Microfilm technology

Microfilm technology http://web.archive.org/web/20041224122839/http://xnet.rrc.mb.ca/recmgmt/chapter8.htm

Microfilm technology

Image technology

• The storage of documents or other data that includes text, graphic, tables, and pictures
• 3 Image Technologies
• Facsimile
• transmits information
• Storage and retrieval of images, text, graphics and pictures
• Optical Disk
• Micrographics

Microforms

• Any medium that contains miniature or “micro” images
• Microrecords – records stored on microforms
• Micrographics – procedures for creating, using, and storing microrecords
• Types
• Roll film
• most economical and frequently used
• Microfiche
• fiche with reduction ratios of 90X or greater known as ultra fiche
• Jackets
• Aperture cards
• Nonstandard microforms
• Computer input microform

(Microfiche)

(Aperture card)

 (Microjacket)

(Microfilm)

Microform procedures and equipment
Each step in using micro-records requires special procedures and equipment:

• Filming
• Coding
• Processing
• Inspecting
• Duplicating
• Reading

Filming

• Document pre parathion
• Remove all paperclips and staples
• Mend torn papers
• Attach small papers to standard size paper with transparent tape or rubber cement
• Remove unnecessary attachments, e.g. envelopes, routing slips, duplicate copies
• Camera film
• Standard camera film uses silver halide emulsion to capture detail (often called silver film)
• Image size
• Reduction ratio compares film image size to original document size
• Reduction ratio of 24x = image 1/24th size of original document
• Image orientation = positioning of images
• Cine, comic, duplex, duo, duplex/duo
• Types of cameras
• Rotary (high volume)
• Planetary (flatbed)
• Step & Repeat (flatbed with overhead)
• COM Recorder (records electronic from computer optical machine to microform)

Coding

• Microforms during filming may be coded/indexed for automated retrieval
• Flash Targets
• Divides roll into information batches
• Bar Coding
• Requires additional equipment and space
• Odometer Indexing
• Indicates distance of each image from beginning of roll
• Blip Coding
• Predominant method
• Place rectangle beneath each image to identify; must be indexed

Processing

• 3 types of processing
• Deep tank
• Roller transport
• Straight film path
• Reversal processing
• Positive/Negative Polarity
• Developed for use with COM (computer output microform)
• 4 factors that affect developing
• Temperature of the developer
• Time film is in the solution
• Condition of the developer
• Agitation of film
• The higher the temperature of the developer, the less time the film is required to be in the solution

Inspecting

• Light box
• Density
• Numeric obtained through light background
• Resolution
• Sharpness of the image

Duplicating

• Duplicating process
• Types of copy film
• Silver Print
• easy to use
• expensive
• Diazo film
• Vesicular film
• cheaper
• consider using if not for long-term use

Advantages of microforms

• Floor space savings
• Fewer storage cabinets = reduced equipment costs
• Improved file integrity
• Images cannot be separated or misplaced like sheets of paper can
• Improved productivity
• Fast retrieval from automated systems
• Vital archival records protection
• Low-cost reproduction and duplication
• Admissible (in most cases) as evidence in court

Limitations

• User resistance
• Cost of purchasing and operating
• Turn-around time need to produce micro-images
• Original records inaccessible during preparation and filming
• Impractical for records that are frequently modified

Future of microforms

• Microfilm takes up about 2% as much space as equivalent paper records
• Permanence of from 100 to 500 years
• Can be read with human eye; not totally dependent on specific hardware/software for access
• Legality is well established

Active records management

Active records management http://web.archive.org/web/20041224152322/http://xnet.rrc.mb.ca/recmgmt/chapter5.htm

Active records management

Active records facilities

• About 25% of all records are classified as active
• These records are used in daily operation of the organization and must be organized for rapid retrieval of information
• Fast turnaround time from request to retrieval of information met by having active records housed near people who need it

Distribution of records status

• 10% long term
• 25% active
• 30% inactive
• 35% useless
• 40% of an organization’s records classified as inactive (30% inactive + 10% long term which are usually inactive)

Types of active records storage systems

• Centralized
• Provides for the housing of all active records in one location within the organization
• Decentralized
• Provides for the housing of active records of each major department/office within that area
• Combination
• Allows many departments to maintain their own records under a centralized system of control

