c o r d s , the more l i k e l y  i s t h a t uniform p r a c t i c e s b)  d i r e c t i v e s and  compared t o those u s u a l l y generated by a wide  range of s t a f f  staff  (i.e.,  it  exist.  In g e n e r a l , more v i l l a g e s  and towns which are  c h a r a c t e r i z e d by a l i m i t e d number of s t a f f  have uniform  p r a c t i c e s f o r managing the g e n e r a t i o n and r e c e i p t of r e c o r d s than do d i s t r i c t s and c i t i e s , the fewer the number of s t a f f l i k e l y uniform p r a c t i c e s  suggesting  in general,  that  the more  exist.  These p a t t e r n s suggest t h a t there may be a r e l a t i o n s h i p between the number of s t a f f  and the establishment  of uniform p r a c t i c e s  f o r h a n d l i n g r e c o r d s g e n e r a t i o n and r e c e i p t . presents  I f so,  this  the p o s s i b i l i t y t h a t the e x i s t e n c e of such p r a c t i c e s  among those surveyed may be an i n h e r e n t f e a t u r e of o p e r a t i o n s r a t h e r than r e p r e s e n t a s y s t e m a t i c 75  their  approach t o  c o n t r o l l i n g r e c o r d s g e n e r a t i o n and r e c e i p t . 5.1.1.2.  I m p l i c a t i o n s of Key F i n d i n g s  C e n t r a l to determining the i m p l i c a t i o n s of the findings  i s the q u e s t i o n : what i s the importance of m o n i t o r i n g or  c o n t r o l l i n g r e c o r d s g e n e r a t i o n and r e c e i p t ? this  it  survey  i s necessary  to d i s c u s s  In o r d e r to  answer  f i r s t of a l l , why r e c o r d s are  created. In the l i t e r a t u r e reviewed on r e c o r d s management and archival science,  t h e r e i s g e n e r a l agreement t h a t  regardless  of the medium or form,  purposes.  First,  facilitate  the communication p r o c e s s .  records,  are c r e a t e d f o r two main  and perhaps foremost,  records are created In other words,  are the means by which "documentary i n f o r m a t i o n " i s  to  records  disseminated  and used i n any o r g a n i z a t i o n (Maedke e t a l 1981,4).  Secondly,  r e c o r d s are generated t o r e t a i n i n f o r m a t i o n which i s r e q u i r e d by an o r q a n i z a t i o n t o c a r r y out i t s mandate or f u n c t i o n s and Rousseau 1986; 1983). example,  New York Education Department 1985;  (Couture Rhoads  Records c r e a t e d and accumulated by m u n i c i p a l i t i e s ,  for  serve i n the f o l l o w i n g ways:  R e c o r d s . . . . c o n t a i n the i n f o r m a t i o n t h a t keeps government programs f u n c t i o n i n g . They g i v e government o f f i c i a l s a b a s i s f o r making d e c i s i o n s , a d m i n i s t e r i n g programs, p r o v i d i n g a d m i n i s t r a t i v e c o n t i n u i t y w i t h p a s t operations. They document the d e l i v e r y of s e r v i c e s . They show the l e g a l r e s p o n s i b i l i t i e s of the government and they p r o t e c t the l e g a l r i g h t s of c i t i z e n s . They c o n t a i n i n f o r m a t i o n on t a x a t i o n and on the management and expenditure of p u b l i c funds. They i n c r e a s e the a c c o u n t a b i l i t y of the government and i t s o f f i c e r s . Records, a l s o document the h i s t o r i c a l development of the government i t s e l f , of the community, and of i t s people (New York Education Department 1985). 76  Therefore,  r e c o r d s are i n v a l u a b l e t o o l s of a d m i n i s t r a t i o n ,  created to f a c i l i t a t e  or serve i n f o r m a t i o n needs ( i . e . ,  communicated or r e c e i v e d t h a t i s necessary  knowledge  to. perform a n d / o r  support the a d m i n i s t r a t i v e and o p e r a t i o n a l f u n c t i o n s  of an  organization). Rhoads (198 3 ) ,  reflecting  ideas espoused by o t h e r s  f i e l d of r e c o r d s management and a r c h i v a l s c i e n c e ,  maintains  m o n i t o r i n g or c o n t r o l l i n g records g e n e r a t i o n and r e c e i p t an o r g a n i z a t i o n t o meet i t s Rousseau 1986;  i n the that  enables  i n f o r m a t i o n needs (Couture and  Maedke et a l 1981).  Specifically,  he s t a t e s  that  c r e a t i n g or c o l l e c t i n g and d i s t r i b u t i n g o n l y those r e c o r d s r e l a t e d d i r e c t l y t o and necessary operational functions  f o r a d m i n i s t r a t i v e and  can:  (1) prevent the c r e a t i o n of n o n - e s s e n t i a l r e c o r d s and thus decrease the volume of r e c o r d s t h a t would otherwise subsequently need to be manipulated, c o n t r o l l e d , s t o r e d and disposed o f ; (2) enhance the u s a b i l i t y and u s e f u l n e s s of r e c o r d s t h a t are needed; and (3) ensure an a p p r o p r i a t e l e v e l of r e l i a n c e on m i c r o g r a p h i c s and automation, with the b e n e f i t s they may b r i n g . . . ( 1983, 24). Thus,  c o n t r o l over r e c o r d s g e n e r a t i o n and r e c e i p t p e r m i t s an  o r g a n i z a t i o n t o evaluate  the q u a l i t y and changing need f o r  i n f o r m a t i o n and determine the technology r e q u i r e d t o meet those needs. With most i n f o r m a t i o n being t r a n s m i t t e d i n the form of correspondence, the  directives,  reports,  forms and c o p i e s of r e c o r d s ,  i m p l i c a t i o n s of the survey f i n d i n g s are t h a t  m u n i c i p a l i t i e s do not have a systematic  77  most  approach or p l a n t o meet  t h e i r i n f o r m a t i o n needs.  As a r e s u l t ,  village,  town,  district  and c i t y m u n i c i p a l i t i e s throughout B r i t i s h Columbia may not be making e f f e c t i v e use of the m a t e r i a l s , resources  equipment,  space and human  r e q u i r e d to c r e a t e and d i s t r i b u t e r e c o r d s  for  i n f o r m a t i o n needs.  5.1.2.  Records C l a s s i f i c a t i o n  5.1.2.1. i)  Key F i n d i n g s  Most of the m u n i c i p a l i t i e s surveyed have e s t a b l i s h e d  f o r h a n d l i n g i n f o r m a t i o n storage and r e t r i e v a l . are v a r i a t i o n s , indicates  Although t h e r e  data compiled on how r e c o r d s are o r g a n i z e d  t h a t the m a j o r i t y of m u n i c i p a l i t i e s have  systems t o f i l e  systems  and index t h e i r r e c o r d s .  developed  This finding i s  not  s u r p r i s i n g i n t h a t these are c o n s i d e r e d standard o p e r a t i o n a l components of the modern r e c o r d s o f f i c e Conneen 1984;  ii)  It  (Diamond 1983;  Dojka and  Maedke et a l 1981).  i s q u e s t i o n a b l e whether those m u n i c i p a l i t i e s w i t h  standardized f i l e s c l a s s i f i c a t i o n systematically  and i n d e x i n g systems  c o n t r o l i n f o r m a t i o n storage and r e t r i e v a l .  1  A n a l y s i s of the survey data on how m u n i c i p a l i t i e s o r g a n i z e records,  indicates  their  t h a t the m a j o r i t y of m u n i c i p a l i t i e s w i t h  T h i s f i n d i n g i s based upon the data summarized i n T a b l e 11, Records C l a s s i f i c a t i o n : Percentage of V i l l a g e , Town, D i s t r i c t and City Municipalities with Records Management Techniques. M u n i c i p a l i t i e s w i t h e i t h e r a c e n t r a l i z e d or planned d e c e n t r a l i z e d f i l i n q system are c l a s s i f i e d as having s t a n d a r d i z e d systems. 78  uniform p r a c t i c e s  f o r f i l i n g and i n d e x i n g r e c o r d s are those w i t h  a s m a l l number of s t a f f . g e n e r a t i o n and r e c e i p t , t h a t the e s t a b l i s h m e n t  S i m i l a r to the f i n d i n g s f o r r e c o r d s t h i s p a t t e r n p r e s e n t s the  possibility  of such systems may be the r e s u l t of  staff  s i z e r a t h e r than r e p r e s e n t p a r t of an o v e r a l l p l a n t o c o n t r o l or monitor i n f o r m a t i o n storage and r e t r i e v a l .  iii)  Most of the m u n i c i p a l i t i e s surveyed l a c k s y s t e m a t i c  over the d i s p o s i t i o n of t h e i r r e c o r d s .  Data compiled on the  procedures f o r r e c o r d s r e t e n t i o n i n d i c a t e s  t h a t the m a j o r i t y of  m u n i c i p a l i t i e s do not have a w r i t t e n r e c o r d s schedule retention plan.  In r e c o r d s management l i t e r a t u r e ,  or  this  c o n s i d e r e d v i t a l t o the c o n t r o l of r e c o r d s d i s p o s i t i o n of the s c a l e and s i z e of an o r g a n i z a t i o n ' s o p e r a t i o n s and Rousseau 1986;  control  Dojka and Conneen 1984;  is regardless  (Couture  Rhoads 1983).  A  schedule or r e t e n t i o n p l a n p r o v i d e s a framework and s e t  of  t o a p p r a i s e and manage r e c o r d s from the moment of t h e i r  creation  to f i n a l d i s p o s i t i o n .  Couture and Rousseau s t a t e :  rules  "Retention  r u l e s are the keystone . . . . T h e y are the v i t a l element t h a t makes i t possible  to s t a b i l i z e ,  rationalize,  and r e t a i n , as w e l l as  manage an o r g a n i z a t i o n ' s records" (1986,  to  78).  