RECORDS MANAGEMENT COUNCIL ON
RECORDS RETENTION AND DISPOSITION SCHEDULING
The P r o v i n c e o f B r i t i s h Columbia has p r e p a r e d t h i s r e p o r t under t h e d i r e c t i o n o f t h e F e d e r a l - P r o v i n c i a l - T e r r i t o r i a l Records Management C o u n c i l and i n c o n s u l t a t i o n w i t h C o u n c i l members f o r t h e i n f o r m a t i o n o f t h e i r r e s p e c t i v e governments.
P r e p a r e d by: W a l t e r J . Meyer zu E r p e n , MAS, CRM
Manager, A p p r a i s a l and A c q u i s i t i o n S e c t i o n B r i t i s h Columbia A r c h i v e s and Records S e r v i c e Parlieunent B u i l d i n g s
V i c t o r i a , B r i t i s h Columbia V8V 1X4
TABLE OF CONTENTS T a b l e o f Contents 2 F e d e r a l - P r o v i n c i a l - T e r r i t o r i a l Records Management C o u n c i l 3 Preamble 4 O b j e c t i v e 4 Siimmary o f Recommendations 5 Records R e t e n t i o n and D i s p o s i t i o n S c h e d u l i n g 6 S c h e d u l i n g Recorded I n f o r m a t i o n E x i s t i n g i n More than One
P h y s i c a l Format 7 S c h e d u l i n g A d m i n i s t r a t i v e and O p e r a t i o n a l Records 8 Government-Wide A d m i n i s t r a t i v e Records C l a s s i f i c a t i o n and S c h e d u l i n g System 9 ^ C l i e n t - S p e c i f i c O p e r a t i o n a l Records C l a s s i f i c a t i o n and S c h e d u l i n g Systems 9 I n t e g r a t i o n o f t h e Records C l a s s i f i c a t i o n and S c h e d u l i n g F u n c t i o n s 10 I n t e g r a t e d Records C l a s s i f i c a t i o n and S c h e d u l i n g Systems 10 I n t e g r a t e d Records C l a s s i f i c a t i o n and S c h e d u l i n g
Systems and O f f - S i t e Records s t o r a g e F a c i l i t i e s 12
E f f e c t i v e and E f f i c i e n t A p p r o v a l P r o c e s s 14 Appendices
A G l o s s a r y o f Terms 16 B Advantages and Disadvantages o f the
FEDERAL-PROVINCIAL-TERRITORIAL RECORDS MANAGEMENT COUNCIL
The F e d e r a l - P r o v i n c i a l - T e r r i t o r i a l Records Management C o u n c i l (FPTRMC) i s an i n t e r - g o v e r n m e n t a l working group,
comprised o f r e p r e s e n t a t i v e s from each o f t h e Canadian f e d e r a l , p r o v i n c i a l and t e r r i t o r i a l governments. The C o u n c i l meets a n n u a l l y t o d i s c u s s i s s u e s o f mutual c o n c e r n and i n t e r e s t r e g a r d i n g r e c o r d s management.
The C o u n c i l ' s terms o f r e f e r e n c e a r e as f o l l o w s ;
"The F e d e r a l - P r o v i n c i a l - T e r r i t o r i a l Records Management C o u n c i l a c t s as a l i a i s o n and working group i n o r d e r t o :
c o l l e c t , a n a l y z e and exchange i n f o r m a t i o n on t h e management o f r e c o r d s o f t h e Canadian f e d e r a l , p r o v i n c i a l and t e r r i t o r i a l governments,
d e s c r i b e common p r a c t i c e s , compare program g u i d e l i n e s , c o n t r i b u t e i d e a s t o r e s o l v e s p e c i f i c i s s u e s , and, where a p p l i c a b l e , t o conduct j o i n t p r o j e c t s and p r e p a r e
r e p o r t s i n o r d e r t o a s s i s t each j u r i s d i c t i o n i n t h e management o f i t s r e c o r d s . "
Those terms o f r e f e r e n c e a r e t h e b a s i s upon which t h e
C o u n c i l meets and approves t h e p r e p a r a t i o n , d i s t r i b u t i o n and use o f documentation on m a t t e r s w i t h i n t h e scope o f i t s i n t e r e s t .
PREAMBLE
O b v i o u s l y , t h e i d e a l , i n t h e sense o f a r e c o r d s management v i s i o n , would be i n f o r m a t i o n r e s o u r c e s which were somehow a b l e t o s e l f - d e s t r u c t as soon as they had f u l f i l l e d t h e i r u s e f u l n e s s and no l o n g e r h e l d any a d m i n i s t r a t i v e , o p e r a t i o n a l , f i s c a l , l e g a l , a u d i t , e v i d e n t i a l , i n f o r m a t i o n a l , h i s t o r i c a l , a r c h i v a l , o r r e s e a r c h v a l u e s . I f r e c o r d e d i n f o r m a t i o n had a c c u r a t e s e l f
-knowledge o f i t s r e m a i n i n g v a l u e s and p o t e n t i a l r i s k exposures, t h i s would s u r e l y r e p r e s e n t the u l t i m a t e d i s p o s i t i o n program.
A l t e r n a t e l y , an i n f o r m a t i o n system h a v i n g a r t i f i c i a l
i n t e l l i g e n c e might be d e s i g n e d t o examine and a n a l y z e r e c o r d s f e d through i t on some s o r t o f conveyor b e l t and a u t o m a t i c a l l y a p p l y t o t h o s e r e c o r d s t h e a p p l i c a b l e r e t e n t i o n p e r i o d s and f i n a l d i s p o s i t i o n s , i n c l u d i n g a r c h i v a l s e l e c t i o n c r i t e r i a , from t h e a p p r o p r i a t e r e c o r d s s c h e d u l e .
Automated r e c o r d s management i n f o r m a t i o n systems have a l r e a d y been d e v e l o p e d t o p r o v i d e o n - l i n e a c c e s s t o r e c o r d s
r e t e n t i o n and d i s p o s i t i o n s c h e d u l e s . Some systems even g e n e r a t e f i l e and/or box l a b e l s which c o n t a i n r e t e n t i o n and d i s p o s i t i o n i n f o r m a t i o n and a s s i s t w i t h t h e a p p l i c a t i o n o f approved s c h e d u l e s t o r e c o r d s which a r e ready f o r f i n a l d i s p o s i t i o n . D e s p i t e t h e s e advances i n automating t h e r e c o r d s d i s p o s i t i o n f u n c t i o n , s e l f -d e s t r u c t i n g r e c o r -d s an-d a r t i f i c i a l i n t e l l i g e n c e a r e not y e t the r e a l i t y o f t h e work environment o f today's r e c o r d s managers.
OBJECTIVE
T h i s r e p o r t d e s c r i b e s t h e v i s i o n o f i t s a u t h o r s r e g a r d i n g t h e approach which f e d e r a l , p r o v i n c i a l , and t e r r i t o r i a l
j u r i s d i c t i o n s might adopt i n r e c o r d s r e t e n t i o n and d i s p o s i t i o n s c h e d u l i n g . The r e p o r t p r e s e n t s an i d e a l ; i t does not p r o v i d e a comparative a n a l y s i s o f r e c o r d s s c h e d u l i n g p r a c t i c e s i n those j u r i s d i c t i o n s .
The P e d e r a l - P r o v i n c i a l - T e r r i t o r i a l Records Management C o u n c i l a c c e p t e d t h i s r e p o r t on 11 December 1989.
