Terra Nova Chapter PresentationOctober 22, 2014

Steve Neilly, CRM

Records TaxonomyA systematic framework for organizing records, document or information into logical groups and sub-groups and then providing definitions for each group and sub-group.

Records Retention ScheduleA listing of record types and their period of retention following their active use.

1. Hierarchical structure, easy to follow2. Is technology neutral 3. Business driven (but not necessarily

organization chart driven)4. Results from a process and functional

analysis of business activities 5. Applies to all information regardless of

format or media 6. Allows for easy integration with, and

development of, the corporate records retention schedule

Process Analysis

Develop process maps or flow charts

Functional Analysis

Function Activity Sub-activity Record

-And/Or-

Records Inventory

Opening statement: I want to understand your business

1) Describe to me, in under a hundred words, your major business areas are.

2) Let’s explore each business area you described, starting with____________. (repeat for each business area)

2.1) Describe the major actions that that business area executes.

2.2) For action_____________ what are the documents/information are generated and where are these housed? (looking for Identification of records, data bases, etc)

2.3) After completing the initial action are there sub actions or new actions generated? If yes, repeat 2.1 and 2.2 for each.

2.4) for record/information ____________ what is the retrieval frequency after the initial action is complete.

3) Now that you’ve had a chance to review the classification manual, do the descriptors for this area encompass the information that this area holds? If not, are you able to offer suggestions.

4) In your opinion, are there any documents/records that just don’t seem to fit anywhere?

5) During your explanation of the major actions your mentioned an interface with another business area ____________. Please tell me about any other departments that you interface with and how that happens.

Human Resource Management (Function) Recruitment (Activity)

Competitions (Sub-Activity) Internal Position Posting (Record) External Position Posting Collected Resumes Interview Notes Completed Tests and Results Offer Letter Rejection Letters

Recruitment Plans (Sub-Activity)

Gather record information through an inventory process

Each business unit submits in inventory coordinated with one Subject Matter Expert

Look to all storage areas for listings of record types:File cabinet file indexOffsite records holding inventoryDrive file tree printoutProcedure documents

Databases & Systems

Network Drives

Local Drives

Email

Intranet

InternetW

eb

Port

als

Records Warehouse

sOnsite/ Offsite

Office Storage

Desk DrawersFile

Cabinets

Various Media

Look for the metadata for each record Name/title Description Owner/Custodian Owners Immediate Access Requirement Owners Long-term Access Requirement

Look for secondary metadata components Duplicate and Master Copy Storage Location/URL Storage System (if electronic) Access/Security Restrictions Personal Information Bank Media Type

Develop and define Functions, Activities and Record types

Typical Administrative Functions

Administration

Corporate Governance

Communication Management

Financial Management

Site and Material Management

Human Resource Management

Information Management

Legal Administration

Procurement

Planning

Risk Management

Training

Sample Activities Definitions at all levels FIN Financial Management

FIN00 Finance FIN0001 Financial Working Papers FIN0002 Grants FIN0003 Scholarships, Endowments & Awards FIN01 Accounting FIN0101 Accounts Payable Working Papers FIN0102 Account Receivable Working Papers FIN0103 Account Reconciliations FIN0104 Chart Of Accounts FIN0105 Copies of Invoices FIN0106 Cost Summaries FIN0107 Journal Entries FIN0108 School Fee's FIN0109 School Generated Funds FIN02 Budgets FIN0201 Capital Expense Report FIN0202 Corporate Budgets and Forecasts FIN0203 Departmental Budgets and Forecasts FIN03 Cash And Banking FIN0301 Bank And Wire Transfers FIN0302 Bank Deposit Reports FIN0303 Bank Transactions FIN0304 Cheque Administration

FIN Financial Management Records related to Financial Management such as accounting, budgeting , cash and banking, credit card administration, cheque administration, financial reporting , investments and taxes.

FIN02 Budgets Records related to budgeting and forecasts at the corporate and departmental levels.

FIN0202 Corporate Budgets and Forecasts

Includes all records related to the corporate capital and operating budgets such as forecasts, transfers and requests, coding, reconciliations, summaries, variances and reallocations, reviews and analysis.

Add the metadataCode Title Description Closure OPR Retention Key Citation/

Business Case

FIN Financial Management Records related to Financial Management such as accounting, budgeting , cash and banking, credit card administration, cheque administration, financial reporting , investments and taxes.

FIN02 Budgets Records related to budgeting and forecasts at the corporate and departmental levels.

FIN0202 Corporate Budgets and Forecasts

Includes all records related to the corporate capital and operating budgets such as forecasts, transfers and requests, coding, reconciliations, summaries, variances and reallocations, reviews and analysis.

CY Corporate Finance 5 yr BC: Moderate Value

Code Title Description OPR Closure Criteria

Retention Period

Citation(s) or Business Case

Disposition Type

Security Assignment

Vital Records Designation

PIB Comments

AD Administration Committee meetings, department meetings, contact lists, Annual report and resource material listing,

AD00 Administration General Includes records related to general corporate administration such as appreciation, awards, calendars and directories.

AD0001 Appreciation & Complaints Includes all records related to correspondence expressing appreciation or complaints of a non-personal basis. For Employee related complaints see Employee Relations - Grievances - HR0402.

Corporate Services, CEO, Board

CYE 1 yr BC: Limited Value Destruction Confidential 1 Y

AD0002 Awards, Honours and Scholarships

Includes all records related to correspondence, general information, recipients and criteria for awards, honours and scholarships.

Financial Services

CYE 7 yr Income Tax act c.1-Income Tax Regulations (C.R.C., c.945)PART LVIII, Retention of Books and Records sec.5800.(1)(c)

S/R, Destruction Protected 1 Y

AD0003 Calendars Includes all records related to Corporate and School year calendars. Includes grievances about the calendars.

Systems Services

CYE 10 yr BC: Limited Value Destruction Protected 2 N Original copy held at Division Office

AD0004 Calendars - Individual Includes all records related to Individuals calendars for the School year.

All CYE 0 yr BC: Limited Value Destruction Protected 1 Y

AD0005 Community & Business Involvement and Reports

Includes all records related to the CESD Trustees holding or participating in community and business leader meetings and events.

CEO Creation 3 yr BC: Moderate Value S/R, Destruction Unrestricted 1 N

Sample Taxonomy/Retention Schedule

Whether its here…

or, its here…

Make sure they’re aligned!

Considerations of cost to develop a taxonomy and retention schedule

Project manager/consultant time to conduct interviews and develop process maps

Staff time to attend interviews Staff/PM/consultant time to conduct

inventories Inventory management software (eg:

RulesMapper) and programming time Consultant cost for legal citation research PM/consultant time for taxonomy

development PM/consultant time for retention

development PM/consultant/staff time for training

Thank you for your time and attention!

steve.neilly@informationinnovation.ca403.596.9539