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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 COLUMBIA: AN EXPLORATORY SURVEY By VALERIE MAY BILLESBERGER B.A., Simon F r a s e r U n i v e r s i t y , 1985 A THESIS SUBMITTED IN PARTIAL FULFILLMENT OF THE REQUIREMENTS FOR THE DEGREE OF MASTER OF ARCHIVAL STUDIES i n THE FACULTY OF ARTS Administered by School of L i b r a r y , A r c h i v a l and In f o r m a t i o n S t u d i e s and Department of H i s t o r y We accept t h i s t h e s i s as conforming t o the r e q u i r e d standard: THE 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 In presenting this thesis in partial fulfilment of the requirements for an advanced degree at the 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 scholarly purposes may be granted by the head of my department or by his or her representatives. It is understood that copying or publication of this thesis for financial gain shall not be allowed without my written permission. Department of School of Library, Archival and Information Studies The University of British Columbia Vancouver, Canada Date A p r i l 27th, 1990 DE-6 (2/88) 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 files 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 is concluded that among those villages, towns, districts and cities surveyed, most do not have adequate records keeping systems to effectively serve their information needs. i i TABLE OF CONTENTS ABSTRACT i i LIST OF TABLES v i LIST OF ILLUSTRATIONS v i i ACKNOWLEDGEMENT v i i i Chapter 1. INTRODUCTION 1 1.1. Background of Study 1 1.1.1. Structure of Municipal Government 1 1.1.2. Adminis trat ion of Munic ipal Records 5 1 .1 .2 .1 . L e g i s l a t i o n 5 1 .1 .2 .2 . Municipal Manual 7 1 .1 .2 .3 . Tra in ing Programs 8 1.2. Overview of Study 10 1.2.1. Research Questions 10 1.2.2. Rationale 10 1.2.3. Basic Assumptions 12 1.2.4. L imi ta t ions 13 1 .2 .4 .1 . Purpose of Study 13 1.2 .4 .2 . Scope of Study 14 1 .2 .4 .3 . Units of Analys i s 14 1.2.5. Summary 15 2. THEORETICAL BACKGROUND 17 2 .1 . 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 . Descr ipt ion of Model 25 2 .2 .2 . Explanation of Model 30 i i i 3. RESEARCH METHODOLOGY 33 3 .1 . Questionnaire Design and Construct ion 33 3.2. Data C o l l e c t i o n Method 35 3 .3 . Data Processing 36 4. SURVEY RESULTS 37 4 .1 . Survey Population 38 4 .1 .1 . Population Size 39 4 .1 .2 . Services 41 4 .1 .3 . Staf f 44 4 .1 .4 . Summary of Survey Results 49 4 .1 .4 .1 . Population Size 49 4 .1 .4 .2 . Services 50 4 .1 .4 .3 . Staf f 51 4.2. Records Keeping A c t i v i t i e s 51 4 .2 .1 . Records Generation and Receipt 52 4 .2 .2 . Records C l a s s i f i c a t i o n 54 4 .2 .2 .1 . Fil ing/Arrangement of Records 54 4 .2 .2 .2 . Access /Retr ieva l of Records 56 4 .2 .2 .3 . D i spos i t ion of Records 58 4 .2 .3 . Records Maintenance 58 4 .2 .4 . Summary of Survey Results 60 4 .2 .4 .1 . Records Generation and R e c e i p t . . . . 60 4 .2 .2 .2 . Records C l a s s i f i c a t i o n 61 4 .2 .3 .3 . Records Maintenance 62 4.3. Records Keeping Systems 62 4 .2 .1 . Records Generation and Receipt 63 4 .2 .2 . Records C l a s s i f i c a t i o n 65 4 .2 .3 . Records Maintenance 67 4 .2 .4 . Summary of Survey Results 70 4 .2 .4 .1 . Records Generation and Receipt 70 4 .2 .4 .2 . Records C l a s s i f i c a t i o n 71 4 .2 .4 .3 . Records Maintenance 71 i v 5. CONCLUSION 73 5.1 . Analys i s of Survey Results 73 5 .1 .1 . Records Generation and Receipt 74 5 .1 .1 .1 . Key Findings 74 5 .1 .1 .2 . Implications of Key Findings 76 5 .1 .2 . Records C l a s s i f i c a t i o n 78 5 .1 .2 .1 . Key Findings 78 5 .1 .2 .2 . Implications of Key Findings 80 5 .1 .3 . Records Maintenance 81 5 .1 .3 .1 . Key Findings 81 5 .1 .3 .2 . Implications of Key F i n d i n g s . . . 83 5 .1 .4 . Summary of Key Findings 84 5 .1 .4 .1 . Records Generation and Receipt 84 5 .1 .4 .2 . Records C l a s s i f i c a t i o n 85 5 .1 .4 .3 . Records Maintenance 85 5.2. Recommendations Based Upon Survey Study 86 5 .2 .1 . Recommendations for Munic ipal Records Keeping Systems 86 5 .2 .2 . Recommendations for Future Research 89 5.3. Conc lus ions . . 91 BIBLIOGRAPHY 93 APPENDIX 100 1. Guidel ines for Document Retention 100 2. Questionnaire and Supporting Documentation 105 3. Condensed Vers ion of Codebook 128 4. A Glossary of Terms 134 v LIST OF TABLES Table Page 1. Populat ion 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 40 2. Services 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 42 3. F u l l - T i m e Staf f i n V i l l a g e , Town, D i s t r i c t and and C i t y M u n i c i p a l i t i e s 45 4. Part-Time Staf f i n V i l l a g e , Town, D i s t r i c t and and C i t y M u n i c i p a l i t i e s 46 5. Records Keeping Staf 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 48 6. Records Generated by V i l l a g e , Town, D i s t r i c t and and C i t y M u n i c i p a l i t i e s 53 7. Records Generation and Receipt: 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 55 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 57 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 59 10. Records Generation and Receipt: 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 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 With Records Management Techniques 66 12. 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 v i LIST OF ILLUSTRATIONS Figure P a g e 1. Model of A Records Keeping System 26 v i i ACKNOWLEDGEMENTS There are many people who gave generously of t h e i r time and knowledge i n c o n n e c t i o n with t h i s study. I am indebted t o P r o f e s s o r Susan Stephenson and P r o f e s s o r T e r r y Eastwood whose p r a c t i c a l a d v i c e , i n v a l u a b l e i n s i g h t s and e d i t i n g s k i l l s h elped r e f i n e and c l a r i f y what i s presented here. I am a l s o g r a t e f u l f o r the a s s i s t a n c e r e c e i v e d 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 , and i t s i n d i v i d u a l members who p a r t i c i p a t e d i n the study. In p a r t i c u l a r , I wish t o thank Norman Cook, A d m i n i s t r a t o r , and Donald West, M u n i c i p a l C l e r k , of the D i s t r i c t of M i s s i o n who were of g r e a t a s s i s t a n c e i n numerous ways. None of t h i s would have come t o f r u i t i o n , however, without the c o n s t a n t support and encouragement of K e i t h , my helpmate and husband. v i i i 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).1 Today nearly 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 is the exclusive responsibility of the individual Bish states: "Mandates from the province to the local governments have increased significantly since municipalities were fir s t required, in 1896" to perform certain functions (1987, 21). For an historical account of this, see Taylor (1984). 1 provinces . Through the provis ions of t h i s ac t , the p r o v i n c i a l l e g i s l a t u r e s are empowered to make laws, governing the formation and operation of l o c a l government. In B r i t i s h Columbia, the Munic ipa l Act sets out the basic powers and r e s p o n s i b i l i t i e s of l o c a l self-governance, providing the l e g a l , p o l i t i c a l , and economic framework within which municipal government must 2 operate. Under the current l e g i s l a t i o n , the fo l lowing four c l a s s i f i c a t i o n s or types of m u n i c i p a l i t i e s ex i s t : (1) A munic ipa l i ty s h a l l be incorporated as a: (a) v i l l a g e , i f the population does not exceed 2,500; (b) town, i f the population exceeds 2,500 but does not exceed 5,000; or (c) c i t y , i f the population exceeds 5,000. (2) Notwithstanding subsection (1), i f the area to be incorporated exceeds 800 hectares and has an average populat ion density of less that 5 persons a hectare , the munic ipa l i ty s h a l l be incorporated as a d i s t r i c t (1986, sec .20:9) . 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 lec ted c o u n c i l s , comprised of a mayor and aldermen serving three year terms. Under the act , 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 to carry out the duties imposed. . .by the province which has created them and to which they are u l t imate ly answerable. The other i s to carry out the wishes of the inhabitants of the area under t h e i r j u r i s d i c t i o n wi th in the scope and to the extent permitted by law (Crawford 1954, 3) . This dual mandate i s achieved through two i n t e r r e l a t e d a c t i v i t i e s , namely: l o c a l policy-making and the p r o v i s i o n of The Munic ipal Act does not regulate , except where expressly provided, the C i t y of Vancouver. I t has i t s own charter 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 council-committee 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 will 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 facilities, animal control, building inspection, business licensing, cemetery operations, c i v i l defence and emergency services, economic development, firearms control, fire 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 facilities and programs, recycling, refuse collection and disposal, sewage treatment and disposal, sewers, sign regulation, social welfare administration, soil f i l l 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 , while the task of carry ing them out are the r e s p o n s i b i l i t y of o f f i c e r s 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 ze of the munic ipa l i ty and the range of serv ices being provided. Under the act , however, there are c e r t a i n o f f i c e r s whom the c o u n c i l must appoint, namely, the pos i t ions of c l e r k , t reasurer , tax c o l l e c t o r , and audi tor . There are prov i s ions i n the act which permit one i n d i v i d u a l to hold severa l o f f i c e s such as c l e r k / t r e a s u r e r or treasurer / tax c o l l e c t o r . Revenue for municipal operations i s derived from a v a r i e t y of sources, inc lud ing: property taxat ion , p r o v i n c i a l grants , l i c ense fees, business taxes and miscellaneous user charges ( e . g . , garbage p i c k - u p ) . Property taxes, however, are the main source of revenue for m u n i c i p a l i t i e s , followed by grants from the p r o v i n c i a l government. M u n i c i p a l i t i e s , along with unincorporated t e r r i t o r i e s , a l so form part of a reg ional system of l o c a l self-governance. This system was es tabl i shed i n 1965 by the p r o v i n c i a l government i n order "to provide a federated approach to l o c a l c o n t r o l over problems transcending municipal boundaries i n e i t h e r a metropol i tan area or i n a nonmetropolitan area" (Higgins 1986, 219) . The governing body i s a board comprised of e lec ted 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 , who are appointed by t h e i r municipal c o u n c i l , and independent l o c a l l y e lected members, c a l l e d e l e c t o r a l area d i r e c t o r s . Although the s tructure of these D i s t r i c t s i s current ly under review by the 4 p r o v i n c i a l government, at present "funct ions . . .performed by a munic ipa l i ty may be exercised by a Regional 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 includes the e l e c t o r a l areas" subject to approval by the p r o v i n c i a l government (Higgins 1986, 219). At the time of the present survey, there 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 within B r i t i s h Columbia, comprised of f o r t y - s i x v i l l a g e s , th i r t een towns, f o r t y - e i g h t d i s t r i c t s , and t h i r t y - e i g h t c i t i e s . Although there 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 small populations of less than 5,000. Supported by only a small tax-base, the adminis trat ive dut ies of these small m u n i c i p a l i t i e s are often the r e s p o n s i b i l i t y of only one person "without the advantage, which i s present i n a larger area [ m u n i c i p a l i t y ] , of a s p e c i a l i s t s taf f" (Brown and O l i v e r 1976, 17). B i s h , author of Local Government i n B r i t i s h Columbia, summarizes the general nature of municipal government as fol lows: Loca l government[s] . . .are diverse not only i n k i n d , but a l so i n geographic scope. The condi t ions , l i f e s t y l e s and preferences of c i t i z e n s across a large province encompassing various c l i m a t i c zones and s p e c i a l i z e d resource bases, from r u r a l f i s h i n g v i l l a g e s , to farm towns and metropolitan centres, adds d i v e r s i t y and complexity to the demands placed on l o c a l governments as they f u l f i l t h e i r dual ro les as adminis trat ive extensions 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 e l e c t o r s . 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 with one another and with 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. Adminis trat ion of Munic ipal Records 1 .1 .2 .1 . L e g i s l a t i o n Under the Munic ipal Act , records generated through the 5 l e g i s l a t i v e and adminis trat ive a c t i v i t i e s of the c o u n c i l and a l l advisory 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 municipal c l e r k . Sect ion 244 of the act i d e n t i f i e s and provides general gu ide l ines for the c l e r k regarding the management, preservat ion , and use of these records as fol lows: 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 to the dut ies and powers prescribed by c o u n c i l . . . (b) i s responsible for the preparat ion and safe preservat ion of the minute books and other records of the business of counc i l and i t s committees; (c) has custody of a l l by-laws, and i s responsible for t h e i r proper completion and for the preservat ion and safekeeping of the o r i g i n a l by-laws; (d) s h a l l keep on hand at l east 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 for perusa l by any person during regular o f f i c e hours; (e) s h a l l cause to be furnished copies 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 sec t ion 220 for reasons of pub l i c in teres t , and may charge a fee of not more than 25c a page for each copy to an appl icant for a copy, not exceeding $5 a copy. . . (1986, 60). The act i m p l i c i t l y leaves the adminis trat ion of records created by municipal o f f i c e r s and departments up to the c o u n c i l . Under Sect ion 251, the counc i l i s authorized to define and assign by bylaw the powers, dut ies , and r e s p o n s i b i l i t i e s of "municipal o f f i c e r s and employees" as "deemed necessary to carry on the good government of the munic ipa l i ty and the provis ions of the act" (1986, 62). The Document Disposal Act out l ines the s tatutory requirements for the re tent ion of pub l i c documents wi th in B r i t i s h Columbia. I t defines the author i t i e s and prescr ibes t h e i r 6 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." The introduction to the supplement states: The information is 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, fiscal, and potential Although section 4 of the Document Disposal Act enables municipalities to preserve their records in the provincial archives, this provision is only an option which, i f acted upon, s t i l l requires the approval of the Provincial Archivist (1979, sec.4:2). 5 . . Section 6, "Document Retention," of the Municipal Manual is 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 is a recognized field 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 is 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 does not 8 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. ii) Existing guidelines in the Municipal Manual provide inadequate information to assist municipalities in the development of a comprehensive records keeping system. There is no information on techniques such as files 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 officials is 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 is the generation and receipt of records being managed? (ii) How is the classification of records being administered? and (i i i ) How is 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 is 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 is 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 facilitate future research in this field 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 is 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. First, i t is presupposed that records require managing. 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, is 12 that synonymous with records management is the concept of control. Serving as the means through which documentary information is 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 field 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 its 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 is 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 field of social science research, exploratory studies are "...essential 13 whenever a researcher is 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 is 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 is 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 is 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 its 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 difficult, 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 will 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 is 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 is 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 is in appendix 3. Chapter 4 presents the results of the survey, derived from the information collected. Quantitative data is presented primarily in the form of tables, describing similarities and differences found among villages, towns, districts and cities 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 field. 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 its 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 is generally accepted...that the arrangement of records is 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 clarify and operationalize the variables relevant to the research purposes of the study.1 This chapter will 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 explanation of the s t r u c t u r a l and operat ional c h a r a c t e r i s t i c s of t h i s model, inc lud ing: (1) the theor ies or underly ing assumptions and p r i n c i p l e s upon which the model i s based; and (2) the meaning and re la t ionsh ips between the concepts or var iab le s i n the model. The chapter begins with a review of the l i t e r a t u r e that was found re levant to the top ic being invest igated , followed by the presentat ion of the model developed for t h i s study. Rooted i n a r c h i v a l science and records management l i t e r a t u r e , the review provides 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 knowledge used to construct the model. 