The term " d i s p o s i t i o n " r e f e r s t o a l l a c t i o n s taken w i t h r e g a r d s t o noncurrent r e c o r d s , i n c l u d i n g : " t r a n s f e r t o a r e c o r d s c a n t e r f o r temporary s t o r a g e , t r a n s f e r t o an a r c h i v a l agency, d o n a t i o n t o an e l i g i b l e r e p o s i t o r y , r e p r o d u c t i o n on m i c r o f i l m and d e s t r u c t i o n . " (Evans et a l 1974, 421). 79  5.1.2.2.  I m p l i c a t i o n s of Key F i n d i n g s  The i m p l i c a t i o n s of the survey f i n d i n g s r e v o l v e around the questions:  what f u n c t i o n does r e c o r d s c l a s s i f i c a t i o n  serve i n the  o v e r a l l management of records? and what i s the importance of m o n i t o r i n g or c o n t r o l l i n g records  classification?  In the model developed of a r e c o r d s keeping classification  system,  r e f e r s to the assignment of r e c o r d s a n d / o r t h e i r  i n f o r m a t i o n i n t o predetermined c a t e g o r i e s f o r purposes identification,  arrangement, r e t r i e v a l and d i s p o s i t i o n .  upon a p l a n or set  of r u l e s ,  records c l a s s i f i c a t i o n  Based  provides  i n f r a s t r u c t u r e f o r e s t a b l i s h i n g r e c o r d s as i n f o r m a t i o n (i.e.,  of  the  resources  r e c o r d e d knowledge t h a t i s r e t a i n e d f o r the purpose of  s e r v i n g an o r g a n i z a t i o n ' s classification,  i n f o r m a t i o n needs).  r e c o r d s are organized i n a coherent manner which  p r o v i d e s f o r t h e i r optimum use,  accessibility,  from the time of t h e i r c r e a t i o n or r e c e i p t . therefore,  Through  that records c l a s s i f i c a t i o n  It  and p r o t e c t i o n is  apparent,  enables an o r g a n i z a t i o n to  c o n t r o l i n f o r m a t i o n c r e a t e d and/or d i s t r i b u t e d by them. In o r d e r t o e x e r c i s e such c o n t r o l t h e r e needs t o be uniform or s t a n d a r d i z e d p r a c t i c e s  for records c l a s s i f i c a t i o n .  and Rousseau s t a t e t h a t without standards,  Couture  an o r g a n i z a t i o n  "cannot expect to d e r i v e the maximum b e n e f i t s " from r e c o r d s which were "created t o c o n c r e t i z e and communicate i n f o r m a t i o n " (1986, 89) . Based upon t h i s ,  the i m p l i c a t i o n s of the survey f i n d i n g s  t h a t m u n i c i p a l i t i e s l a c k a systematic approach t o 80  establishing  are  t h e i r r e c o r d s as i n f o r m a t i o n r e s o u r c e s . villages,  If this  i s the  case,  towns, c i t i e s and d i s t r i c t s throughout the p r o v i n c e may  have d i f f i c u l t i e s  with f i l i n g , r e t r i e v i n g , p r e s e r v i n g and  d i s p o s i n g of r e c o r d s e s s e n t i a l to the a d m i n i s t r a t i o n of  the  municipality.  5.1.3. 5.1.3.1. i)  Records Maintenance Key F i n d i n g s  Most of the m u n i c i p a l i t i e s surveyed l a c k s y s t e m a t i c  control  over the a d m i n i s t r a t i o n of t h e i r c u r r e n t and noncurrent r e c o r d s . Data compiled on how a c t i v e ,  semi-active  and i n a c t i v e r e c o r d s are  managed i n d i c a t e s  t h a t the m a j o r i t y of m u n i c i p a l i t i e s do not have  uniform p r a c t i c e s  f o r t h e i r maintenance.  The development  standards f o r managing r e c o r d s through the d i f f e r e n t phases of use  of  s t a g e s or  i s c o n s i d e r e d c r u c i a l to a c h i e v i n g ongoing c o n t r o l  over t h e i r s t o r a g e ,  r e t r i e v a l , protection,  (Couture and Rousseau 1986;  Diamond 1983;  and d i s p o s i t i o n Dojka and Conneen 1984;  Maedke et a l 1981; Rhoads 1983).  ii)  Most of the m u n i c i p a l i t i e s surveyed l a c k  protection for t h e i r v i t a l records.  sufficient  Although most  municipalities  have i d e n t i f i e d t h e i r v i t a l r e c o r d s , data compiled on t h e i r management  indicates  t h a t the m a j o r i t y do not have a w r i t t e n p l a n  t o p r e s e r v e those r e c o r d s which would be e s s e n t i a l t o and/or continue operations  f o l l o w i n g an emergency  resume  situation.  A c c o r d i n g t o the l i t e r a t u r e reviewed i n r e c o r d s management, 81  such  a plan i s  c o n s i d e r e d necessary f o r an o r g a n i z a t i o n t o  adequate p r o t e c t i o n f o r t h e i r v i t a l r e c o r d s Rousseau 1986;  iii)  (Couture and  Diamond 1983; Maedke et a l 1981;  Most of the m u n i c i p a l i t i e s  provide  Smith 1986).  surveyed do not m i c r o f i l m t h e i r  records.  Of those t h a t do, the m a j o r i t y l a c k s y s t e m a t i c c o n t r o l  over i t s  a p p l i c a t i o n and use.  microfilming records indicates have uniform p r a c t i c e s .  Data compiled on procedures  for  t h a t most m u n i c i p a l i t i e s do not  A well-planned,  s y s t e m a t i c program i s  c o n s i d e r e d e s s e n t i a l to optimize the advantages or b e n e f i t s microfilm offers, economic,  namely: e a s i e r ,  efficient  faster  information r e t r i e v a l ;  use of storage space; and p r o t e c t i o n ,  p r e s e r v a t i o n of i n f o r m a t i o n (Couture and Rousseau 1986; Diamond 1983;  iv)  Maedke et a l  1981).  Most of the m u n i c i p a l i t i e s  surveyed l a c k w r i t t e n  t o guide the management of t h e i r r e c o r d s .  The m a j o r i t y of  m u n i c i p a l i t i e s r e p o r t e d not having a manual on r e c o r d s procedures.  Designed t o serve as a r e f e r e n c e  i n s t r u c t i o n for personnel, management records,  1981;  as w e l l  keeping as  such a manual i s d e s c r i b e d i n r e c o r d s  l i t e r a t u r e as e s s e n t i a l to the sound a d m i n i s t r a t i o n of  regardless  operations  procedures  of the s i z e and s c a l e of an  (Diamond 1983;  Dojka and Conneen 1984;  Smith 1986).  82  organization's Maedke et  al  5.1.3.2.  I m p l i c a t i o n s of Key F i n d i n g s  The i m p l i c a t i o n s of the survey f i n d i n g s can b e s t be understood through addressing the q u e s t i o n : what i s  the  importance or v a l u e of c o n t r o l l i n g r e c o r d s maintenance? answer t o t h i s  The  l i e s i n understanding the f u n c t i o n or purpose  it  s e r v e s i n the management of i n f o r m a t i o n r e s o u r c e s . Rhoads,  supported by others  i n the l i t e r a t u r e reviewed on  r e c o r d s management and a r c h i v a l s c i e n c e , maintenance b a s i c a l l y  states that  records  involves:  the use, c o n t r o l and storage of r e c o r d s t h a t are needed t o c a r r y out or f a c i l i t a t e the f u n c t i o n s or a c t i v i t i e s of an o r g a n i z a t i o n . I t embodies measures t o ensure: (1) the ready a v a i l a b i l i t y of needed i n f o r m a t i o n and r e c o r d s , (2) c o s t - e f f e c t i v e use of c u r r e n t i n f o r m a t i o n and r e c o r d s , and (3) s e l e c t i o n of s u p p l i e s , equipment and l o c a t i o n s f o r the storage of r e c o r d s which are a p p r o p r i a t e t o the frequency and nature of t h e i r use (1983, 26). In t h i s  sense, r e c o r d s maintenance p r o v i d e s an a d m i n i s t r a t i v e  s t r u c t u r e t o ensure the i n t e g r i t y or p r e s e r v a t i o n of resources  information  f o r as long as they are r e q u i r e d .  S t r u c t u r e d around i n f o r m a t i o n needs, r e c o r d s maintenance concerned w i t h the p h y s i c a l care and management of resources  throughout t h e i r l i f e s p a n .  I t safeguards  information against  misplacement or l o s s of r e c o r d s through the development procedures or programs f o r s o r t i n g , storing,  is  cross-referencing,  of filing,  l o a n i n g , m a i n t a i n i n g , purging and p r e s e r v i n g i n f o r m a t i o n  resources. Based upon t h i s ,  the i m p l i c a t i o n s of the survey f i n d i n g s  t h a t m u n i c i p a l i t i e s l a c k a systematic 83  approach t o m a i n t a i n i n g  are  t h e i r information resources.  And, without t h a t ,  villages,  towns,  c i t i e s and d i s t r i c t s w i t h i n B r i t i s h Columbia would l a c k stability,  c o n t i n u i t y and e f f i c i e n c y  over those r e c o r d s r e q u i r e d  t o s e r v e i n f o r m a t i o n needs.  5.1.5.  Summary of Key F i n d i n g s  Through an a n a l y s i s of the survey f i n d i n g s ,  numerous  problems have been i d e n t i f i e d p e r t a i n i n g t o the a d m i n i s t r a t i o n of m u n i c i p a l r e c o r d s . These may be summarized as 5.1.5.1. i)  follows.  Records Generation and R e c e i p t The m a j o r i t y of m u n i c i p a l i t i e s surveyed generate and  receive ii)  the same b a s i c types of r e c o r d s .  