SUMMARY OF RECOMMENDATIONS
The d i f f e r e n c e between a d m i n i s t r a t i v e and o p e r a t i o n a l
r e c o r d s i s a d i s t i n c t i o n upon which many r e c o r d s management programs a r e based and s h o u l d be r e c o g n i z e d as a fundamental p r i n c i p l e i n r e c o r d s r e t e n t i o n and d i s p o s i t i o n s c h e d u l i n g . I n s c h e d u l i n g t h e r e c o r d s o f a government program o r
a c t i v i t y , a comprehensive approach c o v e r i n g a l l program r e c o r d s , r e g a r d l e s s o f p h y s i c a l format, s h o u l d be adopted. The two fundcunental elements o f r e c o r d s management, r e c o r d s c l a s s i f i c a t i o n and r e t e n t i o n and d i s p o s i t i o n s c h e d u l i n g , s h o u l d be i n t e g r a t e d i n o r d e r t o p r o v i d e government w i t h a freunework f o r t h e comprehensive management o f a l l
i n f o r m a t i o n r e s o u r c e s .
I n t e g r a t e d r e c o r d s c l a s s i f i c a t i o n and s c h e d u l i n g systems c o v e r i n g a l l o f t h e r e c o r d s o f an o r g a n i z a t i o n , r e g a r d l e s s o f p h y s i c a l format, s h o u l d be d r a f t e d and approved i n a s t a n d a r d format.
S i n c e a d m i n i s t r a t i v e r e c o r d s a r e common t o most government a g e n c i e s , a s t a n d a r d government-wide a d m i n i s t r a t i v e r e c o r d s c l a s s i f i c a t i o n and s c h e d u l i n g system s h o u l d be developed and implemented.
S i n c e o p e r a t i o n a l r e c o r d s a r e mandate s p e c i f i c , an
o p e r a t i o n a l r e c o r d s c l a s s i f i c a t i o n and s c h e d u l i n g system c o v e r i n g the mandate s p e c i f i c r e c o r d s o f each c l i e n t agency s h o u l d be d e v e l o p e d and implemented on an agency by agency b a s i s . While an i n t e g r a t e d r e c o r d s c l a s s i f i c a t i o n and s c h e d u l i n g system p r o v i d e s f o r t h e i n t e l l e c t u a l c o n t r o l o f an o r g a n i z a t i o n ' s i n f o r m a t i o n r e s o u r c e s , i t s h o u l d a l s o f a c i l i t a t e t h e p h y s i c a l c o n t r o l and f i n a l d i s p o s i t i o n o f r e c o r d s . I n o r d e r t h a t r e c o r d s may be d i s p o s e d o f i n a t i m e l y and e f f i c i e n t manner w i t h o u t c r e a t i n g s t o r a g e problems, an e f f e c t i v e p r o c e s s f o r o b t a i n i n g t h e a u t h o r i t y n e c e s s a r y t o d e s t r o y r e c o r d s o r t o t r a n s f e r them t o an a r c h i v a l r e p o s i t o r y must e x i s t .
RECORDS RETENTION AND DISPOSITION SCHEDULING
Records r e t e n t i o n and d i s p o s i t i o n s c h e d u l i n g i s t h e p r o c e s s by which t h e r e t e n t i o n p e r i o d s and f i n a l d i s p o s i t i o n o f t h e
r e c o r d e d i n f o r m a t i o n r e s o u r c e s ( r e g a r d l e s s o f p h y s i c a l s t o r a g e media) o f an o r g a n i z a t i o n a r e determined and documented i n o r d e r t h a t f o r m a l a p p r o v a l o f those recommendations may be o b t a i n e d from t h e a p p r o p r i a t e a u t h o r i t y . The s c h e d u l i n g p r o c e s s i s based upon t h e d e t e r m i n a t i o n o f the v a l u e s h e l d by r e c o r d e d
i n f o r m a t i o n .
Records have a d m i n i s t r a t i v e , o p e r a t i o n a l , f i s c a l , l e g a l , a u d i t , and o t h e r v a l u e s which g o v e r n t h e l e n g t h o f time each r e c o r d s e r i e s s h o u l d be r e t a i n e d i n o f f i c e space and o f f - s i t e s t o r a g e . I n a d d i t i o n , h i s t o r i c a l , c u l t u r a l , e v i d e n t i a l ,
i n f o r m a t i o n a l , and o t h e r r e s e a r c h v a l u e s g u i d e i n t h e s e l e c t i o n o f r e c o r d s which have s u f f i c i e n t ongoing v a l u e t o w a r r a n t
t r a n s f e r t o t h e c u s t o d y o f an a r c h i v a l r e p o s i t o r y f o r l o n g - t e r m p r e s e r v a t i o n .
The f i n a l d i s p o s i t i o n o f any r e c o r d s e r i e s may be e i t h e r p h y s i c a l d e s t r u c t i o n , t r a n s f e r t o an a r c h i v a l r e p o s i t o r y f o r f u l l o r s e l e c t i v e r e t e n t i o n , o r a l i e n a t i o n from t h e Crown t o another p u b l i c o r p r i v a t e agency (e.g., l o c a l a r c h i v e s , museum, p r i v a t e company, e t c . ) .
Records s h o u l d be s c h e d u l e d a t the time o f t h e i r c r e a t i o n o r as soon as p o s s i b l e a f t e r c r e a t i o n .
The r e c o r d s r e t e n t i o n and d i s p o s i t i o n s c h e d u l i n g p r o c e s s r e s u l t s i n a document known as a r e c o r d s r e t e n t i o n and
d i s p o s i t i o n s c h e d u l e . There a r e two main t y p e s o f r e c o r d s
s c h e d u l e s . A one-time s c h e d u l e c o v e r s a f i x e d volume o f r e c o r d s from a s t a t e d d a t e range and u s u a l l y r e s u l t s from t h e c l e a n - o u t o f an agency (e.g., a basement o r warehouse a r e a ) . ^ An ongoing s c h e d u l e c o v e r s t h e r e c o r d s which i t d e s c r i b e s u n t i l t h e r e c o r d s change o r a r e no l o n g e r c r e a t e d , o r u n t i l t h e s c h e d u l e i s
r e v i s e d .
The r e c o r d s c l a s s i f i c a t i o n system i s another document which i s e s s e n t i a l t o t h e s c h e d u l i n g p r o c e s s and p r o v i d e s a p l a n f o r the arrangement, f i l i n g , and r e t r i e v a l o f r e c o r d e d i n f o r m a t i o n .
'one-time s c h e d u l e s a r e o f t e n p r e p a r e d t o c o v e r t h e r e c o r d s o f government programs o r a c t i v i t i e s which no l o n g e r e x i s t .
Combined, the r e c o r d s r e t e n t i o n and d i s p o s i t i o n s c h e d u l i n g and r e c o r d s c l a s s i f i c a t i o n p r o c e s s e s f a c i l i t a t e o t h e r r e c o r d s management p r o c e s s e s : the d e t e r m i n a t i o n o f c a t e g o r i e s o f
e s s e n t i a l r e c o r d s ; the i m p l e m e n t a t i o n o f p r i v a c y and freedom o f i n f o r m a t i o n l e g i s l a t i o n ; and the e s t a b l i s h m e n t o f s e c u r i t y
c l a s s i f i c a t i o n s f o r c a t e g o r i e s o f c o n f i d e n t i a l r e c o r d s . F o r a g l o s s a r y o f terms, see Appendix A.
SCHEDULING RECORDED INFORMATION EXISTING IN MORE THAN ONE PHYSICAL FORMAT
Recorded i n f o r m a t i o n may be d e f i n e d as f o l l o w s : Any i n f o r m a t i o n r e g a r d l e s s o f p h y s i c a l format, which i s r e c e i v e d , c r e a t e d , d e p o s i t e d , h e l d by o r i n any m i n i s t r y , agency, b o a r d , commission. Crown c o r p o r a t i o n , i n s t i t u t i o n , committee o r c o u n c i l r e p o r t i n g t o a f e d e r a l , p r o v i n c i a l , o r t e r r i t o r i a l government. A r e c o r d i n c l u d e s : books, documents, maps, drawings, photographs, l e t t e r s , v o u c h e r s , papers and any o t h e r t h i n g on which
i n f o r m a t i o n i s r e c o r d e d o r s t o r e d by any means whether g r a p h i c , e l e c t r o n i c , m e c h a n i c a l o r o t h e r w i s e .
