1. PRONI Records Management Conference
16/06/2004
Designing a functional
file classification
Ways to keep a record of your records
Presentation by Zoë A. Smyth,
RSCni, 15th October 2004
Zoë A. Smyth

2. PRONI Records Management Conference
16/06/2004
Overview
Background & The Aim
Organisation of files – classification systems
What are functional processes?
The Method – Records Management
Examples
JISC HEI Functional Activity Model
16/06/2004
Zoë Smyth, PRONI
Zoë A. Smyth

3. NICS Corporate File Plan - Background
16/06/2004
Zoë Smyth, PRONI

4. PRONI Records Management Conference
16/06/2004
The Aim
Aim
Common Functional File Plan
Structure Tasks/Steps Classify files
Records Management
What
How
16/06/2004
Zoë Smyth, PRONI
Zoë A. Smyth

5. PRONI Records Management Conference
16/06/2004
Organising files
There are a number of ways to classify files:
Subject
Organisational
Functional
16/06/2004
Zoë Smyth, PRONI
Zoë A. Smyth

6. Subject Files ordered by subject they relate to: Advantages
Personnel; Equipment; Finance, etc…
Advantages
Relationship created
Codes can be allocated…
‘ST’ Staffing
‘FI’ Finance
‘AC’ Accommodation
OR block of numbers
1-999 Staff; Finance etc.
16/06/2004
Zoë Smyth, PRONI

7. PRONI Records Management Conference
16/06/2004
Subject
Disadvantages
Confusion exists
Files opened for documents
Staff misfile documents
Staff resist using the system
greater need for cross-referencing systems
16/06/2004
Zoë Smyth, PRONI
Zoë A. Smyth

8. Organisational Files ordered by the organisational unit: Advantages
Corporate Services; Reader Services; Acquisition; Preservation…
Advantages
Context for the files
Staff know where to file
16/06/2004
Zoë Smyth, PRONI

9. Organisational Disadvantages Out-of-date very quickly
Opening/closing files
Irrelevant
Inherit old files
Staff resist using irrelevant system
16/06/2004
Zoë Smyth, PRONI

10. Organising files
16/06/2004
Zoë Smyth, PRONI

11. Functional Files ordered by: Function Sub-function Activity
Transactions they relate to…
16/06/2004
Zoë Smyth, PRONI

12. Functional Advantages Functions don’t change over time
Files can be easily identified… without affecting how they are classified
Greater ownership
Better search and retrieval of information within organisations and across organisations
New functions easily added
Less need for cross-referencing/scope notes
Work processes identified
16/06/2004
Zoë Smyth, PRONI

13. Functional Disadvantages Implementing the system
Forget about WHO OWNS the work
Think HOW IS the work done
You need is to ask them HOW did that document come about… what steps etc.
16/06/2004
Zoë Smyth, PRONI

14. Functions & Processes NICS functions What functions are you
mandated to
provide?
Function
Sub-function
Activity
Transactions task relates to…
Transactions
Why is the work done?
What tasks do we do?
Information & Communication
Records Management
How do you do that task?
What steps are involved?
What starts it?
What do you do next?
How is the task completed?
Initiation
Requirements
Planning
Delivery
Evaluation
Training

15. Examples Emails; notes from phone; Notes from face-to-face meetings
Information & Communication
Records Management
1st Version received;
Input on database
Document Management
Initial Contact
Tracking
Assessment
Publication
Review process
Various Versions; notes from
Meetings; tracked on
database
s; notes;
more versions
Signed off version

16. Examples Registry Management Email request Information & Communication
Records Management
Accession Sheet;
Card Index;
Correspondence
Registry Management
Opening Files
Accessing Files
Establishing Continuation Files
Closure Sheet; Accession Sheet
Closing Files
Updating File Register
File Register
File Review
Guidelines;
Updates
Reporting
s; Statistics; Reports;
PRONI.com

17. Archival Management List of files due for SR
Sensitivity Review
Repository dockets to order files
Generate listed files
Letter/ /File Lists
Ordering files from stores
Contacting FRD
PowerPoint/Handouts
Collection of files by FRD
Phone/letter/
Training File Reviewers
Phone/letter/ /Form?
Queries
Tracking file transfers
Form
FRD Recommendations
Minutes
Checking Recommendations
Organising Sensitivity Review Group Meeting
Database
Considering Final Recommendations
Closure Sheets
Updating database
Database
Physical Preparation of files
Report to Minister
FDR submission
Create updated file list
Press Release/Info Sheet/(Press Pack)
Issue Desk re. temporary file storage & Journalist timetable
Submission to Minister
PR Arrangements
Release of new file list to public
16/06/2004
Zoë Smyth, PRONI
Database/update Search Room lists

18. Stakeholders; Schedule GAANT
Examples
P.I.D; Business Case;
Budget/Team agreed
Information & Communication
Projects
Team meeting minutes;
Correspondence with
Stakeholders; Schedule GAANT
EDRMS
Initiation
Planning
Implementing Activities
Controlling
Evaluation
Research documents;
Procurement documents;
Testing documents;
Training documents;
Records Management;
Guidance documents
Reports;
Communication
Strategy;
Monitoring;
Risks…
Lessons Learned

19. Invoices (Requisitioning)
Financial Management
Accounting
Invoices (Requisitioning)
Request
Ordering
Receipt of Goods/Services
Request for Payment
Authorisation of Payment
Transfer to DE
Payment Report
16/06/2004
Zoë Smyth, PRONI

20. Where are the documents?
– Minutes from
File Plan Sub-Group
Information & Communication
Records Management
to IT; Booking
Lecture Room, Equipment;
Hospitality Form; Stationary
Order Form
Training
Initiation
Requirements
Planning
Delivery
Evaluation
Previous Presentations; Internet &
Secondary Research Material;
Drafts of Presentations
Feedback forms;
Workshop sheets;
Report on Workshop
PowerPoint Presentations;
Handouts

21. JISC website: HEI Functional Activity Model
Strategy Development & Implementation
Teaching & Learning
Research & Development
Student Administration & Support
Resource Management
External Relations
16/06/2004
Zoë Smyth, PRONI

22. Designing functional fileplan
Questions?
Zoë A. Smyth
Records Management and Administration Section
PRONI
Tel:
16/06/2004
Zoë Smyth, PRONI