The m a j o r i t y of m u n i c i p a l i t i e s surveyed l a c k  systematic  c o n t r o l over the g e n e r a t i o n and r e c e i p t  of  most r e c o r d s . iii)  It  i s q u e s t i o n a b l e whether those m u n i c i p a l i t i e s  surveyed w i t h uniform p r a c t i c e s s y s t e m a t i c a l l y  control  r e c o r d s g e n e r a t i o n and r e c e i p t . 5.1.5.2. i)  Records C l a s s i f i c a t i o n Most of the m u n i c i p a l i t i e s surveyed have  established  systems f o r h a n d l i n g i n f o r m a t i o n storage and r e t r i e v a l . ii)  It  i s q u e s t i o n a b l e whether those m u n i c i p a l i t i e s  surveyed w i t h s t a n d a r d i z e d f i l e s c l a s s i f i c a t i o n i n d e x i n g systems s y s t e m a t i c a l l y  84  and  control information  s t o r a g e and r e t r i e v a l . iii)  Most of the m u n i c i p a l i t i e s  surveyed  lack  s y s t e m a t i c c o n t r o l over the d i s p o s i t i o n of  their  4  records. 5.1.5.3. i)  Records Maintenance Most of the m u n i c i p a l i t i e s  surveyed l a c k s y s t e m a t i c  c o n t r o l over the a d m i n i s t r a t i o n of t h e i r c u r r e n t and noncurrent r e c o r d s . ii)  Most of the m u n i c i p a l i t i e s  surveyed l a c k  sufficient  protection for their v i t a l records. iii)  Most of the m u n i c i p a l i t i e s surveyed do not  m i c r o f i l m t h e i r r e c o r d s . However, of those t h a t do, m a j o r i t y l a c k s y s t e m a t i c c o n t r o l over i t s  the  application  and use. iv)  Most of the m u n i c i p a l i t i e s  surveyed l a c k w r i t t e n  procedures t o guide the management of t h e i r Based upon these key f i n d i n g s , t h a t most v i l l a g e ,  town,  surveyed l a c k adequate  records.  t h i s r e s e a r c h study  c i t y and d i s t r i c t  indicates  municipalities  systems to e f f e c t i v e l y  monitor or c o n t r o l  T h i s f i n d i n g i s based upon the data summarized i n T a b l e 11, Records C l a s s i f i c a t i o n : Percentage of V i l l a g e , Town, D i s t r i c t and City Municipalities with Records Management Techniques. M u n i c i p a l i t i e s w i t h e i t h e r a c e n t r a l i z e d or planned d e c e n t r a l i z e d f i l i n g system are c l a s s i f i e d as having s t a n d a r d i z e d systems. The term " d i s p o s i t i o n " r e f e r s to a l l a c t i o n s taken w i t h r e g a r d s t o noncurrent r e c o r d s , i n c l u d i n g : " t r a n s f e r t o a r e c o r d s c a n t e r f o r temporary s t o r a g e , t r a n s f e r t o an a r c h i v a l agency, d o n a t i o n t o an e l i g i b l e r e p o s i t o r y , r e p r o d u c t i o n on m i c r o f i l m and d e s t r u c t i o n . " (Evans et a l , p . 4 2 1 ) . 4  85  the t h r e e g e n e r a l f i e l d s keeping o p e r a t i o n s ,  namely: r e c o r d s g e n e r a t i o n and r e c e i p t ,  records c l a s s i f i c a t i o n ,  5.2.  of a c t i v i t y common t o any r e c o r d s  and r e c o r d s maintenance.  Recommendations Based Upon Survey Study In the s o c i a l s c i e n c e l i t e r a t u r e reviewed on e x p l o r a t o r y  research designs,  it  i s g e n e r a l l y agreed t h a t t h i s p a r t i c u l a r  type of r e s e a r c h serves t h r e e main purposes, insights  (2)  topic,  and (3)  the  to make suggestions f o r f u t u r e r e s e a r c h on the 1985;  Babbie 1979).  This  last  puts f o r t h recommendations supported both d i r e c t l y and  i n d i r e c t l y from the survey f o r : keeping systems, and (2)  5.2.1.  t o seek  t o develop the methodology f o r f u r t h e r study of  (Adams and Schvaneveldt  section  (1)  and g a i n b e t t e r understanding on an unknown or u n s t u d i e d  topic;  topic  namely:  (1)  improving m u n i c i p a l r e c o r d s  undertaking f u r t h e r study i n t h i s  field.  Recommendations f o r M u n i c i p a l Records Keeping Systems  How might v i l l a g e s ,  towns,  c i t i e s and d i s t r i c t s  within  B r i t i s h Columbia improve t h e i r r e c o r d s keeping systems?  There  are no simple answers to t h i s q u e s t i o n nor standard formula t o resolve  the problems i d e n t i f i e d through the s t u d y .  Couture and Rousseau  Jones,  (1986), Dokja and Conneen (1984), and Rhoads  (1983), a l l emphasize t h a t any p l a n f o r managing i n f o r m a t i o n resources personnel" this  needs t o be " t a i l o r e d to l o c a l needs, r e s o u r c e s , (1980, 28).  Nevertheless,  and  knowledge gained through  study c l e a r l y i n d i c a t e s there i s a need i n a l l cases f o r 86  greater  s t a n d a r d i z e d r e c o r d s management p o l i c y f o r  the  5 a d m i n i s t r a t i o n of m u n i c i p a l r e c o r d s .  Through such a p o l i c y ,  m u n i c i p a l i t i e s throughout B r i t i s h Columbia would be p r o v i d e d w i t h a framework t o develop systems f o r managing r e c o r d s produced or accumulated by them. Based upon the ideas put f o r t h by Couture and Rousseau d e v e l o p i n g a r e c o r d s management p o l i c y ,  the f o l l o w i n g  for  suggestions  are put f o r t h : It  i s recommended t h a t standards f o r the a d m i n i s t r a t i o n of a  m u n i c i p a l r e c o r d s keeping system be e s t a b l i s h e d . f o r the development establishing  A prerequisite  of an e f f e c t i v e r e c o r d s keeping system  a u t h o r i t y and r e s p o n s i b i l i t y t o c o o r d i n a t e  is  the  a d m i n i s t r a t i o n of i n f o r m a t i o n resources w i t h i n an o r g a n i z a t i o n (Couture and Rousseau 1986;  Jones 1980;  Maedke e t a l 1981;  Rhoads  1983). A r e c o r d s keeping system needs t o be i n t e g r a t e d as p a r t of the ongoing a d m i n i s t r a t i v e f u n c t i o n s organization.  Without t h i s ,  or s e r v i c e s performed by the  the system w i l l simply be  developed through s p o r a d i c r e a c t i o n s  piecemeal  t o accumulated problems or  the c l e a n i n g up of a backlog of o l d r e c o r d s t h a t have become a s t o r a g e problem. In the case of m u n i c i p a l i t i e s ,  such a commitment s h o u l d be  a r t i c u l a t e d through l o c a l l e g i s l a t i o n  i n the form of a "Records  Management Bylaw" which would i n c l u d e the f o l l o w i n g  elements:  Couture and Rousseau d e f i n e r e c o r d s management p o l i c y as a c o n c e r t e d and w e l l - t h o u g h t out way of e s t a b l i s h i n g the means [ i . e . , r e g u l a t i o n , s t r u c t u r e and programs] t o e f f i c i e n t l y manage the r e c o r d s produced or accumulated by an o r g a n i z a t i o n " (1986, 29). 11  87  i)  statement e s t a b l i s h i n g the r e c o r d s keeping system as  a c o n t i n u i n g a d m i n i s t r a t i v e f u n c t i o n of  the  municipality; ii)  d e f i n i t i o n of the term "records" or " i n f o r m a t i o n  r e s o u r c e s " t h a t are to be covered by the iii) iv) v)  statement of the goals and o b j e c t i v e s  system; of the  d e s c r i p t i o n of the b a s i c components of the  system;  system;  d e s c r i p t i o n of personnel a u t h o r i z e d to o r g a n i z e and  m a i n t a i n the system,  i n c l u d i n g a d e f i n i t i o n of  their  responsibilities; vi)  o p t i o n of c r e a t i n g a Records Management Committee  t o a s s i s t w i t h the a d m i n i s t r a t i o n of the  It  system.  i s recommended t h a t standards be e s t a b l i s h e d  to  systematically  c o n t r o l records g e n e r a t i o n and r e c e i p t ,  classification  and r e c o r d s maintenance.  records  The study i n d i c a t e d t h a t  the m a j o r i t y of m u n i c i p a l i t i e s surveyed perform b a s i c a l l y same f u n c t i o n s , their services. functions  d i f f e r i n g only i n terms of the s i z e and s c a l e of Since r e c o r d s are c o n s i d e r e d a b y - p r o d u c t of  performed, i t  is  feasible  to develop g u i d e l i n e s  managing m u n i c i p a l r e c o r d s w i t h i n B r i t i s h Columbia which the f o l l o w i n g  the  for includes  components:  These elements are d e r i v e d from s u g g e s t i o n s by the New York S t a t e E d u c a t i o n Department f o r developing "a f i r m l e g a l b a s i s " f o r the a d m i n i s t r a t i o n of l o c a l government r e c o r d s (1985, 10) . 