Developing an Information Classification Structure In Your Organization

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Developing an Information Classification
Structure In Your Organization

• Public Sector Records Management Conference
• May 12 - 14, 2009

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Agenda

• Classification and how people seek out
  information
• Determining whether Functional Classification is
  the right approach
• Business Classification Systems (BCS)
• Building a structure to span the enterprise
• Managing your information assets in an electronic
  medium

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Classification

• Why do we classify records?
• Is it necessary?
• Should there be a standard way of classifying
  information?
• Is it better to conform to one classification
  structure?
• Can there be any method as long as it works and
  there are people to manage it?

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Classification

• Do users need file plans to find out where they
  should save or look for records?
• With electronic search capability (RDIMS, Google,
  Copernic, etc.), why should they?

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Classification

• How do people normally think to look for
  information?
• People work/think almost entirely subject,
  project/case
• Purpose of document, e.g. briefing note, report
• Document type, e.g. email, memo, correspondence
• In terms of people or the organization who sent
  it, and often combined with when the person sent
  it
• By author or trustee
• Date - created or modified date range

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Classification

• How do people normally think to look for
  information?
• Geographic location
• Keywords either in the title or body of the
  document
• Or by the file number, e.g. know the few
  primaries related to their work and look by the
  file associated with it
• DONT search by retention

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Classification

• How do people normally think to look for
  information?

Subject
Date
Author
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Classification

• Seeking out the information we need
• Using search functions and tools
• Date modified
• Title
• Keywords
• Browsing and/or sorting contents of folders on a
  shared drive
• Sort by date, document type, or title (works well
  if naming conventions are applied)
• Scan network directory, use Explore search tool

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Classification

• Seeking out the information we need
• Scour file rooms
• Ask another staff member, or an IM practitioner
• Browsing file plans/classification structure
  document
• Searching the index
• Reading the scope notes

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Classification

• Seeking out the information we need
• Hoarding information so we know where it is
• Saving it on the c drive or Personal Space on
  the network
• Paper files kept in office or emails kept in
  inbox
• Its mine mentality or I wont be able to find
  it on the network
• Not shareable, not keeping with GC standards and
  policy

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Classification Systems Why Do We Need Them?

• Manage information throughout its life cycle
• Provide evidence of activities undertaken to
  support a mandated or legislated function (may be
  critical when an institution is reorganized)
• Identify Offices of Primary Responsibility/Interes
  t, thus providing a basis for accountability

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Classification Systems Why Do We Need Them?

• Provide foundation for compliance and risk
  management
• Aid in Access to Information Requests or
  litigation
• Provide trust in the record keeping program to
  mitigate bootleg systems and hoarding of
  information
• Serves as foundation for developing IRM policies
  (e.g. governing retention, access to information,
  security, disaster recovery, access and
  retrieval)
• To enable more efficient use of IRM system
  applications

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Functional Classification

• Logical arrangement of all records documenting
  or evidencing the activities of an institution
  based upon an analysis of the institution's
  business functions, sub-functions, and
  activities (LAC, BASCS Guidance)
• Based on why the records are created, not on who
  created them
• Can ask yourself, What was I doing when I
  created this record?
• Planning, evaluating, reporting, managing, etc.

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Functional Classification Is it the Right
Approach?

• Advantages
• Withstands reorganization of the enterprise
• User friendly - only need to know what you do
  in order to classify, and makes it easier to find
  helpful information to support their work
• ISO 15489 and GC recommended
• Direct connection between the organizations
  records and business processes
• Simple to classify records at point of creation
• Reduces costs related to unnecessary duplication
  and storage

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Functional Classification Is it the Right
Approach?

• Disadvantages
• Organization may not have the needed skill sets
  to conduct a systematic analysis of an
  organisations business activities
• Time consuming development process
• Can add levels to the hierarchy
• Defining and interpreting activities
• Applying retention periods
• Can result in file splitting

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Functional Classification Is it the Right
Approach?

• Do the advantages out-weigh the disadvantages?
• Is it worth the time and effort, are staff open
  to change, can you sell it?
• Is it most appropriate for the type of
  information at your organization?
• Can uniformity and flexibility be reconciled?