A comprehensive approach t o s c h e d u l i n g the r e c o r d s o f a government program o r a c t i v i t y s h o u l d be adopted. A l l r e c o r d e d i n f o r m a t i o n , r e g a r d l e s s o f p h y s i c a l s t o r a g e media, s h o u l d be s c h e d u l e d a t t h e same time i n o r d e r t o show t h e o v e r a l l
i n f o r m a t i o n c o n t e x t . The r e c o r d s c l a s s i f i c a t i o n and s c h e d u l i n g system s h o u l d s p e c i f y the a c t i v e and s e m i - a c t i v e r e t e n t i o n
p e r i o d s and f i n a l d i s p o s i t i o n f o r a l l p h y s i c a l formats i n which a r e c o r d s e r i e s e x i s t s .
Whereas t r a d i t i o n a l l y most r e c o r d e d i n f o r m a t i o n e x i s t e d i n v a r i o u s paper and m i c r o f o r m formats, i n f o r m a t i o n i s i n c r e a s i n g l y
s t o r e d i n e l e c t r o n i c format. A l t h o u g h the methodology and p r o c e d u r e s t o be f o l l o w e d i n managing e l e c t r o n i c r e c o r d s a r e i n many ways s t i l l under development, the r e c o r d s management
p r o f e s s i o n must a d d r e s s the i s s u e o f e l e c t r o n i c r e c o r d s as soon as p o s s i b l e s i n c e v a l u a b l e e l e c t r o n i c i n f o r m a t i o n r e s o u r c e s a r e b e i n g l o s t .
There a r e two main t y p e s o f e l e c t r o n i c t e c h n o l o g y : l a r g e d a t a b a s e s and o f f i c e automation systems.
The l a r g e database c o n t a i n s i n f o r m a t i o n drawn from many d i f f e r e n t i n p u t docximents and r e s u l t s i n many d i f f e r e n t o u t p u t r e p o r t s . B o t h i n p u t documents and output r e p o r t s a r e commonly s p e c i f i e d i n r e c o r d s c l a s s i f i c a t i o n and s c h e d u l i n g systems. C o n s e q u e n t l y , a systems overview document showing the
r e l a t i o n s h i p s between i n p u t documents and o u t p u t r e p o r t s s h o u l d be p r e p a r e d f o r each i n f o r m a t i o n system o r a p p l i c a t i o n and
a t t a c h e d as an appendix t o the r e c o r d s c l a s s i f i c a t i o n and s c h e d u l i n g system.
O f f i c e automation systems c o n s i s t o f word p r o c e s s i n g systems, e l e c t r o n i c m a i l , and s m a l l database o r s p r e a d s h e e t a p p l i c a t i o n s which a r e u s u a l l y supported by commercial s o f t w a r e packages. The e l e c t r o n i c d a t a o r t e x t u a l r e c o r d s c o n t a i n e d w i t h i n such a p p l i c a t i o n s a r e o f t e n o f l i t t l e v a l u e a f t e r a hardcopy p r i n t o u t has been made and f i l e d . C o n s e q u e n t l y , the m a j o r i t y o f such e l e c t r o n i c i n f o r m a t i o n s h o u l d be t r e a t e d as t r a n s i t o r y r e c o r d s and d e s t r o y e d when no l o n g e r u s e f u l . The e x c e p t i o n s a r e d a t a o r t e x t u a l r e c o r d s which a r e more s u b s t a n t i a l i n n a t u r e and which may be r e q u i r e d f o r r e u s e .
SCHEDULING ADMINISTRATIVE AND OPERATIONAL RECORDS
The d i f f e r e n c e between a d m i n i s t r a t i v e and o p e r a t i o n a l r e c o r d s i s a d i s t i n c t i o n upon which many r e c o r d s management programs a r e based and s h o u l d be r e c o g n i z e d as a fundamental p r i n c i p l e i n r e c o r d s r e t e n t i o n and d i s p o s i t i o n s c h e d u l i n g .
A d m i n i s t r a t i v e r e c o r d s a r e common t o most o r g a n i z a t i o n s , i n c l u d i n g government a g e n c i e s , and p e r t a i n t o g e n e r a l
a d m i n i s t r a t i v e m a t t e r s and i n t e r n a l housekeeping f u n c t i o n s such as the management o f f a c i l i t i e s , p r o p e r t y , m a t e r i e l , f i n a n c i a l r e s o u r c e s , p e r s o n n e l , and i n f o r m a t i o n systems. A d m i n i s t r a t i v e r e c o r d s a r e sometimes r e f e r r e d t o as housekeeping r e c o r d s .
O p e r a t i o n a l r e c o r d s r e l a t e t o the o p e r a t i o n s and s e r v i c e s p r o v i d e d by a government agency i n c a r r y i n g out the f u n c t i o n s f o r which i t i s r e s p o n s i b l e a c c o r d i n g t o s t a t u t e , mandate, o r p o l i c y . O p e r a t i o n a l r e c o r d s a r e u s u a l l y unique t o each government agency.
Government-Wide A d m i n i s t r a t i v e Records C l a s s i f i c a t i o n and S c h e d u l i n g System
S i n c e a d m i n i s t r a t i v e r e c o r d s a r e common t o most government a g e n c i e s , a s t a n d a r d government-wide a d m i n i s t r a t i v e r e c o r d s c l a s s i f i c a t i o n and s c h e d u l i n g system s h o u l d be d e v e l o p e d and implemented.^ S e v e r a l f e d e r a l and p r o v i n c i a l models e x i s t which might be t a i l o r e d t o meet t h e needs o f a p a r t i c u l a r p r o v i n c i a l o r t e r r i t o r i a l government. S i n c e Crown c o r p o r a t i o n s and o t h e r
quasi-autonomous government a g e n c i e s o f t e n r e p o r t t o government i n a manner d i f f e r e n t from t h a t o f government m i n i s t r i e s o r departments, i t might a l s o be n e c e s s a r y t o t a i l o r t h e model
chosen t o r e f l e c t t h e s p e c i f i c r e p o r t i n g needs o f such a g e n c i e s .
C l i e n t - S p e c i f i c O p e r a t i o n a l Records C l a s s i f i c a t i o n and S c h e d u l i n g Systems
S i n c e o p e r a t i o n a l r e c o r d s a r e mandate s p e c i f i c , an
o p e r a t i o n a l r e c o r d s c l a s s i f i c a t i o n and s c h e d u l i n g system c o v e r i n g t h e mandate s p e c i f i c r e c o r d s o f each c l i e n t agency s h o u l d be
developed and implemented on an agency by agency b a s i s . The c l a s s i f i c a t i o n and s c h e d u l i n g o f t h e r e c o r d s o f a whole m i n i s t r y o r department r e q u i r e s c o n s i d e r a b l e r e s o u r c e s , and a l a r g e
m i n i s t r y o r department may comprise many programs which a r e o f l i t t l e r e l e v a n c e t o one a n o t h e r . S i n c e development a t t h e
m i n i s t r y o r department l e v e l may d e l a y i m p l e m e n t a t i o n a t t h e more manageable l e v e l o f progreun a c t i v i t y , development and
i m p l e m e n t a t i o n i s b e s t approached by program a c t i v i t y , e n s u r i n g t h a t adequate b l o c k s o f numbers a r e r e s e r v e d f o r each a c t i v i t y . ^
The development and implementation o f o p e r a t i o n a l r e c o r d s c l a s s i f i c a t i o n and s c h e d u l i n g systems r e q u i r e s a c o n s i d e r a b l e investment and c o o r d i n a t i o n o f f i n a n c i a l and human r e s o u r c e s . Some r e s o u r c e s might be saved i f p r o v i n c i a l and t e r r i t o r i a l governments were t o e s t a b l i s h a freunework by which o p e r a t i o n a l r e c o r d s c l a s s i f i c a t i o n and s c h e d u l i n g systems c o u l d be exchanged. The f i r s t s t e p i n f o s t e r i n g t h e s p i r i t o f i n t e r - p r o v i n c i a l and t e r r i t o r i a l communication and c o o p e r a t i o n n e c e s s a r y t o t h i s framework might be an exchange o f l i s t s o f d r a f t and approved systems.