2 .1 . Review of the L i t e r a t u r e Over the past for ty years, an extensive body of l i t e r a t u r e on the p r i n c i p l e s and pract ices of managing records has been developed by i n d i v i d u a l s i n the f i e l d s of records management and a r c h i v a l sc ience . In t h e i r discuss ions of the bas ic concepts, techniques, and issues per ta in ing to the adminis trat ion of records , contr ibutors to t h i s l i t e r a t u r e have sought to answer such questions as what i s records management, how should a system for managing records be organized, what are the dut ies and r e s p o n s i b i l i t i e s of records s ta f f , what i s the r e l a t i o n s h i p between records management and archives administrat ion? Answers to questions such as these tend to be obscured by inadequate standard terminology and i n s u f f i c i e n t a p p l i c a t i o n of s c i e n t i f i c techniques i n studies conducted. Nevertheless , 18 through the process of formulating and seeking answers to these quest ions, contr ibutors have developed and es tabl i shed a base of t h e o r e t i c a l and p r a c t i c a l knowledge to guide and d i r e c t the study of records management. The bas ic concept of records management i s the l i f e cyc l e theory which i s based on the premise that records pass through a s er 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 creat ion 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 des truc t ion or permanent re tent ion . In the f i e l d s of records management and a r c h i v a l sc ience, there appear to be two t h e o r e t i c a l perspect ives on the l i f e cyc l e of a r e c o r d . The f i r s t perspective defines the stages or phases i n the l i f e cyc le of a record p r i m a r i l y i n terms of the frequency of t h e i r use by the administrat ion that created or rece ived them (Diamond 1983; Dokja and Conneen 1984; MacDonald 1982; New York State Education Department 1985; Smith 1986). From t h i s perspect ive , the f i r s t stage i s records c r e a t i o n . This i s when "information i s received or generated and recorded for the f i r s t time, br inging records into existence" (New York State Education Department 1985, 41). The next stage i s genera l ly known as the per iod of ac t ive use which can "range from a few days to several years" (Diamond 1983, 1). During t h i s stage, records are re ferred to more than once per month per l i n e a r foot or f i l e drawer by the creat ing agency ( B r i t i s h Columbia Records Management Branch 1986; Maedke et a l 1981). This i s followed by a t h i r d stage c a l l e d inac t ive use. Although 19 records at t h i s stage are s t i l l required by the creat ing agency, they are r e f e r r e d to less than once per month per f i l e drawer (New York State Education Department 1985). The l a s t stage i s the des truc t ion or permanent retent ion of records . At t h i s stage, records which are no longer useful to the creat ing agency are destroyed while those with continuing or enduring value are preserved. One source ( B r i t i s h Columbia Records Management Branch) i d e n t i f i e s those selected for permanent re tent ion as i n a c t i v e records i n which "there i s one reference per year or less per 5 l i n e a r metres" by the creat ing agency (1986, n . p . ) . An i n t e g r a l part of t h i s p a r t i c u l a r perspect ive , however, i s that 2 not a l l records pass through these stages. In contras t , proponents of the second t h e o r e t i c a l perspect ive define the stages or phases of a record ' s l i f e cyc le s t r i c t l y i n terms of the functions or services performed by s t a f f to serve information needs. For example, Rhoads suggests there are "four major headings or phases representing the t o t a l l i f e cyc le of records": The records creat ion phase include the elements of forms design and management, the preparat ion and management of correspondence, the management of reports and d i r e c t i v e s , the development of management information systems, and the a p p l i c a t i o n of modern technology to these processes. 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, mail and telecommunications For example, Diamond states: "Some records may have no i n a c t i v e p e r i o d , while others may remain i n t h i s stage for several years or even * permanently' (that i s , for the l i f e of the organizat ion)" (1983, 2) . 20 management, the se l ec t ion and management of o f f i c e copying machines, systems ana lys i s , the development and maintenance of v i t a l records programmes, the operat ion of records centres , and the a p p l i c a t i o n , as appropriate , of automation and reprography to these processes. The records d i s p o s i t i o n phase includes the i d e n t i f i c a t i o n and descr ip t ion of records s e r i e s , the development of re tent ion and d i s p o s i t i o n schedules, records a p p r a i s a l , records d i sposa l and the t rans fer of permanently valuable records to the arch ives . Archives adminis trat ion encompasses the design and equipping of a r c h i v a l r e p o s i t o r i e s , methods and processes for the r e p a i r and conservation of archives , the development of access p o l i c i e s , reference serv ice procedures, and the dissemination of archives and a r c h i v a l information. A number of these elements are increas ing ly dependent on the use of computers and micrographics (1983, 2) . From t h i s perspect ive , therefore , the stages represent the bas ic or fundamental tasks involved i n the care and management of records . During the past for ty years, models of the l i f e cyc l e concept have been developed by proponents of both t h e o r e t i c a l perspect ives . Although the s t r u c t u r a l and operat ional c h a r a c t e r i s t i c s of these models vary, they serve as a foundation for the basic concepts and techniques of modern 3 records management. 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 operat ional c h a r a c t e r i s t i c s of these models vary i s provided by comparing Couture and Rousseau with Atherton. Couture and Rousseau maintain that a "document's complete l i f e cycle" i s comprised of the fo l lowing stages which r e f l e c t Pero t in ' s notion of "successive stages": a n a l y s i s , conception, composition, p r i n t i n g and reproduct ion, 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 des truct ion or permanent re tent ion (1986, 51). Atherton, on the other hand, proposes a "unif ied model . . . r e f l e c t i n g 21 Atherton (1985-86), Chat f i e ld (1940), Couture and Rousseau (1986), De Puy (1960), Diamond (1983), Dojka and Conneen (1984), Garr ison (1960), Penn (1981), and Perot in (1966) maintains: A comprehensive records management system w i l l be concerned with everything that happens to the records of an organizat ion throughout t h e i r e n t i r e " l i f e c y c l e , " that i s , from t h e i r "bir th" through t h e i r ac t ive and productive l i f e as means of accomplishing the organizat ion's funct ions , to t h e i r "death" or destruct ion when a l l useful purposes have been served, or t h e i r "reincarnation" as archives i f they have values warranting permanent preservat ion (1983, 24). Publ ished a r t i c l e s , reports , guides and books reviewed on records management provide de ta i l ed descr ipt ions and explanations for "planning, organiz ing, coordinat ing , d i r e c t i n g , c o n t r o l l i n g , and supervis ing a l l types of r e c o r d s . . . f r o m t h e i r creat ion to f i n a l d i spos i t i on" (Fugita et a l 1972, 212). Although i t i s sometimes made d i f f i c u l t by the lack of adequate standard terminology, ana lys i s of t h i s l i t e r a t u r e suggests there i s general agreement on the bas ic functions and scope of a system or programme for managing records throughout t h e i r l i f e cyc l e . Centra l to the s tructure of a records management system are the i n t e r r e l a t e d functions of service 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 pat tern of a continuum rather than a cycle" cons i s t ing of four stages: "creation or rece ip t of records", " c l a s s i f i c a t i o n " , "scheduling of the information" and "maintenance and use" (1985-86, 48). 22 Conneen 1984; Maedke et a l 1981). Service functions encompass the bas ic a c t i v i t i e s performed by records s t a f f , regardless of the s i ze and complexity of an organizat ion ' s operat ions , to f a c i l i t a t e "effect ive management of recorded information through a l l s tages . . . from creat ion to d i sposa l" (Atherton 1985-86, 51). Analys is of these suggests serv ice functions f a l l into three basic categories or f i e l d s of a c t i v i t y : (1) creat ion and accumulation; (2) organizat ion and arrangement; and (3) maintenance and use. In terre la ted with these service funct ions , i s the concept of c o n t r o l , the second funct ion of a records management system. Maedke et a l maintain: Records are created i n a var i e ty of types of documentation and i n a var ie ty of media. They are then d i s t r i b u t e d to those for whom they were created. Af ter the rec ip i en t s take appropriate a c t i o n , the records are maintained i n d i f f e r e n t types of equipment i n various arrangements for vary ing periods of time. At each stage of a c t i v i t y some k ind of contro l i s mandatory (1981, 5) . The funct ion of contro l i s performed through implementation of various "records-management techniques, 1 1 genera l ly r e f e r r e d to i n the l i t e r a t u r e as components or elements, which have been developed to f a c i l i t a t e s p e c i f i c serv ice funct ions (Djoka and Conneen 1984, 2 0 ) . 4 Djoka and Conneen Records management techniques developed inc lude the fo l lowing: correspondence management, d i r e c t i v e s management, reports management, forms management, mai l management, copy reproduct ion management, f i l e s c l a s s i f i c a t i o n system, information r e t r i e v a l system, records re tent ion schedule, ac t ive f i l e s management, inac t ive f i l e s management, v i t a l records protec t ion program, micrographics management, archives admin i s t ra t ion , and records manual management (Couture and Rousseau 1986; Diamond 1983; 23 (1984), Garr i son (1960), and Maedke et a l (1981), for example, s tate that the creat ion , rece ip t and d i s t r i b u t i o n of records can be c o n t r o l l e d through implementing various combinations of the fol lowing components or elements: correspondence management, d i r e c t i v e s management, reports management, forms management, mail management, and copy reproduct ion management. In the l i t e r a t u r e reviewed, i t i s general ly agreed that these components or elements determine the scope of a records management system. Conneen and Dojka, supported by others inc lud ing Couture and Rousseau (1986) and Maedke (1981), s tate that the concept of applying records-management techniques to contro l records throughout t h e i r l i f e cyc l e i s "emphatically 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 to be made. . ." based upon the a v a i l a b i l i t y of resources , the s i ze of operations and the needs of management (1984, 20-21). In other words, the contro l funct ion of a records management system i s t a i l o r e d to s u i t the nature and extent of an organizat ion's operations. The l i t e r a t u r e a lso ind icates , however, that there are a number of records management techniques which should be the core elements of any records keeping system (Couture and Rousseau 1986; Dojka and Conneen 1984). General ly , i t i s Dojka and Conneen 1984; Garrison 1960; Maedke et a l 1981; and Rhoads 198 3) . 24 agreed that these core elements should be: a f i l e s c l a s s i f i c a t i o n system, a records re tent ion schedule and a records procedures manual. Combined, i t i s suggested these provide a foundation for e s tab l i sh ing and monitoring an e f f e c t i v e records keeping system. 2.2. Model of Records Keeping System S t o g d i l l , supported by s o c i a l science research l i t e r a t u r e , s tates that "a set of r e a l events" cannot be understood u n t i l we have acquired "a model or theory that adequately accounts for the s t r u c t u r a l and operat ional c h a r a c t e r i s t i c s of the system being observed" (1970 4, 9) . Based upon the theories and pract ices reviewed on the management of records , a conceptual model of a records keeping system was developed. 2 .2 .1 . Descr ipt ion of Model I l l u s t r a t e d i n Figure 1 i s the model of a records keeping system developed for t h i s study. Records keeping re f er s to the three general f i e l d s of a c t i v i t y i n t e g r a l to managing records , namely: (1) records generation or rece ipt means the crea t ion or rece ip t and d i s t r i b u t i o n of information i n the form of records; (2) records c l a s s i f i c a t i o n means the assignment of records or t h e i r information into categories or 25 RECORDS KEEPING SYSTEM Generation & Receipt C l a s s i f i c a t i o n Maintenance Correspondence • Management F i l e s C l a s s i f i c a t i o n System Active Records Management Dire c t i v e s Management Records Retention Schedule Semi-Active Records Management Forms Management Information Retrieval System Inactive Records Management Reports Management V i t a l Records Management Reproduction Management Micrographics Management Mail Management Manual Management FIGURE l . Model of a Records Keeping System. 26 groups for purposes of i d e n t i f i c a t i o n , arrangement, access, or re t en t ion and d i s p o s i t i o n ; and (3) records maintenance means the phys i ca l care and management of ac t i ve , semi-active and i n a c t i v e records , inc lud ing those that are v i t a l and/or of enduring value . In the model, system refers to the program for c o n t r o l l i n g or monitoring records generation or r e c e i p t , c l a s s i f i c a t i o n , and maintenance, comprised of a combination of the fo l lowing records management techniques or components. Correspondence Management Standardized pract i ces for the composition and production of a wri t ten or pr inted 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 Standardized pract i ces for the preparat ion , issuance and d i s t r i b u t i o n of wri t ten or pr in ted i n s t r u c t i o n s prescr ib ing p o l i c i e s and procedures to be followed i n carry ing out r e s p o n s i b i l i t i e s . Reports Management Standardized pract i ces for the crea t ion , issuance and d i s t r i b u t i o n of accounts of operations or other adminis trat ive information recorded i n n a r r a t i v e , s t a t i s t i c a l , graphic or other form for use i n forming d e c i s i o n , d i r e c t i n g operations or evaluat ing performance. 27 Forms Management Standardized pract i ces for the design, d i s t r i b u t i o n and r e v i s i o n of a pr inted record with blank spaces for the entry of var iab l e data by hand or machine. M a i l Management Standardized pract ices for process ing, s o r t i n g and rout ing any wri t ten communication received or prepared for d i s t r i b u t i o n or d ispatch . Reproduction Management Standardized pract i ces for d u p l i c a t i o n of records using e i ther an e l e c t r o s t a t i c copier , o f f se t press , s t e n c i l d u p l i c a t o r , s p i r i t dup l i ca tor or typewri ter . F i l e s C l a s s i f i c a t i o n System Standardized pract i ces for arranging records into subject groups or categories using numbers and/or l e t t e r s for i d e n t i f y i n g , grouping, and cod i fy ing the recorded information into a cohesive whole. Records Retention Schedule Standardized pract i ces for determining: (1) the length of time records should be maintained i n an o f f i c e before being transferred to a dormant storage area and (2) the length of time each type of record must be reta ined before f i n a l d i s p o s i t i o n e i t h e r by des truct ion or permanent re ten t ion . 28 Information Retrieval System Standardized practices for indexing records by assigning records, based on t h e i r content, into predetermined categories for purposes of information r e t r i e v a l . Active Records Management Standardized practices for managing the storage, r e t r i e v a l , reference, disposal and preservation of records which are required and used i n the conduct of current a f f a i r s . Semi-active Records Management Standardized practices for managing the storage, r e t r i e v a l , reference, disposal and preservation of records which s t i l l r e t a i n value for administrative and operational a c t i v i t i e s but are not required or referred to constantly for the conduct of current a f f a i r s . Inactive Records Management Standardized practices for managing the storage, r e t r i e v a l , reference, disposal and preservation of records which s t i l l r e t a i n value for administrative operational or research purposes but are required or r e f e r r e d to infrequently. V i t a l or Essential Records Management Standardized practices for the selection, duplication, storage and protection of active, 29 semi-act ive or inac t ive records which are e s s e n t i a l i n the event of an emergency for the resumption and/or cont inuat ion of basic functions and r e s p o n s i b i l i t i e s . Micrographics Management Standardized prac t i ce s for the use of microform media: a f i l m image on a r o l l or r e e l , magazine or c a r t r i d g e , jacket , microf iche, and aperture or tab card for purposes of s tor ing and/or preserving information. Manual Management Standardized pract i ces for the preparat ion and r e v i s i o n of records procedures manuals for purposes of i n s t r u c t i o n and reference for personnel . 2 .2 .2 . Explanation of Model In t h i s model, the concept of records keeping involves three primary tasks each of which represents a general f i e l d of a c t i v i t y i n t e g r a l to managing records for information needs. Linked by the underlying funct ion of s erv i ce , these tasks are i n t e r r e l a t e d and interdependent, c o n s t i t u t i n g a continuum rather than successive stages. Together, these three tasks comprise the i n f r a s t r u c t u r e for managing records from t h e i r creat ion and r e c e i p t to t h e i r f i n a l d i s p o s i t i o n . The tasks defined for generation or r e c e i p t and c l a s s i f i c a t i o n cover the time from when records 30 are f i r s t produced or received to when they are d i s t r i b u t e d and organized. Maintenance encompasses tasks p e r t a i n i n g to the care of these records through the periods of t h e i r a c t i v e , semi-act ive and inact ive use. The three primary tasks of generation or r e c e i p t , c l a s s i f i c a t i o n , and maintenance are f a c i l i t a t e d through the a p p l i c a t i o n of records management techniques, namely: correspondence management, d i r e c t i v e management, forms management, reports management, reproduction management, mai l management, f i l e c l a s s i f i c a t i o n system, records re tent ion p l a n , information research system, act ive records management, semi-act ive records management, inact ive records management, v i t a l records management, micrographics management and manual management. Var ia t ions i n the organizat ion of these three p r i n c i p a l f i e l d s of a c t i v i t y are poss ib le i n the development of a system to contro l the administrat ion of records . Each records management technique i s designed to sys temat ica l ly contro l one of the three tasks performed by records s t a f f , summarized as fol lows. (1) The generation and rece ipt of records can be managed through correspondence management, reports management, d i r e c t i v e s management, forms management, mai l management and reproduct ion management. (2) The c l a s s i f i c a t i o n of records can be f a c i l i t a t e d through a f i l e s c l a s s i f i c a t i o n system, records re tent ion schedule and information r e t r i e v a l system. 