Centralized system

• Advantageous in terms of:
• Providing consistency in procedures
• Identifying responsibility and accountability
• Keeping related records together
• Training new clerical personnel
• Providing uniform service to all departments
• Minimizing duplicate records
• Providing better utilization of space, equipment and personnel
• Allowing greater security of records
• Providing one-stop retrieval of records
• Large organizations may find this system inefficient 
• Placing records in a location convenient to all departments virtually impossible
• More appropriate for smaller organizations

Decentralized system

• Provides immediate access for each department
• Managers may prefer because it gives them access and control over their own records
• Problems include:
• Lack of uniformity in total records system
• All related records not housed together
• Duplicated records
• Duplicate or underutilized equipment
• Lack of security

Combination system

• Combines decentralized files under centralized control
• Responsibility is given to Records Manager
• Typical records:
• Personnel and payroll
• Credit and financial and sales
• Uniform system of storage and retrieval
• Minimization of misfiles, lost records
• Minimization of duplicate records
• Provides for centralized purchasing, which results in better cost efficiency
• Facilitates records movement according to records retention and disposition schedules
• Provides the structure to assist managers in administering the records management program
• Problems of not having related records housed together; lack of flexibility resulting from uniform organization-wide procedures
• Combination system now chosen more often than other two
• In general, records storage system selected should be one that most closely fits the needs of the particular organization, its subunits and its personnel

Space planning

• Active records are located in prime office space so area must be planned for maximum efficiency at minimum cost
• Consideration must be given to weight of storage equipment and stress on floor
• Consideration must be given to the layout design of the storage units

Floor load capacity

• Floor load capacity = The weight of the records and equipment that a floor can safely accommodate
• Nonproductive weight: empty weight of equipment
• Productive weight: contents
• To determine floor load capacity, multiply pounds per square foot a floor can stand by square feet of available floor space
• Productive weight calculated as: records weight (capacity x record weight per filing inch) / hardware weight + record weight
• With floor load capacity and productive weight calculated quantity of equipment needed to house records can be determined

Design layout

• Choice of cabinets will depend on organizational needs, storage system, available storage space and floor load capacity
• Typical arrangements for decentralized system are Island, From Wall, Along Wall
• Guidelines for efficient layout include:
• Avoid opening cabinets into traffic isle
• For non traffic aisle allow four feet for each drawer opening and for one records clerk
• Allow four feet for each drawer opening and each records clerk where cabinets on each side of the aisle open facing each other
• Various arrangements for centralized system
• Aisle space
• 3’ minimum, 4’ if open into aisle
• 5.5’ for cabinet opening + passageway
• 8’ if cabinets open face to face and passageway is required
• Cross aisles every 25’ if rows are too long

Equipment selection criteria

• Ergonomic considerations
• Design, lighting, colour, acoustics, security, safety, accessibility
• Storage and retrieval requirements
• Space requirements
• Compare floor space ratio
• Floor space ratios represent the storage capacity per square foot of floor space occupied by the storage equipment
• Security requirements
• Equipment costs
• Operation costs
• Include costs of personnel to store and retrieve information, cost of compatible supplies, maintenance costs, cost of space to house equipment
• Number of people regularly accessing records
• Physical characteristics of records
• Equipment compatibility

Selection criteria for supplies

• Efficiency
• Special features e.g. preprinted folders for alphabetic, numeric or alphanumeric systems
• Colour coded folders, labels, etc.
• Quality
• Determined by weight or type of material used in construction
• Economy
• Purchasing cheapest item not always most economical move
• Environmental considerations
• Barriers to recycling
• Plastic strips, metal reinforcements, certain colours

Active file organization

• Active files in a manual filing system are normally stored in filing cabinets
• The type of filing cabinet chosen is important
• Lateral
• Require less aisle space (c. 13”) than vertical (c. 25”)
• Most new equipment purchases are lateral cabinets
• Vertical (conventional)
• Recommended for personal use, paper files in smaller work spaces
• Fire-Proof cabinets may be considered
• Certain components must be used to organize these filing cabinets
• Guides
• File folders
• Guides
• Heavy pressboard or cardboard used to separate the file drawer into sections, act as guideposts
• Primary
• Used to begin major divisions
• Special
• Highlight frequently used sections
• Tab
• A projection used to identify contents
• Caption
• Part of the tab that identifies range of records to be stored behind guide
• Label
• Self-adhesive strip affixed to tab of guide

File folders

• Containers used to store correspondence in the files
• General
• Used to store all documents in that division of the file for which there is no other folder to store the document
• Individual
• Used to store correspondence to and from or about one individual person or company
• Special
• Used to store correspondence concerning a special subject or topic

How long must you keep your business records?