^Such government-wide s c h e d u l e s a r e o f t e n c a l l e d " G e n e r a l Records S c h e d u l e s . "
^ T h i s h o l d s t r u e except where a m i n i s t r y e x e c u t i v e i n i t i a t e s development o f a d e t a i l e d c l a s s i f i c a t i o n and s c h e d u l i n g system and wishes t o implement a s u b s e t o f t h a t system i n i t s own o f f i c e s . I n such c a s e s , t h e m i n i s t r y system must be developed p r i o r t o i m p l e m e n t a t i o n i n t h e e x e c u t i v e o f f i c e s .
INTEGRATION OF THE RECORDS CLASSIFICATION AND SCHEDULING FUNCTIONS
Records c l a s s i f i c a t i o n systems and r e t e n t i o n and d i s p o s i t i o n s c h e d u l e s a r e v i t a l t o the s u c c e s s o f a r e c o r d s management
progrzun. I t i s recommended t h a t , wherever p o s s i b l e , t h e s e two fundaunental elements o f r e c o r d s management be i n t e g r a t e d i n o r d e r t o p r o v i d e government w i t h a framework f o r t h e management,
i n c l u d i n g r e t r i e v a l , r e t e n t i o n , and d i s p o s i t i o n , o f a l l i n f o r m a t i o n r e s o u r c e s .
S e v e r a l c o m m e r c i a l l y - a v a i l a b l e automated i n f o r m a t i o n systems s u p p o r t the i n t e g r a t i o n o f the r e c o r d s c l a s s i f i c a t i o n and
s c h e d u l i n g f u n c t i o n s by o n l y p e r m i t t i n g the u s e r t o c r e a t e a new r e c o r d c l a s s i f i c a t i o n a f t e r he/she has s p e c i f i e d the
c o r r e s p o n d i n g r e t e n t i o n p e r i o d s and f i n a l d i s p o s i t i o n .
The i n t e g r a t e d approach has s e v e r a l advantages. F i r s t l y , the i n t e g r a t i o n o f r e c o r d s c l a s s i f i c a t i o n and s c h e d u l i n g p r o v i d e s a d i r e c t r e l a t i o n s h i p between i n d i v i d u a l r e c o r d s c l a s s i f i c a t i o n s and the a p p l i c a b l e s c h e d u l e . S e c o n d l y , i n t e g r a t i o n has o b v i o u s i m p l i c a t i o n s upon development methods s i n c e i t a l l o w s
c l a s s i f i c a t i o n and s c h e d u l i n g p r o j e c t s t o p r o c e e d e i t h e r
s e q u e n t i a l l y o r s i m u l t a n e o u s l y . T h i r d l y , the i n t e g r a t e d r e c o r d s c l a s s i f i c a t i o n and s c h e d u l i n g system can be made a v a i l a b l e t o u s e r s i n one manual (hardcopy o r e l e c t r o n i c ) i n o r d e r t o
f a c i l i t a t e t h e a p p l i c a t i o n o f approved s c h e d u l e s and a l l e v i a t e the n e c e s s i t y o f m a i n t a i n i n g and u p d a t i n g two d i f f e r e n t manuals.
I n t e g r a t e d Records C l a s s i f i c a t i o n and S c h e d u l i n g Systems
I n t e g r a t e d r e c o r d s c l a s s i f i c a t i o n and s c h e d u l i n g systems s h o u l d be d r a f t e d and approved i n a s t a n d a r d format f o r
c o n s i s t e n c y o f r e c o g n i t i o n and u n d e r s t a n d i n g .
The b l o c k n i m e r i c c l a s s i f i c a t i o n system (the A s s o c i a t i o n o f Records Managers and A d m i n i s t r a t o r s (ARMA) r e f e r s t o i t as t h e "Canadian system") i s recommended as the framework f o r i n t e g r a t e d r e c o r d s c l a s s i f i c a t i o n and s c h e d u l i n g systems.
I n t e g r a t e d r e c o r d s c l a s s i f i c a t i o n and s c h e d u l i n g systems s h o u l d be o r g a n i z e d by f u n c t i o n and s u b j e c t , and a r r a n g e d a l p h a b e t i c a l l y .
I n o r d e r t o f a c i l i t a t e r e c o r d s r e t r i e v a l , p r i m a r y and secondary numbers and t i t l e s s h o u l d whenever p o s s i b l e be
s t a n d a r d i z e d w i t h i n a r e c o r d s c l a s s i f i c a t i o n system. I d e a l l y , s t a n d a r d i z a t i o n s h o u l d o c c u r a t a l l l e v e l s w i t h i n an o r g a n i z a t i o n i n o r d e r t o improve t h e a b i l i t y t o l o c a t e f i l e s and t o determine which p a r t s o f an o r g a n i z a t i o n h o l d i n f o r m a t i o n on a g i v e n
s u b j e c t o r c a s e .
I n o r d e r t o ensure c o n s i s t e n c y i n r e c o r d s r e t e n t i o n and d i s p o s i t i o n , s t a n d a r d i z a t i o n o f niimbers and t i t l e s w i t h i n a r e c o r d s c l a s s i f i c a t i o n system must o c c u r a t t h e lowest l e v e l n e c e s s a r y t o d i s t i n g u i s h between d i f f e r e n t r e t e n t i o n p e r i o d s and f i n a l d i s p o s i t i o n s . When u s i n g t h e b l o c k numeric c l a s s i f i c a t i o n system as t h e framework f o r an i n t e g r a t e d r e c o r d s c l a s s i f i c a t i o n and s c h e d u l i n g system, t h e l e v e l o f secondary number and t i t l e , where i n d i v i d u a l s u b j e c t f i l e s and case f i l e s e r i e s a r e most o f t e n d e s c r i b e d , i s u s u a l l y t h e l o w e s t l e v e l which need be s t a n d a r d i z e d . S c h e d u l i n g a t t h e secondary l e v e l r e d u c e s t h e cunount o f i n t e r p r e t a t i o n r e q u i r e d i n a p p l y i n g approved r e c o r d s s c h e d u l e s . ^
The i n f o r m a t i o n a l c o n t e n t o f an i n t e g r a t e d r e c o r d s c l a s s i f i c a t i o n and s c h e d u l i n g system s h o u l d be based upon:
l e g i s l a t i o n and i n s t i t u t i o n a l mandate s t a t e m e n t s p o l i c y and p r o c e d u r e s
p h y s i c a l i n v e n t o r y
e x i s t i n g dociimentation (e.g., f i l e l i s t s and i n d e x e s ) c l i e n t i n t e r v i e w s
l e g a l o p i n i o n s sought by t h e c l i e n t agency
I d e a l l y , i n t e g r a t e d r e c o r d s c l a s s i f i c a t i o n and s c h e d u l i n g systems s h o u l d be developed by t h e c l i e n t agency which c r e a t e d the r e c o r d s s i n c e u s u a l l y i t i s t h e c r e a t i n g agency which i s u l t i m a t e l y a c c o u n t a b l e . R e g a r d l e s s o f who d e v e l o p s a r e c o r d s system, development s h o u l d i n v o l v e a p r o c e s s o f mutual c l i e n t (user) and c e n t r a l r e c o r d s management and a r c h i v e s program(s) c o n s u l t a t i o n and a p p r o v a l .