88  i)  standards or g u i d e l i n e s  f o r managing the  generation,  r e c e i p t and d i s t r i b u t i o n of r e c o r d s ,  including:  correspondence,  forms and  directives,  reports,  r e p r o d u c t i o n s / d u p l i c a t i o n of r e c o r d s ; ii)  standards or g u i d e l i n e s  m o n i t o r i n g the f i l i n g , records created,  f o r c o n t r o l l i n g and  i n d e x i n g , and s c h e d u l i n g of  r e c e i v e d and/or d i s t r i b u t e d t o  serve  i n f o r m a t i o n needs; iii)  standards or g u i d e l i n e s  management of a c t i v e ,  f o r the p h y s i c a l c a r e and  semi-active  and i n a c t i v e  records,  i n c l u d i n g t h e i r s t o r a g e , r e t r i e v a l , and p r o t e c t i o n ; iv)  standards f o r e s t a b l i s h i n g  and a d m i n i s t e r i n g a  v i t a l r e c o r d s p r o t e c t i o n program, i n c l u d i n g t h e i r selection, v)  d u p l i c a t i o n , storage and p r o t e c t i o n ;  standards f o r the a p p l i c a t i o n and use of  micrographics, requirements, vi)  including: selection c r i t e r i a ,  q u a l i t y c o n t r o l s and storage needs;  standards f o r e s t a b l i s h i n g  an a r c h i v e s program,  including: administrative structure, facilities,  legal  physical  p r e s e r v a t i o n and use of r e c o r d s w i t h  a r c h i v a l or c o n t i n u i n g v a l u e . vii)  standards or g u i d e l i n e s  f o r the p r e p a r a t i o n and  r e v i s i o n of r e c o r d s procedures manual.  5.2.2.  Recommendations f o r Future Research  Being an e x p l o r a t o r y survey, 89  the i n t e n t of t h i s study was  not t o t e s t hypotheses but r a t h e r to a c q u i r e i n f o r m a t i o n about a r e l a t i v e l y unknown, unstudied f i e l d . and f i n d i n g s of the survey,  Through the r e s e a r c h  new i n s i g h t s have been gained  guide f u t u r e r e s e a r c h i n r e c o r d s keeping systems. these observations, f u r t h e r i n g knowledge  It  the f o l l o w i n g suggestions are put f o r t h f o r in this  f a c t o r s which may a f f e c t  area.  discover  the development of m u n i c i p a l r e c o r d s  In view of the f a c t t h a t the m a j o r i t y of  m u n i c i p a l i t i e s surveyed l a c k an e f f e c t i v e r e c o r d s keeping i t would be i n v a l u a b l e to i n q u i r e i n t o the reasons situation.  to  Based upon  i s recommended t h a t a study be conducted t o  keeping systems.  design  for  system,  this  Such a study would suggest needed changes and the  i n f o r m a t i o n needed t o make those changes.  Factors introduced i n  the f i r s t chapter along w i t h the data compiled and a n a l y z e d through t h i s  study suggest some p o s s i b l e  causes f o r the c u r r e n t  s t a t e of m u n i c i p a l r e c o r d s keeping systems, i n c l u d i n g : legislation,  t r a i n i n g programs, and s t a f f .  A future  survey  s h o u l d attempt t o i n v e s t i g a t e these and other p o s s i b l e which may a f f e c t resources  It  of  factors  the development of systems t o manage i n f o r m a t i o n  municipalities.  i s recommended t h a t the present study be r e p l i c a t e d i n  five years.  The b a s i c or fundamental g o a l of s c i e n t i f i c  research  i n any f i e l d i s t o a c q u i r e knowledge or understanding t h a t can be u t i l i z e d t o b u i l d or improve the method of study and 90  comprehension of the s u b j e c t 1985;  Babbie 1979;  process  of i n q u i r y  de Vaus 1986).  (Adams and Schvaneveldt  T h e r e f o r e , the  i s not simply the c o l l e c t i o n of f a c t s .  involves,  "a constant  research  Instead  it  i n t e r p l a y between o b s e r v a t i o n and  explanation,  a c o l l e c t i o n of f u r t h e r f a c t s t o t e s t  explanation,  a refinement of the e x p l a n a t i o n and so on" (de Vaus  1986,  11).  In view of t h i s ,  the  a f u t u r e survey should r e p e a t  study t o f u r t h e r knowledge about the r e s e a r c h  this  methodology  employed as w e l l as p a t t e r n s or trends on how v i l l a g e s ,  towns,  c i t i e s and d i s t r i c t s w i t h i n B r i t i s h Columbia manage t h e i r records.  It  i s recommended t h a t the model developed of a r e c o r d s  keeping system be e m p i r i c a l l y t e s t e d t o determine i t s f o r u n d e r s t a n d i n g or e x p l a i n i n g the management of resources.  information  While the l i t e r a t u r e reviewed of the p a s t f o r t y  t e s t i f i e s t o a concerted e f f o r t a r c h i v i s t s to define this  usefulness  years  by r e c o r d s managers and  and e x p l a i n r e c o r d s a d m i n i s t r a t i o n , most of  i s not based upon i n q u i r y u s i n g s o c i a l s c i e n c e r e s e a r c h  methodology.  As a r e s u l t ,  i t was necessary  guide the c o l l e c t i o n and a n a l y s i s of d a t a .  to develop a model t o A f u t u r e study should  be aimed a t a s s e s s i n g the model through o b s e r v a t i o n and r i g o r o u s testing.  5.3.  Conclusion The former Dominion A r c h i v i s t of Canada, W i l f r e d I .  Smith,  s t a t e d over a decade ago: Why i s r e c o r d s management so important? Chiefly because, r e g a r d l e s s of the media on which they appear, r e c o r d s are i n f o r m a t i o n . Information i s e s s e n t i a l t o the c a r r y i n g on of any meaningful a c t i v i t y decision making, p l a n n i n g , o p e r a t i o n s , assessment of r e s u l t s — and the e f f e c t i v e n e s s w i t h which t h i s i n f o r m a t i o n i s r e c o r d e d , managed and r e t r i e v e d has a d i r e c t i n f l u e n c e on the e f f i c i e n c y of the a c t i v i t y which i s i n v o l v e d (1976, 7 ) . The management of r e c o r d s , t h e r e f o r e ,  i s important not o n l y  because the i n f o r m a t i o n contained i n them i s a r e s o u r c e but because i t  i s a means of i n t r o d u c i n g e f f i c i e n t ,  also  effective  administration. The survey f i n d i n g s c l e a r l y i n d i c a t e t h a t most of  the  m u n i c i p a l i t i e s surveyed have not developed systems t o manage t h e i r records e f f e c t i v e l y .  The q u e s t i o n remains t h e n : i s t h i s an  i n d i c a t i o n t h a t most m u n i c i p a l o f f i c e r s do not r e c o g n i z e o r understand the importance of r e c o r d s t o the a d m i n i s t r a t i o n of m u n i c i p a l government? D i r e c t answers t o t h i s q u e s t i o n are o u t s i d e the parameters of t h i s p a r t i c u l a r study.  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A d m i n i s t r a t i o n and the T h r e e Ages' of A r c h i v e s . The American A r c h i v i s t 29, no. 3 ( J u l y ) : 363-369. x  Revenue Canada. 1983. Books and records r e t e n t i o n d e s t r u c t i o n . Information C i r c u l a r 78-10R.  and  R i c k s , A r t e l . 1977. Records Management as an A r c h i v a l F u n c t i o n . ARMA Q u a r t e r l y . 2, no. 2 ( A p r i l ) : 12-18, 20. Rhoads, James B. 1975. Records Management and the A r c h i v i s t . Records Management J o u r n a l . 13, no. 1 ( S p r i n g ) : 4-8. Rhoads, James B. and W i l f r e d I . Smith. 1976. Why Records Management Is Important? ARMA Q u a r t e r l y . (January): 5-8, 20. Rhoads, James B. 1983. The Role of A r c h i v e s and Records Management i n N a t i o n a l Information Systems: A RAMP Study. P a r i s : U n i t e d Nations E d u c a t i o n a l , S c i e n t i f i c and C u l t u r a l O r g a n i z a t i o n . PGI-83/WS/21. R u d d e l l , R i c h a r d . 1955. 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I n t r o d u c t i o n : The Student and M o d e l B u i l d i n g . Chapter 1 of The Process of M o d e l - B u i l d i n g i n the B e h a v i o r a l S c i e n c e s , ed. Ralph M. S t o g d i l l . USA: Ohio S t a t e U n i v e r s i t y P r e s s .  98  S w i f t , M i c h a e l . 1985. Management Techniques and T e c h n i c a l Resources i n the 1980's. A r c h i v a r i a 2 0 (Summer): 94-104. Tate,  E l i z a b e t h L . 1989. T e l l i n g the T a l e w i t h T a b l e s . The J o u r n a l of Academic L i b r a r i a n s h i p . 14, no. 6 ( J a n u a r y ) : 348-352.  T a y l o r , John 1984. Urban Autonomy i n Canada. The Canadian C i t y : Essays i n Urban and S o c i a l H i s t o r y , e d . G i l b e r t A . S t e l t e r and A l a n F . J . A r t i b i s e . T r e a s u r y Board of Canada. 1989. Management of Government Information H o l d i n g s . R e p r i n t 1989-10-01. Warner, Sam Bass, J r . 1977. The Shame of the C i t i e s : P u b l i c Records of the M e t r o p o l i s . Midwestern A r c h i v i s t 2, no. 2: 27-34. Weber, L i s a , e d . 1983. Documenting America: A s s e s s i n g the C o n d i t i o n of H i s t o r i c a l Records i n the S t a t e s . New York: N a t i o n a l H i s t o r i c a l P u b l i c a t i o n s and Records Commission. W i s c o n s i n H i s t o r i c a l Records A d v i s o r y Board. 1983. P l a n n i n g t o Preserve W i s c o n s i n ' s H i s t o r y : The A r c h i v a l P e r s p e c t i v e . Madison: Wisconsin H i s t o r i c a l Records A d v i s o r y Board. Woadden, R . N . 1964. T o r o n t o ' s Venture Into Paperwork C o n t r o l and O r d e r l i n e s s . The American A r c h i v i s t 27, no. 2 ( A p r i l ) : 261-264. Wyatt, C . C . 1953. The M u n i c i p a l C o u n c i l and C o u n c i l l o r i n B r i t i s h Columbia. In L e c t u r e s on the Philosophy and F u n c t i o n s of M u n i c i p a l Government. V i c t o r i a : V i c t o r i a C o l l e g e .  