Business classification scheme (Taxonomy)

RECORDS CLASSIFICATION

By Solomon Kaminda, MSc IT, Bsc IS-Rec MSc IT, Bsc IS-Rec Mgnt,Mgnt,Principal Enterprise Records Management Consultant - Kenvision Techniks Ltd

KENVISION TECHNIKSKENVISION TECHNIKS

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

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 recordsSame classification principles apply to both paper and electronic records

• Should be easily understandable (i.e., designed using layperson terms)

Benefits of Records ClassificationIndustry 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

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 else’s possession)

Purpose of classification schemeClassification enables the user to browse for records• Browsing is different from searching• when searching documents, we have a specific target in mind, and generally use metadata, such as the name of the document to find what we want.

• When we browse for records, we generally do not have an idea of what we will find.

Purpose of a records retention schedule

• To authorize destruction of public library records pursuant to the schedule on an annual basis according to the established policy.

Records retention and Disposal policy

• The purpose of the Records Retention and Disposition Policy is to establish and maintain a uniform records management policy for:• the control, retention, storage, retrieval, and disposal of recorded information to comply with all statutory, regulatory, and administrative requirements governing an organisation

Enterprise Records Management Classification Technologies

• Enterprise records management has proven to be a complex beast to subdue.

• Organizations that have sought to deploy RM enterprise-wide have faced a number of significant challenges,

• Technologies to capably address these challenges on a truly enterprise scale are only now beginning to come to market.

Enterprise Records Management Classification Technologies

• Autocategorization is one of a group of emerging technologies that will make enterprise RM possible.

• Federated RM, which permits contributor and coordinator functions on other repositories;

• Information lifecycle management, or ILM, which permits the actual execution of RM commands;

• Radically distributed ingestion, with mfps that allow control of content at the point of origin or receipt. KENVISION TECHNIKSKENVISION TECHNIKS

The Importance of Autocategorization

Why is Autocategorization so critical?:

• Documents must be declared as records and classified as to what kind of record they are.

• Not all people who create records in your own organization, would care or even have the skill to perform accurate, manual declaration and classification.

• Having a system that carries out autocategorization helps in bridging this gap.

Federated Records Management• This the ability to establish, execute, and enforce a common records policy across distributed, heterogeneous records repositories, using a set of standards that provide interoperability for functions such as:

• Search, • Collection• Identity and access management • Retention and disposition, and • Other functions throughout the life cycle of a record.

Information LifeCycle Management (ILM)

• ILM does not come in a box; nor is that likely any time in the near future.

• The automation of information management policies regarding protection, security, and retention require a different way of thinking about information, its value to the organization, and the business needs for the use of the information.

Records Management Lifecycle

The span of time of a records from its creation or receipt, through its useful life, to its final disposition, whether that disposition is destruction or retention as a historical record.

~ARMA, Requirements for Managing Electronic Messages as Records

Records Management Lifecycle

Information Lifecycle Management (ILM)

ILM is not a technology - it is a combination of processes and technologies that determines how data flows through an environment. It helps end users manage data from the moment it is created to the time it is no longer needed.

ILM uses a number of technologies and business methodologies, including the following: Assessment, Socialization, Classification, Automation, and Review.

Information Lifecycle Model

Organisational Taxonomies

•What is taxonomy? • It is simply classification of stuff so that it can be found easily.

• Organisational taxonomies should be designed so that they are flexible enough to outride any organisational changes/restructures.

Ensuring flexibility of taxonomyTo achieve flexibility, an organisation should design essentially two types of taxonomies: 1)A departmental based taxonomy, which represents the organization's hierarchy. 2)A functional based taxonomy, which represents the key subject functions of an organisation.

Reasons for implementing a department-based taxonomy:

-Departmental based taxonomies are ideal as they mimic permissions and security access, they give clear sense of ownership and collaborative workspace for groups of users. -Users usually tend to work at a departmental level for retrieving and storing content, and only on rare instances require a subject view to information.

Reasons for implementing a functional- based taxonomy

-Overtime, the departmental structure of the organisation changes (specially in large organisation, e.g. restructures), however, the subject domain areas of an organisation are usually constant and rarely change. -When departmental restructures happen, content is usually moved from one location within the taxonomy to another and/or the structure of the taxonomy is reorganized e.g. the information technology department moves under information management.. -Some groups of users (e.g. management) within an organisation require a subject functional view on contents.

Classification Models

Arranging Records by Subject Groups or by Function

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

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

Structure of Subject Classification (continued)

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’

Structure of Functional Classification

Designing a Taxonomy

Necessary Components of a Records Classification System

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

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

employee’s file• Postal & Courier Services, not Courier Log

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?

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 won’t be able to comprehend• Spell out abbreviations (e.g., ALR – Agricultural Land Reserve)

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

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

• The heading should ideally be 2 to 5 words long (don’t 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

• Avoid using descriptions or terms which the average user won’t 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

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

• 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

• First sentence should always begin the same way (e.g., “Records relating to…”)

• Don’t simply repeat word for word what’s in the classification title, as that doesn’t add any value (even if the title alone is easily understood by the average user)

• The user will wonder “What’s the classification all about, and what’s it used for?”

• 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, don’t 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

• 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., don’t insult users’ intelligence)• Includes terms such as committees, employees, and resumes

• Ideally include a sentence talking about the types of issues or topics that may be covered under this classification: e.go 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

• 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

Naming ConventionsNaming Conventions

Applies to folders and electronic documents

Tertiary ClassificationsCase 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

THE ENDTHE END

Business classification scheme (Taxonomy)

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