31 (3) The maintenance of records can be monitored through ac t ive records management, semi-active records management, i n a c t i v e records management, v i t a l records protec t ion program, micrographics management and manual management. In summary, the model i s s tructured 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 of the records keeping process . The three primary tasks are e s sen t ia l to managing records , regardless of t h e i r phys ica l form or volume, while the records management techniques are op t iona l , represent ing the v a r i a t i o n poss ib le i n a records adminis trat ion system. Combined, these provide an a n a l y t i c a l framework adequate for studying any system. 32 CHAPTER THREE RESEARCH METHODOLOGY The research aims of the study required the systematic c o l l e c t i o n of information from a populat ion too large and too dispersed for d i r e c t observation. For t h i s reason, the data c o l l e c t i o n method se lected for conducting the survey was a s e l f -administered quest ionnaire d i s t r i b u t e d and returned through the m a i l . Thi s chapter describes the research methods underly ing the development and administrat ion of the quest ionnaire , and the preparat ion of quest ionnaire data for computer a n a l y s i s . 1 3.1 . Questionnaire Design and Construct ion Designed to c o l l e c t data relevant to the research purposes of the study, the questionnaire was comprised of the fo l lowing four sect ions: generation and rece ipt of records; c l a s s i f i c a t i o n of records; maintenance and use of records; and general information. The f i r s t three sections contained questions designed to acquire information about records keeping systems while the l a s t sect ion consisted of questions formulated to obtain a general p r o f i l e of the survey respondents, inc lud ing populat ion s i ze of the munic ipa l i ty , services performed, and s t a f f . In order to determine s i m i l a r i t i e s and d i f ferences wi th in Concepts and terminology considered important to understanding the research methodology of t h i s study are defined i n appendix 4. 33 the survey populat ion , a contingency question format with closed-ended response categories was se lected . The content and wording of these were developed through l i b r a r y research and interviews with i n d i v i d u a l s knowledgeable i n the f i e l d s of survey research, records management, and municipal government wi th in B r i t i s h Columbia. Fol lowing the completion of a d r a f t , the quest ionnaire was pretested to evaluate i t s design, format, and layout . Four municipal c l e r k s , se lected from 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 wi th in the survey populat ion, were mailed a copy of the d r a f t quest ionnaire to complete. This was followed up by an in-person interview with each c l e r k to determine any problems or d i f f i c u l t i e s encountered with question sequence, wording, spacing and response categories . Feedback rece ived through the pretes t was synthesized and incorporated into the f i n a l vers ion of the quest ionnaire . The quest ionnaire was produced i n a bound booklet form, 2 t o t a l l i n g twenty pages. On the f i r s t page, there was an introductory statement that included: the purpose of the study, terms of p a r t i c i p a t i o n , basic ins truc t ions for completing and re turn ing the quest ionnaire , the assurance of c o n f i d e n t i a l i t y and an explanation of follow-up procedures. In a d d i t i o n , at the beginning of each sect ion i n the quest ionnaire , there was a b r i e f introductory statement, o u t l i n i n g i t s purpose and content. The f i n a l vers ion of the questionnaire that was used for 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 questionnaire was d i s t r i b u t e d by mai l to one hundred and for ty - four m u n i c i p a l i t i e s comprised of f o r t y - f i v e v i l l a g e s , th i r t een towns, forty-seven d i s t r i c t s and 3 t h i r t y - e i g h t c i t i e s . The questionnaire was sent to the municipal c l e r k who, as previous ly s tated, i s respons ible for managing records generated by the Counci l and i t s Committees (Municipal Ac t , 1986). The names and addresses for the mai l -out were drawn from a membership l i s t of the Union of B r i t i s h Columbia M u n i c i p a l i t i e s , dated December 1987. In order to encourage a high response r a t e , each quest ionnaire was accompanied by a covering l e t t e r from the Munic ipa l O f f i c e r s ' Assoc iat ion of B r i t i s h Columbia as we l l as a stamped, se l f -addressed envelope to re turn the completed 4 quest ionnaires . In add i t ion , three weeks a f ter the f i r s t ma i l ing , a second copy of the same quest ionnaire with a fol low-up l e t t e r and stamped, se l f -addressed, re turn envelope were mailed 5 to those who had not responded. The survey populat ion included 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 wi th in B r i t i s h Columbia, incorporated p r i o r to 1986. The study was formally endorsed by the Executive of the Munic ipa l O f f i c e r s ' Assoc ia t ion of B r i t i s h Columbia. The Pres ident , George Paul , provided a l e t t e r to d i s t r i b u t e with the quest ionnaire , encouraging members to p a r t i c i p a t e i n the study. This l e t t e r i s reproduced i n appendix 2. 5 . . . The fol low-up l e t t e r which was sent with the second mai l -out of the quest ionnaire i s reproduced i n appendix 2. 35 3.3. Data Processing A numeric coding scheme was developed to convert a l l data c o l l e c t e d into a standardized format for computer process ing and a n a l y s i s . Each question was assigned v a l i d and missing code categor ies , derived from a combination of the forced-choice response categories and an examination of quest ionnaire re turns . A codebook, l i s t i n g each var iab le with t h e i r code assignments and values was constructed to guide the process . The coded responses for each questionnaire were recorded d i r e c t l y on standard data processing sheets and then entered onto a computer. P r i o r to ana lys i s , data entry was proofed for accuracy to ensure that a l l data was c o r r e c t l y coded. Using the S t a t i s t i c a l Package for the S o c i a l Sciences (SPSS-X ) , s t a t i s t i c s were compiled through un ivar ia te and b i v a r i a t e ana lys i s of the data. Frequency d i s t r i b u t i o n s for a l l var iab le s as we l l as cross - tabulat ions on se lected items were c a l c u l a t e d to compile data for descr ib ing the current state of municipal records keeping operations among those surveyed. A condensed vers ion of the codebook developed to analyze data i s contained i n appendix 3. 36 CHAPTER FOUR SURVEY RESULTS Of the one hundred and for ty - four m u n i c i p a l i t i e s surveyed, one hundred and s ixteen provided usable responses, represent ing 64% (29/45) of the v i l l a g e s , 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 for an o v e r a l l re turn rate of 81% (116/144) 1 The quest ionnaire was completed by various types of municipal o f f i c e r s (90% or 103/114) and records keeping personnel (10% or 11/114), i n c l u d i n g : Adminis trators , Clerk Administrators , Clerk Treasurers , C l e r k s , Deputy/Assistant C l e r k s , Secretar ies , and Records Managers. Divided into three sect ions , t h i s chapter presents the r e s u l t s of the survey. The f i r s t sect ion provides general information about the survey populat ion, descr ib ing 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 with regards to t h e i r populat ion s i z e , serv ices performed and s t a f f . The next sect ion presents a general d e s c r i p t i o n of survey respondents' records keeping operations and i d e n t i f i e s the p r i n c i p a l duties or tasks performed by s t a f f . This i s followed by a sect ion descr ib ing systems for c o n t r o l l i n g Although there i s no agreed upon standard for a minimum response r a t e , these r e s u l t s f a l l wi th in the range considered acceptable . For example, E a r l Babbie, a recognized leader i n survey research methods, maintains: " . . . a response rate of 50 percent i s adequate for analys is and r e p o r t i n g . A response rate of at l eas t 60 percent i s good. And a response rate of 70 percent or more i s very good" (1979, 335). 37 or monitoring these tasks, addressing the questions: (1) How i s the crea t ion and rece ip t of records being administered? (2) How i s the c l a s s i f i c a t i o n of records being managed? and (3) How i s the maintenance of records being handled? The survey r e s u l t s are presented p r i m a r i l y through s t a t i s t i c a l tables compiled from the raw data that was c o l l e c t e d . Using a standardized format, the tables report f indings i n percentages computed from the t o t a l number of usable responses i n each category, indicated i n brackets below the percent f i g u r e s . In accordance with standard pract ices for the presentat ion of numerical data , a l l percentages with decimal f rac t ions have been 2 rounded o f f to whole numbers. 4 .1 . Survey Population Tables 1 through 5 provide a general d e s c r i p t i o n 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 that responded, summarizing information acquired about t h e i r populat ion s i z e , serv ices and s t a f f . Combined, these tables present a general p r o f i l e of the survey populat ion, provid ing the context for the presentat ion of f indings on how 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 are managing t h e i r records . Figures were rounded of f using a method by Walker and Durost (1936) . I f the f i r s t decimal d i g i t was less than f i v e , the l a s t re ta ined d i g i t was not changed and i f i t was more than f i v e , i t was increased by one. When the f i r s t decimal d i g i t was exact ly f i v e , the l a s t d i g i t was reta ined i f the second decimal d i g i t was even and increased by one i f the second decimal d i g i t was odd. 38 4 .1 .1 . Population Size Table 1, Population 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 , presents the range i n populat ion s i z e among the four types of m u n i c i p a l i t i e s . This table suggests that the populat ion of v i l l a g e s and towns are l i m i t e d i n both s i z e and range s ince a l l v i l l a g e s and over three quarters of the towns are under 5,000. In contrast , 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 character ized by a diverse population base, ranging i n s i ze from 1,000 to over 100,000. Under the present Municipal Act , an area i s c l a s s i f i e d as a v i l l a g e i f the populat ion does not exceed 2,500; a town i f the populat ion ranges between 2,501 and 5,000; a d i s t r i c t i f the land area exceeds 800 hectares and there i s a popula t ion densi ty of less than 5 persons per hectare; and a c i t y i f the populat ion exceeds 5,000 (1986 sec.20, 9). Two factors may account for the survey data d i f f e r i n g from these l e g i s l a t e d requirements. F i r s t , i n the past munic ipa l i t i e s were not c l a s s i f i e d a v i l l a g e , town, d i s t r i c t or c i t y based on t h e i r populat ion s i ze or dens i ty . When the Act was revised to i t s present form, the changes were not made r e t r o a c t i v e , r e s u l t i n g i n 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 with populations that d i d not conform to the c r i t e r i a i n the Munic ipal Act (Brown and O l i v e r 1976, 8) . Second, once an area i s incorporated as a v i l l a g e , town, d i s t r i c t or c i t y under the present l e g i s l a t i o n , i t s s tatus remains unchanged, regardless of increases or decreases i n populat ion , unless a r e c l a s s i f i c a t i o n i s requested by the TABLE 1 Population of V i l l a g e , Town D i s t r i c t and C i t y Munic ipa l i t e s Size of Populat ion Type of M u n i c i p a l i t y V i l l a g e Town D i s t r i c t C i t y Under 1,000 41%* (12/29) 1,000 - 2,500 59% 8% 7% 3% (17/29) ( 1/13) ( 3/41) ( 1/33) 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 = 30% ( 9/41) (10/33) 20,001 - 40,000 7% 15% ( 3/41) ( 5/33) 40,001 - 70,000 10% 12% ( 4/41) ( 4/33) 70,001 - 100,000 7% ( 3/41) Over 100,000 7% ( 3/41) 3% ( 1/33) * A l l f igures i n brackets are the number of usable responses percentages were ca lcu la ted from. 40 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 (Bish 1987, 17). Based upon these fac tors , v a r i a t i o n s i n populat ion s i ze and range outside the l e g i s l a t e d requirements appear to be inherent among the four c l a s s i f i c a t i o n s of m u n i c i p a l i t i e s . This may help expla in the survey data f ind ings . 4 .1 .2 . Services Table 2, Services 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 that the bas ic serv ices 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 Munic ipa l Act (1986) gives some scope for v a r i a t i o n i n the s p e c i f i c functions performed by m u n i c i p a l i t i e s , the data shows: a) a l l of the 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 provide general government services (e .g . ,genera l adminis trat ion , accounting, assessment); b) a l l of the towns and over three quarters 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 provide protect ive services ( e . g . , p o l i c e , f i r e p r o t e c t i o n , emergency serv ices ) ; c) a l l of the towns and d i s t r i c t s as we l l as over three quarters of the v i l l a g e s and c i t i e s provide transportat ion serv ices ( e . g . , engineering, pub l i c works, pub 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 wel l as over three quarters of the d i s t r i c t s and c i t i e s provide environmental heal th serv ices ( e . g . , water supply, sewage, garbage/waste c o l l e c t i o n ) ; e) two t h i r d s of the v i l l a g e s and d i s t r i c t s along with over three quarters of towns and c i t i e s provide p u b l i c heal th and welfare 41 Table 2 Services 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 Type of Service Type of M u n i c i p a l i t y V i l l a g e Town D i s t r i c t C i t y General Government 100% 100% 100% 100% (29/29) (13/13) (41/41) (33/33) Pro tec t ive 83% 100% 98% 97% (24/29) (13/13) (40/41) (32/33) Transportat ion 97% 100% 100% 97% (28/29) (13/13) (41/41) (32/33) Environmental Health 100% 100% 95% 97% (29/29) (13/13) (39/41) (32/33) P u b l i c Health & Welfare 66% 77% 66% 85% (19/29) (10/13) (27/41) (28/33) Environmental Development 76% 100% 88% 94% (22/29) (13/13) (36/41) (31/33) Recreat ion , C u l t u r a l , 90% 100% 93% 94% Education (26/29) (13/13) (38/41) (31/33) F i s c a l 97% 100% 88% 94% (28/29) (13/13) (36/41) (31/33) Other 10% 8% 17% 18% ( 3/29) ( 1/13) ( 7/41) ( 6/33) 42 serv ices ( e . g . , h o s p i t a l , cemetery/crematorium, s o c i a l wel fare) ; f) a l l of the towns and over three quarters of the v i l l a g e s , d i s t r i c t s and c i t i e s provide environmental development serv ices ( e . g . , housing, natura l resources development, planning and zoning); g) a l l of the towns and over three quarters of the v i l l a g e s , d i s t r i c t s and c i t i e s provide r e c r e a t i o n a l , c u l t u r a l and educat ional services ( e . g . , parks and recreat ion f a c i l i t i e s , museums, schools ) ; f) a l l of the towns and over three quarters of the v i l l a g e s , d i s t r i c t s and c i t i e s provide f i s c a l services ( e . g . , debt charges, reserves and allowances). Under other serv ices , respondents reported a range of serv ices inc lud ing r e s p o n s i b i l i t y for e l e c t r i c a l generation and d i s t r i b u t i o n , fores try management, a i r p o r t f a c i l i t i e s , land and economic development, l i q u o r agency, l i b r a r y s erv i ce , and t o u r i s t information serv ices . However, less than one quarter of the 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 provide these miscellaneous s erv i ce s . These r e s u l t s tend to support the f indings of a study undertaken by Brown and O l i v e r i n 1976 for the B r i t i s h Columbia Munic ipa l Adminis trat ion Education C o u n c i l . In t h e i r f i n a l r epor t , they maintained that the functions 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 d i f f e r e d p r i m a r i l y only i n terms of scale and s i ze of expenditure (1976, 22). 43 4 . 1 . 