^Experience i n s e v e r a l Canadian j u r i s d i c t i o n s has shown t h a t the s e p a r a t i o n o f c l a s s i f i c a t i o n and s c h e d u l i n g systems i n t o two d i f f e r e n t manuals l i n k e d o n l y by a g e n e r a l s u b j e c t d e s c r i p t i o n c r e a t e s c o n s i d e r a b l e d i f f i c u l t i e s i n a p p l y i n g approved s c h e d u l e s .
There a r e two b a s i c methods o f d e v e l o p i n g i n t e g r a t e d r e c o r d s c l a s s i f i c a t i o n and s c h e d u l i n g systems. The c l a s s i f i c a t i o n and s c h e d u l i n g f u n c t i o n s may be performed s e q u e n t i a l l y ( i . e . ,
s e p a r a t e d ) o r t h e y may be performed s i m u l t a n e o u s l y ( i . e . ,
combined). The f o l l o w i n g d e f i n i t i o n o f a r e c o r d s e r i e s makes i t c l e a r t h a t t h e c l a s s i f i c a t i o n and s c h e d u l i n g f u n c t i o n s s h o u l d never be viewed i n i s o l a t i o n :
A group o f r e c o r d s f i l e d t o g e t h e r i n a u n i f i e d
arrangement which r e s u l t s from, o r r e l a t e s t o , t h e same f u n c t i o n o r a c t i v i t y and p e r m i t s e v a l u a t i o n as a u n i t f o r r e t e n t i o n s c h e d u l i n g p u r p o s e s . A r e c o r d s e r i e s i s c l a s s i f i e d based upon r e t r i e v a l needs and m a i n t a i n e d as a u n i t a c c o r d i n g t o r e f e r e n c e f r e q u e n c y .
A l t h o u g h b o t h t h e s e p a r a t e d and combined development methods have m e r i t , i t i s recommended t h a t wherever p o s s i b l e t h e combined
development method be adopted as i t makes t h e most e f f i c i e n t and e f f e c t i v e use o f l i m i t e d f i n a n c i a l and human r e s o u r c e s . ^
I n t e g r a t e d Records C l a s s i f i c a t i o n and S c h e d u l i n g systems and O f f - S i t e Records S t o r a g e F a c i l i t i e s An i n t e g r a t e d r e c o r d s c l a s s i f i c a t i o n and s c h e d u l i n g system p r o v i d e s f o r t h e i n t e l l e c t u a l c o n t r o l o f an o r g a n i z a t i o n ' s i n f o r m a t i o n r e s o u r c e s . However, i t s h o u l d a l s o f a c i l i t a t e t h e p h y s i c a l c o n t r o l and f i n a l d i s p o s i t i o n o f r e c o r d s . O f f - s i t e r e c o r d s s t o r a g e f a c i l i t i e s a r e one o f t h e main components o f any s u c c e s s f u l r e c o r d s management program. Once c l i e n t o f f i c e s become aware o f t h e b e n e f i t s o f o f f - s i t e s t o r a g e , t h e y u s u a l l y want t o t r a n s f e r r e c o r d s o f f - s i t e on an annual b a s i s and sometimes more o f t e n f o r l a r g e voltime case f i l e s e r i e s .
^The advantages and d i s a d v a n t a g e s o f t h e s e p a r a t e d and combined development methods a r e d i s c u s s e d i n Appendix B.
The p r o c e s s o f p r e p a r i n g r e c o r d s f o r s t o r a g e must always i n v o l v e b o x i n g and the p r e p a r a t i o n o f t r a n s f e r forms and box l i s t s . However, t h e t r a n s f e r p r o c e s s may be f a c i l i t a t e d by r e d u c i n g t h e number o f combinations o f s e m i - a c t i v e r e t e n t i o n p e r i o d s and f i n a l d i s p o s i t i o n s a p p l i c a b l e t o t h e r e c o r d s o f a g i v e n c l i e n t o f f i c e . ^ The s t a n d a r d i z a t i o n o f t h o s e combinations w i l l r e d u c e t h e number o f c a t e g o r i e s which an i n d i v i d u a l o f f i c e must c o n s i d e r i n b o x i n g i t s r e c o r d s . I f c l i e n t o f f i c e s a r e p r o v i d e d i n advance w i t h i n s t r u c t i o n s about t h e c a t e g o r i e s o f r e c o r d s which t h e y a r e t o box t o g e t h e r , t h e t r a n s f e r and f i n a l d i s p o s i t i o n p r o c e s s e s w i l l be g r e a t l y s i m p l i f i e d . O b v i o u s l y , t h e f i n a l d i s p o s i t i o n o f a r e c o r d s e r i e s a p p r a i s e d f o r s e l e c t i v e o r f u l l r e t e n t i o n by t h e a r c h i v e s s h o u l d not be a l t e r e d f o r t h e sake o f a d m i n i s t r a t i v e c o n v e n i e n c e , c o n s e q u e n t l y , t h e i m p l i c a t i o n s o f how r e c o r d s w i l l be t r a n s f e r r e d t o a r c h i v a l c u s t o d i a n s h i p a t t h e end o f t h e s e m i - a c t i v e r e t e n t i o n p e r i o d must be c o n s i d e r e d i n o r d e r t o a l l e v i a t e t h e n e c e s s i t y o f r e s o r t i n g and r e b o x i n g and i n o r d e r t o ensure t h a t r e c o r d s o f a r c h i v a l v a l u e a r e not a c c i d e n t a l l y d e s t r o y e d .
The means by which an i n t e g r a t e d r e c o r d s c l a s s i f i c a t i o n and s c h e d u l i n g system can f a c i l i t a t e t h e p h y s i c a l c o n t r o l and
t r a n s f e r o f r e c o r d s t o o f f - s i t e r e c o r d s s t o r a g e f a c i l i t i e s i s o f o b v i o u s i n t e r e s t i n t h e q u e s t i o n o f government a c c o u n t a b i l i t y . Whether t h e c r e a t i n g agency o r t h e c e n t r a l r e c o r d s management progreun i s a c c o u n t a b l e f o r the a p p l i c a t i o n o f approved r e c o r d s s c h e d u l e s , i t i s i m p o r t a n t t o document the r e c o r d s d e s t r o y e d o r t r a n s f e r r e d t o a r c h i v a l c u s t o d y under each s c h e d u l e . I n t h e event o f l e g a l a c t i o n , t h i s documentation may be r e q u i r e d f o r p r o d u c t i o n i n c o u r t .
I n o r d e r t o reduce the number o f combinations o f s e m i - a c t i v e r e t e n t i o n p e r i o d s and f i n a l d i s p o s i t i o n s a p p l i c a b l e t o t h e r e c o r d s o f a g i v e n c l i e n t o f f i c e , t h e r e c o r d s a n a l y s t must; l ) round the s e m i - a c t i v e r e t e n t i o n p e r i o d o f low-volume, s h o r t - r e t e n t i o n r e c o r d s e r i e s upwards t o the next l o n g e r s e m i - a c t i v e r e t e n t i o n p e r i o d h a v i n g t h e same f i n a l d i s p o s i t i o n ; o r 2) e l i m i n a t e t h e s e m i - a c t i v e r e t e n t i o n p e r i o d o f low-volume, s h o r t - r e t e n t i o n r e c o r d s e r i e s i n f a v o u r o f an i n c r e a s e d a c t i v e r e t e n t i o n p e r i o d .