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Business-Based Classification System - BCS

• Spans the entire organization rather than
  allocating a block of file categories to each
  directorate/division/group
• Forms a single corporate memory
• No operating in silos
• Less duplication
• Conducive to sharing information

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Business-Based Classification System - BCS

• Represents and describes functions, business
  processes, transactions or other elements of the
  organization, and shows their relationships
• An organizations business structure tends to be
  stable
• Providing a sustainable context for a
  classification system
• Less change to the system required as time goes on

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BCS Hierarchy

• PAA
• Business Plans

Mandate Legislation
Business Objectives
Activities (Function)
Business Products or Services
Sub-Activities (Sub-Function)
Sub-Sub-Activities (Activity)
Business Specific Activities
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Building a Structure to Span the Enterprise

• Consider the Cost
• time, resources, management support, failure
• Establish a Methodology

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Building a Structure to Span the Enterprise

• Steps
• Acquire management approval
• Build a Business Case for approach
• Make friends
• Communicate results under a high-level signature
• Draft a preliminary model
• Study legislation, mandate documents, PAA, etc.
• Identify business objectives, strategic outcomes
• Identify products, services within each business
  objective
• Pass it by your friends and revise as necessary

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Building a Structure to Span the Enterprise

• Steps (continued)
• Confirm the model
• Meet senior (strategic thinking ADM, DG) staff
• Establish the nomenclature
• Begin describing business objectives, products,
  services
• Validate results with senior staff
• Elaborate on the Model
• Meet Directors, Managers
• Prepare scope notes for objectives, products,
  services
• Identify business-specific activities associated
  with each service, product
• Validate results with Directors, Managers

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Building a Structure to Span the Enterprise

• Steps (continued)
• Describe specific outcomes, products generated by
  activities
• Map current file plans to BCS
• Establish naming conventions for file level
• Plan implementation
• Communication
• Training
• Roll-out

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Building a Structure to Span the Enterprise

• Things to consider when implementing
• Cost
• It costs a lot of money to convert older material
• Minimal costs for implementing on a this day
  forward
• Time
• Do you have the needed human resources to devote
  to converting older material?
• Estimates of 20 hours/meter for paper and 1
  minute/electronic document
• Importance of older records and information
• Do you need them in day-to-day operations?

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Managing Information Assets in an Electronic
Environment

• Information Assets
• Knowledge
• Records official and transitory
• Email
• Library and reference material
• Research (gray literature)
• Web-sites inter- and intranets
• Material of Precedential Value (MPV)

IRM umbrella
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Managing Information Assets in an Electronic
Environment

• Electronic Environment
• EDRMS, shared drives, memory sticks, discs
• Wikis, Blogs, Facebook, Twitter, podcasts,
  instant messaging
• Handheld computers remote work stations (e.g.
  blackberries)

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Managing Information Assets in an Electronic
Environment

• Electronic Environment
• Metaverses (three dimensional virtual spaces,
  e.g. Second Life)
• E-commerce (personal information)
• E-discovery (litigation)

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Managing Information Assets in an Electronic
Environment

• IM practitioners need to be technologically
  minded, aware and up-to-date on emerging trends
  and issues
• Not like the old days when it was a tool to
  simply aid with organizing and managing
  information

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Managing Information Assets in an Electronic
Environment

• Technology driven IRM issues
• The gathering and creation of vast amounts of
  unstructured information
• some estimates suggest up to 5 times more
  information is created in todays technological
  environment
• Privacy and security
• Conducting business on-line results in more and
  more information being given and shared, causing
• Increased reports of fraud, theft, impersonation,
  and forgery
• Leading to ever-increasing legislation,
  regulation and to a raised awareness of the need
  for compliance

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Managing Information Assets in an Electronic
Environment

• Technology driven IRM issues (continued)
• Who is liable for inflammatory comments on a blog
  posting or what is the legal status of agreements
  reached in Second Life?
• How do we preserve all this information?
• Trusted Digital Repository mission is to
  provide reliable and long-term access to managed
  digital resources to its designated community,
  now and in the future. (LAC is in the process of
  developing a TDR) http//www.rlg.org/legacy/longte
  rm/repositories.pdf
• PDF - can we read it in 100 years?

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Managing Information Assets in an Electronic
Environment

• How do we ensure the capture and management of
  this information throughout its life cycle?
• By applying the same tools and principles of good
  recordkeeping
• Policies
• Procedures and guidelines
• Standards and directives
• File plans/Information Classification Systems
• Retention and disposition schedules

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Managing Information Assets in an Electronic
Environment

• Researching and finding the right tools for
  users
• Software
• Web-based applications
• Hardware
• Education/training and ongoing communication
• Not just for all users, but for the managers of
  this information
• IRM staff need to be well versed in current
  technologies as well as future technologies
• Training has to be ongoing generations between
  new technology are only 2-3 years apart, if not
  less
• Delivery of information sessions, bulletins, IRM
  newsletters

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Questions?