3 . S t a f f T a b l e s 3 t h r o u g h 5 show the s i m i l a r i t i e s and d i f f e r e n c e s found i n t h e number and types o f s t a f f employed by m u n i c i p a l i t i e s . T a b l e 3, F u l l - T i m e 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 , p r e s e n t s the range i n s t a f f s i z e among the f o u r t y p e s o f m u n i c i p a l i t i e s . V i l l a g e s , f o l l o w e d by towns, have the s m a l l e s t number. Over t h r e e q u a r t e r s o f v i l l a g e s have t e n o r l e s s f u l l - t i m e employees w h i l e over h a l f o f towns have twenty o r l e s s . The number o f f u l l - t i m e employees f o r b o t h v i l l a g e s and towns does not exceed f i f t y . In c o n t r a s t t o t h i s , d i s t r i c t s and c i t i e s are c h a r a c t e r i z e d by a v a r i e d number o f s t a f f r a n g i n g i n s i z e from l e s s than t e n t o over s i x h u n d r e d . T a b l e 4, P a r t - T i m e 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 , shows the range i n s t a f f s i z e among each o f the m u n i c i p a l i t i e s . A l t h o u g h t h e r e are v a r i a t i o n s , the m a j o r i t y 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 employ a s m a l l number o f p a r t - t i m e s t a f f . Over t h r e e q u a r t e r s o f the v i l l a g e s , f o l l o w e d by h a l f o f t h e towns and over a t h i r d o f the d i s t r i c t s and c i t i e s have t e n o r l e s s p a r t - t i m e employees. S i m i l a r t o t h e s u r v e y r e s u l t s i n T a b l e 3, however, d i s t r i c t s and c i t i e s have a g r e a t e r range i n t h e i r number o f employees than v i l l a g e s and towns. Among v i l l a g e s and towns the number o f p a r t - t i m e employees ranges from t e n o r l e s s t o f o r t y w h i l e i n d i s t r i c t s and c i t i e s t h e number ranges from t e n o r l e s s t o over 240. T a b l e 5, Records Keep ing 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 , r e p o r t s the t y p e s o f r e c o r d s k e e p i n g 44 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, 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 Number of S t a f f * Type of M u n i c i p a l i t y V i l l a g e Town D i s t r i c t C i t y 10 or Less 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% 26% 27% ( 5/12) (10/39) ( 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) Over 600 8% ( 3/39) 3% ( 1/30) 45 Table 4 Part-Time 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 c i p a l i t i e s Number of S t a f f * Type of M u n i c i p a l i t y V i l l a g e Town D i s t r i c t C i t y 10 or Less 83% 50% 37% 39% (19/23) ( 5/10) (13/35) (11/28) 11 - 20 21 - 40 175 30% 14% 203 17% 14% ( 4/23) ( 3/10) ( 5/35) ( 4/28) 113 ( 2/10) ( 6/35) ( 3/28) 41 - 120 14% 21% ( 5/35) ( 6/28) 121 - 240 11% 11% ( 4/35) ( 3/28) Over 240 6 % 3 % ( 2/35) ( 1/28) 46 s t a f f employed by each type of m u n i c i p a l i t y . I t suggests t h a t few 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 employ s t a f f members s p e c i f i c a l l y t o manage t h e i r r e c o r d s . Among the f o u r types of m u n i c i p a l i t e s a l a r g e number have a s e c r e t a r y , a t y p i s t / w o r d p r o c e s s o r o p e r a t o r and, with the e x c e p t i o n of v i l l a g e s , a f i l i n g c l e r k . On the other hand, r e l a t i v e l y few of them have a d a t a i n p u t c l e r k , m i c r o f i l m operator, r e c o r d s manager or a r c h i v i s t . Comments r e c e i v e d from respondents, suggest the reasons f o r t h i s : S e c r e t a r y i s a l s o t y p i s t / w o r d p r o c e s s o r o p e r a t o r , f i l i n g c l e r k and data input c l e r k ( V i l l a g e M u n i c i p a l i t y ) . A l l above [ t y p i s t / w o r d processor, f i l i n g c l e r k , data i n p u t c l e r k ] i s done by the 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 of these are 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 appointed as 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 perform above f u n c t i o n s - no s p e c i f i c j o bs j u s t f o r r e c o r d keeping ( C i t y M u n i c i p a l i t y ) . T h i s l i m i t e d range of r e c o r d s keeping s t a f f i s p a r t i c u l a r l y e v i d e n t among v i l l a g e s . Under the category of "other", over one t h i r d of v i l l a g e s i n d i c a t e d records were managed p r i m a r i l y by m u n i c i p a l o f f i c e r s 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 -t r e a s u r e r , and c l e r k / a d m i n i s t r a t o r . T h i s i s e x e m p l i f i e d by the f o l l o w i n g comments from a few of the respondents: C l e r k - A d m i n i s t r a t o r i s the on l y o f f i c e employee. The V i l l a g e C l e r k a c t s as s e c r e t a r y f o r the C o u n c i l and the 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 persons t h a t handle f i l e s . 47 TABLE 5 Records Keeping Staff i n V i l l a g e , Town, D i s t r i c t and City M u n i c i p a l i t i e s Type of Records Type of Municipality Keeping Staff V i l l a g e Town D i s t r i c t C i t y Secretary 63% 92% 90% 91% (15/24) (12/13) (36/40) (30/33) Typist Word Processor 42% 61% 65% 79% (10/24) ( 8/13) (26/40) (26/33) F i l i n g Clerk 17% 46% 47% 52% ( 4/24) ( 6/13) (19/40) (17/33) Data Input Clerk 8% 15% 39% 36% ( 2/25) ( 2/13) (16/41) (12/33) Microfilm Operator 4% 8% 19% 15% ( 1/27) ( 1/13) ( 8/41) ( 5/33) Records Manager - 8% 20% 15% ( 1/13) ( 8/40) ( 5/33) A r c h i v i s t - - 10% 21% ( 4/41) ( 7/33) Other 39% 15% 5% 6% (11/28) ( 2/13) ( 2/41) ( 2/33) 48 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. ii) 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. vii) Seven percent (8/116) of the municipalities surveyed have a population ranging between 40,001 and 70,000. vi i i ) Three percent (3/116) of the municipalities surveyed have a population ranging between 70,001 and 49 100,000. ix) Three percent (4/116) of the m u n i c i p a l i t i e s surveyed have a p o p u l a t i o n over 100,000. 4.1.4.2. S e r v i c e s i ) One hundred percent (116/116) of the m u n i c i p a l i t i e s surveyed p r o v i d e g e n e r a l government s e r v i c e s . i i ) N i n e t y - f o u r percent (109/116) of the m u n i c i p a l i t i e s surveyed p r o v i d e p r o t e c t i v e s e r v i c e s . i i i ) N i n e t y - e i g h t percent (114/116) of the m u n i c i p a l i t i e s surveyed 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 . i v ) Ninety-seven percent (113/116) of the m u n i c i p a l i t i e s surveyed p r o v i d e environmental h e a l t h s e r v i c e s . v) Seventy-two percent (84/116) of the m u n i c i p a l i t i e s surveyed 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 s e r v i c e s v i ) E i g h t y - e i g h t percent (102/116) of the m u n i c i p a l i t i e s surveyed p r o v i d e environmental development s e r v i c e s . v i i ) N i n e t y - t h r e e percent (108/116) of the m u n i c i p a l i t i e s surveyed 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 s e r v i c e s . v i i i ) N i n e t y - t h r e e percent (108/116) of the m u n i c i p a l i t i e s surveyed p r o v i d e f i s c a l s e r v i c e s . 50 4.1.4.3. Staff i) Of the one hundred and ten municipalities that reported t h e i r number of f u l l - t i m e s t a f f , s i x t y - f i v e percent (71/110) indicated they have less than f i f t y . i i ) Of the ninety-six municipalities that reported t h e i r number of part-time s t a f f , sixty-seven percent (64/96) stated they have less than twenty. i i i ) Under types of records keeping s t a f f : eighty percent (93/110) have a secretary; sixty-four percent (70/110) employ a typist/word processor operator; forty-two percent (46/110) have a f i l i n g c l e r k ; twenty-nine percent (32/112) employ a data input c l e r k ; t h i r t e e n percent (14/111) have a microfilm operator; t h i r t e e n percent (14/111) employ a records manager; and ten percent (11/113) have an a r c h i v i s t . 4.2. Records Keeping A c t i v i t i e s This section provides a general description of the records keeping operations 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 within the survey population. Information i s presented on the three general f i e l d s of a c t i v i t y i n t e g r a l to managing records for information and communication needs, namely: (1) records generation or receipt ( i . e . , the creation or receipt and d i s t r i b u t i o n of information i n the form of records); (2) records c l a s s i f i c a t i o n ( i . e . , the assignment of records or t h e i r information into categories or groups for purposes of 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) records maintenance ( i . e . , the physical care and management of active, semi-active, and inactive records, including those that are v i t a l and/or of enduring value). Within each of these general 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 duties or service functions performed by s t a f f are i d e n t i f i e d , providing a data base from which to assess how municipalities are managing t h e i r records. 4.2.1. Records Generation and Receipt Table 6, Records Generated/Received by V i l l a g e , Town, D i s t r i c t and City M u n i c i p a l i t i e s , reports to what degree the three basic types of record media are used by m u n i c i p a l i t i e s . Although some variati o n s are evident, the data suggests that few differences e x i s t among municipalities. Overall, 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 and/or receive p r i m a r i l y paper records, followed by machine-readable records (e.g., microfiche, floppy disks, magnetic tapes) and to a lesser degree, audio-visual records (e.g., video tapes, cassettes, f i l m e t c . ) . Of p a r t i c u l a r note i s the fact that over three quarters of v i l l a g e , town, d i s t r i c t and c i t y municipalities have machine-readable records. This suggests that a large proportion of mun i c i p a l i t i e s have at least some automated or computerized records keeping operation i n place. Table 7, Records Generation and Receipt: Tasks Performed by V i l l a g e , Town, D i s t r i c t and City M u n i c i p a l i t i e s , suggests s i m i l a r 52 Table 6 Records Generated by V i l l a g e , Town, D i s t r i c t and City M u n i c i p a l i t i e s Types of Records Generated Type of Municipality V i l l a g e Town D i s t r i c t C i t y Paper Records 100% (29/29) 100% (13/13) 100? 100? (41/41) (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 of tasks are performed by municipal s t a f f . The survey data findings show: r a) a l l towns, d i s t r i c t s and c i t i e s as well as over three quarters of the v i l l a g e s generate correspondence ( i . e . , communication i n the form of a l e t t e r or memorandum); b) over three quarters of towns, d i s t r i c t s and c i t i e s along with s l i g h t l y less than three quarters of the v i l l a g e s generate d i r e c t i v e s ( i . e . , instructions prescribing p o l i c i e s and procedures to be followed i n carrying out r e s p o n s i b i l i t i e s ) ; c) over three quarters 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 reports ( i . e . , accounts of operations or other administrative information recorded i n narrative, s t a t i s t i c a l , graphic or other form for use i n forming decisions, d i r e c t i n g operations or evaluating performance); d) over three quarters 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 forms ( i . e . , a printed record with blank spaces for the entry of variable data by hand or machine); e) a l l d i s t r i c t s and well over three quarters of v i l l a g e s , towns and c i t i e s generate copies ( i . e . , duplicate records using either a photocopier, facsimile, typewriter, o f f s e t press, s t e n c i l or s p i r i t d u p l i c a t o r ) . 4.2.2. Records C l a s s i f i c a t i o n 4.2.2.1. Filing/Arrangement of Records 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 City M u n i c i p a l i t i e s , reports how records are organized among the four 54 Table 7 Records Generation and Receipt: 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 V i l l a g e Town D i s t r i c t C i t y Generate Correspondence 93% 100% 100% 100% (27/29) (12/12) (41/41) (33/33) Generate D i r e c t i v e s 74% 92% 85% 82% (20/27) (11/12) (34/40) (27/33) Generate Reports 86% 77% 92% 97% (25/29) (10/13) (36/39) (32/33) Generate Forms 79% 92% 84% 82% (23/29) (12/13) (31/37) (27/33) Copy Records 90% 92% 100% 97% (26/29) (12/13) (41/41) (32/33) 55 c l a s s i f i c a t i o n s 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 are evident , two types predominate. Among v i l l a g e s and towns, the majori ty have a c e n t r a l i z e d f i l i n g system ( i . e . , records are maintained i n one or more centra l locat ions i n accordance with a c e n t r a l l y planned and contro l l ed f i l i n g system). In contras t , the larger proport ion of d i s t r i c t s and c i t i e s use a decentra l i zed system. In h a l f of the d i s t r i c t s and over h a l f of the c i t i e s , s t a f f members and/or departments maintain and c o n t r o l t h e i r own records . Under the category of other, respondents reported miscellaneous systems for f i l i n g t h e i r records . For example: F i l e s are maintained rather haphazardly i n order of funct ion i . e . , accounting, heal th , meetings u t i l i t i e s etc (V i l l age 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 plus decentra l i zed f i l i n g system for spec i f i ed departments ( D i s t r i c t M u n i c i p a l i t y ) . These i r r e g u l a r means for f i l i n g records, however, were employed i n a n e g l i g i b l e number of the m u n i c i p a l i t i e s . 4 .2 .2 .2 . Acces s /Re tr i eva l of Records Among the four types of m u n i c i p a l i t i e s , a large number index t h e i r records ( i . e . , a s s i g n i n g records, based on t h e i r content, in to predetermined categories for purposes of information r e t r i e v a l ) . Data compiled from survey responses ind ica tes that t h i s p a r t i c u l a r task or serv ice funct ion i s c a r r i e d out i n over three quarters of the v i l l a g e s (79% or 22/28), towns (85% or 11/13), d i s t r i c t s (78% or 32/41) and c i t i e s (87% or 28/32). 56 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 of F i l i n g System Type of M u n i c i p a l i t y V i l l a g e Town D i s t r i c t C i t y C e n t r a l i z e d 74% 54% 22% 36% (20/27) ( 7/13) ( 9/41) (12/33) Decentra1i z ed 11% ( 3/27) 31% ( 4/13) 44% (18/41) 54% (18/33) Planned Decentral ized 11% ( 3/27) 15% ( 2/13) 27% (11/41) 9% ( 3/33) Other 4% ( 1/27) ( 2/41) 57 4 .2 .2 .3 . D i s p o s i t i o n of Records Only a small number of the m u n i c i p a l i t i e s reported having a wr i t ten records schedule or retent ion plan d e t a i l i n g how long records are to be maintained. Among the four types of m u n i c i p a l i t i e s , over one t h i r d of v i l l a g e s (3 6% or 10/28) and towns (38% or 5/13) along with less than one t h i r d of d i s t r i c t s (32% or 13/41) and c i t i e s (27% or 9/33) have such a p l a n . However, severa l of the respondents without a records schedule a lso s tated one was being developed. Some of the comments rece ived from them were: We are i n the process of putt ing re tent ion schedules and a new f i l i n g system i n place (Town M u n i c i p a l i t y ) . We are present ly working on a records re tent ion plan ( D i s t r i c t M u n i c i p a l i t y ) . The c i t y has jus t begun t o . . . w o r k on a uniform re ten t ion /des t ruc t ion procedures and p o l i c i e s (City M u n i c i p a l i t y ) . 4 .2 .3 . Records Maintenance 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 , i d e n t i f i e s the range of funct ions performed by municipal s t a f f . This tab le ind icates the fo l lowing s i m i l a r i t i e s and dif ferences among the four c l a s s i f i c a t i o n s of m u n i c i p a l i t i e s . a) Over one t h i r d of towns, h a l f of v i l l a g e s , and two t h i r d s of d i s t r i c t s and c i t i e s maintain semi-active records ( i . e . , records which s t i l l r e t a i n value for administrat ive and operat iona l funct ions but are not required or re ferred to constant ly for the 58 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 V i l l a g e Town D i s t r i c t C i t y Manage Semi-Active Records 62? 42! 68% 70% (18/29) ( 5/12) (28/41) (23/33) Manage 74% 77% 53% 81% V i t a l / E s s e n t i a l Records (20/27) (10/13) (21/40) (26/32) M i c r o f i l m Records 10% 8% 53% 61% ( 3/29) ( 1/13) (21/40) (20/33) Issue 14% 15% 27% 22% Records Keeping Manuals ( 4/28) ( 2/13) (11/41) ( 7/32) 59 conduct of current a f f a i r s ) . b) Over three quarters of the towns and c i t i e s along with jus t under three quarters of the v i l l a g e s and over h a l f of d i s t r i c t s maintain v i t a l / e s s e n t i a l records ( i . e . , ac t i ve , semi-act ive or i n a c t i v e records which are e s sent ia l i n the event of an emergency for the resumption and/or continuation of bas ic funct ions and r e s p o n s i b i l i t i e s ) . 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 less than one quarter of v i l l a q e s and towns microf i lm records ( i . e . , photograph records on f i l m and store e i ther on a r o l l or r e e l , magazine or c a r t r i d g e , aperture or tab card, jacket , and/or micro f i che ) . d) Just over a quarter of d i s t r i c t s along with less than a quarter of v i l l a g e s , towns, and c i t i e s produce manuals on records •keeping procedures for s t a f f . 4 .2 .3 . Summary of Survey Results 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 dut ies or tasks performed i n r e l a t i o n to records generation and r e c e i p t , records c l a s s i f i c a t i o n and records maintenance may be summarized as fo l lows . 4 .2 .3 .1 Records Generation and Receipt i ) One hundred percent (116/116) of the m u n i c i p a l i t i e s surveyed generate or receive paper records . i i ) Eighty-seven percent (101/116) of the m u n i c i p a l i t i e s surveyed generate or rece ive machine-readable records . 60 i i i ) T h i r t y - e i g h t percent (44/116) of the m u n i c i p a l i t i e s surveyed generate or rece ive audio-v i s u a l records . iv) Ninety-e ight percent (113/115) of the m u n i c i p a l i t i e s surveyed generate correspondence. v) Eighty-two percent (91/111) of the m u n i c i p a l i t i e s surveyed generate d i r e c t i v e s . v i ) Ninety percent (103/114) of the m u n i c i p a l i t i e s surveyed generate reports . v i i ) Eighty- three percent (93/111) of the surveyed m u n i c i p a l i t i e s generate forms. v i i i ) N inety - s ix percent (111/116) of the surveyed m u n i c i p a l i t i e s reproduce or copy records . 4 .2 .3 .2 . Records C l a s s i f i c a t i o n i) Forty - three percent (48/113) of the m u n i c i p a l i t i e s surveyed have a centra l i zed f i l i n g system for organiz ing t h e i r records . i i ) T h i r t y - e i g h t percent (43/113) of the m u n i c i p a l i t i e s surveyed have a decentral ized f i l i n g system for organiz ing t h e i r records . i i i ) Seventeen percent (19/113) of the m u n i c i p a l i t i e s surveyed have a planned decentral ized f i l i n g system for organiz ing t h e i r records . iv) Three percent (3/113) of the m u n i c i p a l i t i e s surveyed have miscellaneous f i l i n g systems for organiz ing t h e i r records . 61 v) Eighty-two percent (93/114) of the m u n i c i p a l i t i e s surveyed index t h e i r records. v i ) Th ir ty -one percent (37/115) of the m u n i c i p a l i t i e s surveyed have a wri t ten records schedule or re tent ion p l a n , d e t a i l i n g how long t h e i r records are to be kept. 4 .2 .3 .3 . Records Maintenance i) S i x t y - f o u r percent (74/115) of the m u n i c i p a l i t i e s surveyed maintain semi-active records . i i ) S ix ty -n ine percent (77/112) of the m u n i c i p a l i t i e s surveyed maintain v i t a l records. i i i ) T h i r t y - n i n e percent (45/115) of the m u n i c i p a l i t i e s surveyed microf i lm t h e i r records . iv) Twenty-one percent (24/114) of the m u n i c i p a l i t i e s surveyed issue guidel ines or manuals to s t a f f on records keeping procedures. 