99  APPENDIX 1  G u i d e l i n e s f o r Document R e t e n t i o n  Document Retention The f o l l o w i n g information i s presented only as general g u i d e l i n e for m u n i c i p a l i t i e s and regional d i s t r i c t s to a s s i s t i n developing a records and documentation p o l i c y . There are no p r o v i s i o n s i n the Municipal A c t which r e l a t e to t h i s subject. Documents  Documents and correspondence are u s u a l l y r e t a i n e d for a p e r i o d o f from f i v e to seven y e a r s . I t i s recommended that the references be made to the p r o v i s i o n s of the Document Oisposal A c t , i n p a r t i c u l a r , s e c t i o n s 3 and 4 . While the procedures o u t l i n e d i n s e c t i o n 3 o f the Document D i s p o s a l A c t should serve as a g u i d e l i n e for m u n i c i p a l i t i e s and r e g i o n a l d i s t r i c t s , the s t a t u t o r y requirement of requesting approval for the d e s t r u c t i o n o f p u b l i c documents p e r t a i n s o n l y to the m i n i s t r i e s and I n s t i t u t i o n s o f the P r o v i n c i a l Government.  Billings  Items such as sewer and water b i l l i n g s , cemetery r e c e i p t s , dog l i c e n c e copies and trade l i c e n c e copies would appear to be of l i t t l e value from an accounting viewpoint a f t e r a p e r i o d o f f i v e years or more. B u r i a l permits are r e q u i r e d to be kept f o r e v e r . There seems no need at any time of keeping cheque book stubs I f you possess the r e l a t e d c a n c e l l e d cheques. Some of the other r e c o r d s , however, may be o f I n t e r e s t to the P r o v i n c i a l A r c h i v i s t or to the h i s t o r i a n for your m u n i c i p a l i t y . A c c o r d i n g l y , a c a r e f u l review should be made p r i o r to the d e s t r u c t i o n o f any records and the p o s s i b i l i t y of m i c r o f i l m i n g c e r t a i n records for p r e s e r v a t i o n purposes should be c o n s i d e r e d . The d e s t r u c t i o n of any documents or records should be a u t h o r i z e d at the time by r e s o l u t i o n o f or Regional Board. The concurrence o f the a u d i t o r should a l s o be r e c e i v e d . Of course no documents which might give r i s e to a cause o f a c t i o n should be destroyed u n t i l the time l i m i t a t i o n f o r such a c t i o n s i s passed.  Cause o f Action  I t i s Important to note that the m a j o r i t y of a c t i o n s that may be brought i n Court cannot be brought a f t e r the e x p i r a t i o n of s i x years a f t e r the date on which such r i g h t to do so a r o s e . However, i n respect o f normal t o r t a c t i o n s , although there i s a s i x year l i m i t a t i o n p e r i o d , most a c t i o n s would be brought w i t h i n a year or two a f t e r the damage has occurred and when coupled w i t h the " n o t i c e of a c t i o n " p r o v i s i o n s under s e c t i o n 755 o f the Municipal A c t , I t would not appear necessary to r e t a i n most records for a p e r i o d exceeding two y e a r s . This general time p e r i o d would not apply to such records as  R e p r i n t e d by p e r m i s s i o n of  the  M i n i s t r y of M u n i c i p a l  100  Affairs.  -2b u i l d i n g Inspection r e p o r t s since the l i m i t a t i o n p e r i o d a r i s i n g from r e l a t e d damages may begin from the time t h a t the damage o c c u r s , which may be many years a f t e r the b u i l d i n g permit or occupancy permit was i s s u e d . Should you have concerns with a* p a r t i c u l a r s i t u a t i o n , i t may be a d v i s a b l e to contact your s o l i c i t o r for advice and c l a r i f i c a t i o n . Ouplicate Records  D u p l i c a t e records o f any k i n d not used as working c o p i e s should be e l i m i n a t e d , keeping o n l y the o r i g i n a l . Sometimes a l i s t i n g or a b e t t e r system o f r e c o r d i n g can e l i m i n a t e unnecessary b u l k .  By-laws  The o r i g i n a l o f every by-law should never be d e s t r o y e d . It should be remembered that by-laws form p a r t of the h i s t o r i c a l record of the m u n i c i p a l i t y or regional d i s t r i c t .  Minutes  Agendas o f Council and Regional Board meetings may be destroyed once the corresponding meeting has been h e l d . The Minutes replace the agenda as a permanent record o f the proceedings. Minutes of what went on at meetings are accepted i n c o u r t as evidence o f what t r a n s p i r e d . The minutes are a v i t a l document r e s p e c t i n g the conduct of the a f f a i r s o f the m u n i c i p a l i t y or regional d i s t r i c t since they record the C o u n c i l ' s or Regional Board's d e c i s i o n s .  Personnel  Personnel f i l e s would not appear to be of value a f t e r a p e r i o d exceeding f i v e y e a r s . There Is no set p e r i o d of r e t e n t i o n for p a y r o l l r e c o r d s . The books of account and records r e q u i r e d to be maintained by employers ( i n c l u d i n g m u n i c i p a l i t i e s ) under the p r o v i s i o n s of the Income Tax A c t , the Canada Pension Plan Act and the Unemployment Insurance Act s h a l l , u n t i l w r i t t e n a p p l i c a t i o n to the O i s t r i c t Revenue Canada Taxation O f f i c e i s made and w r i t t e n permission for t h e i r d i s p o s a l i s o b t a i n e d , r e t a i n every such record or book of account and every account or voucher necessary to v e r i f y the information contained t h e r e i n . Reference should be made to the f o l l o w i n g s e c t i o n s o f r e l a t i v e l e g i s l a t i o n : ( 1 S e c t i o n 2 3 0 ( 1 ) and 230(4) of the Income Tax A c t ; (2) S e c t i o n 2 5 ( 1 ) and (2) of the Canada Pension Plan A c t ; and (3) S e c t i o n 9 7 ( 1 ) and (3) o f the Unemployment Insurance A c t .  Assessment Roll  I t i s suggested that assessment r o l l s should be r e t a i n e d for h i s t o r i c a l purposes for a minimum o f ten years and then be destroyed only on order of Council or the Regional Board.  101  )  3 Retention Schedules  The attached schedule may o f f e r some a s s i s t a n c e i n the p r e p a r a t i o n and development of a p p r o p r i a t e records r e t e n t i o n schedules. Some o f the l a r g e r m u n i c i p a l i t i e s i n Canada have apparently developed t h e i r own record r e t e n t i o n schedules, subject to any requirements imposed by a p p l i c a b l e p r o v i n c i a l and federal l e g i s l a t i o n .  Microfilming  Should i t be d e s i r e d to e s t a b l i s h an on-going document d i s p o s a l program, i t i s suggested that c o n s i d e r a t i o n ' b e given to the m i c r o f i l m i n g of such documentation i n order t h a t a permanent document record can be maintained for the m u n i c i p a l i t y or r e g i o n a l d i s t r i c t . Depending upon the volume and frequency o f m a t e r i a l , however, the c o s t s o f m i c r o f i l m i n g may prove too expensive to undertake for most m u n i c i p a l i t i e s and r e g i o n a l d i s t r i c t s and storage would o f f e r a f a r cheaper alternative. If a m u n i c i p a l i t y or r e g i o n a l d i s t r i c t does p r e s e n t l y maintains some program o f m i c r o f i l m i n g Its documents, reference i s made to subsection (3) o f s e c t i o n 40 of the Evidence Act which makes i t p o s s i b l e for m u n i c i p a l i t i e s and r e g i o n a l d i s t r i c t s to destroy documents a f t e r they have been microfilmed and which g r e a t l y r e l i e v e s the problem of storage for such documents. S e c t i o n 40 i s of value to l o c a l government i n t h a t m i c r o f i l m e d or photostated records are a d m i s s i b l e i n evidence i n a Court o f law without the n e c e s s i t y of r e t a i n i n g and p r e s e r v i n g the volumes of o r i g i n a l documents themselves. For further information In t h i s r e g a r d , I t i s suggested your s o l i c i t o r be c o n t a c t e d .  102  Disposal o f Records Schedule  SCHEDULE A Documents and Records to be r e t a i n e d  permanently:  B u r i a l permits By-laws C e r t i f i c a t e s of T i t l e Minute Books  SCHEDULE B Documents and records t h a t may be destroyed a f t e r a p e r i o d ten y e a r s :  a lapse o f  Assessment R o l l s  SCHEDULE C Documents and records that may be destroyed a f t e r a period of eight years: Cemetery r e c e i p t s Oog l i c e n c e copies Sewer b i l l I n g s Trade l i c e n c e copies Water b i l l i n g Accounting Records Bank statements Cancelled cheques Vouchers  103  a lapse o f  SCHEDULE D Documents and records of one y e a r :  t h a t may be destroyed w i t h i n a p e r i o d  Cheque book stubs (when possess c a n c e l l e d cheques).  related  SCHEDULE E Documents and records that may be destroyed a f t e r an i n d e f i n i t e p e r i o d :  a lapse o f  B u i l d i n g permits ( l i f e of b u i l d i n g ) . P a y r o l l Records ( r e q u i r e w r i t t e n permission o f D i s t r i c t Revenue Canada Taxation Office). R e g i s t e r of e l e c t o r s (upon completion o f new l i s t under the p r o v i s i o n s o f P a r t 2 o f the Municipal A c t ) .  