EFFECTIVE AND EFFICIENT APPROVAL PROCESS I t i s e s t i m a t e d t h a t l e s s than f i v e p e r c e n t o f a l l government r e c o r d s a r e u l t i m a t e l y t r a n s f e r r e d t o an a r c h i v a l r e p o s i t o r y f o r l o n g - t e r m p r e s e r v a t i o n due t o t h e i r ongoing v a l u e s . C o n v e r s e l y , about 95 p e r c e n t o f a l l government r e c o r d s a r e u l t i m a t e l y d e s t r o y e d . Many a r e d e s t r o y e d a f t e r a r e l a t i v e l y s h o r t r e t e n t i o n p e r i o d . I n o r d e r t h a t r e c o r d s may be d i s p o s e d o f i n a t i m e l y and e f f i c i e n t manner w i t h o u t c r e a t i n g s t o r a g e problems, an e f f e c t i v e p r o c e s s f o r o b t a i n i n g the a u t h o r i t y n e c e s s a r y t o d e s t r o y r e c o r d s o r t o t r a n s f e r them t o an a r c h i v a l r e p o s i t o r y must e x i s t . The l e g i s l a t i v e requirements r e l a t i n g t o t h e a p p r o v a l o f r e c o r d ^ r e t e n t i o n and d i s p o s i t i o n s c h e d u l e s d i f f e r from j u r i s d i c t i o n t o j u r i s d i c t i o n . Consequently, t h e p l a y e r s i n v o l v e d i n t h e a p p r o v a l p r o c e s s d i f f e r . However, t h e f o l l o w i n g s t e p s a r e recommended as a p r o c e s s by which the r e q u i r e d a u t h o r i t y might be o b t a i n e d . 1) The a g e n c i e s c r e a t i n g government r e c o r d s o r an o r g a n i z a t i o n a l u n i t w i t h i n the c e n t r a l r e c o r d s management and a r c h i v e s progreun(s) s h o u l d be r e s p o n s i b l e f o r p r e p a r i n g i n t e g r a t e d r e c o r d s c l a s s i f i c a t i o n and s c h e d u l i n g systems. 2) An o r g a n i z a t i o n a l u n i t o r p r o c e s s w i t h i n t h e c e n t r a l r e c o r d s
management and a r c h i v e s program(s) s h o u l d be r e s p o n s i b l e f o r r e v i e w i n g a l l i n t e g r a t e d r e c o r d s c l a s s i f i c a t i o n and
s c h e d u l i n g systems submitted and f o r e n s u r i n g t h a t a l l
s h o r t - t e r m ( a d m i n i s t r a t i v e , o p e r a t i o n a l , f i s c a l , l e g a l , and a u d i t ) v a l u e s and long-term ( e v i d e n t i a l , i n f o r m a t i o n a l ,
h i s t o r i c a l , a r c h i v a l , and r e s e a r c h ) v a l u e s a r e a d e q u a t e l y p r o t e c t e d .
3) I n t e g r a t e d r e c o r d s c l a s s i f i c a t i o n and s c h e d u l i n g systems which have been reviewed by t h e r e c o r d s management and a r c h i v e s program(s) s h o u l d be approved a t a s e n i o r l e v e l w i t h i n government. Each s c h e d u l e a u t h o r i t y s h o u l d be s i g n e d by t h e s e n i o r p e r s o n a c c o u n t a b l e f o r t h e r e c o r d s w i t h i n t h e c r e a t i n g c l i e n t agency ( t h a t p e r s o n s h o u l d be a t t h e l e v e l o f deputy head o r e q u i v a l e n t s t a t u s i n t h e c a s e o f boards and o t h e r autonomous a g e n c i e s ) and by t h e n a t i o n a l ,
p r o v i n c i a l o r t e r r i t o r i a l a r c h i v i s t r e s p o n s i b l e . The s i g n a t u r e o f t h o s e two i n d i v i d u a l s s h o u l d a t t e s t t o t h e c o n c u r r e n c e o f t h e a p p r o p r i a t e a u t h o r i t i e s d u r i n g t h e r e v i e w p r o c e s s , i n c l u d i n g s e n i o r r e p r e s e n t a t i v e s from t h e f o l l o w i n g o f f i c e s : c l i e n t agency, r e c o r d s management, a r c h i v e s , c o m p t r o l l e r , a u d i t o r , s o l i c i t o r , and e l e c t r o n i c i n f o r m a t i o n systems. I t i s important t o r e c o g n i z e t h a t r e c o r d s management i s a management p r o c e s s and t h a t acknowledged management t e c h n i q u e s can be used by r e c o r d s a d m i n i s t r a t o r s . A c c o r d i n g l y , once a r e c o r d s r e t e n t i o n and d i s p o s i t i o n s c h e d u l e has r e c e i v e d f o r m a l a p p r o v a l , i t s h o u l d be implemented and a p p l i e d a c c o r d i n g t o a d m i n i s t r a t i v e p r o c e d u r e s developed and agreed upon by t h e c r e a t i n g c l i e n t agency and t h e c e n t r a l r e c o r d s management and a r c h i v e s p r o g r a m ( s ) .
APPENDIX A
G l o s s a r y o f Terms
A c t i v e R e t e n t i o n P e r i o d . The p e r i o d i n the l i f e - c y c l e o f
r e c o r d e d i n f o r m a t i o n d u r i n g which the c r e a t i n g agency r e q u i r e s t h a t the i n f o r m a t i o n be r e t a i n e d i n o f f i c e f i l i n g and r e c o r d s s t o r a g e equipment.
A d m i n i s t r a t i v e Records. Records common t o most o r g a n i z a t i o n s , i n c l u d i n g government a g e n c i e s , which p e r t a i n t o g e n e r a l
a d m i n i s t r a t i v e m a t t e r s and i n t e r n a l housekeeping f u n c t i o n s such as the management o f f a c i l i t i e s , p r o p e r t y , m a t e r i e l , f i n a n c i a l r e s o u r c e s , p e r s o n n e l , and i n f o r m a t i o n systems. A l s o known as housekeeping r e c o r d s .
D e s t r u c t i o n . P h y s i c a l d e s t r u c t i o n o f r e c o r d s .
E s s e n t i a l R e c o r d s . A r e c o r d which c o n t a i n s i n f o r m a t i o n e s s e n t i a l t o : 1) t h e conduct o f emergency o p e r a t i o n s d u r i n g a d i s a s t e r ; 2) the r e - e s t a b l i s h m e n t o f the o r g a n i z a t i o n a l p a t t e r n and the b a s i c l e g a l , f i n a n c i a l , and f u n c t i o n a l r e s p o n s i b i l i t i e s o f government; and/or 3) t h e r e - e s t a b l i s h m e n t o f the b a s i c r i g h t s and
o b l i g a t i o n s o f i n d i v i d u a l s , c o r p o r a t e b o d i e s and governments. A l s o known as v i t a l r e c o r d s . F i n a l D i s p o s i t i o n . E i t h e r p h y s i c a l d e s t r u c t i o n o f r e c o r d s o r t r a n s f e r o f r e c o r d s t o an a r c h i v a l r e p o s i t o r y f o r f u l l o r s e l e c t i v e r e t e n t i o n . F u l l R e t e n t i o n by the A r c h i v e s . R e t e n t i o n o f a l l o f the r e c o r d s t r a n s f e r r e d t o an a r c h i v a l r e p o s i t o r y , w i t h t h e e x c e p t i o n o f d u p l i c a t e c o p i e s , p u b l i c a t i o n s , and o t h e r ephemera.
I n a c t i v e R e c o r d s . Records f o r which the a c t i v e and s e m i - a c t i v e r e t e n t i o n p e r i o d s have e x p i r e d and which a r e e l i g i b l e f o r f i n a l d i s p o s i t i o n .