4.3. Records Keeping Systems Having i d e n t i f i e d the basic tasks or serv ice funct ions performed by s t a f f within the three general f i e l d s of a c t i v i t y i n t e g r a l to records keeping, Tables 10 through 12 describe the degree to which these a c t i v i t i e s are c o n t r o l l e d or monitored. S p e c i f i c a l l y , data i s presented only on those m u n i c i p a l i t i e s with systems ( i . e . , the a p p l i c a t i o n of records management techniques) for handl inq the qeneration and rece ip t , c l a s s i f i c a t i o n , and maintenance and use of records . Combined, these tables provide data to answer the fo l lowing questions: (1) How i s the c r e a t i o n , 62 r e c e i p t and d i s t r i b u t i o n of records being administered? (2) How i s the c l a s s i f i c a t i o n of records being managed? (3) How i s the maintenance of records being handled? 4 .3 .1 . Records Generation and Receipt Table 10, Records Generation and Receipt: 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, reports the number of m u n i c i p a l i t i e s with uniform p r a c t i c e s for handling the creat ion or r e c e i p t and d i s t r i b u t i o n of information i n the form of records . The tab le ind ica tes the fo l lowing . a) Less than two t h i r d s of towns, less than h a l f of v i l l a g e s and d i s t r i c t s along with less than one t h i r d of c i t i e s have correspondence management ( i . e . , standardized prac t i ce s for the composition and production of a wri t ten or pr in ted 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 three quarters of towns have d i r e c t i v e s management ( i . e . , standardized p r a c t i c e s for the preparat ion, issuance and d i s t r i b u t i o n of wr i t t en or p r i n t e d ins truc t ions prescr ib ing p o l i c i e s and procedures to be followed i n carry ing out r e s p o n s i b i l i t i e s ) . c) Over h a l f of v i l l a g e s , towns, and d i s t r i c t s along with h a l f of the c i t i e s have reports management ( i . e . , standardized prac t i ce s for the crea t ion , issuance and d i s t r i b u t i o n of accounts of operations or other administrat ive information recorded i n n a r r a t i v e , s t a t i s t i c a l , graphic or other form for use i n dec i s ion 63 Table 10 Records Generation and Receipt: 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 Type of M u n i c i p a l i t y Management Technique V i l l a q e Town D i s t r i c t C i t y Correspondence Management 41% 58% 37% 30% (11/27) ( 7/12) (15/41) (10/33) D i r e c t i v e s Management 59% 73% 51% 57% (13/22) ( 8/11) (18/35) (15/27) Reports Management 52% 60% 56% 50% (13/25) ( 6/10) (20/36) (15/30) Forms Management 41% 17% 29% 44% ( 9/22) ( 2/12) ( 9/31) (12/27) Reproduction Management 50% 58% 40% 44% (13/26) ( 7/12) (16/40) (14/32) M a i l Management 72% 77% 76% 70% (21/29) (10/13) (31/41) (23/33) 64 making, d i r e c t i n g operations or evaluating 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 with less than one t h i r d of d i s t r i c t s and less than one quarter of towns have forms management ( i . e . , uniform pract ices for the design, d i s t r i b u t i o n and r e v i s i o n of a pr in ted record with blank spaces for 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, ha l f of v i l l a g e s , and less than h a l f of d i s t r i c t s and c i t i e s have reproduction management ( i . e . , s t a n d a r d i z e d pract i ces for dup l i ca t ion of records using e i t h e r a photocopier, facs imi l e , typewriter , o f f se t press , s t e n c i l dup l i ca tor or s p i r i t d u p l i c a t o r ) . f) Over three quarters of towns and c i t i e s and over two t h i r d s of v i l l a g e s and c i t i e s have mail management ( i . e . , standardized p r a c t i c e s for process ing, sor t ing and rout ing m a i l ) . 4 .3 .2 . Records C l a s s i f i c a t i o n 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 with Records Management Techniques, shows the number of m u n i c i p a l i t i e s with uniform prac t i ce s for handling the assignment of records or t h e i r information into categories or groups for purposes of i d e n t i f i c a t i o n , arrangement, access or d i s p o s i t i o n . This table ind icates the fo l lowing . a) Over three quarters of v i l l a g e s and two t h i r d s of towns while only h a l f of d i s t r i c t s and less 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 system ( i . e . , uniform prac t i ce s 65 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 with Records Management Techniques Type of Records Management Technique Type of M u n i c i p a l i t y V i l l a g e Town D i s t r i c t C i t y Standardized F i l e s 85% 69% 50% 45% C l a s s i f i c a t i o n System* (23/27) ( 9/13) (20/40) (15/33) Information R e t r i e v a l 59% 45% 41% 36% System (13/22) ( 5/11) (13/32) (10/28) Records Retention Schedule 50% ( 5/10) 50% ( 2/4 ) 69% ( 9/13) 67% ( 6/9 ) * Figures based upon a combination of the m u n i c i p a l i t i e s with a c e n t r a l i z e d f i l i n g system ( i . e . , a l l records are maintained i n one or more c e n t r a l locat ions with 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 with a planned decentra l i zed 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 with a c e n t r a l l y planned f i l i n g system) shown i n 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 . 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, districts, 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 districts 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 districts 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 inactive records. This data indicates the following. Total figures for each type of municipality based upon responses reported under subsection 4.2.2.3. Disposition of  Records. 67 a) Less than two th i r d s of towns and d i s t r i c t s and less than hal f of v i l l a g e s and c i t i e s have active records management ( i . e . , standardized practices for managing records which are required and used i n the conduct of current a f f a i r s ) . b) Less than two th i r d s of v i l l a g e s , less than h a l f of the d i s t r i c t s and c i t i e s along with only one quarter of the towns have semi-active records management ( i . e . , standardized practices for managing records which s t i l l r e t a i n value for administrative and operational functions but are not required or referre d to constantly f o r the conduct of current a f f a i r s ) . c) Less than hal f of v i l l a g e s and towns along with less than one t h i r d of d i s t r i c t s and one quarter of c i t i e s have in a c t i v e records management ( i . e . , standardized practices f o r managing records which are maintained for administrative, operational or research purposes but are required or referred to infrequently). d) Less than h a l f of c i t i e s , one t h i r d of 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 essential or v i t a l records protection program ( i . e . , a written plan for the protection of a l l active, semi-active and/or inactive records which would be es s e n t i a l i n the event of an emergency for the resumption and/or continuation of basic functions and r e s p o n s i b i l i t i e s ) . e) With the exception of towns, less than hal f of the d i s t r i c t s , one t h i r d of v i l l a g e s and^less than one t h i r d of the c i t i e s have micrographics management ( i . e . , standardized practices f o r the use of microform media). f) Although a l l of the v i l l a g e s and over hal f of the 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 with Records Management Techniques Type of Records Management Technique Type of M u n i c i p a l i t y V i l l a g e Town D i s t r i c t C i t y Ac t ive Records Management 48% 61% 51% 34% (14/29) ( 8/13) (21/41) (11/32) Semi-Active Records Management 56% (10/18) 25% ( 1/4 ) 48% (13/27) 38% ( 8/21) Inact ive Records Management 48% (14/29) 42% ( 5/12) 28% (11/39) 24% ( 8/33) V i t a l Records Protec t ion Program 29% 30% 33% 42% ( 5/17) ( 3/10) ( 7/21) (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 pra c t i ce s for i s su ing of records procedures manuals for s t a f f ) , i n t o t a l t h i s accounts for only four out of twenty-eight v i l l a g e s , one out of t h i r t e e n towns, f i ve out of forty-one d i s t r i c t s and four out of th ir ty - two c i t i e s . 4 4.3 .4 . Summary of Survey Results Among m u n i c i p a l i t i e s as a whole, the survey f indings on m u n i c i p a l i t i e s with systems ( i . e . , standardized pract ices ) for handling records generation and rece ip t , records c l a s s i f i c a t i o n , and records maintenance may be summarized as fo l lows . 4 . 3 .4 .1 . Records Generation and Receipt i ) Of the one hundred and th i r t een 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. i i ) Of the n i n e t y - f i v e munic ipa l i t i e s that generate d i r e c t i v e s , f i f ty - seven percent (54/95) have d i r e c t i v e s management. i i i ) Of the one hundred and eleven m u n i c i p a l i t i e s that generate reports , f i f t y - f o u r percent (54/111) have reports management. iv) Of the ninety-two munic ipa l i t i e s that generate forms, t h i r t y - e i g h t percent (32/92) have forms T o t a l f igures based upon responses reported i n Table 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 that copy records , f o r t y - s i x percent (50/110) have reproduct ion management. v i ) Of the one hundred and s ixteen m u n i c i p a l i t i e s that responded, seventy-three percent (85/116) have mai l management. 4 .3 .4 .2 . Records C l a s s i f i c a t i o n i) 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 that reported how f i l e s are organized/arranged, f i f t y - n i n e percent (67/113) have a standardized f i l e s c l a s s i f i c a t i o n system. i i ) Of the ninety-three m u n i c i p a l i t i e s that index t h e i r records , f o r t y - f o u r percent (41/93) have an information r e t r i e v a l system. i i i ) Of the t h i r t y - s i x munic ipa l i t i e s that schedule t h e i r records , s ixty-one percent (22/36) have uniform p r a c t i c e s for scheduling records . 4 . 3 .4 .3 . Records Maintenance i ) Of the one hundred and f i f t e e n m u n i c i p a l i t i e s that responded, forty-seven percent (54/115) have ac t ive records management. i i ) Of the seventy m u n i c i p a l i t i e s that maintain semi-a c t i v e records , f o r t y - s i x percent (32/70) have semi-a c t i v e records management. i i i ) 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 that responded, t h i r t y - f o u r percent (38/113) have i n a c t i v e records management. iv) Of the seventy-seven m u n i c i p a l i t i e s that maintain v i t a l or e s sen t ia l records, t h i r t y - f i v e percent (26/74) have a v i t a l records protect ion program. v) Of the f o r t y - f i v e munic ipa l i t i e s that microf i lm records , t h i r t y - t h r e e percent (15/45) have micrographics management. v i ) Of the twenty-four munic ipa l i t i e s that issue guide l ines or manuals on records keeping procedures, s i x t y - f o u r percent (14/22) have manual management. 72 CHAPTER FIVE CONCLUSION A survey study was undertaken to invest igate the s tate of municipal records keeping operations wi th in the Province of B r i t i s h Columbia. Information on selected facets of records adminis trat ion was compiled from 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 to assess how records are managed, to i d e n t i f y common problems, and to make recommendations for improving records keeping systems. Divided into two sect ions , t h i s f i n a l chapter analyzes the survey r e s u l t s to determine t h e i r meaning and to present poss ib le courses of ac t ion based upon them. Within the l i m i t a t i o n s imposed by the research design of the study, the f i r s t sec t ion examines the key f indings and t h e i r impl i ca t ions . The d i scuss ion i s d i r e c t e d by the research questions posed at the outset . How i s the generation and rece ip t of records being administered? How i s the c l a s s i f i c a t i o n of records being managed? and How i s the maintenance of records being handled? In the second sec t ion recommendations are put for th for improving municipal records keeping systems and conducting future research. 5 .1 . Analys i s of Survey Results Based upon the model developed of a records keeping system, information was acquired and compiled on the three general f i e l d s of a c t i v i t y associated with records adminis trat ion , namely: 73 records generation and rece ip t ; records c l a s s i f i c a t i o n and records maintenance and use. The object ives were: (1) to i d e n t i f y the types of tasks or services performed, and (2) to determine which of the services performed are monitored or c o n t r o l l e d . Combined, t h i s information provided a data base from which to evaluate and gain ins ights on the records keeping systems of those m u n i c i p a l i t i e s surveyed. What fol lows i s an ana lys i s of the survey re su l t s reported i n the l a s t chapter. 5 . 1 . 1 . Records Generation and Receipt 5 . 1 . 1 . 1 . Key Findings i) The majori ty of munic ipa l i t i e s surveyed generate and rece ive the same bas ic types of records. Data compiled on the types of records created and received by m u n i c i p a l i t i e s ind ica tes that most of them produce and d i s t r i b u t e correspondence, d i r e c t i v e s , r epor t s , forms and reproductions of records . This f i n d i n g supports records management l i t e r a t u r e which states these are the most common types of records generated and c i r c u l a t e d i n o f f i c e s (Diamond 1983; Dojka and Conneen 1984; Maedke et a l 1981). i i ) The majori ty of munic ipa l i t i e s surveyed lack systematic c o n t r o l over the generation and rece ipt of most records . Ana lys i s of the data compiled for managing records generation and r e c e i p t , ind icates that most 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 for those records which are produced i n the greatest volume by o f f i c e s , namely: correspondence, forms and 74 reproductions (Diamond 1983; Maedke et a l 1981; Smith 1986). i i i ) I t i s questionable whether those m u n i c i p a l i t i e s with uniform pra c t i ce s sys temat ica l ly contro l records generation and r e c e i p t . Ana lys i s of the survey data for managing the generation and r e c e i p t of records revealed the fo l lowing patterns: a) More m u n i c i p a l i t i e s , regardless of type, have uniform prac t i ce s for record types general ly produced by a l i m i t e d range of s ta f f ( i . e . , d i r e c t i v e s and reports) compared to those usual ly generated by a wide range of s t a f f ( i . e . , correspondence, forms and reproduct ions) , suggesting that the fewer the number of s t a f f involved i n producing records, the more l i k e l y i t i s that uniform pract ices ex i s t . b) In general , more v i l l a g e s and towns which are character ized by a l imi ted number of s t a f f have uniform p r a c t i c e s for managing the generation and r e c e i p t of records than do d i s t r i c t s and c i t i e s , suggesting that the fewer the number of s t a f f i n general , the more l i k e l y uniform pract ices ex i s t . These patterns suggest that 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 for handl ing records generation and r e c e i p t . I f so, t h i s presents the p o s s i b i l i t y that the existence of such p r a c t i c e s among those surveyed may be an inherent feature of t h e i r operations rather than represent a systematic approach to 75 c o n t r o l l i n g records generation and r e c e i p t . 5 .1 .1 .2 . Implicat ions of Key Findings Centra l to determining the impl icat ions of the survey f indings i s the question: what i s the importance of monitoring or c o n t r o l l i n g records generation and rece ipt? In order to answer t h i s i t i s necessary to discuss f i r s t of a l l , why records are created. In the l i t e r a t u r e reviewed on records management and a r c h i v a l sc ience, there i s general agreement that records , regardless of the medium or form, are created for two main purposes. F i r s t , and perhaps foremost, records are created to f a c i l i t a t e the communication process. In other words, records are the means by which "documentary information" i s disseminated and used i n any organizat ion (Maedke et a l 1981,4). Secondly, records are generated to r e t a i n information which i s required by an orqanizat ion to carry out i t s mandate or functions (Couture and Rousseau 1986; New York Education Department 1985; Rhoads 1983). Records created and accumulated by m u n i c i p a l i t i e s , for example, serve i n the fol lowing ways: R e c o r d s . . . . c o n t a i n the information that keeps government programs funct ioning. They give government o f f i c i a l s a basis for making dec i s ions , administer ing programs, provid ing administrat ive cont inu i ty with past operat ions . They document the de l i very of s erv i ce s . They show the l ega l r e s p o n s i b i l i t i e s of the government and they protect the l ega l r i g h t s of c i t i z e n s . They contain information on taxat ion and on the management and expenditure of pub l i c funds. They increase the accountab i l i t y of the government and i t s o f f i c e r s . Records, a lso 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, records are invaluable too l s of admin i s tra t ion , created to f a c i l i t a t e or serve information needs ( i . e . , knowledge communicated or received that i s necessary to. perform and/or support the adminis trat ive and operat ional functions of an organ iza t ion ) . Rhoads (198 3), r e f l e c t i n g ideas espoused by others i n the f i e l d of records management and a r c h i v a l sc ience, maintains that monitoring or c o n t r o l l i n g records generation and r e c e i p t enables an organizat ion to meet i t s information needs (Couture and Rousseau 1986; Maedke et a l 1981). S p e c i f i c a l l y , he s tates that crea t ing or c o l l e c t i n g and d i s t r i b u t i n g only those records r e l a t e d d i r e c t l y to and necessary for adminis trat ive and operat ional functions can: (1) prevent the creat ion of non-essent ia l records and thus decrease the volume of records that would otherwise subsequently need to be manipulated, c o n t r o l l e d , stored and disposed of; (2) enhance the u s a b i l i t y and usefulness of records that are needed; and (3) ensure an appropriate l e v e l of r e l i a n c e on micrographics and automation, with the benef i ts they may b r i n g . . . ( 1983, 24). Thus, c o n t r o l over records generation and rece ip t permits an organizat ion to evaluate the q u a l i t y and changing need for information and determine the technology required to meet those needs. With most information being transmitted i n the form of correspondence, d i r e c t i v e s , reports , forms and copies of records , the impl ica t ions of the survey f indings are that most m u n i c i p a l i t i e s do not have a systematic approach or plan to meet 77 t h e i r information needs. As a r e s u l t , 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 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 mater ia l s , equipment, space and human resources required to create and d i s t r i b u t e records for information needs. 