ISO standard recommends a functional approach? yes in a way it does but I
do not recall it saying that this was the only way it had to be done. We
need to think about where records management fits within organisations and
how much change we can bring about at this point. Functional classification
maybe the way records are most usefully indexed for our profession (to
facilitate, disposal) but it may not be the most user friendly way to
index.
Records may result from business activity around functions, activities and
transactions but are generally created by people and information systems.
the info systems element is quite easy to organise we can get a script
written to say that the report will have appropriate metadata whatever it
is , only problem is cost. People on the other hand are a bit harder try
telling an arts development officer that rather than using their system of
colour based filing they need to call the file; Leisure and cultural
development - arts development- policy - art for schools. Going to a
structured hierarchical system where previously staff and business units
have done their own thing has large change management implications. Are we
prepared for this?
yes it is possible to use both subject based schemes and functional based
schemes, except for one problem. This problem is to do with the resources
and will for any scheme to be implemented. We may be able to come up with
a perfect scheme but if the end user will not bother about it because it
adds 2-5 minutes per document to their workload than it is unlikely to
work. If we need to use more than one scheme to enter data the likelihood
of staff doing this is very slim unless there are very good business
reasons. I think we all agree that a controlled vocabulary is needed, but
how many are needed ?
Tony May
Documents Manager
Hertfordshire County Council
Phone: 01992 556 729
Comnet 26729
In reply to;
Since the International Standard recommends a functional approach, you
have to have a very good reason for not following the recommendation.
Records are generated by functions, activities and transactions. A
functional taxonomy, classification scheme, file plan (the PRO guidance
makes it all one word to avoid confusion), call it what you like, will
provide a relatively stable superstructure that captures everything that
local government does. The subjects with which it deals would be almost
impossible to encapsulate except in terms of what it does. In any case,
organisations are accountable and responsible to their stakeholders for
what they do, which is why records are created, not for the subjects
with which they deal. FOI requests are likely to be about the actions a
public body has taken. There's more to records than the information they
contain (content). 'Record-ness' needs structure and context as well as
content.
Functional structures and topic/subject based approaches are not
mutually exclusive. In fact it's essential that the records system is
supported by subject indexes and/or thesauri to enable it to support
current business. It's relatively straightforward to link approaches
like GCL to a function/activity structure - through the use of subject
metadata tags in document headers for example - to provide access to
subject matter in records. A controlled vocabulary that everyone uses,
which is what GCL sets out to provide, is an essential tool. It's very
difficult to reconstruct functions and activities from records systems
organised by subject to support accountability and to manage retention.
It's pretty well impossible to apply sensible retention periods to
subjects.
Keith is right too. The classification scheme (perfectly reasonable
term)and the retention schedule, which are components of the file-plan,
should share a common structure.
Peter Emmerson
Director
Emmerson Consulting Limited
47a Salisbury Road
Harpenden
Hertfordshire AL5 5AR
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