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Business classification scheme

design

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Business classification scheme design

Last updated October 2003 Page 2 of 56

Contents

Section 1: Introduction and overview .............................................................................................5

Context and principles of „business classification scheme‟ design to achieve the 2004 target...5

EDRM benefits realisation..........................................................................................................6

Business classification scheme: intellectual structures ..............................................................7

Key question of approach .......................................................................................................8

National Archives Guidance: summary...................................................................................8

Further products .....................................................................................................................9

Section 2: Definitions .....................................................................................................................9

„Business classification scheme‟ ................................................................................................9

National Archives guidance ..................................................................................................10

„Business Classification schemes‟ ........................................................................................11

Section 3: Intellectual control and appraisal issues......................................................................15

Differences between electronic and paper records affecting specifications for the classification

scheme.....................................................................................................................................15

Automation ...........................................................................................................................15

Impossibility of physical control.............................................................................................15

Timing of records management processes: the records continuum......................................16

Intellectual control is more abstract ......................................................................................16

De-centralisation of records management ............................................................................17

Disposal management..........................................................................................................17

Timing of appraisal ...............................................................................................................18

Security and access control..................................................................................................19

Summary ..............................................................................................................................20

National Archives Guidance .................................................................................................20

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Section 4: Relationships between business classification schemes and technical EDRM

functionality..................................................................................................................................21

General ....................................................................................................................................21

Records management entities and inheritance of metadata attributes (properties)..............21

Hierarchical v flatter structures .............................................................................................22

Duplication, copy control and related issues.........................................................................23

Scope for reducing duplication where access controls permit ..............................................23

Copy/pointer technology .......................................................................................................23

FOI/Data Protection..............................................................................................................24

Section 5: Deciding on the approach to producing a business classification scheme..................24

Change management and user consultation............................................................................24

User interface issues ............................................................................................................24

General issues with introducing a corporate business classification scheme .......................25

Semantic relationships between levels in the classification scheme and between it and the

folders...................................................................................................................................25

Integrating legacy line-of-business systems and structured databases into the business

classification scheme............................................................................................................26

Section 6: The main methodologies.............................................................................................26

The functional approach...........................................................................................................28

„Hybrid‟ business classification schemes..................................................................................30

Appraisal, disposal and the functional model........................................................................30

Analysing departmental functions – some pitfalls to avoid....................................................30

Cross government mapping and business classification schemes .......................................31

Striking the right balance: National Archives guidance .........................................................31

Points for different types of organisation...............................................................................32

Section 7: Particular issues with case files ..................................................................................35

Definition and understanding....................................................................................................35

Implications of the functional approach for case files............................................................35

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Resolving the clash...............................................................................................................36

Enter the „virtual case file‟.....................................................................................................36

What are the main problems?...............................................................................................37

Business classification schemes for caseworking systems ......................................................37

1. Number of levels and self-indexing records.................................................................37

2. Other classification issues ...........................................................................................37

3. Case files in functional structures................................................................................38

Further development ................................................................................................................38

Section 8: Business classification scheme maintenance issues ..................................................38

The system administrator rôle ..................................................................................................38

Business classification scheme reorganisation.....................................................................39

Legacy records .....................................................................................................................40

Section 9: Worked example: Department of Equality and Diversity .............................................41

Brief „pen picture‟ of Department..............................................................................................42

Current organisational structure approach............................................................................43

Introducing the functional approach .........................................................................................45

Adopting the hybrid approach: functional at top levels, subject-based at lower levels..........52

Section 10: References................................................................................................................55

Business classification scheme design

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Section 1: Introduction and overview

Context and principles of ‘business classification scheme’ design to achieve

the 2004 target1

The overall purpose of creating, using and managing records is to support the business of

government. The business needs of the organisation, the benefits which it expects to gain from a

move to electronic working in EDRM, and other relevant external requirements on the

organisation are the general determinants of the way in which records should be organised, and

the means by which they may be accessed.

The EDRM system must support the business change process through which business benefits

are delivered, by underpinning and enabling change in operational, administrative and service

delivery systems. The EDRM must support the change management process, supporting

innovation and new ways of working, by delivering information to those who need it in the form

required.

Business change and people change will together deliver the benefits set out in the business

case which forms the justification for EDRM (although some of these benefits may be delivered

at the wider programme level, rather than directly at the EDRM project level). These identified

business benefits must therefore broadly determine methods of record organisation and access.

External drivers from the wider environment include:

requirements for corporate governance, including information governance

compliance with information policy legislation: for example Data Protection, FoI

requirements for legal admissibility

government standards

international standards: ISO 15489

cross-cutting developments within the public sector („joined-up‟ government)

The business classification scheme and the actual folders (files) and records classified by that

structure comprises what in the paper environment was called the „fileplan‟2

.

1

Although the achievement of the 2004 target by central government departments and agencies is the immediate

context and driver for this guidance, many of the underlying principles will be of use and relevance to other

communities, including local authorities