I n t e g r a t e d Records C l a s s i f i c a t i o n and S c h e d u l i n g System. A system which i n t e g r a t e s the c l a s s i f i c a t i o n and s c h e d u l i n g o f the r e c o r d e d i n f o r m a t i o n r e s o u r c e s o f an o r g a n i z a t i o n and doc\iments b o t h r e c o r d s c l a s s i f i c a t i o n and s c h e d u l i n g i n one hardcopy o r e l e c t r o n i c manual.
O p e r a t i o n a l R e c o r d s . Records which r e l a t e t o t h e o p e r a t i o n s and s e r v i c e s p r o v i d e d by a government agency i n c a r r y i n g o u t t h e f u n c t i o n s f o r which i t i s r e s p o n s i b l e by v i r t u e o f s t a t u t e , mandate, o r p o l i c y . O p e r a t i o n a l r e c o r d s a r e u s u a l l y u n i q u e t o each government agency.
Record. Any r e c o r d e d i n f o r m a t i o n r e g a r d l e s s o f p h y s i c a l format, which i s r e c e i v e d , c r e a t e d , d e p o s i t e d , h e l d by o r i n any
m i n i s t r y , agency, b o a r d , commission. Crown c o r p o r a t i o n , i n s t i t u t i o n , committee o r c o u n c i l r e p o r t i n g t o a f e d e r a l , p r o v i n c i a l , o r t e r r i t o r i a l government. A r e c o r d i n c l u d e s :
books, documents, maps, drawings, photographs, l e t t e r s , v o u c h e r s , papers and any o t h e r t h i n g on which i n f o r m a t i o n i s r e c o r d e d o r s t o r e d by any means whether g r a p h i c , e l e c t r o n i c , m e c h a n i c a l o r o t h e r w i s e .
Records C l a s s i f i c a t i o n System. A l o g i c a l and s t a n d a r d i z e d system f o r c l a s s i f y i n g and a r r a n g i n g r e c o r d s based upon f u n c t i o n s and subj e c t s .
Records R e t e n t i o n and D i s p o s i t i o n S c h e d u l e . A document by which each government agency determines t h e p e r i o d s o f use and medium o f r e t e n t i o n o f a c t i v e and s e m i - a c t i v e r e c o r d s and i n d i c a t e s which i n a c t i v e r e c o r d s a r e t o be p r e s e r v e d permanently and which a r e t o be d e s t r o y e d . ^
S e l e c t i v e R e t e n t i o n by t h e A r c h i v e s . R e t e n t i o n o f some o f t h e r e c o r d s t r a n s f e r r e d t o an a r c h i v a l r e p o s i t o r y based upon
r e c o g n i z e d a r c h i v a l s e l e c t i o n c r i t e r i a .
S e m i - a c t i v e R e t e n t i o n P e r i o d . The p e r i o d i n t h e l i f e - c y c l e o f r e c o r d e d i n f o r m a t i o n d u r i n g which the c r e a t i n g agency r e q u i r e s t h a t t h e i n f o r m a t i o n be r e t a i n e d i n o f f - s i t e r e c o r d s s t o r a g e f a c i l i t i e s .
T r a n s i t o r y R e c o r d s . Records o f temporary u s e f u l n e s s which a r e not an i n t e g r a l p a r t o f an a d m i n i s t r a t i v e o r o p e r a t i o n a l r e c o r d s e r i e s , which a r e n o t r e g u l a r l y f i l e d w i t h i n a s t a n d a r d r e c o r d s c l a s s i f i c a t i o n system, and which a r e o n l y r e q u i r e d f o r a l i m i t e d p e r i o d o f time f o r t h e c o m p l e t i o n o f an a c t i o n o r t h e p r e p a r a t i o n o f an o n g o i n g r e c o r d . T r a n s i t o r y r e c o r d s a r e n o t r e q u i r e d t o meet s t a t u t o r y o b l i g a t i o n s o r t o s u s t a i n a d m i n i s t r a t i v e o r o p e r a t i o n a l f u n c t i o n s .
^^^^
^This d e f i n i t i o n i s adapted from Quebec's A r c h i v e s A c t ( R e v i s e d S t a t u t e s o f Quebec, c. A-21.1, s. 7 ) .
APPENDIX B
Advantages and Disadvantages o f t h e S e p a r a t e d and Combined Development Methods'
T h e r e a r e two b a s i c methods o f d e v e l o p i n g i n t e g r a t e d r e c o r d s c l a s s i f i c a t i o n and s c h e d u l i n g systems. The c l a s s i f i c a t i o n and s c h e d u l i n g f u n c t i o n s may be performed s e q u e n t i a l l y ( i . e . ,
s e p a r a t e d ) o r t h e y may be performed s i m u l t a n e o u s l y ( i . e . ,
combined). A l t h o u g h i t i s d e s i r a b l e t h a t b o t h c l a s s i f i c a t i o n and s c h e d u l i n g be completed as q u i c k l y as p o s s i b l e , t h e c h o i c e o f method i s dependent upon s e v e r a l f a c t o r s .
1) F i r s t l y , t h e n a t u r e o f t h e r e c o r d s management problem must be c o n s i d e r e d : i s i n f o r m a t i o n c o n t r o l t h e problem o r a r e b o t h i n f o r m a t i o n c o n t r o l and d i s p o s i t i o n c a u s i n g problems? O b v i o u s l y , i f b o t h i n f o r m a t i o n c o n t r o l and d i s p o s i t i o n a r e problems, t h e combined development method s h o u l d be
c o n s i d e r e d so t h a t b o t h problems a r e d e a l t w i t h as q u i c k l y as p o s s i b l e .
2) S e c o n d l y , what i s the degree o f c l i e n t s u p p o r t ? I f c l i e n t s u p p o r t i s s t r o n g , the combined method s h o u l d be adopted. I f c l i e n t s u p p o r t i s weak, t h e s e p a r a t e d method s h o u l d be adopted i n o r d e r t o r e s o l v e immediate problems and b u i l d c l i e n t c o n f i d e n c e .
3) T h i r d l y , what f i n a n c i a l and human r e s o u r c e s a r e a v a i l a b l e ? I n o t h e r words, how much c l a s s i f i c a t i o n and s c h e d u l i n g
development can be undertaken w i t h t h e d o l l a r s a v a i l a b l e and do t h e employees o r c o n t r a c t o r s a v a i l a b l e have the knowledge and e x p e r t i s e r e q u i r e d t o p e r f o r m one o r b o t h o f t h e
r e q u i r e d f u n c t i o n s .
T h i s appendix w i l l d i s c u s s t h e advantages and d i s a d v a n t a g e s o f t h e s e p a r a t e d and combined development methods. In t h e
s e p a r a t e d method, t h e r e c o r d s a n a l y s t d e v e l o p s t h e c l a s s i f i c a t i o n system, which i s s c h e d u l e d a t a l a t e r d a t e , q u i t e p o s s i b l y by a d i f f e r e n t r e c o r d s a n a l y s t . I n t h e combined method, t h e r e c o r d s a n a l y s t c o l l e c t s , s i m u l t a n e o u s l y , t h e i n f o r m a t i o n r e q u i r e d t o c l a s s i f y and s c h e d u l e the r e c o r d s .
®This d i s c u s s i o n i s based upon t h e e x p e r i e n c e o f B r i t i s h ColTimbia's r e c o r d s management program.
