Records Management Session 4

1
Records ManagementSession 4

• University of Alberta

2
Agenda for Session 4

• Records Classification Overview
• Classification Models
• Designing a Taxonomy
• Naming Conventions
• Records Conversion

3
Overview of Records Classification

4
What is Records Classification?

• Process of identifying and arranging records
  (documented information resources) in accordance
  with an approved filing system
• Includes records regardless of media format
  (paper, microform, electronic)
• Ensures all records
• Can be easily located at any time
• Can be located by any one person
• Can be located with a minimum of time, effort,
  and expenditure

5
What is Records Classification? (continued)

• Sometimes called a taxonomy
• Should be used by all staff persons in the
  organization
• An organization should not have multiple systems
  for arranging its records
• Same classification principles apply to both
  paper and electronic records
• Should be easily understandable (i.e., designed
  using layperson terms)

6
Benefits of Records Classification

• Industry figures estimate an employee in an
  organization without any records program spends
  an average of 50 minutes per day searching for
  misplaced and/or misfiled records
• Including electronic records as well as paper
  records
• Substantial productivity gains could be realized
  with employees concentrating on their jobs rather
  than searching for records

7
Benefits of Records Classification (continued)

• Minimization of Legal and Financial Risks
• Locate records needed immediately in the event of
  lawsuits, government audits, etc.
• Even relatively short delays in locating
  necessary information can result in fines, as
  well as casting suspicion in the minds of
  outsiders (especially if those same records turn
  up in someone elses possession)

8
Classification Models

• Arranging Records by Subject Groups or by Function

9
Structure of Subject Classification

• Typically Primary, Secondary, and Tertiary
  Classifications
• Primary Classification refers to a general
  subject or function, under which secondary
  classifications (which relate to more specific
  subjects or functions) may be arranged

10
Structure of Subject Classification (continued)

• Secondary Classification refers to a more
  specific subject or function - it is a
  subdivision of a primary classification code and
  heading
• Case File (also known as a Tertiary) is a folder
  or other filing device containing a variety of
  documents relating to a specific person, project,
  action, event, or other subject - case file
  series have the same classification codes (both
  primary and secondary identifiers), with each
  individual case file being assigned a unique case
  file identifier

11
Structure of Subject Classification (continued)

• b

12
Functional Classification

• In accordance with ISO 15489
• Better model than ones typically used in the
  past
• Is suitable for organizations that have no or
  fewer support staff for classifying and filing
  records
• Is easier to embed into electronic document
  management and workflow software applications
• Staff persons are typically aware of the business
  processes within which they work
• Prevents the classification system from growing
  out of control

13
Structure of Functional Classification
14
Designing a Taxonomy

• Necessary Components of a Records Classification
  System

15
Categories

• Records are normally grouped into subject or
  functional categories
• Finance
• Human Resources
• Information Systems
• Administration

16
Primary Classifications

• A primary classification consists of 2 elements
• A classification code (may be numeric,
  alphabetic, or alphanumeric)
• A written heading (or title)
• Primary classifications reflect broad subjects or
  functions
• Accounts Payable, not Invoices
• Employee Management, not a particular employees
  file
• Postal Courier Services, not Courier Log Books

17
Primary Classifications (continued)

• The heading should ideally be 2 to 5 words long
• Be concise when creating the heading or title
  (but provide sufficient description)
• Although there is no specific limit re the
  number of primaries under each category, ask
  yourself the following questions if you find the
  number of primaries steadily increasing
• Are some of them secondary classifications or
  case files (tertiary classifications), not
  primaries?
• Can several primaries be combined into one?
• Does it really belong here in this particular
  category?

18
Primary Classifications (continued)

• Leave space between primary numbers, if possible,
  (e.g., 100, 120, 140, etc.) this way, if a new
  primary needs to be added, it can be easily
  slotted in next to the primary which it most
  closely relates to
• Avoid using specific program or department names,
  as these regularly change
• Avoid using descriptions or terms known only to
  key people in a particular department, which the
  average user wont be able to comprehend
• Spell out abbreviations (e.g., ALT Agricultural
  Land Reserve)

19
Primary Classifications (continued)

• Lets do an exercise and test our knowledge!