CORRESPONDENCE General Specific -  GENERAL The above are minimum r e t e n t i o n periods and the time given for the d i s p o s a l o f any document s h a l l be the time f i g u r e d from the end o f the p e r i o d covered by the document. The d e s t r u c t i o n o f any and a l l documents, r e c o r d s , or correspondence at any time s h a l l not occur u n t i l a l i s t i s submitted to the Council and a u t h o r i z e d by r e s o l u t i o n o f the Council.  104  APPENDIX 2  Q u e s t i o n n a i r e and Supporting Documentation  105  I  G E N E R A T I O N  A N D  R E C E I P T  O  F  R E C O R D S  The purpose of this section is to obtain information on how the creation, receipt and distribution of records is handled by all staff/departments within the municipality.  1.1 Which of the following general types of records are generated? 1.1.1 CORRESPONDENCE? i.e., communication in the form of a l e t t e r or memorandum  • •  N O  Y E S  I F  1  Y E S  Are ALL etaff/departments required to follow UNIFORM practices for the composition of CORRESPONDENCE?  •  N O  Y E S  1 I F  Y E S  Which of the following, IF ANY, are standardized or regulated? N O  a) Authority or responsibility for the management or control of CORRESPONDENCE? b) Policies for the composition of CORRESPONDENCE? c) Procedures for the composition of CORRESPONDENCE?  02  107  Y E S  •  1.1.2 DIRECTIVES? i.e., instructions, prescribing policies and procedures to be followed in carrying out responsibilities.  • •  N O  Y E S  1 I F  Y E S  Are ALL staff/departments required to follow UNIFORM practices for the issuance (i.e., preparation and distribution) of DIRECTIVES?  • •  N O  Y E S  1 I F  Y E S  Which of the following, IF ANY, are standardized or regulated? Y E S  N O  a) Authority or responsibility for the management or control of DIRECTIVES  | i  1 1  . I  , 1  |  1  |  1  b) Policies for the issuance of DIRECTIVES c) Procedures for the issuance of DIRECTIVES  03  108  .3 REPORTS? i.e., accounts of operations or other administrative information recorded in narrative, statistical, graphic or other form for use in forming decisions, directing operations or evaluating performance.  • •  N O  V E S  1 I F  Y E S  Are ALL staff/departments required to follow UNIFORM practices for the issuance (i.e., preparation and distribution) of REPORTS?  • •  N O  Y E S  1 I F  Y E S  Which of the following, IF ANY. are standardized or regulated? N O  a) Authority or responsibility for the management or control of REPORTS  •  b) Policies for the issuance of REPORTS  EZ3  c) Procedures for the issuance of REPORTS  04  109  Y E S  •  1.1.4 FORMS? i.e.. a prepared record with blank spaces for the entry of variable data by hand or machine.  N O  •  Y E S  1 I F  Y E S  Are ALL staff/departments required to follow UNIFORM practices for the preparation (i.e., design and distribution) of FORMS?  •  N O  Y E S  I F  1 Y E S  Which of the following, IF ANY, are standardized or regulated? N O  a) Authority or responsibility for the management or control of FORMS b) Policies for the preparation of FORMS  •  c) Procedures for the preparation of FORMS  •  OS  110  Y E S  1.2 Are records duplicated using either a photocopier, facsimile, typewriter, offset press, stencil duplicator or spirit duplicator?  •  N  ° -  I F  Y E S  Are ALL staff/departments required to follow UNIFORM practices for COPYING records?  n ° n  •  Y  I F  E  S  I Y E S  Which of the following, IF ANY, are standardized or regulated? N O  Y E S  •  a) Authority or responsibility for managing COPYING operations or service b) Policies for COPYING records  •  •  c) Procedures for COPYING records  •  •  d) Procurement of COPYING equipment and supplies  •  e) Staff training in operational procedures f) Reviews of COPYING operations and equipment  111  Are ALL staff/departments required to follow UNIFORM practices for handling incoming/outgoing MAIL?  • •  N O  Y E S  1 I F  Y E S  Which of the following, IF ANY, are standardized or regulated? a) Authority or responsibility for managing MAIL operations or service  N O  Y E S  •  •  •  •  b) Policies for handling MAIL  c) Procedures for handling MAIL  j |  d) Procurement of MAIL handling equipment and supplies ?) Staff training in handling MAIL  f) Reviews of MAIL operations and equipment  07  112  •  LZJ  I I  C L A S S I F I C A T I O N  O  F  R E C O R D S  The purpose of this section is to acquire information about how records or their information are assigned into categories or groups to facilitate filing, retrieval and disposal.  2.1 How are files organized? (Please check ONE only)  • • •  n  CENTRALIZED FILING SYSTEM i.e., ALL records are maintained in one or more central locations in accordance with a centrally planned and controlled filing system DECENTRALIZED FILING SYSTEM i.e., each department maintains and controls their own records PLANNED DECENTRALIZED FILING SYSTEM i.e., each department maintains their own files in accordance with a centrally planned filing system OTHER (please specify)  2.2 IF there Is a CENTRALIZED or PLANNED DECENTRALIZED filing system, which of the following, IF ANY, are standardized? V E S  N O  a) Authority or responsibility for the management of files classification system  • '  1 '  '  b) Policies for classifying records  |  j  j 1  c) Procedures for classifying records  |  1  |  j  d) Staff training in classifying records  j—-| |  j  e) Reviews/Updating of files classification system  |  1  08  113  j  |  > '  2.3 Are records INDEXED?  N O  I  1  Y E S  I F  — i  Y E S  Are ALL staff/departments required to follow UNIFORM practices for INDEXING records?  • •  N O  Y E S  1 I F  Y E S  Which of the following, IF ANY, are standardized or regulated? N O  Y E S  a) Authority or responsibility for INDEXING records b) Policies for INDEXING records  •  o  •  n  c) Procedures for INDEXING records  d) Staff training in INDEXING records  e) Preparation of INDEX  f) Reviews of INDEXING system  09  114  2.4 Is there a WRITTEN records schedule or retention plan which DETAILS how long records are to be maintained?  IF  Y E S  Are ALL staff/departments required to follow UNIFORM practices for SCHEDULING records?  • "° IF  Y E S  Which of the following, IF ANY, are standardized or regulated?  i  NO  YES  •  •  c) Procedures for SCHEDULING records  •  •  d) Staff training in SCHEDULING records  •  •  e) Preparation of records SCHEDULES  •  •  f) Reviews of records SCHEDULES  •  •  a) Authority or responsibility for SCHEDULING records b) Policies for SCHEDULING records  10  115  I  I l l  M A I N T E N A N C E  A N D  U S E  O F  R E C O R D S  The purpose of this section is to obtain information on how thi retrieval, protection and disposition of current and noncurrent records i s handled uithin the municipality. 3.1 Are ALL staff/departments required to follow UNIFORM managing CURRENT or ACTIVE records?  I  y  Y E S  Which of the following, IF ANY, are standardized or regulated? a) Authority or responsibility for management of CURRENT records  •  b) Policies for the management of CURRENT records  •  c) Procedures for the management of CURRENT records  n  d) Staff training in managing CURRENT records  LZ3  e) Procurement of filing equipment and supplies for CURRENT records  o • •  f) Filing of CURRENT records  •  g) Making CURRENT records available for use  •  h) Keeping track of CURRENT records borrowed or removed from files  •  i) Protection of CURRENT records against loss or damage  n n  J) Disposal of CURRENT records in accordance with records schedule  •  •  k) Reviews of operations and equipment  •  •  11  116  •  •  3.2 In the case of noncurrent records, are SEMI-ACTIVE records identified? These are records which s t i l l retain value for administrative and operational functions but ARE NOT REQUIRED CONSTANTLY for current use.  • •  N O  Y E S  I F  1 Y E S  Are ALL staff/departments required to follow UNIFORM practices for the management of SEMI-ACTIVE records?  •  •  NO Y E S  I F  1 Y E S  Which of the following, IF ANY, are standardized or regulated? NO a) Authority or responsibility for management of SEMI-ACTIVE records  n  Y E S  •  b) Policies for the management of SEMI-ACTIVE records  LZ3  c) Procedures for the management of SEMI-ACTIVE records  •  d) Staff training in managing SEMI-ACTIVE records  •  e) Procurement of filing equipment and supplies for SEMI-ACTIVE records  •  •  f) Filing of SEMI-ACTIVE records  •  O  g) Making SEMI-ACTIVE records available for use  •  (ZD  h) Keeping track of SEMI-ACTIVE records borrowed or removed from files  •  i) Protection of SEMI-ACTIVE records against loss or damage  ;—i  J) Disposal of SEMI-ACTIVE records in accordance with records schedule k) Reviews of operations and equipment 12  117  •  •  CZi  •  3.3 in tne case of noncurrent records, are ALL staff required to follow UNIFORM practices for managing INACTIVE records? These are records which are maintained for administrative, financial, legal or informational purposes but are used Infrequently. N O  Y E S  I F  Y E S  Which of the following, IF ANY, are standardized or regulated? N O  Y E S  a) Authority or responsibility for management of INACTIVE records b) Policies for the management of INACTIVE records c) Procedures for the management of INACTIVE records d) Staff training in managing INACTIVE records e) Procurement of filing equipment and supplies for INACTIVE records f) Filing of INACTIVE records  •  g) Making INACTIVE records available for use h) Keeping track of INACTIVE records borrowed or removed from files |  1) Protection of INACTIVE records against loss or damage  j |  J) Disposal of INACTIVE records in accordance with records schedule  •  I  ! i  k) Preservation of archives (i.e., records which have permanent or enduring value) 1) Reviews of operations and equipment  13  118  •  3.4  Are VITAL or ESSENTIAL records identified? N O  I  Y E S  —,  Y E S  I F  Is there a VITAL or ESSENTIAL records protection program? Trds is a WRITTEN plan for the protection of ALL active, semi-active and/or inactive records which would be essential the event of an emergency for the resumption and/or continuation of basic functions and responsibilities. I  1  i  I  N O  V E S  —  I F  Y E S  Which of the following. IF ANY. are standardized or regulated? Y E S  N O  a) Authority or responsibility for VITAL records protection program  ,  b) Policies for protection of VITAL records  • cz  c) Procedures for the protection of VITAL records  , >  | , > •  •  LZ3  d) Staff training in managing VITAL records  •  LZH  e) Procurement of filing equipment and supplies for housing VITAL records  •  f) Reviews of VITAL records program and equipment  LZ3 Z D  14  119  •  3.5 Are any records MICROFILMED?  IK  YES  Are ALL staff/departments required to follow UNIFORM practices for MICROFILMING records? •  N O  IK  YES  Which of the following, IF ANY, are standardized or regulated?  NO  YES  a) Authority or responsibility for MICROFILMING program b) Policies for MICROFILMING records  CD  c) Procedures for MICROFILMING records  •  d) Procurement of equipment and supplies  •  e) Reviews of MICROFILM program and equipment  •  120  •  •  3.6 Are GUIDELINES or MANUAL(S) issued on record keeping procedures?  • •  N  Y  ° E  S  "J Y E S  I F  Art ALL staff/departments required to follow UNIFORM practices for issuance of GUIDELINES or MANUAL(S)?  N  • I  I  °  Y E S  I F  —,  Y E S  Which of the following, IF ANY, are standardized regulated? N O  Y E S  a) Authority or responsibility for issuance O f GUIDELINES or MANUAL(S) b) Policies for issuance of GUIDELINES or MANUAL(S) c) Procedures for issuance of GUIDELINES or MANUAL(S) d) Reviews/updating of GUIDELINES or MANUAL(S)  16  121  •  CZ!  I V  G E N E R A L  I N F O R M A T I O N  To help classify your answers statistically, could you please answer the following general questions about the municipality.  4.1 Type of Municipality: (Please check ONE only)  • • • •  Village Town District City  4.2 Year f i r s t incorporated:  4.3 Size of Population: (Please check ONE only)  • • • • • • • •  Under 1,000 1.000 - 2.500 2.501 - 5,000 5.001 - 10.000 10.001 - 20,000 20,001 - 40.000 40,001 - 70.000 70,001 - 100,000 Over 100,000  17  122  4.4 Types of services performed or provided: (Please check ALL applicable) General Government Services ' (General Administration, Accounting, Assessment,  • • •  Protective Services (Police, Fire Protection, Emergency Services,  !  etc.)  Transportation Services (Engineering, Public Works, Public Transit, etc.) Environmental Health Services (Water supply, Sewage, Garbage/Waste Collection, Public Health and Welfa re Services (Hospital, Cemetery/Crei rematorium, Social Welfare,  • j i  etc.)  | Environmental Development Services (Housing, Natural Resources Development,  1  etc.)  etc.)  Planning & Zoning, etc.)  I Recreational and Cultural Services and Education (Parks and Recreation Facilities, Museums, Schools,  |  | Fiscal Services (Debt Charges, Reserves and Allowances,  j  j Other (Please specify)  etc.)  etc.)  4.5 Types of records generated or received: (Please check ALL applicable) |  • |  [ Paper Machine-Readable (e.g., microfiche, floppy disks, magnetic tapes, etc.) j Audio-visual (e.g., video tapes, cassettes, film,  18  123  etc.)  4.6 Total number of staff employed by the Municipality: a) Full time b) Part time or seasonal  •  c) Other (Please specify)  4.7 Types of record keeping staff employed by the (Please check ALL applicable) |  |  Secretary  |  | Typist/Word Processor Operator  [  j Filing Clerk  |  j Data Input Clerk  |  | Microfilm Operator Records Manager  |  | Archivist  |  | Other (Please specify)  4.8 Is there a formal records management program?  IF YES  What year was the program established? 19  124  municipality:  4.9 Title or position of individual completing questionnaire?  4.-10 May the information you have provided be used by others researching or investigating municipal records keeping operations?  Comments:  THANK YOU FOR COMPLETING THE QUESTIONNAIRE. PLEASE RETURN IT IN THE ENCLOSED ENVELOPE TO: Valerie Billesberger School of Library, Archival and Information Studies University of British Columbia 831 - 1956 Main Mall Vancouver, B.C. V6T 1Y3  IDENTIFICATION NUMBER  20  APPENDIX 3  Condensed V e r s i o n of Codebook  Introduction The one  questionnaire  hundred  questions  and  was designed  forty-six  which  to a c q u i r e i n f o r m a t i o n  variables  respondents  were  through:  required  (a)  to  about  forty-four  answer  (i.e.,  MANDATORY q u e s t i o n s ) ;  (b) and one hundred and two q u e s t i o n s which  respondents  only  answered  if  (i.e.,CONDITIONAL q u e s t i o n s ) . respondents  it  applied  to  their  For purposes of computer  situation analysis,  answers t o q u e s t i o n s were converted i n t o numbers u s i n g  a c o d i n g scheme.  Coding Scheme Each of the one hundred and f o r t y - f o u r v a r i a b l e s was a unique  alphanumeric name and code category  e x c l u s i v e and e x h a u s t i v e . (a)  general  codes  (b)  i.e.,  common  code  2.1;  for  both  summarized i n T a b l e 1, General  code c a t e g o r i e s r e l e v a n t  Special  Code C a t e g o r i e s :  Code C a t e g o r i e s :  S p e c i a l Code C a t e g o r i e s : Categories:  used  only to  specific  summarized i n T a b l e 2, S p e c i a l Code C a t e g o r i e s : Question  T a b l e 3,  Special  categories  and  s p e c i a l codes i . e . ,  questions,  mutually  These i n c l u d e d :  MANDATORY and CONDITIONAL q u e s t i o n s , Code C a t e g o r i e s ;  which was  assigned  Question  Questions  4.2,  Question 4 . 3 ;  4.9.  128  Question 4.6,  4.1;  Table  4,  and 4 . 8 ;  Table  5,  and T a b l e 6,  S p e c i a l Code  TABLE 1 General Code C a t e g o r i e s  VALUE(S) NAME  VALUE LABEL  DEFINITION  1  NO  Negative Response t o MANDATORY o r CONDITIONAL q u e s t i o n .  2  YES  A f f i r m a t i v e response t o MANDATORY o r CONDITIONAL q u e s t i o n .  88  MISSING 1  Incomplete or i n c o r r e c t response t o MANDATORY or CONDITIONAL q u e s t i o n .  00  MISSING 2*  CONDITIONAL q u e s t i o n which i s NOT a p p l i c a b l e t o respondent.  * In o r d e r t o compile s t a t i s t i c a l data s p e c i f i c a l l y on which q u e s t i o n s were NOT a p p l i c a b l e to respondents, t h i s f o u r t h g e n e r a l c o d i n g c a t e g o r y was added f o r a l l CONDITIONAL q u e s t i o n s .  129  TABLE 2 S p e c i a l Code C a t e g o r i e s : Question  VALUE(S) NAME  VALUE LABEL  CENTRALIZED FILING  DEFINITION  ALL r e c o r d s are maintained i n one or or more c e n t r a l l o c a t i o n s i n accordance w i t h a CENTRALLY PLANNED and CONTROLLED f i l i n g system.  DECENTRALIZED FILING  Each department or s t a f f member maintains and c o n t r o l s t h e i r own records.  PLANNED DECENTRALIZED  Each department or s t a f f member member maintains t h e i r f i l e s i n accordance w i t h a CENTRALLY PLANNED f i l i n g system.  OTHER  88  2.1  MISSING 1  Records are maintained by a f i l i n g system DIFFERENT from a c e n t r a l i z e d d e c e n t r a l i z e d or planned d e c e n t r a l i z e d f i l i n g system. Incomplete or i n c o r r e c t response question  130  to  TABLE 3 S p e c i a l Code C a t e g o r i e s :  VALUE(S) NAME  VALUE LABEL  7  VILLAGE  8  TOWN  9  DISTRICT  10  CITY  88  MISSING 1  Question  4.1*  DEFINITION  Village municipality Town m u n i c i p a l i t y D i s t r i c t municipality City municipality Incomplete or i n c o r r e c t answer t o to q u e s t i o n .  * The f i r s t f o u r response c a t e g o r i e s are based on S e c t i o n 20 of the M u n i c i p a l A c t which s t a t e s t h a t i n B r i t i s h Columbia a m u n i c i p a l i t y can be i n c o r p o r a t e d as a v i l l a g e , town, d i s t r i c t or c i t y (1986, 9 ) .  TABLE 4 S p e c i a l Code C a t e g o r i e s :  VALUE(S) NAME  N 88  Questions  4.2,  VALUE LABEL  DEFINITION  ACTUAL NUMBER  Year or number of  MISSING 1  4.6  and  4.8*  people.  Incomplete or i n c o r r e c t response question.  