S e p a r a t e d Development Method
The s e p a r a t e d development method d e a l s w i t h o n l y one
f u n c t i o n a t a t i m e . I t must b e g i n w i t h a c l a s s i f i c a t i o n p r o j e c t and be f o l l o w e d up by a s c h e d u l i n g p r o j e c t a t some l a t e r t i m e . O b v i o u s l y , a d r a f t r e c o r d s c l a s s i f i c a t i o n system cannot be s u b m i t t e d f o r a p p r o v a l u n t i l the r e c o r d s have been s c h e d u l e d . The s e p a r a t e d development method has b o t h advantages and
d i s a d v a n t a g e s .
Advantages. A c l a s s i f i c a t i o n p r o j e c t i s not c o m p l i c a t e d by t h e i s s u e o f r e c o r d s r e t e n t i o n and d i s p o s i t i o n s c h e d u l i n g . Once c l a s s i f i c a t i o n has been completed, t h e system may be implemented i n t h e c l i e n t ' s o f f i c e s p r i o r t o t h e commencement o f s c h e d u l i n g , which i s an advantage s i n c e c l a s s i f i c a t i o n o m i s s i o n s and e r r o r s may be c o r r e c t e d . I n t h i s manner, t h e r e c o r d s a r e o r g a n i z e d a c c o r d i n g t o a new c l a s s i f i c a t i o n scheme p r i o r t o s c h e d u l i n g and may be q u i c k l y i d e n t i f i e d f o r review i n o r d e r t o determine what a d m i n i s t r a t i v e , o p e r a t i o n a l , f i s c a l , a u d i t , l e g a l , i n f o r m a t i o n a l , e v i d e n t i a l , o r h i s t o r i c a l v a l u e s t h e y c o n t a i n . A subsequent
s c h e d u l i n g p r o j e c t s h o u l d not be c o m p l i c a t e d w i t h r e c o r d s c l a s s i f i c a t i o n i s s u e s .
D i s a d v a n t a g e s . The s e p a r a t e d development method d e l a y s the s c h e d u l i n g o f r e c o r d s and may r e s u l t i n a l o s s o f momentum where t h e r e i s a c o n s i d e r a b l e d e l a y between t h e c l a s s i f i c a t i o n p r o j e c t and t h e s c h e d u l i n g p r o j e c t . Most o f t e n , t h e r e i s more than one r e c o r d s a n a l y s t i n v o l v e d i n t h e s e p a r a t e d method. A d i s a d v a n t a g e o f t h i s method w i l l o c c a s i o n a l l y p r e s e n t i t s e l f when d u r i n g a subsequent s c h e d u l i n g p r o j e c t c l a s s i f i c a t i o n i s s u e s a r i s e and i t becomes apparent t h a t t h e r e c o r d s a n a l y s t was not s u f f i c i e n t l y c o n v e r s a n t w i t h r e c o r d s r e t e n t i o n s c h e d u l i n g . T h i s may p r o v e a c o n s i d e r a b l e problem when r e c o r d s must be r e c l a s s i f i e d i n o r d e r t o f a c i l i t a t e s c h e d u l i n g and t h e c l i e n t o f f i c e has a l r e a d y
implemented t h e c l a s s i f i c a t i o n system u s i n g t h e numbers o r i g i n a l l y a s s i g n e d .
Combined Development Method
The combined development method d e a l s w i t h t h e
c l a s s i f i c a t i o n and s c h e d u l i n g f u n c t i o n s s i m u l t a n e o u s l y . A f t e r a r c h i v a l a p p r a i s a l and c l i e n t c o n c u r r e n c e , t h e d r a f t i n t e g r a t e d r e c o r d s c l a s s i f i c a t i o n and s c h e d u l i n g system r e s u l t i n g from t h e combined method i s ready f o r a p p r o v a l . The combined development method has b o t h advantages and d i s a d v a n t a g e s .
Advantages. S i n c e the r e c o r d s a n a l y s t c o l l e c t s
c l a s s i f i c a t i o n and s c h e d u l i n g i n f o r m a t i o n s i m u l t a n e o u s l y , t h e r e a r e s u b s e q u e n t l y fewer c l a s s i f i c a t i o n and s c h e d u l i n g cunendments, a l t h o u g h t h e number o f i n t e g r a t e d r e c o r d s c l a s s i f i c a t i o n and s c h e d u l i n g system d r a f t s may be g r e a t e r . D u r i n g the
c l a s s i f i c a t i o n and s c h e d u l i n g p r o c e s s , i t w i l l i n v a r i a b l y be d i s c o v e r e d t h a t what was i n i t i a l l y c o n s i d e r e d t o be one r e c o r d s e r i e s i s f o r t h e p u r p o s e s o f r e t e n t i o n s c h e d u l i n g r e a l l y two o r more. F o r i n s t a n c e , a c o m p l i c a t e d case f i l e s e r i e s may have s e v e r a l d i f f e r e n t c a t e g o r i e s o f f i l e s , each w i t h i t s own
r e t e n t i o n p e r i o d and f i n a l d i s p o s i t i o n which t h e r e f o r e w a r r a n t s d i f f e r e n t secondary c l a s s i f i c a t i o n s . The combined method
a d d r e s s e s r e c o r d s management as a whole, b u i l d s momentum as the p r o j e c t p r o g r e s s e s which i n e v i t a b l y h e l p s t o push t h e p r o j e c t t o
c o m p l e t i o n , and s h o u l d u s u a l l y i n v o l v e o n l y one r e c o r d s a n a l y s t . S i n c e one a n a l y s t g a t h e r s b o t h the c l a s s i f i c a t i o n and s c h e d u l i n g i n f o r m a t i o n s i m u l t a n e o u s l y , the seune ground need not be r e t r a c e d .
D i s a d v a n t a g e s . The combined method i s more c o m p l i c a t e d because i t r e q u i r e s t h a t the a s s i g n e d r e c o r d s a n a l y s t have e x p e r t i s e i n b o t h c l a s s i f i c a t i o n and s c h e d u l i n g and because i t i n c r e a s e s t h e nxunber o f v a r i a b l e s b e i n g c o n s i d e r e d a t one t i m e . S i n c e t h e c l a s s i f i c a t i o n system i s not implemented i n the
c l i e n t ' s o f f i c e s u n t i l a f t e r a s c h e d u l e has been d r a f t e d , the s c h e d u l e w i l l r e q u i r e r e v i s i o n when o m i s s i o n s and e r r o r s a r e d i s c o v e r e d d u r i n g i m p l e m e n t a t i o n . S i n c e r e c o r d s a r e not
o r g a n i z e d a c c o r d i n g t o the new c l a s s i f i c a t i o n scheme p r i o r t o s c h e d u l i n g , they cannot be so r e a d i l y i d e n t i f i e d f o r r e v i e w i n o r d e r t o determine what a d m i n i s t r a t i v e , o p e r a t i o n a l , f i s c a l , a u d i t , l e g a l , i n f o r m a t i o n a l , e v i d e n t i a l , o r h i s t o r i c a l v a l u e s they c o n t a i n .
C o n c l u s i o n
A l t h o u g h b o t h the s e p a r a t e d and combined development methods have m e r i t , i t i s recommended t h a t wherever p o s s i b l e the combined development method be adopted as i t makes t h e most e f f i c i e n t and e f f e c t i v e use o f l i m i t e d f i n a n c i a l and human r e s o u r c e s . S i n c e o n l y one r e c o r d s a n a l y s t i s i n v o l v e d , the time expended on
u n d e r s t a n d i n g t h e work o f a p r e v i o u s a n a l y s t , f e u n i l i a r i z i n g
o n e s e l f w i t h t h e c l i e n t , and r e - e s t a b l i s h i n g c o n t a c t s , t r u s t , and r a p p o r t between a n a l y s t and c l i e n t i s e l i m i n a t e d . In s h o r t , the combined development method p r o v i d e s t h e most c o n t i n u i t y , t h e b e s t p r o j e c t management, and t h e l e a s t d u p l i c a t i o n o f e f f o r t .
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