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March 27, 2008 (c) Ictus Consulting, LLC 1
Records Classification: Do Big Buckets = Big Headaches?
Upland Inland Empire ChapterARMA International
2008 Annual SeminarRiverside, California
Barbara E. Nye, CRMIctus Consulting, LLC
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Introduction
DefinitionsExamplesExercisesDepartmental / Functional RRSRRS Demo
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Definition -
ClassificationThe process of systematic arrangement into groups according to established criteria.
(Webster’s 9th New Collegiate Dictionary, 1987)
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Definition -
ClassificationThe process of devising and applying schemes based on business activities which generate records whereby they are categorized in systematic and consistent ways to facilitate their capture, retrieval, maintenance, and disposal.
(AS 4390.1-1996, Section 4.8)
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Definition -
ClassificationSystematic identification and arrangement of business activities and/or records into categories according to logically structured conventions, methods, and procedural rules represented in a classification system. (ISO 15489-1:2001E), Section 3.5)
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Classification Summary
A process – arranging (classifying) things−
Into a structure (framework, scheme)−
Categories, groups, “buckets”
−
Following rules−
Systematic−
Consistent−
Categories must be:−
Mutually exclusive−
Singularly exhaustive
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Purpose of Classification
To facilitate:StorageRetrieval
precision and recall
MaintenanceDisposition
Essential to managing electronic records.
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Examples
SupermarketVideo StoreRecords Retention Schedule
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Example -
Supermarket
Shopping List:ApplesCheeseChicken (cooked)Chicken (raw)Cough DropsRaisins
Location:______________________________________________________________________________
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Example -
Supermarket
Shopping List:ApplesCheeseChicken (cooked)Chicken (raw)Cough DropsRaisins
Location:ProduceDeli caseService DeliMeat CounterPersonal CareSnacks
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Example –
Video Store
Movie:Little Miss SunshineGone with the WindStar WarsLord of the RingsHairspray
Genre:_________________________________________________________________
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Example –
Video Store
Movie:Little Miss SunshineTitanicGone with the WindStar Wars
Lord of the RingsHairspray
Genre:ComedyRomanceHistory? Romance?Adventure? Science Fiction?Adventure? Fantasy?Musical? Comedy?
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Business Examples
Chart of AccountsJob ClassificationsStandard Industry Classifications
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Classification in RM
Used for:Filing Systems / File PlansRecords Retention Schedules
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Definition –
Record SeriesA group of related records, filed / used together as a unit, and evaluated as a unit for retention purposes.
(ARMA International, Glossary of Records and Information Management Terms, 2000)
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Definition –
AppraisalThe process of evaluating records based on their current operational, regulatory, legal, fiscal, and historical significance, their informational value, arrangement and relationship to other records.
(ARMA International, Glossary of Records and Information Management Terms, 2000)
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Definition –
“Big Bucket”The application of appraisal criteria to multiple similar or related groupings of information across one or multiple agencies to establish a uniform retention period.
(NARA, “Flexible Records Scheduling: Strategies for Analysis”, 2003)
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Developing a RRS
Departmental RRSFunctional RRS“Big Bucket” RRS
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Departmental RRSAdvantages:
Easy to understandEasy to trainUses familiar record namesMirrors the organization chart
Disadvantages:Many records series and RRS to maintainRedundant entriesConflicting retention periodsRRS must be revised each time there is a re-organizationCannot use the same RRS at multiple offices / locations
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Functional RRS
Advantages:Consistent retention periodsEliminates duplicate records seriesMatches legal citations more accuratelyFewer records series to maintainMore closely reflects business processesSupports EDMS, RMAPromotes standard naming conventionsBest Practice / ISO 15489 compliant
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Functional RRS
Disadvantages:More time-consuming development process
Must analyze business processes
Requires additional training – new way of thinking about records
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“Big Bucket” RRS
Advantages:Eliminates scheduling backlogSchedule less likely to changeImproves consistencySimplifies ERMS system requirementsSimplifies classification for userMitigates risk
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“Big Bucket” RRS
Disadvantages:Leads to an increase in retention periodsResults in more storage needsIncreases migration of e-recordsIncreases e-discovery risksMay be counter-intuitive
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RRS Types: Departmental, Functional, “Big Bucket”
Departmental: Retention Schedules = ManyRecord Series = 100s – 1,000s
Functional: Retention Schedule = 1Record Series = 50 – 200
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“Big Bucket” = 1 RRS 3 – 50 Records Series
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Developing Classification
Identify functionsAnalyze functions to identify activitiesAnalyze activities to identify stepsIdentify records
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Functional Classification
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Developing Classification
Clear connection:Function Activity Record
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Sample Functions Australian National Archives: Administrative Functions Disposal Authority
Community RelationsCompensationEquipment and StoresEstablishmentFinancial ManagementGovernment RelationsIndustrial RelationsInformation ManagementLegal Services
Occupational Health and SafetyPersonnel ManagementProperty ManagementPublicationStaff DevelopmentStrategic ManagementTechnology and Telecommunications
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Financial Management –
“The function of managing the organization’s financial resources.”
Sub-functions:AccountingAllocating ResourcesMaintaining Asset RegisterAuditingAuthorizingBudgetingFunding Grants
Making DonationsManaging RiskManaging TreasuryPreparing Financial StatementsReporting
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Exercise – Classifying Records
Record:BudgetExpense ReportPersonnel EvaluationPress Release
Location:Security Dept.Legal Dept.Accounting Dept.HR Dept.
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Exercise – Classifying Records
Record:BudgetExpense ReportPersonnel EvaluationPress Release
Function:Financial Mgmt.AccountingPersonnel Mgmt.Community Relations
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“Big Buckets” = Big Headaches?
Yes?No?You decide for your organization
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Summary
ClassificationAppraisalClassic RM activitiesElectronic records impact
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Thank you!
Contact Information:Cynthia J. Nunes, CRM, MLS, CDIA+, ECMP
Barbara E. Nye, CRMIctus Consulting, LLCPasadena, [email protected]
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Interactive RRS Demo