imr504 classification and filing system week 2

IMR504- Week 2 Classification

Definition:

Is a process of putting things – records of a similar or category – together. Then, a classification is a group of records related by common characteristics

Robek, Brown & Stephens

Penyusunan maklumat ke dalam kumpulan-kumpulan yang seakan-akan sama maksudnya, di mana tiap-tiap kumpulan dikenali dengan identitinya yang tersendiri

Arkib Negara Malaysia, 2003

- often considered when present system is inefficient in filing or storing information e.g. – excessive (extreme) misfiles - variations in subjects – users request the same file

- the main reason for classifying is the VOLUME of records

- classification systems are part of records control

Objective of Classification

The primary reason for classification is to provide an overall overview of how an organization’s information resources fit together.

The system recognize difference in records, allows for growth & provide day-to-day guidance to users.

Terms familiar to the organization ought to be used.

The objectives of organizing a uniform files classification systems are to provide:

1.a listing or data bank of all created information

2.a critical path/trail for locating information for retrieval, maintenance, retention, and disposition

3. uniformity of efficient files usages by users who transferred from one department to another

4. a method of flagging one records series for retention that the same time permits duplicates copies to be flagged for destruction

5. a listing of information by type, which aids in the development of records retention schedule, as well as the identification of vital records

6. continuity because only trained records personnel modify the file plan

This is why organizations used the uniform classification system in filing & storing information that make sense to the users (Uniform Classification System: A classification system that preserve the set order of records & establishes common titles)

Basic Steps in Building a Uniform Files Classification System

1. GATHER DATA

2. COMPILE & ANALYZE DATA

3. LIST PRIMARIES & SUBDIVISIONS

4. ADD DEFINITIONS, RESTRICTIONS, & INSTRUCTIONS

5. SELECT & ASSIGN FILES CODES

6. PREPARE ALPHABETICAL INDEX

7. PREPARE FINAL DRAFT

PRINCIPLES OF CLASSIFICATION

support business & organizational requirementseasy to understand, use & maintainprecise complete & comprehensive back up by the procedures manual & training materialseasily automated

Classification system must be:-

1.Suit the organization it serves

2.Enable reference number & codes to be assigned to each item that requires classification

3.Fully documented so that the rules & vocabulary used to classify records are consistent & precise

4.Up to date & flexible, to reflect changes in function & activities

Determining Classes of Records

•Consideration must be given to determining classes of records & selecting subject headings & subdivisions of the system especially in planning a uniform files classification system

•The subject heading must be concise, accurately descriptive, technically correct & capable of only one interpretation

Nevertheless we can see of the problems that are greatly magnified when large subject systems are used.

e.g. Is a health insurance policy filed under Insurance or Health? or

Purchase for the repair of the home filed under Home Maintenance or Purchases and Warranties

It is advise that a subject must consists of a noun where the noun must have a very broad meaning, allowing intricate/ elaborate breakdowns through subheadings.

Headings (file folder captions or titles, or file manual outlines in a coded system) are developed & outlining them in a hierarchical fashion

Major Headings

•represent the main functional areas of the organization the system serves

•describing the records series by the function they perform is called functional filing

•the number of major grouping (functional areas) will vary with size & complexity – as few as 5 primary grouping & as many as 30 subdivision for each functional area

Almost all organizations share the same function. Some of these functions or subject areas are:

AdministrationFinance and AccountingHuman ResourcesMarketingOperationsPurchasing

Other major areas can be added to the list depends on the need & type of organization:

LegalManagement Information System etc

FunctionalArea of

Organization(Major Grouping)

Primary-Level Heading

• After the majors are established, each is subdivided into the most important categories within that major. These are called primaries (primary-level headings)

• Secondary classifications are arranged within each primary classification. The number of secondary classifications will also depend on the size of the organization and may vary from 5 – 30

• The tertiary classification can be determined; these usually are fewer than secondary classifications