Responses t o each of these q u e s t i o n s r e q u i r e the unique number. 131  to  e n t r y of a  TABLE 5 S p e c i a l Code C a t e g o r i e s :  VALUE(S) NAME  VALUE LABEL  Question  4.3  DEFINITION  11  UNDER 1,000  P o p u l a t i o n of m u n i c i p a l i t y under 1,000  is  12  1,000-2,500  P o p u l a t i o n of m u n i c i p a l i t y between 1,000 and 2,500.  is  13  2,501-5,000  P o p u l a t i o n of m u n i c i p a l i t y between 2,501 and 5,000.  is  14  5,001-10,000  P o p u l a t i o n of m u n i c i p a l i t y between 5,0001 and 10,000.  is  15  10,001-20,000  P o p u l a t i o n of m u n i c i p a l i t y between 10,001 and 20,000.  is  16  20,001-40,000  P o p u l a t i o n of m u n i c i p a l i t y between 20,001 and 40,000.  is  17  40,001-70,000  P o p u l a t i o n of m u n i c i p a l i t y between 40,001 and 70,000.  is  18  70,001-100,000  P o p u l a t i o n of m u n i c i p a l i t y i s between 70,001 and 100,000.  19  Over  P o p u l a t i o n of m u n i c i p a l i t y over 100,000.  88  100,000  MISSING 1  is  Incomplete or i n c o r r e c t answer given to question.  132  TABLE 6 S p e c i a l Code C a t e g o r i e s :  VALUE(S) NAME  VALUE LABEL  4.9*  DEFINITION  20  ADMINISTRATOR  Q u e s t i o n n a i r e completed by Administrator.  21  CLERK/ADMINISTRATOR  Q u e s t i o n n a i r e completed by Clerk/Administrator.  22  CLERK/TREASURER  Q u e s t i o n n a i r e completed by Clerk/Treasurer.  23 24 25 26 27  88  CLERK  Q u e s t i o n n a i r e completed by C l e r k . Q u e s t i o n n a i r e completed by Deputy or A s s i s t a n t C l e r k .  DEPUTY or ASSISTANT RECORDS MANAGER  Q u e s t i o n n a i r e completed by r e c o r d s manager. Q u e s t i o n n a i r e completed by secretary.  SECRETARY  Q u e s t i o n n a i r e completed by someone other t h a n : administrator clerk/administrator clerk/treasurer clerk deputy or a s s i s t a n t c l e r k r e c o r d s manager secretary  OTHER  Incomplete or i n c o r r e c t response given t o q u e s t i o n .  MISSING 1  * Categories based questionnaires.  on  data  acquired  133  from  sixty  completed  APPENDIX 4  A G l o s s a r y of Terms  Bivariate Analysis. A method of a n a l y z i n g "two v a r i a b l e s s i m u l t a n e o u s l y f o r the purpose of d e t e r m i n i n g the e m p i r i c a l r e l a t i o n s h i p between them" (Babbie 1979, 575) . City.  A m u n i c i p a l i t y i n c o r p o r a t e d under a p r i v a t e c h a r t e r or "A m u n i c i p a l i t y i n c o r p o r a t e d or r e - i n c o r p o r a t e d as a c i t y " under the M u n i c i p a l A c t with a "population which exceeds 5,000" ( B r i t i s h Columbia M u n i c i p a l A c t 1986, 20:9).  C l o s e d or Fixed-Response Q u e s t i o n . A q u e s t i o n format which r e q u i r e s a respondent to s e l e c t t h e i r answers from p r e a s s i q n e d response c a t e g o r i e s . Codebook. A manual which d e s c r i b e s how the data are t o be coded, c o n t a i n i n g a l i s t of the q u e s t i o n s , a d e s c r i p t i o n of the v a r i a b l e s ( i . e . , name and l a b e l ) , and the code c a t e g o r i e s ( i . e . , v a l i d and m i s s i n g codes) f o r each question. Coding. The p r o c e s s of a s s i g n i n g numeric code v a l u e s t o q u e s t i o n n a i r e responses f o r purposes of computer s t a t i s t i c a l analysis. C r o s s - S e c t i o n a l Study. A study designed t o c o l l e c t survey p o p u l a t i o n at a s i n g l e p o i n t i n t i m e .  d a t a from a  Data P r o c e s s i n g . The process of "transforming the data c o l l e c t e d i n t o a form a p p r o p r i a t e to m a n i p u l a t i o n and a n a l y s i s " (Babbie 1979, 107). Concepts r e l a t e d t o data p r o c e s s i n g i n c l u d e : codebook, c o d i n g , m i s s i n g code and v a l i d code. Descriptive Statistics. S t a t i s t i c s which d e s c r i b e e i t h e r the d i s t r i b u t i o n of v a r i a b l e s or the r e l a t i o n s h i p s between v a r i a b l e s i n a survey p o p u l a t i o n . District. "A m u n i c i p a l i t y i n c o r p o r a t e d or r e - i n c o r p o r a t e d as a township or d i s t r i c t " under the M u n i c i p a l A c t " i f the area t o be i n c o r p o r a t e d exceeds 800 h e c t a r e s and has an average p o p u l a t i o n d e n s i t y of l e s s t h a t 5 persons a h e c t a r e " ( B r i t i s h Columbia M u n i c i p a l A c t 1986, 2 0 : 9 ) . E x p l o r a t o r y Study. A study designed t o g a i n i n s i g h t s and a s s e s s a r e l a t i v e l y new or unknown t o p i c . 134  F a c t u a l Q u e s t i o n . A type of q u e s t i o n designed t o a c q u i r e i n f o r m a t i o n about the c h a r a c t e r i s t i c s or a c t i v i t i e s of people a t a s p e c i f i c p o i n t i n time. Questions of f a c t s h o u l d e l i c i t the same answer t h a t the r e s e a r c h e r would g i v e i f p r o v i d e d access to the i n f o r m a t i o n r e q u i r e d t o answer the q u e s t i o n . F i l t e r or Contingency Q u e s t i o n . A s e r i e s of r e l a t e d q u e s t i o n s about a s p e c i f i c t o p i c , designed so respondents answer q u e s t i o n s o n l y which are r e l e v a n t t o them. Frequency D i s t r i b u t i o n . "A d e s c r i p t i o n of the number of times the v a r i o u s a t t r i b u t e s of a v a r i a b l e are observed i n a [ p o p u l a t i o n ] . . . " (Babbie 1979, 578). M i s s i n g Code. A code category which r e p r e s e n t s e i t h e r an i n a p p r o p r i a t e response ( i . e . , a response c o n t r a r y t o d i r e c t i o n s given) or a non-response ( i . e . , q u e s t i o n i s l e f t unanswered) to a q u e s t i o n . Municipality. "The c o r p o r a t i o n i n t o which the r e s i d e n t s of an a r e a have been i n c o r p o r a t e d as a m u n i c i p a l i t y under any A c t , but does not i n c l u d e . . . a n improvement d i s t r i c t , o r a r e g i o n a l d i s t r i c t " ( B r i t i s h Columbia M u n i c i p a l A c t 1986, 2 0 : 9 ) . N o n p r o b a b i l i t y Sample. "A sample s e l e c t e d i n some f a s h i o n than those suggested by p r o b a b i l i t y theory" (Babbie 1979, 581).  other  Pretest. P r e l i m i n a r y t e s t i n g of the q u e s t i o n n a i r e by p o t e n t i a l respondents p r i o r to the a c t u a l survey f o r purposes of i d e n t i f y i n g problems with q u e s t i o n sequence, wording, s p a c i n g and response c a t e g o r i e s . Questionnaire. An instrument c o n t a i n i n g s t a n d a r d i z e d q u e s t i o n s arranged i n a predetermined sequence and format, designed t o c o l l e c t and measure i n f o r m a t i o n r e l e v a n t t o aims of a study. A s e l f - a d m i n i s t e r e d q u e s t i o n n a i r e i s designed t o be completed by the respondents themselves. Concepts r e l a t e d to the c o n s t r u c t i o n of a q u e s t i o n n a i r e i n c l u d e c l o s e d or f i x e d - r e s p o n s e q u e s t i o n , f a c t u a l q u e s t i o n , f i l t e r q u e s t i o n and p r e t e s t . Research D e s i g n . A p l a n or guide f o r conducting r e s e a r c h , based upon the purposes or i n t e n t of a s t u d y . Concepts r e l a t e d to research design include: exploratory study, c r o s s - s e c t i o n a l study and survey r e s e a r c h . Response R a t e .  The percentage of the survey p o p u l a t i o n who 135  responded t o the q u e s t i o n n a i r e , c a l c u l a t e d by d i v i d i n g the number of respondents by the t o t a l p o p u l a t i o n . Survey. A r e s e a r c h method which i n v o l v e s the c o n s t r u c t i o n a d m i n i s t r a t i o n of a s t a n d a r d i z e d q u e s t i o n n a i r e t o a p o p u l a t i o n r e l e v a n t t o the purpose of the r e s e a r c h . Town.  and  A m u n i c i p a l i t y i n c o r p o r a t e d or r e - i n c o r p o r a t e d as a town under the M u n i c i p a l A c t w i t h a "population [ t h a t ] exceeds 2,500 but does not exceed 5,000" ( B r i t i s h Columbia M u n i c i p a l A c t 1986, 2 0 : 9 ) .  Univariate Analysis. "The a n a l y s i s of a s i n g l e v a r i a b l e , f o r purposes of d e s c r i p t i o n " (Babbie 1979, 585). A type of u n i v a r i a t e a n a l y s i s i s frequency d i s t r i b u t i o n . V a l i d Code. A code category which r e p r e s e n t s "an a c t u a l answer t o a question" (de Vaus 1986, 189). Variable. "Any c h a r a c t e r i s t i c or p r o p e r t y of a case which has a s e r i e s of two or more p o s s i b l e c a t e g o r i e s i n t o which a c a s e ' c o u l d p o t e n t i a l l y be c l a s s i f i e d " (Loether and McTavish 1980, 14). x  Village. A m u n i c i p a l i t y i n c o r p o r a t e d or r e - i n c o r p o r a t e d as a v i l l a g e under the M u n i c i p a l A c t w i t h a " p o p u l a t i o n [ t h a t ] does not exceed 2,500" ( B r i t i s h Columbia M u n i c i p a l A c t 1986, 2 0 : 9 ) .  136  

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