How long must you keep your business records? by Dr. Mark Langemo http://web.archive.org/web/20041231224355/http://xnet.rrc.mb.ca/recmgmt/articles/chapter4-how-long.htm

Records retention and legal considerations

Records retention and legal considerations http://web.archive.org/web/20041224150925/http://xnet.rrc.mb.ca/recmgmt/chapter4.htm

Records retention and legal consideration

What is the records retention program?
The records retention program provides a timetable and consistent procedures for maintaining the organization’s records, moving the records to inactive storage when appropriate and destroying records when they are no longer valuable to the organization.

Goals

• First task in developing a records retention program is to determine the goals and objectives of the organization’s retention program
• Major goals of records retention program
• Meet organizational needs, accomplished by
• Cost reduction
• Destroy unneeded records and transfer semiactive and inactive records to low-cost storage areas (improves use of office space)
• Equipment required for storage of semiactive and inactive records (e.g. Metal shelving, transfer boxes), less costly than filing cabinets and shelves
• Only one copy, the record copy, needs to be retained during semiactive and inactive periods
• Retrieval efficiency and consistency
• Destroying unneeded records increases efficiency
• Retention procedures that are consistent throughout the organization provide control over employees who keep everything (pack rats) or employees who dispose of records too quickly (nonsavers)
• Meet legal requirements
• Adhering to government regulations
• Providing litigation protection and support

Government regulations

• Federal, provincial and municipal governments have many statues that have an impact on the retention periods for business records
• Statutes fall into three major categories:
• Tax records
• Employment and personnel records
• Regulations for specific industries

Legal requirements

• Tax records help government establish appropriate amount of tax due
• Employment and personnel records
• Canada Pension Plan Act
• Employment Insurance Act
• Provincial Workers’ Compensation Act
• Provincial occupational health and safety legislation (The Workplace Safety and Health Act in Manitoba)
• Federal and provincial human rights acts
• Statutes applying to specific industries, e.g.
• Agriculture
• Banking and financial institutions
• Communications
• Transportation
• Professional groups, e.g. doctors, lawyers, engineers, etc.
• Also: fair business practices, consumer affairs, right to privacy, access to information

Government regulations

• Retention procedures must meet the statute requirements of federal, provincial and municipal governments, and make sure that records are destroyed after the retention periods have been met
• The records manager must be familiar with the statutes of the government
• Ignorance of a statute does not absolve the organization of its responsibility to keep records for the specified time

Litigation protection and support

• A records retention program helps us to identify the records necessary for litigation and locate the records needed as evidence in the courtroom
• Ensure records are destroyed according to an established records retention program, records properly destroyed prior to litigation cannot be used against the organization during litigation

Records appraisal

• Records appraisal is an examination of the data gathered through the records inventory to determine the value of each records series to the organization
• Result of records appraisal should be a records retention schedule

Steps to establish a records retention schedule

• Establish series value
• Administrative value: a records series that defines operating procedures, e.g. organization chart, policy statements, directives, procedures manuals
• Fiscal value: records that documents use of funds, e.g. financial statements, summaries of financial transactions
• Legal value: records series that documents business transactions, e.g. contracts, financial agreements, titles, records proving compliance with regulatory requirements
• Historical value: records series that documents the organization’s accomplishments, e.g. minutes of board meetings
• Establish retention periods
• Originating department must determine the retention period to support the business activity
• Legal counsel must determine retention period to meet the legal requirements of the records series
• The fiscal officer must establish the retention period for the organization to maintain its fiscal responsibly
• Determine requirements
• Length of time records are retained based on:
• Support for business activity (organizational requirements)
• Legal requirements
• Negotiate and finalize retention periods