5 .1 .2 . Records C l a s s i f i c a t i o n 5 .1 .2 .1 . Key Findings i) Most of the m u n i c i p a l i t i e s surveyed have es tabl i shed systems for handl ing information storage and r e t r i e v a l . Although there are v a r i a t i o n s , data compiled on how records are organized ind ica tes that the majority of m u n i c i p a l i t i e s have developed systems to f i l e and index t h e i r records . This f i n d i n g i s not s u r p r i s i n g i n that these are considered standard operat iona l components of the modern records o f f i c e (Diamond 1983; Dojka and Conneen 1984; Maedke et a l 1981). i i ) I t i s questionable whether those m u n i c i p a l i t i e s with standardized f i l e s c l a s s i f i c a t i o n and indexing systems sys temat ica l ly contro l information storage and r e t r i e v a l . 1 Analys i s of the survey data on how m u n i c i p a l i t i e s organize t h e i r records , ind icates that the majority of m u n i c i p a l i t i e s with This f ind ing i s based upon the data summarized i n 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 with Records Management Techniques. M u n i c i p a l i t i e s with e i ther a cen tra l i zed or planned decentra l i zed f i l i n q system are c l a s s i f i e d as having standardized systems. 78 uniform prac t i ce s for f i l i n g and indexing records are those with a small number of s t a f f . S imi lar to the f indings for records generation and r e c e i p t , t h i s pattern presents the p o s s i b i l i t y that the establishment of such systems may be the r e s u l t of s t a f f s i z e rather than represent part of an o v e r a l l plan to c o n t r o l or monitor information storage and r e t r i e v a l . i i i ) Most of the munic ipa l i t i e s surveyed lack systematic c o n t r o l over the d i s p o s i t i o n of t h e i r records. Data compiled on the procedures for records re tent ion indicates that the majori ty of m u n i c i p a l i t i e s do not have a wri t ten records schedule or re tent ion p l a n . In records management l i t e r a t u r e , t h i s i s considered v i t a l to the contro l of records d i s p o s i t i o n regardless of the sca le and s i ze of an organizat ion's operations (Couture and Rousseau 1986; Dojka and Conneen 1984; Rhoads 1983). A schedule or re tent ion plan provides a framework and set of ru l e s to appraise and manage records from the moment of t h e i r crea t ion to f i n a l d i s p o s i t i o n . Couture and Rousseau s tate: "Retention ru le s are the keystone . . . . T h e y are the v i t a l element that makes i t poss ib le to s t a b i l i z e , r a t i o n a l i z e , and r e t a i n , as we l l as to manage an organizat ion ' s records" (1986, 78). The term "disposi t ion" re fers to a l l act ions taken with regards to noncurrent r e c o r d s , i n c l u d i n g : "transfer to a records canter for temporary storage, t rans fer to an a r c h i v a l agency, donation to an e l i g i b l e repos i tory , reproduction on microf i lm and d e s t r u c t i o n . " (Evans et a l 1974, 421). 79 5.1.2 .2 . Implicat ions of Key Findings The impl icat ions of the survey f indings revolve around the quest ions: what funct ion does records 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 monitoring or c o n t r o l l i n g records c l a s s i f i c a t i o n ? In the model developed of a records keeping system, c l a s s i f i c a t i o n re fers to the assignment of records and/or t h e i r information into predetermined categories for purposes of i d e n t i f i c a t i o n , arrangement, r e t r i e v a l and d i s p o s i t i o n . Based upon a plan or set of r u l e s , records c l a s s i f i c a t i o n provides the i n f r a s t r u c t u r e for e s tab l i sh ing records as information resources ( i . e . , recorded knowledge that i s reta ined for the purpose of serving an organizat ion ' s information needs). Through c l a s s i f i c a t i o n , records are organized i n a coherent manner which provides for t h e i r optimum use, a c c e s s i b i l i t y , and pro tec t ion from the time of t h e i r creat ion or r e c e i p t . I t i s apparent, therefore , that records c l a s s i f i c a t i o n enables an organizat ion to c o n t r o l information created and/or d i s t r i b u t e d by them. In order to exercise such contro l there needs to be uniform or standardized pract i ces for records c l a s s i f i c a t i o n . Couture and Rousseau state that without standards, an organizat ion "cannot expect to derive the maximum benefits" from records which were "created to concret ize and communicate information" (1986, 89) . Based upon t h i s , the impl icat ions of the survey f indings are that m u n i c i p a l i t i e s lack a systematic approach to e s t a b l i s h i n g 80 t h e i r records as information resources. I f t h i s i s the case, 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 throughout the province 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 , preserving and dispos ing of records e s sent ia l to the adminis trat ion of the m u n i c i p a l i t y . 5 . 1 . 3 . Records Maintenance 5 . 1 . 3 . 1 . Key Findings i) Most of the munic ipa l i t i e s surveyed lack systematic c o n t r o l over the adminis trat ion of t h e i r current and noncurrent records . Data compiled on how ac t ive , semi-active and i n a c t i v e records are managed ind icates that the majority 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 for t h e i r maintenance. The development of standards for managing records through the d i f f e r e n t stages or phases of use i s considered c r u c i a l to achieving ongoing c o n t r o l over t h e i r storage, r e t r i e v a l , protec t ion , and d i s p o s i t i o n (Couture and Rousseau 1986; Diamond 1983; Dojka and Conneen 1984; Maedke et a l 1981; Rhoads 1983). i i ) Most of the m u n i c i p a l i t i e s surveyed lack s u f f i c i e n t pro tec t ion for t h e i r v i t a l records. Although most m u n i c i p a l i t i e s have i d e n t i f i e d t h e i r v i t a l records, data compiled on t h e i r management indicates that the majority do not have a wr i t t en plan to preserve those records which would be e s sen t ia l to resume and/or continue operations fol lowing an emergency s i t u a t i o n . According to the l i t e r a t u r e reviewed i n records management, such 81 a plan i s considered necessary for an organizat ion to provide adequate protec t ion for t h e i r v i t a l records (Couture and Rousseau 1986; Diamond 1983; Maedke et a l 1981; Smith 1986). i i i ) Most of the m u n i c i p a l i t i e s surveyed do not microf i lm t h e i r records . Of those that do, the majority lack systematic c o n t r o l over i t s a p p l i c a t i o n and use. Data compiled on procedures for microf i lming records indicates that most 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 . A wel l -planned, systematic program i s considered e s sen t ia l to optimize the advantages or benef i t s microf i lm o f f e r s , namely: eas ier , fas ter information r e t r i e v a l ; economic, e f f i c i e n t use of storage space; and p r o t e c t i o n , preservat ion of information (Couture and Rousseau 1986; Diamond 1983; Maedke et a l 1981). iv) Most of the m u n i c i p a l i t i e s surveyed lack wr i t t en procedures to guide the management of t h e i r records. The majori ty of m u n i c i p a l i t i e s reported not having a manual on records keeping procedures. Designed to serve as a reference as we l l as i n s t r u c t i o n for personnel , such a manual i s described i n records management l i t e r a t u r e as e s sent ia l to the sound adminis trat ion of records , regardless of the s i ze and scale of an organ iza t ion ' s operations (Diamond 1983; Dojka and Conneen 1984; Maedke et a l 1981; Smith 1986). 82 5 .1 .3 .2 . Implicat ions of Key Findings The impl icat ions of the survey f indings can best be understood through addressing the quest ion: what i s the importance or value of c o n t r o l l i n g records maintenance? The answer to t h i s l i e s i n understanding the funct ion or purpose i t serves i n the management of information resources. Rhoads, supported by others i n the l i t e r a t u r e reviewed on records management and a r c h i v a l science, states that records maintenance b a s i c a l l y involves: the use, contro l and storage of records that are needed to carry out or f a c i l i t a t e the functions or a c t i v i t i e s of an organizat ion . I t embodies measures to ensure: (1) the ready a v a i l a b i l i t y of needed information and records , (2) cos t - e f f ec t ive use of current information and records , and (3) s e l ec t ion of suppl ies , equipment and locat ions for the storage of records which are appropriate to the frequency and nature of t h e i r use (1983, 26). In t h i s sense, records maintenance provides an adminis trat ive s tructure to ensure the i n t e g r i t y or preservat ion of information resources for as long as they are required . Structured around information needs, records maintenance i s concerned with the phys ica l care and management of information resources throughout t h e i r l i f e span . I t safeguards against misplacement or loss of records through the development of procedures or programs for sor t ing , cross -re ferenc ing , f i l i n g , s t o r i n g , loaning , maintaining, purging and preserving information resources . Based upon t h i s , the impl icat ions of the survey f indings are that m u n i c i p a l i t i e s lack a systematic approach to maintaining 83 t h e i r information resources. And, without that , 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 would lack s t a b i l i t y , cont inu i ty and e f f i c i ency over those records required to serve information needs. 5 .1 .5 . Summary of Key Findings Through an analys i s of the survey f ind ings , numerous problems have been i d e n t i f i e d perta in ing to the adminis trat ion of municipal records . These may be summarized as fo l lows . 5 .1 .5 .1 . Records Generation and Receipt i ) The majori ty of munic ipa l i t i e s surveyed generate and rece ive the same basic types of records . i i ) The majority of munic ipa l i t i e s surveyed lack systematic c o n t r o l over the generation and r e c e i p t of most records . i i i ) I t i s questionable whether those m u n i c i p a l i t i e s surveyed with uniform pract ices sys temat ica l ly c o n t r o l records generation and r e c e i p t . 5 .1 .5 .2 . Records C l a s s i f i c a t i o n i) Most of the munic ipa l i t i e s surveyed have es tab l i shed systems for handling information storage and r e t r i e v a l . i i ) I t i s questionable whether those m u n i c i p a l i t i e s surveyed with standardized f i l e s c l a s s i f i c a t i o n and indexing systems systematical ly contro l information 84 storage and r e t r i e v a l . i i i ) Most of the munic ipa l i t i e s surveyed lack systematic contro l over the d i s p o s i t i o n of t h e i r 4 records . 5 .1 .5 .3 . Records Maintenance i) Most of the munic ipa l i t i e s surveyed lack systematic c o n t r o l over the administrat ion of t h e i r current and noncurrent records . i i ) Most of the munic ipa l i t i e s surveyed lack s u f f i c i e n t pro tec t ion for t h e i r v i t a l records . i i i ) Most of the m u n i c i p a l i t i e s surveyed do not microf i lm t h e i r records . However, of those that do, the major i ty lack systematic contro l over i t s a p p l i c a t i o n and use. iv) Most of the munic ipa l i t i e s surveyed lack wr i t t en procedures to guide the management of t h e i r records . Based upon these key f indings , t h i s research study indicates that most 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 surveyed lack adequate systems to e f f e c t i v e l y monitor or c o n t r o l This f ind ing i s based upon the data summarized i n 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 with Records Management Techniques. M u n i c i p a l i t i e s with e i ther a c e n t r a l i z e d or planned decentra l i zed f i l i n g system are c l a s s i f i e d as having standardized systems. 4 The term "dispos i t ion" re fers to a l l act ions taken with regards to noncurrent r e c o r d s , i n c l u d i n g : "transfer to a records canter for temporary storage, t rans fer to an a r c h i v a l agency, donation to an e l i g i b l e repos i tory , reproduction on microf i lm and d e s t r u c t i o n . " (Evans et a l , p.421). 85 the three general f i e l d s of a c t i v i t y common to any records keeping operat ions , namely: records generation and r e c e i p t , records c l a s s i f i c a t i o n , and records maintenance. 5.2. Recommendations Based Upon Survey Study In the s o c i a l science l i t e r a t u r e reviewed on exploratory research designs, i t i s general ly agreed that t h i s p a r t i c u l a r type of research serves three main purposes, namely: (1) to seek ins ight s and gain better understanding on an unknown or unstudied t o p i c ; (2) to develop the methodology for further study of the t o p i c , and (3) to make suggestions for future research on the t o p i c (Adams and Schvaneveldt 1985; Babbie 1979). This l a s t sec t ion 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 for : (1) improving municipal records keeping systems, and (2) undertaking further study i n t h i s f i e l d . 5 .2 .1 . Recommendations for Municipal 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 wi th in B r i t i s h Columbia improve t h e i r records keeping systems? There are no simple answers to t h i s question nor standard formula to reso lve the problems i d e n t i f i e d through the study. Jones, Couture and Rousseau (1986), Dokja and Conneen (1984), and Rhoads (1983), a l l emphasize that any plan for managing information resources needs to be " ta i lored to l o c a l needs, resources , and personnel" (1980, 28). Nevertheless, knowledge gained through t h i s study c l e a r l y indicates there i s a need i n a l l cases for 86 greater standardized records management p o l i c y for the 5 adminis trat ion of municipal records. 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 provided with a framework to develop systems for managing records produced or accumulated by them. Based upon the ideas put for th by Couture and Rousseau for developing a records management p o l i c y , the fo l lowing suggestions are put f o r t h : I t i s recommended that standards for the adminis trat ion of a  municipal records keeping system be es tabl i shed. A p r e r e q u i s i t e for the development of an e f f ec t ive records keeping system i s e s t a b l i s h i n g author i ty and r e s p o n s i b i l i t y to coordinate the adminis trat ion of information resources wi th in an organizat ion (Couture and Rousseau 1986; Jones 1980; Maedke et a l 1981; Rhoads 1983). A records keeping system needs to be integrated as part of the ongoing adminis trat ive functions or services performed by the organ iza t ion . Without t h i s , the system w i l l simply be piecemeal developed through sporadic react ions to accumulated problems or the c leaning up of a backlog of o ld records that have become a storage problem. In the case of m u n i c i p a l i t i e s , such a commitment should 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 include the fo l lowing elements: Couture and Rousseau define records management p o l i c y as 1 1 a concerted and well-thought out way of e s t a b l i s h i n g the means [ i . e . , r egu la t ion , s tructure and programs] to e f f i c i e n t l y manage the records produced or accumulated by an organizat ion" (1986, 29). 87 i ) statement e s tab l i sh ing the records keeping system as a cont inuing administrat ive funct ion of the m u n i c i p a l i t y ; i i ) d e f i n i t i o n of the term "records" or "information resources" that are to be covered by the system; i i i ) statement of the goals and object ives of the system; iv) d e s c r i p t i o n of the basic components of the system; v) d e s c r i p t i o n of personnel authorized to organize and maintain the system, inc luding a d e f i n i t i o n of t h e i r r e s p o n s i b i l i t i e s ; v i ) opt ion of creat ing a Records Management Committee to a s s i s t with the administrat ion of the system. I t i s recommended that standards be es tabl i shed to  sys temat ica l ly contro l records generation and r e c e i p t , records  c l a s s i f i c a t i o n and records maintenance. The study ind ica ted that the majori ty 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 the same funct ions , d i f f e r i n g only i n terms of the s i ze and scale of t h e i r s erv i ce s . Since records are considered a by-product of funct ions performed, i t i s feas ib le to develop guide l ines for managing municipal records within B r i t i s h Columbia which includes the fo l lowing components: These elements are derived from suggestions by the New York State Education Department for developing "a f irm l e g a l basis" for the adminis trat ion of l o c a l government records (1985, 10) . 88 i) standards or guidel ines for managing the generat ion, r e c e i p t and d i s t r i b u t i o n of records, i n c l u d i n g : correspondence, d i r e c t i v e s , reports , forms and reproduct ions /dupl i ca t ion of records; i i ) standards or guidel ines for c o n t r o l l i n g and monitoring the f i l i n g , indexing, and scheduling of records created, received and/or d i s t r i b u t e d to serve information needs; i i i ) standards or guidel ines for the phys i ca l care and management of ac t i ve , semi-active and i n a c t i v e records , inc lud ing t h e i r storage, r e t r i e v a l , and p r o t e c t i o n ; iv) standards for e s tab l i sh ing and administer ing a v i t a l records protect ion program, inc lud ing t h e i r 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 ; v) standards for the app l i ca t ion and use of micrographics , inc lud ing: se l ec t ion c r i t e r i a , l e g a l requirements, q u a l i t y controls and storage needs; v i ) standards for e s tab l i sh ing an archives program, i n c l u d i n g : adminis trat ive s tructure , p h y s i c a l f a c i l i t i e s , preservat ion and use of records with a r c h i v a l or continuing value. v i i ) standards or guidel ines for the preparat ion and r e v i s i o n of records procedures manual. 