• If there are too many subdivisions, the classification scheme is probably too detailed to be practical

Administration - (Functional-Area Heading)Administrative Services (Primary-Level Heading)Consultants

Finance and Accounting (Functional-Area Heading)Accounting (Primary-Level Heading)BankingCreditEconomicsFunding Investment

Human Resource (Functional-Area Heading)Employees (Primary-Level Heading)Job DescriptionsTraining

Marketing (Functional-Area Heading)Advertising (Primary-Level Heading)

Service Policies

Property (Functional-Area Heading)Buildings (Primary-Level Heading)EquipmentLandPatents

Secondary Level Heading

• In turn, each primary can then subdivided into secondary

Finance and Accounting } Functional Area (Major)

Accounting } Primary-Level

Accounts PayableAccounts ReceivableGeneral BooksIncome AccountsMaterial AccountsPersonnel Accounting

Functional – Area Heading with Primary-Level and Secondary

Secondary

• Each secondary can then be subdivided into tertiary or third, breaks (The subdivisions are also referred as breaks)

• Ideally, a total file caption should not consists of six breaks

• Most often, the name of the major is not placed on the folder label, but instead is represented by a color stripe, thus reducing the number of breaks required

Finance and Accounting } Functional Areas/Major Areas

Accounting } Primary-Level Headings Personnel Accounting } Secondary-Level

Payroll Deduction: EPF: 2007 } Tertiary Level

Finance and Accounting (M): Accounting (P)Personnel Accounting (S): Payroll Deductions:

EPF: 2007 (T)

If a major Finance & Accounting was represented by a color code or another code, the caption would appear as:

Accounting (P): Personnel Accounting (S)Payroll Deductions: Social Security:2007 (T)

Any category that matches major departmental functions may be included. These categories may not be familiar terms to some organization so more appropriate term is chosen.

e.g. Operations can refer to patient care health organization, to transportation for a railroad, or to

production for a manufacturing firm

Useful techniques to determine subject headings include:

1. Looking at the subject heading at the beginning of the document

2. Looking for references to past communication in the document and

3. Consulting with the receiver of the document

Important!

•terms in classification must be brief & commonly used terms•there is no punctuation except for colon that separate the breaks•there are no sentences & no unnecessary words•caption contains enough information to identify the general contents of the file & to distinguish it from other files in the system•(easy trick - first break: surname, second break: first name, third break: middle name, and so on)

Colon – tanda bacaan ( : )

Implementing a Files Classification System

•can change rec. mgmt from reactive (unthinking) to proactive (upbeat)

•reactive manager solve problems as they occur while proactive manager anticipate problems & build systems that lead organization desired goals

•one way to developed a system by reviewing the records inventory (records series or department) & retention schedule

•focus on the function of the organization & not the originator of the records (some dept. may have the same series)

• Regardless of location & duplication, the same record series will be assigned the same classification

• In most organization, some records series such as policies, procedures & regulations, and reference materials may pertain to all primary classification

• In this case, it may be more efficient to set up standard category that are repeated for each primary because their location may always be the same so these records are easy to find, and they are stored with other files they pertain (associated) to

• In a uniform classification system, an alphanumeric code is establish for each record series

Documenting a Files Classification System

•Headings are recorded in a listing or database which can become an index as files classification system develops

•location of each file is listed in the index

•extensive cross-referencing may be necessary in order to cover all the heading by which various users may request a file

•A cross-reference is a notation (symbol) showing that record may be filed elsewhere

• the notation may be made on the document being filed, on a cross-reference form, or in the index

• a cross-index to the files classification system lists the record series in alphabetical order, cross-referenced to their alphanumeric codes

• when multiple names for the same records series were eliminated from the classification system, these names should be cross-referenced to assist users of the files in recognizing currently-used titles

• The cross-indexed listing showing the coding under which the records will be found is the first step in developing the index & user’s manual to the filing system

ANY QUESTIONS?