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

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

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

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

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

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; 1000-1999 Finance etc. 16/06/2004 Zoë Smyth, PRONI

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

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

Organisational Disadvantages Out-of-date very quickly Opening/closing files Irrelevant Inherit old files Staff resist using irrelevant system 16/06/2004 Zoë Smyth, PRONI

Organising files 16/06/2004 Zoë Smyth, PRONI

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

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

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

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

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 Emails; notes; more versions Signed off version

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 Emails; Statistics; Reports; PRONI.com

Archival Management List of files due for SR Sensitivity Review Repository dockets to order files Generate listed files Letter/email/File Lists Ordering files from stores Contacting FRD PowerPoint/Handouts Collection of files by FRD Phone/letter/email Training File Reviewers Phone/letter/email/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) Email 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

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

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

Where are the documents? Email – Minutes from File Plan Sub-Group Information & Communication Records Management Email 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

JISC website: HEI Functional Activity Model Strategy Development & Implementation Teaching & Learning Research & Development Student Administration & Support Resource Management External Relations http://www.jisc.ac.uk/index.cfm?name=recordsman_papers_cycle7 http://www.jisc.ac.uk/index.cfm?name=recordsman_papers_cycle3 16/06/2004 Zoë Smyth, PRONI

Designing functional fileplan Questions? Zoë A. Smyth Records Management and Administration Section PRONI Tel: 90 255927 Email: zoe.smyth@dcalni.gov.uk 16/06/2004 Zoë Smyth, PRONI