5 .2 .2 . Recommendations for Future Research Being an exploratory survey, the intent of t h i s study was 89 not to t e s t hypotheses but rather to acquire information about a r e l a t i v e l y unknown, unstudied f i e l d . Through the research design and f indings of the survey, new ins ights have been gained to guide future research i n records keeping systems. Based upon these observations, the fol lowing suggestions are put f o r t h for f u r t h e r i n g knowledge i n t h i s area. I t i s recommended that a study be conducted to d iscover  fac tors which may a f fec t the development of munic ipal records  keeping systems. In view of the fact that the majori ty of m u n i c i p a l i t i e s surveyed lack an e f f ec t ive records keeping system, i t would be invaluable to inquire into the reasons for t h i s s i t u a t i o n . Such a study would suggest needed changes and the information needed to make those changes. Factors introduced i n the f i r s t chapter along with the data compiled and analyzed through t h i s study suggest some poss ible causes for the current s tate of municipal records keeping systems, inc lud ing : l e g i s l a t i o n , t r a i n i n g programs, and s t a f f . A future survey should attempt to invest igate these and other poss ib le fac tors which may a f f ec t the development of systems to manage information resources of m u n i c i p a l i t i e s . I t i s recommended that the present study be r e p l i c a t e d i n  f i v e years . The bas ic or fundamental goal of s c i e n t i f i c research i n any f i e l d i s to acquire knowledge or understanding that can be u t i l i z e d to b u i l d or improve the method of study and 90 comprehension of the subject of inquiry (Adams and Schvaneveldt 1985; Babbie 1979; de Vaus 1986). Therefore, the research process i s not simply the c o l l e c t i o n of f a c t s . Instead i t invo lves , "a constant in terp lay between observation and explanat ion, a c o l l e c t i o n of further facts to t e s t the explanat ion, a refinement of the explanation and so on" (de Vaus 1986, 11). In view of t h i s , a future survey should repeat t h i s study to further knowledge about the research methodology employed as we l l as patterns 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 within B r i t i s h Columbia manage t h e i r records . I t i s recommended that the model developed of a records  keeping system be empir i ca l l y tested to determine i t s usefulness  for understanding or explaining the management of information  resources . While the l i t e r a t u r e reviewed of the past f o r t y years t e s t i f i e s to a concerted e f f o r t by records managers and a r c h i v i s t s to define and explain records admini s tra t ion , most of t h i s i s not based upon inquiry using s o c i a l science research methodology. As a r e s u l t , i t was necessary to develop a model to guide the c o l l e c t i o n and analys i s of data. A future study should be aimed at assessing the model through observation and r igorous t e s t i n g . 5.3. Conclusion The former Dominion A r c h i v i s t of Canada, Wi l f red I . Smith, stated over a decade ago: Why i s records management so important? C h i e f l y because, regardless of the media on which they appear, records are information. Information i s e s s e n t i a l to the c a r r y i n g on of any meaningful a c t i v i t y dec i s ion making, planning, operations, assessment of r e s u l t s — and the effect iveness with which t h i s information i s recorded, managed and re tr i eved has a d i r e c t inf luence 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 involved (1976, 7) . The management of records, therefore, i s important not only because the information contained i n them i s a resource but a lso because i t i s a means of introducing e f f i c i e n t , e f f e c t i v e admin i s t ra t ion . The survey f indings c l e a r l y indicate that most of the m u n i c i p a l i t i e s surveyed have not developed systems to manage t h e i r records e f f e c t i v e l y . The question remains then: i s t h i s an i n d i c a t i o n that most municipal o f f i c e r s do not recognize or understand the importance of records to the adminis trat ion of municipal government? 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The American A r c h i v i s t 3, no. 2 ( A p r i l ) : 93-101. Couture, Caro l and Jean-Yves Rousseau. 1986. The L i f e of A  Document. Montreal: Vehicule Press . 94 Cox, Richard J . 1979. The P l i g h t of American Munic ipa l Archives : Balt imore, 1729-1979. American A r c h i v i s t 42, no. 3 (Ju ly ) : 281-92. Cox, Richard J . 1981. An Appra i sa l of Munic ipal Records i n the United States . Publ ic H i s t o r i a n 3, no. 1 (Winter): 49-63. Crawford, Kenneth Grant. 1954. Canadian Munic ipal Government. Toronto: Univers i ty of Toronto. Dearstyne, Bruce W. 1985. Documenting America: Report Assesses the Management of the Nation's H i s t o r i c a l Records. Government Publ icat ions Review 12: 315-20. DeLozier , Leonard. 1985. Unpublished report on the s tate of archives i n B r i t i s h Columbia, P r o v i n c i a l Archives of B r i t i s h Columbia, V i c t o r i a . De Puy, LeRoy. 1960. A r c h i v i s t s and Records Managers - A Partnersh ip . The American A r c h i v i s t 23, no. 1 (January): 49-61. de V a l i n g e r , Leon. 1963. Municipal Archives i n the United States . Archivum 13: 3-12. de Vaus, D.A. 1986. Surveys i n S o c i a l Research. London: George A l l e n & Unwin (Publishers) L t d . Dojka, John and She i la Conneen. 1984. Records Management as an A p p r a i s a l Tool i n College and Univers i ty Arch ives . In A r c h i v a l Choices. Nancy E . Peace, e d . , 19-40. Massachusetts: Lexington Books. Diamond, Susan Z. 1983. Records Management. New York: AMACOM Book D i v i s i o n . D i e r s , Fred V. 1981. Managing Information: A Beginning. Records  Management Quarter ly 15, no. 1: 30-57. Evans, Frank B. 1967. A r c h i v i s t s and Records Managers: V a r i a t i o n s on a Theme. The American A r c h i v i s t 30, no. 1 (January): 45-58. Flanagan, Thomas. 1979. Archives: An Economic and P o l i t i c a l View. A r c h i v a r i a 8 (Summer): 91-101. Fowler, Floyd J . , J r . 1988. Survey Research Methods. 2d ed. Appl ied S o c i a l Research Methods Ser ies , V o l . I . Newbury Park, C a l i f o r n i a : SAGE Publ i ca t ions , Inc. 95 F u j i t a , Harry N. Irene Place , and E s t e l l e L Popham. 1973. Fundamental F i l i n g Practice.Englewood C l i f f s , N . J . : P r e n t i c e - H a l l Inc. G a r r i s o n , Robert W. 1960. Maximum Records Management. The  American A r c h i v i s t 23, no. 4 (October): 415-417. Gordon, Stanley B. 1971. The Municipal Archives : Where the A r c h i v i s t Meets the Records Manager. Records  Management Quarterly 5, no. 4: 14. Grover, Wayne C. 1955. Archives , Society and Profess ion . The  American A r c h i v i s t 18, no. 1 (January): 3-10. Goldenberg, H. C a r l . 1947. P r o v i n c i a l - M u n i c i p a l Relat ions i n  B r i t i s h Columbia. V i c t o r i a : King's P r i n t e r . Hammitt, J . J . 1965. Government Archives and Records Management. The American A r c h i v i s t 28, no. 2 ( A p r i l ) : 219-222. Higgins , Donald J . H . 1986. Local and Urban P o l i t i c s i n Canada. Toronto: Gage Educational Publ i shing Company. Haworth, Kent M. 1976-77. Local Archives: R e s p o n s i b i l i t i e s and Challenges for A r c h i v i s t s . A r c h i v a r i a 3 (Winter): 28-39. House, Janet . 1983a. The Preservation of Loca l Government Records i n New South Wales: H i s t o r i c a l and Current L e g i s l a t i v e Requirements (Part I ) . Archives and Manuscripts 11, no. 1 (May): 38-46. House, Janet . 1983b. The Preservation of Local Government Records i n New South Wales: H i s t o r i c a l and Current L e q i s l a t i v e Requirements (Part I I ) . Archives and Manuscripts 11, no. 2 (November): 162-171. Hughes, Charles E . 1958. Phi lade lphia Program. The American  A r c h i v i s t 21 ( A p r i l ) : 132-42. H u l l , F e l i x . 1983. Towards a National Archives P o l i c y - t h e Loca l Scene. Journal of the Society of A r c h i v i s t s 7, no. 4 (October): 224-29. Jones, H . G . 1980a. Local Government Records: An Introduct ion to  The ir Management. Preservation and Use. American Assoc ia t ion for State and Local H i s t o r y . Jones, H . G . 1980b. The Pink Elephant R e v i s i t e d . The American  A r c h i v i s t 43, no. 4 ( F a l l ) : 473-483. 96 L a i , C a l v i n . 1986. S t a t i s t i c a l Package for S o c i a l Sciences - Extended Vers ion Release 2.0 (Under MTS) . Vancouver, B . C . : Un ivers i ty of B r i t i s h Columbia. Langemo, Dr. Mark. 1985. The Future of Information and Records Management. ARMA Quarterly 19, no. 4 (October): 28, 30-32, 34, 57. Leahy, Emmett J . 1949. Modern Records Management. The American  A r c h i v i s t 12, no. 3 (Ju ly) : 231-42. LeLand, Waldo G. 1941. The A r c h i v i s t i n Times of Emergency. The  American A r c h i v i s t 4, no. 4 (January): 1-12. MacDonald, Mary E . 1982. Handbook for E s t a b l i s h i n g A Records  Management Program i n Alberta M u n i c i p a l i t i e s . Calgary, A l b e r t a : Nichols Appl ied Management. MacDonald, R. Malcolm. 1986. Cooperation i n Loca l Government: The Rome/Floyd Records Program. ARMA Quarter ly 20, no. 4 (October): 12-14. Maclean, Ian 1959. A u s t r a l i a n Experience i n Record and Archives Management. The American A r c h i v i s t 23, no. 4 (October): 387-418. Maedke, Wilmer O . , Mary F . Robek; and Gerald Brown. 1981. Information and Records Management. Beverly H i l l s : Glencoe Press . Moore, T . F . 1986. Record Keeping. Munic ipal O f f i c e r s B u l l e t i n . M i t c h e l l , Thorton W. 1961. The State of Records Management. The American A r c h i v i s t 24, no. 3 (Ju ly ) : 259-267. Munic ipa l O f f i c e r s ' Assoc iat ion of B r i t i s h Columbia. 1989. Terms of Reference for Municipal O f f i c e r s ' Assoc ia t ion Records Management Committee. New York State Education Department. 1985. Managing Loca l  Government Records. Albany, New York: C u l t u r a l Education Center. New York State H i s t o r i c a l Records Advisory Board. 1984. Towards A  Usable Past . New York: New York State H i s t o r i c a l Records Advisory Board and the Nat ional H i s t o r i c a l Publ i ca t ions and Records Commission. Penn, Ira A. 1983. Understanding the L i f e Cycle Concept of Records Management. The Records Management Quarter ly 17, no. 3 (Ju ly ) : 5-8, 41. 97 Penn, I ra A. 1981. Why Information Management? Information and  Records Management 15, no. 1: 10-66. P e r o t i n , Yves. 1966. Administrat ion and the x Three Ages' of Arch ives . The American A r c h i v i s t 29, no. 3 (Ju ly ) : 363-369. Revenue Canada. 1983. Books and records re tent ion and d e s t r u c t i o n . Information C i r c u l a r 78-10R. Ricks , A r t e l . 1977. Records Management as an A r c h i v a l Funct ion . ARMA Quarter ly . 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 Journa l . 13, no. 1 (Spring): 4-8. Rhoads, James B. and Wi l fred I . Smith. 1976. Why Records Management Is Important? ARMA Quarter ly . (January): 5-8, 20. Rhoads, James B. 1983. The Role of Archives and Records  Management i n National Information Systems: A RAMP  Study. P a r i s : United Nations Educat ional , S c i e n t i f i c and C u l t u r a l Organizat ion. PGI-83/WS/21. Rudde l l , R ichard . 1955. Recent Developments i n Munic ipa l Records. The American A r c h i v i s t 18, no. 3 (Ju ly ) : 256-66. Schel lenberg. T . R . 1956. Modern Archives P r i n c i p l e s and  Techniques. Chicago: Univers i ty of Chicago Press . Scot t , James R. 1981. Administrat ion of Munic ipal Records: The Toronto Experience. Government Publ icat ions Review 8A, no. 4: 321-335. S h i f f , Robert A. 1956. The A r c h i v i s t ' s Role i n Records Management. The American A r c h i v i s t 19, no. 2 ( A p r i l ) : 111-120. Somers, Dale A . , Timothy J . Crimmins, and Merl E . Reed. 1973. Surveying the Records of a C i t y : The His tory of A t l a n t a P r o j e c t . The American A r c h i v i s t . 42, no. 3 ( J u l y ) : 353-359. Smith, Mi lburn D. I I I . 1986. Information and Records Management. New York: Quorum Books. S t o g d i l l , Ralph M. 1970. Introduct ion: The Student and Model-B u i l d i n g . Chapter 1 of The Process of Model -Bui ld ing i n  the Behavioral Sciences, ed. Ralph M. S t o g d i l l . USA: Ohio State Un ivers i ty Press . 98 Swift , Michae l . 1985. Management Techniques and Technica 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 Tale with Tables . The Journal of Academic L i b r a r i a n s h i p . 14, no. 6 (January): 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 Hi s tory , ed. G i l b e r t A. S t e l t e r and Alan F . J . A r t i b i s e . Treasury Board of Canada. 1989. Management of Government  Information Holdings. Reprint 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 Metropol i s . Midwestern A r c h i v i s t 2, no. 2: 27-34. Weber, L i s a , ed. 1983. Documenting America: Assessing the  Condit ion of H i s t o r i c a l Records i n the States . New York: Nat ional H i s t o r i c a l Publ icat ions and Records Commission. Wisconsin H i s t o r i c a l Records Advisory Board. 1983. Planning to  Preserve Wisconsin's His tory: The A r c h i v a l Perspect ive . Madison: Wisconsin H i s t o r i c a l Records Advisory Board. Woadden, R .N . 1964. Toronto's Venture Into Paperwork Contro 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 Municipal Counci l and C o u n c i l l o r i n B r i t i s h Columbia. In Lectures on the Philosophy and Functions  of Munic ipa l Government. V i c t o r i a : V i c t o r i a Col l ege . 99 APPENDIX 1 Guidel ines for Document Retention Document Retention The fo l lowing information i s presented only as general gu ide l ine 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 provis ions in the Municipal Act which r e l a t e to t h i s subject . Documents Documents and correspondence are usua l ly retained for a period o f from f ive to seven yea rs . I t i s recommended that the references be made to the provis ions of the Document Oisposal A c t , in p a r t i c u l a r , sect ions 3 and 4 . While the procedures ou t l i ned in sec t ion 3 of the Document Disposal Act should serve as a guide l ine 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 , the s ta tutory requirement of requesting approval for the des t ruc t ion o f pub l ic documents per ta ins only 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 of the P r o v i n c i a l Government. B i l l i n g s 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 cence copies and trade l i cence copies would appear to be of l i t t l e value from an accounting viewpoint a f t e r a period o f f i ve years or more. Bur i a l permits are required to be kept forever . There seems no need at any time of keeping cheque book stubs I f you possess the re la ted cance l led cheques. Some of the other records, however, may be of Interes 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 . Accord ing ly , a careful review should be made p r i o r to the des t ruc t ion of any records and the p o s s i b i l i t y of mic rof i lming c e r t a i n records for preservat ion purposes should be considered. The des t ruc t ion of any documents or records should be authorized at the time by r e so lu t ion o f or Regional Board. The concurrence of the audi tor should a l so be rece ived . Of course no documents which might give r i s e to a cause of ac t ion should be destroyed u n t i l the time l i m i t a t i o n for such ac t ions i s passed. Cause of I t i s Important to note that the majori ty of act ions that may Act ion be brought i n Court cannot be brought a f te r the e x p i r a t i o n of s i x years a f te r the date on which such r i g h t to do so arose. However, in respect o f normal to r t ac t ions , although there i s a s ix year l i m i t a t i o n pe r iod , most act ions would be brought wi th in a year or two af ter the damage has occurred and when coupled with the "not ice of ac t ion" p rov is ions under sect ion 755 of the Municipal A c t , I t would not appear necessary to r e t a in most records for a per iod exceeding two years . This general time period would not apply to such records as Reprinted by permission of the M i n i s t r y of Municipal A f f a i r s . 100 -2-Ouplicate Records By-laws Minutes Personnel Assessment Ro l l b u i l d i n g Inspection reports since the l i m i t a t i o n per iod a r i s i n g from re la ted damages may begin from the time that the damage occurs , which may be many years a f te r the b u i l d i n g permit or occupancy permit was i ssued . 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 advisable 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 . Duplicate records of any k ind not used as working copies should be e l imina ted , keeping only the o r i g i n a l . Sometimes a l i s t i n g or a be t ter system of recording can e l imina te unnecessary bu lk . The o r i g i n a l of every by-law should never be destroyed. I t should be remembered that by-laws form part 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 . Agendas of 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 of the proceedings. Minutes of what went on at meetings are accepted in court as evidence of what t r ansp i red . The minutes are a v i t a l document respecting the conduct of the a f f a i r s of 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 dec i s ions . Personnel f i l e s would not appear to be of value a f te r a period exceeding f ive years . There Is no set per iod of re ten t ion for payro l l records. The books of account and records required 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 provis ions 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 wr i t t en a p p l i c a t i o n to the O i s t r i c t Revenue Canada Taxation Off ice i s made and wr i t t en permission for t h e i r disposal i s obtained, 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 fo l lowing sect ions of r e l a t i v e l e g i s l a t i o n : ( 1 ) Sect ion 2 3 0 ( 1 ) and 230(4) of the Income Tax Ac t ; (2) Sect ion 2 5 ( 1 ) and (2) of the Canada Pension Plan A c t ; and (3) Section 9 7 ( 1 ) and (3) of the Unemployment Insurance A c t . I t i s suggested that assessment r o l l s should be reta ined for h i s t o r i c a l purposes for a minimum of ten years and then be destroyed only on order of Council or the Regional Board. 