Section 2.3 - File Operations

General

File operations promote consistency and efficiency in managing records. They help ensure accountability for the records of individual offices and are a requirement for ARCS/ORCS registration. In addition, they are a useful staff reference and a valuable training tool.

Standards

File Operation Subjects

Responsibilities

• specify which position is responsible for the records management system in the office. Outline the general areas of responsibility and the mandate and authority when liaising with other staff regarding records management issues.
• explain how and when the Ministry Records Officer (MRO) is to be contacted and specify which position is responsible for that interaction

Records Management Training

• specify which levels of staff will receive which types of training
• specify when new staff will receive training and who will give it
• specify who coordinates access to training and contacts the MRO

Appointment of the Records Custodian

• specify who is responsible for designating the records custodian function (may be included in "Responsibilities")
• describe the process for designating or reassigning the records custodian function

Processing Incoming Records

• specify who opens the mail and describe how and when it is done
• describe how special items (e.g., personal/confidential, registered, or negotiable items) are handled
• specify who classifies the material, describe where the number goes (e.g., upper right-hand corner), and explain how cross references are handled
• specify whether records are logged and how
• explain filing procedures (i.e., are files pulled and forwarded with the mail to staff, or distributed and then filed?)
• explain how library material is handled
• explain how faxes are handled
• explain how electronic mail is handled

Processing Internally Generated Correspondence

• specify who classifies it. If the author classifies, explain what happens when the records custodian thinks the classification is inappropriate.
• specify who ensures that file copies are made and describe how and when this is done
• if photocopies of incoming records are made for distribution, explain how they are identified so that they can be treated as transitory records. Explain any special rules regarding retrieval or filing of the original incoming record.
• specify who prepares material for mailing out of the office and explain how and when this is done

File Operations and Maintenance

• specify who opens a new file and describe the procedures followed. Explain any case file coding conventions.
• specify who does the filing and how often. Explain the filing procedures.
• specify who is responsible for adding to file lists. Specify how often the updated file list is distributed within the office. Specify where the master list is located and what is contained in the ARCS 423-03 file (refer also to 5.2, Records Control -- File Lists).
• specify the location of records stored offsite in BCIMS-contracted records centres and identify where the detailed records listings for these records are filed
• describe what type of charge-out system will be used and explain how it works. Specify how often there is a review of charged-out files that should be returned to the centralized system.
• where there is a system to bring forward files to individuals on specified dates, describe how it works
• specify who is responsible for ensuring that records schedules are appropriately implemented and that all semi-active or inactive material is sent to offsite storage
• explain how electronic records are handled. Specify who handles electronic records, identify the software package used, explain how documents are named, and explain how backups are done.
• specify whether files are to be centralized, decentralized, or a combination of both. If a portion of the files are decentralized, clearly define responsibilities for making up a file, labeling, adding to the master list, putting material in the file, implementing the schedules, etc. in those decentralized files.
• specify whether there are any security measures for any files (e.g., personnel or financial)
• explain the automated records management system and how this system is used

Records Classification

• specify who is responsible for classifying records and describe the procedures
• identify sources of classification information (e.g., ARCS and ORCS manuals, Ministry Records Officer)

Records Reviews

• specify who is responsible for records reviews and explain procedures (e.g., records custodian, MRO)

Procurement of Records Management Equipment

• specify who is responsible for procuring records management equipment and explain procedures

Procedures

Developing, Approving, and Documenting File Operations

1. Records management staff in each ministry office develop records management procedures based on the specific requirements of the office and document these procedures in the office procedures manual. Note: These procedures must comply with approved ministry records management practices and procedures.
2. The Director, Regional Manager, or District Manager approves the procedures.

References

• Administrative Records Classification System manual, "Introduction," 2.5 Ministry of Forests

Information Management Group, B.C. Ministry of Forests

Comments to: Shirley.Jasperse@gems3.gov.bc.ca
This page last updated: November 18, 1997.
URL: http://www.for.gov.bc.ca/tasb/manuals/recman/rm2-3.htm