Sample inventory and retention forms
Records Management Plan. McMaster University Health Sciences http://www.fhs.mcmaster.ca/recman/invform2.html
Records Inventory and Retention Control Card http://web.archive.org/web/20050101000000*/http://www.bankersbox.com/us/handbook/retention.xls (click on December 16 to download)

Organizational requirements

• Requirements of originating office
• Vital records (4-10% of records)

Requirements of the administrative policies of the organization
http://www.smbsd.org/UserFiles/Servers/Server_3140011/File/migration/Records_Retention_Form.pdf

Legal requirements

• Business records must be maintained in compliance with federal, provincial, and municipal statutes and rules and regulations established by government regulatory agencies
• The statute of limitations must be considered when records retention periods are established
• The period during which a person or organization can bring action in a lawsuit or be sued

Government regulations

• Varying federal and provincial jurisdictions based on Constitution Act of 1867
• Provinces look after property, civil rights as such regulate most business activities
• Federal government regulates international and interprovincial trade, commerce, transportation, communication, navigation, shipping, banking
• Two major legal systems
• Civil code in Quebec
• Common law other provinces
• Language regulations
• Some records must be kept in both official languages
• Quebec, records must be in French
• Most comply with statutes of each province organization does business in
• Records managers must establish retention periods for the records covered by the federal, provincial and municipal states
• Requires researching applicable legislation
• The records analyst is a specialist in systems and procedures used in creating, processing, and disposing of records
• No single source for Canada lists all government statues and regulations

Statues of limitations

• Records managers must establish a records retention program that will support the organization in case the organization is involved in litigation
• Statues of limitations designate time period during which an organization can sue or be sued they do not state records retention requirements
• general rule for breach of contract within six years of cause of action

Archival requirements

• Archival retention may be based on legal, fiscal, or historical reasons
• Usually applies to c. 5% of records
• Archives are used to preserve corporate memory; provide production information, policy direction, personnel information and financial information; maintain public relations activities; provide legal advantage and research service; and prepare commemorative histories

Finalize retention periods

• When records manager receives the records inventory and retention sheets with all the required signatures, a records retention schedule can be finalized
• Retention periods include 
• length of time to remain in originating office
• length of time in records storage area
• final disposition (archives/destruction)
• date scheduled for destruction
• Final retention periods may include the amount of time the record will remain on its original medium, the medium to which it should be transferred for further retention, and the time on the new medium

Program implementation
Steps include

• Schedule preparation
• Retention periods must be summarized in a list or retention schedule/timetable for distribution within the organization
• Retention schedule must include
• Name of the records series
• The retention period 
• Records Retention Policy. Stormont Dundas and Glengarry County Library http://web.archive.org/web/20050212170720/http://sdglibrary.ca/polc.html
• Medicine Hat Public Library Policy No. LM 1 http://web.archive.org/web/20070813011214/http://www.shortgrass-lib.ab.ca/mhpl/PDFDocs/Recordsmgmt.pdf 
• Schedule dissemination
• Distribute schedule to each office that deals with records
• Schedule review and revision
• Provide for review and revision at planned intervals
• Changes in government regulations
• Track pattern of use to adjust non-regulated period
• Development of a manual of retention policies
• Records retention policies and procedures only or
• Single records policies manual
• Guidelines on the Retention and Disposition of School Division/District Records, Manitoba Education and Training, January 2010 http://www.edu.gov.mb.ca/k12/docs/policy/retention/
• Records Management Standards and Procedures http://www.for.gov.bc.ca/tasb/manuals/recman/rmtoc.htm

Legally sufficient records retention program
To make program legally sufficient, i.e. adheres to government regulations and provides litigation protection and support, following factors must be included:

1. The records retention program must be developed in a systematic manner.
2. All records must be covered in the records retention program.
3. Records maintained on media other than paper must be included in the records retention program.
4. Records retention schedules must have written approval by key personnel of the organization.
5. Records must be systematically destroyed according to the records retention program.
6. The records retention program must be managed.
7. Procedures must be in place to suspend destruction of records involved with litigation and government investigations.
8. Documentation relating to the destruction of records must be maintained indefinitely.