20
Secondary Classifications

• A secondary consists of 2 elements
• A classification code (number)
• A written heading (or title)
• Secondary classifications are subdivisions of
  primaries and represent specific subjects or
  functions.
• Under a Telecommunications primary, we may find
  secondaries such as Cellular Phones, Telephone
  Lines, and Long Distance Logs
• Under a Building Inspection Maintenance
  primary, we may find secondaries such as Elevator
  Inspections and Janitorial Services
• Under a Capital Assets primary, we may find
  secondaries such as Capital Asset Depreciation,
  Capital Asset Inventory, and Capital Asset
  Reports

21
Secondary Classifications (continued)

• What about General classifications?
• General secondary captures orphan documents
• You may possibly never have to use this
  secondary, unless the need arises
• Very useful for identifying the need to revise or
  expand the classification system
• When at least 5 to 6 documents in the general
  secondary file refer to the same subject, it is
  probably time to create a new secondary
  classification

22
Secondary Classifications (continued)

• Example Government Liaison and Correspondence
  (Primary Heading)
• There may be secondaries for liaison and
  correspondence with federal government,
  provincial government, local government, and
  international government agencies
• If you receive a document pertaining to liaison
  and correspondence with an extraterrestrial
  government agency hailing from the planet Mars,
  youll have to place it under the general
  secondary
• If documents pertaining to extraterrestrial
  government liaison and correspondence continue to
  accumulate in the general file, then it is
  necessary to create a new secondary

23
Secondary Classifications (continued)

• The heading should ideally be 2 to 5 words long
  (dont get too wordy)
• Be as concise as possible when creating the
  secondary heading or title
• Ideally, there should be no more than 10 to 20
  secondary classifications under each primary
• If you find the number of secondary
  classifications steadily expanding, ask yourself
  if some of them are primaries or case files

24
Secondary Classifications (continued)

• Avoid using descriptions or terms which the
  average user wont be able to comprehend (use
  vernacular, or common, language)
• Spell out abbreviations
• Leave some space between secondary numbers, if
  possible, to allow for inclusion of new secondary
  classifications
• Avoid using specific program or department names,
  as these regularly change

25
Secondary Classifications (continued)

• Lets do an exercise and test our knowledge!

26
Scope Notes (continued)

• The scope note describes the functions, uses, and
  content of the records which are to be classified
  under a specific primary or secondary code and
  heading.
• Thorough and descriptive
• Concise and to-the-point
• Easily understood even by someone who has never
  dealt with that subject or function before, and
  by someone who has never seen the records before
  either

27
Scope Notes (continued)

• A scope note is typically 2 to 5 sentences in
  length, with the majority being 3 or 4 sentences
  long
• A scope note comprising only 1 sentence is
  insufficient, not only in length, but in content
• A scope note comprising more than 5 sentences is
  probably going into too much detail, which may
  also indicate the need to split the
  classification up

28
Scope Notes (continued)

• First sentence should always begin the same way
  (e.g., Records relating to)
• Dont simply repeat word for word whats in the
  classification title, as that doesnt add any
  value (even if the title alone is easily
  understood by the average user)
• The user will wonder Whats the classification
  all about, and whats it used for?

29
Scope Notes (continued)

• May include a description of what the subject
  constitutes, so the average user can understand
  it
• This should be about 1 or 2 sentences long (no
  need to write a book!)
• Ensure that the average user will know whether to
  use this classification in order to classify or
  retrieve specific records
• When writing a scope note, dont assume that only
  the persons who work in the department where the
  records are housed will be classifying and
  retrieving them
• Ensure that even someone who has never worked in
  that particular environment can readily
  understand what the classification actually
  means, and therefore what types of records may be
  filed under it

30
Scope Notes (continued)

• Define any subject or topic which may confuse
  users
• Subjects such as naturalization plans, minor
  variance applications, and marine vessel services
• Also such seemingly easy subjects as airport
  development, computer hardware, emergency
  planning, security, and labour negotiations
• No need to define everything, however, (i.e.,
  dont insult users intelligence)
• Includes terms such as committees, employees, and
  resumes

31
Scope Notes (continued)

• b

32
Scope Notes (continued)

• Ideally include a sentence talking about the
  types of issues or topics that may be covered
  under this classification
• Illustrates the definition
• A few examples is all that the user requires to
  determine whether or not this classification
  contains the information he/she wishes to
  retrieve

33
Scope Notes (continued)

• n

34
Scope Notes (continued)

• The last sentence may be a description of the
  individual types of documents that may be
  classified here
• Reports, correspondence, statistics, surveys,
  complaints, etc.
• Need not be entirely comprehensive, as a broad
  description will suffice
• Identify documents which are duplicates (i.e.,
  copies of), and ensure a cross-reference
  directing users to where the master record copy
  is located

35
Scope Notes (continued)

• n

36
Scope Notes (continued)

• b

37
Scope Notes (continued)

• Lets do an exercise and test our knowledge!

38
Authority Control

• See handout

39
Naming Conventions

• Applies to folders and electronic documents

40
Tertiary Classifications

• Case Files (or Tertiary Classifications)
• Are placed under secondary classifications
• Whereas a secondary relates to a specific subject
  or function, a case file relates to an individual
  person, place, date, or event that falls under
  the secondary
• For example, there may be a secondary for
  Year-End Financial Statements the case files
  under this secondary would be the individual
  year-end financial statements (which would be
  produced on an annual basis)
• Thus there would be a 1994 file, a 1995 file, a
  1996 file, and so on

41
Folder and Electronic Document Naming Conventions

• See handout

42
Records Conversion

• See handout

43
See you next class!