101 3 Retention The attached schedule may of fe r some assis tance in the Schedules preparat ion and development of appropriate records re ten t ion schedules. Some of the l a rge r m u n i c i p a l i t i e s in Canada have apparently developed t h e i r own record re ten t ion schedules, subject to any requirements imposed by app l icab le p r o v i n c i a l and federal l e g i s l a t i o n . M i c r o f i l m i n g Should i t be des i red to e s t a b l i s h an on-going document disposal program, i t i s suggested that cons idera t ion 'be given to the mic ro f i lming of such documentation in order that a permanent document record can be maintained for the m u n i c i p a l i t y or regional d i s t r i c t . Depending upon the volume and frequency of m a t e r i a l , however, the costs of mic ro f i lming may prove too expensive to undertake for most 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 and storage would o f fe r a far cheaper a l t e r n a t i v e . I f a m u n i c i p a l i t y or regional d i s t r i c t does present ly maintains some program of mic rof i lming I t s documents, reference i s made to subsection (3) of sec t ion 40 of the Evidence Act which makes i t poss ib le 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 destroy documents af ter they have been microfi lmed and which g rea t ly r e l i eve s the problem of storage for such documents. Section 40 i s of value to l o c a l government i n that microf i lmed or photostated records are admissible i n evidence in a Court of law without the necess i ty of r e t a in ing and preserving the volumes of o r i g i n a l documents themselves. For further information In t h i s regard, I t i s suggested your s o l i c i t o r be contacted. 102 Disposal o f Records Schedule SCHEDULE A Documents and Records to be re ta ined 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 that may be destroyed a f te r a lapse o f a per iod ten years :  Assessment R o l l s SCHEDULE C Documents and records that may be destroyed a f te r a lapse of a per iod o f e igh t years :  Cemetery rece ip t s Oog l i cence copies Sewer b i l l I n g s Trade l i cence copies Water b i l l i n g Accounting Records Bank statements Cancelled cheques Vouchers 103 SCHEDULE D Documents and records that may be destroyed wi th in a period of one year :  Cheque book stubs (when possess r e l a t ed cance l l ed cheques). SCHEDULE E Documents and records that may be destroyed af te r a lapse of an i n d e f i n i t e pe r iod :  Bu i ld ing permits ( l i f e of b u i l d i n g ) . Pay ro l l Records ( require wr i t t en permis-sion o f D i s t r i c t Revenue Canada Taxa-t ion O f f i c e ) . Regis ter of e l ec to r s (upon completion of new l i s t under the provis ions o f Par t 2 of the Municipal A c t ) . CORRESPONDENCE General -Spec i f i c -GENERAL The above are minimum re ten t ion periods and the time given for the disposal of any document sha l l be the time figured from the end of the per iod covered by the document. The des t ruc t ion o f any and a l l documents, records, or correspondence at any time sha l l not occur u n t i l a l i s t i s submitted to the Council and authorized by re so lu t ion of the C o u n c i l . 104 APPENDIX 2 Questionnaire 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 letter or memorandum • • N O Y E S 1 I F 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 Y E S 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 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? N O Y E S a) Authority or responsibility for the | 1 . , management or control of DIRECTIVES i 1 I 1 b) Policies for the issuance of DIRECTIVES c) Procedures for the issuance of | 1 | 1 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 c) Procedures for the issuance of REPORTS • EZ3 Y E S • 04 109 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 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 the management or control of FORMS b) Policies for the preparation of FORMS • c) Procedures for the preparation of FORMS • OS 110 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 E S I 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 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 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 N O Y E S • • • • • L Z J 07 112 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) •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 n OTHER (please specify) 2.2 IF there Is a CENTRALIZED or PLANNED DECENTRALIZED filing system, which of the following, IF ANY, are standardized? N O V E S a) Authority or responsibility for the management • 1 > of files classification system ' ' ' ' 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 | j | 1 08 113 2.3 Are records INDEXED? I 1 N O Y E S — i I F 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? a) Authority or responsibility for INDEXING records b) Policies for INDEXING records c) Procedures for INDEXING records d) Staff training in INDEXING records e) Preparation of INDEX f) Reviews of INDEXING system N O Y E S • o • n 09 114 2.4 Is there a WRITTEN records schedule or retention plan which DETAILS how long records are to be maintained? I F Y E S Are ALL staff/departments required to follow UNIFORM practices for SCHEDULING records? • "° I F Y E S Which of the following, IF ANY, are standardized or regulated? N O i Y E S a) Authority or responsibility for SCHEDULING records • • b) Policies for SCHEDULING records c) Procedures for SCHEDULING records • • d) Staff training in SCHEDULING records • I • e) Preparation of records SCHEDULES • • f) Reviews of records SCHEDULES • • 10 115 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 is 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 d) Staff training in managing CURRENT records e) Procurement of filing equipment and supplies for CURRENT records 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 J) Disposal of CURRENT records in accordance with records schedule k) Reviews of operations and equipment • • o n L Z 3 • • • • • n • n • • • • • 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 1 I F Y E S Are ALL staff/departments required to follow UNIFORM practices for the management of SEMI-ACTIVE records? • N O • Y E S 1 I F Y E S Which of the following, IF ANY, are standardized regulated? a) Authority or responsibility for management of SEMI-ACTIVE records b) Policies for the management of SEMI-ACTIVE records 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 g) Making SEMI-ACTIVE records available for use h) Keeping track of SEMI-ACTIVE records borrowed or removed from files i) Protection of SEMI-ACTIVE records against loss or damage J) Disposal of SEMI-ACTIVE records in accordance with records schedule k) Reviews of operations and equipment 12 or N O n • • • • CZi Y E S • LZ3 • • • O (ZD • ; — i • • 117 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? 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 ! k) Preservation of archives (i.e., records which have permanent or enduring value) i 1) Reviews of operations and equipment N O Y E S • • • 13 118 3.4 Are VITAL or ESSENTIAL records identified? N O I Y E S — , I F Y E S 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 N O I V 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 VITAL , , | , records protection program > > • b) Policies for protection of VITAL records c) Procedures for the protection of VITAL records d) Staff training in managing VITAL records e) Procurement of filing equipment and supplies for housing VITAL records f) Reviews of VITAL records program and equipment 14 • cz • LZ3 • LZH • • LZ3 ZD 119 3.5 Are any records MICROFILMED? I K Y E S Are ALL staff/departments required to follow UNIFORM practices for MICROFILMING records? • N O I K Y E S Which of the following, IF ANY, are standardized regulated? or N O Y E S 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 I F Y E S 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? 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 N O Y E S • CZ! 121 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 first 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, etc.) Protective Services (Police, Fire Protection, Emergency Services, etc.) • • • • Public Health and Welfa (Hospital, Cemetery/Crei Transportation Services (Engineering, Public Works, Public Transit, etc.) Environmental Health Services (Water supply, Sewage, Garbage/Waste Collection, etc.) re Services matorium, Social Welfare, etc.) j | Environmental Development Services i 1 (Housing, Natural Resources Development, Planning & Zoning, etc.) ! I Recreational and Cultural Services and Education (Parks and Recreation Facilities, Museums, Schools, etc.) | | Fiscal Services (Debt Charges, Reserves and Allowances, etc.) j j Other (Please specify) 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, etc.) 18 123 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 municipality: (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 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 20 IDENTIFICATION NUMBER APPENDIX 3 Condensed Version of Codebook Introduct ion The quest ionnaire was designed to acquire information about one hundred and f o r t y - s i x var iab les through: (a) f o r t y - f o u r questions which respondents were required to answer ( i . e . , MANDATORY quest ions); (b) and one hundred and two questions which respondents answered only i f i t appl ied to t h e i r s i t u a t i o n (i.e. ,CONDITIONAL quest ions) . For purposes of computer a n a l y s i s , respondents answers to questions were converted in to numbers using a coding scheme. Coding Scheme Each of the one hundred and f o r t y - f o u r var iab le s was assigned a unique alphanumeric name and code category which was mutually exc lus ive and exhaustive. These included: (a) general codes i . e . , common code categories used for both MANDATORY and CONDITIONAL questions, summarized i n Table 1, General Code Categories; and (b) s p e c i a l codes i . e . , code categories re levant only to s p e c i f i c quest ions, summarized i n Table 2, Spec ia l Code Categories: Question 2.1; Table 3, Spec ia l Code Categories: Question 4.1; Table 4, Spec ia l Code Categories: Questions 4.2, 4.6, and 4.8; Table 5, Spec ia l Code Categories: Question 4.3; and Table 6, Spec ia l Code Categories: Question 4.9. 128 TABLE 1 General Code Categories VALUE(S) VALUE DEFINITION NAME LABEL 1 NO Negative Response to MANDATORY or CONDITIONAL quest ion. 2 YES Aff irmat ive response to MANDATORY or CONDITIONAL quest ion. 88 MISSING 1 Incomplete or incorrec t response to MANDATORY or CONDITIONAL quest ion. 00 MISSING 2* CONDITIONAL question which i s NOT appl icable to respondent. * In order to 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 questions were NOT appl icable to respondents, t h i s fourth general coding category was added for a l l CONDITIONAL quest ions. 129 TABLE 2 Spec ia l Code Categories: Question 2.1 VALUE(S) VALUE DEFINITION NAME LABEL CENTRALIZED FILING ALL records are maintained i n one or or more cen tra l locat ions i n accordance with 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 contro 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 with a CENTRALLY PLANNED f i l i n g system. OTHER 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  decentral ized or planned decentra l i zed f i l i n g system. 88 MISSING 1 Incomplete or incorrec t response to question 130 TABLE 3 Spec ia l Code Categories: Question 4.1* VALUE(S) VALUE DEFINITION NAME LABEL 7 VILLAGE V i l l a g e munic ipa l i ty 8 TOWN Town munic ipa l i ty 9 DISTRICT D i s t r i c t munic ipa l i ty 10 CITY C i t y munic ipa l i ty 88 MISSING 1 Incomplete or incorrec t answer to to question. * The f i r s t four response categories are based on Sect ion 20 of the Munic ipa l Act which states that 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 incorporated 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 Spec ia l Code Categories: Questions 4.2, 4.6 and 4.8* VALUE(S) VALUE DEFINITION NAME LABEL N ACTUAL Year or number of people. NUMBER 88 MISSING 1 Incomplete or incorrec t response to question. Responses to each of these questions require the entry of a unique number. 131 TABLE 5 Spec ia l Code Categories: Question 4.3 VALUE(S) VALUE DEFINITION NAME LABEL 11 UNDER 1,000 Population of m u n i c i p a l i t y i s under 1,000 12 1,000-2,500 Population of m u n i c i p a l i t y i s between 1,000 and 2,500. 13 2,501-5,000 Population of m u n i c i p a l i t y i s between 2,501 and 5,000. 14 5,001-10,000 Population of m u n i c i p a l i t y i s between 5,0001 and 10,000. 15 10,001-20,000 Population of m u n i c i p a l i t y i s between 10,001 and 20,000. 16 20,001-40,000 Population of m u n i c i p a l i t y i s between 20,001 and 40,000. 17 40,001-70,000 Population of munic ipa l i ty i s between 40,001 and 70,000. 18 70,001-100,000 Population of m u n i c i p a l i t y i s between 70,001 and 100,000. 19 Over 100,000 Population of m u n i c i p a l i t y i s over 100,000. 88 MISSING 1 Incomplete or i n c o r r e c t answer given to quest ion. 132 TABLE 6 Spec ia l Code Categories: 4.9* VALUE(S) NAME VALUE LABEL DEFINITION 20 22 23 ADMINISTRATOR 21 CLERK/ADMINISTRATOR CLERK/TREASURER CLERK Questionnaire completed by Adminis trator . Questionnaire completed by Clerk /Admin i s t ra tor . Questionnaire completed by Clerk /Treasurer . Questionnaire completed by C l e r k . 24 DEPUTY or ASSISTANT 25 RECORDS MANAGER 26 27 88 SECRETARY OTHER MISSING 1 Questionnaire completed by Deputy or Ass i s tant C l e r k . Questionnaire completed by records manager. Questionnaire completed by secretary. Questionnaire completed by someone other than: administrator c l erk /admin i s t ra tor c l e r k / t r e a s u r e r c l e r k deputy or ass i s tant c l e r k records manager secretary Incomplete or i n c o r r e c t response given to quest ion. * Categories based on data acquired from s i x t y completed quest ionnaires . 133 APPENDIX 4 A Glossary of Terms B i v a r i a t e A n a l y s i s . A method of analyzing "two v a r i a b l e s simultaneously for the purpose of determining the empir i ca l r e l a t i o n s h i p between them" (Babbie 1979, 575) . C i t y . A munic ipa l i ty incorporated under a p r i v a t e charter or "A m u n i c i p a l i t y incorporated or re - incorporated as a c i t y " under the Munic ipal Act with a "population which exceeds 5,000" ( B r i t i s h Columbia Munic ipal Act 1986, 20:9). Closed or Fixed-Response Question. A question format which requires a respondent to se lect t h e i r answers from preassiqned response categories . Codebook. A manual which describes how the data are to be coded, conta in ing a l i s t of the questions, 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 categories ( i . e . , v a l i d and missing codes) for each quest ion. Coding. The process of assigning numeric code values to quest ionnaire responses for purposes of computer s t a t i s t i c a l ana lys i s . Cross -Sec t iona l Study. A study designed to c o l l e c t data from a survey populat ion at a s ingle point i n time. Data Process ing. The process of "transforming the data c o l l e c t e d in to a form appropriate to manipulation and analys i s" (Babbie 1979, 107). Concepts re la ted to data process ing inc lude: codebook, coding, missing code and v a l i d code. Descr ip t ive S t a t i s t i c s . S t a t i s t i c s which describe e i t h e r the d i s t r i b u t i o n of var iab le 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 populat ion. D i s t r i c t . "A munic ipa l i ty incorporated or re - incorporated as a township or d i s t r i c t " under the Munic ipal Act " i f the area to be incorporated exceeds 800 hectares and has an average populat ion density of less that 5 persons a hectare" ( B r i t i s h Columbia Municipal Act 1986, 20:9). Exploratory Study. A study designed to gain ins ight s and assess a r e l a t i v e l y new or unknown t o p i c . 134 Factual Question. A type of question designed to acquire information 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 at a s p e c i f i c point i n time. Questions of fac t should e l i c i t the same answer that the researcher would give i f provided access to the information required to answer the quest ion. F i l t e r or Contingency Question. A ser ies of r e l a t e d questions about a s p e c i f i c t o p i c , designed so respondents answer questions only which are relevant to them. Frequency D i s t r i b u t i o n . "A descr ip t ion of the number of times the various a t t r ibute s of a var iab le are observed i n a [ p o p u l a t i o n ] . . . " (Babbie 1979, 578). Miss ing Code. A code category which represents e i t h e r an inappropriate response ( i . e . , a response contrary to 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 question. M u n i c i p a l i t y . "The corporat ion into which the res idents of an area have been incorporated as a munic ipa l i ty 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 , or a reg iona l d i s t r i c t " ( B r i t i s h Columbia Munic ipa l Act 1986, 20:9). Nonprobabi l i ty Sample. "A sample se lected i n some fashion other than those suggested by p r o b a b i l i t y theory" (Babbie 1979, 581). Pre tes t . Pre l iminary t e s t ing of the quest ionnaire by p o t e n t i a l respondents p r i o r to the actual survey for purposes of i d e n t i f y i n g problems with question sequence, wording, spacing and response categories . Quest ionnaire . An instrument containing standardized questions arranged i n a predetermined sequence and format, designed to c o l l e c t and measure information re levant to aims of a study. A se l f -administered quest ionnaire i s designed to be completed by the respondents themselves. Concepts r e l a t e d to the construct ion of a quest ionnaire include c losed or fixed-response quest ion, f a c t u a l quest ion, f i l t e r question and pretes t . Research Design. A plan or guide for conducting research, based upon the purposes or intent of a study. 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 research. Response Rate. The percentage of the survey populat ion who 135 responded to the quest ionnaire, ca lcu la ted by d i v i d i n g the number of respondents by the t o t a l populat ion . Survey. A research method which involves the cons truct ion and adminis trat ion of a standardized quest ionnaire to a populat ion re levant to the purpose of the research. Town. A munic ipa l i ty incorporated or re - incorporated as a town under the Munic ipal Act with a "population [that] exceeds 2,500 but does not exceed 5,000" ( B r i t i s h Columbia Munic ipal Act 1986, 20:9). Un ivar ia te A n a l y s i s . "The analys i s of a s ing le v a r i a b l e , for purposes of descr ipt ion" (Babbie 1979, 585). A type of u n i v a r i a t e analys 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 represents "an ac tua l answer to a question" (de Vaus 1986, 189). V a r i a b l e . "Any c h a r a c t e r i s t i c or property of a case which has a s er i e s of two or more poss ib le categories in to which a x case ' could 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). V i l l a g e . A munic ipa l i ty incorporated or re - incorporated as a v i l l a g e under the Munic ipal Act with a "population [that] does not exceed 2,500" ( B r i t i s h Columbia Munic ipa l Act 1986, 20:9). 136 

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