Hi all
 
We are slowly developing a classification scheme and so far use the following headings for local management files.
 
Team Management (top level) with the following second level classifications
 
		Meetings
		Space Management
		Planning
		Budgeting
		Job details
		Performance reviews
		Training / course notes
		Surveys / monitoring
		Induction materials
		Distribution lists
		Sickness reporting
		Procedures and processes
		Awaydays
		Contacts
We rely on users applying access controls on certain documents for example under 'Performance reviews'. And we set retention at classification level. We also provide some notes on the type of information that goes under each heading - for example staff manuals would go under 'Procedures and processses'. We haven't done Human Resources or other Corporate areas yet.
 
Very interesting to see Joseph's scheme - and would like to copy some areas in further development of our own. We also have a top level heading for Health & Safety. 
 
Fully support the idea of the RMS producing a standard classification for certain types of files including local management, finance, human resources, etc.
 
Kind Regards
 
Cathey Webb
 
Knowledge Centre Adviser
HEFCE
________________________________

From: The UK Records Management mailing list on behalf of Wisener Joseph
Sent: Wed 12/04/2006 10:12
To: [log in to unmask]
Subject: Re: Business Classification - Local Management Files


Hi Fraser,
 
Due to DPA & FoI considerations, we no longer allow line managers to retain files on staff. All line manger comments or actions are to be placed on the employee / HR central files. We have taken the view that all management files relating to line management, are retained in a part of the fileplan dedicated to Human Resources i.e.:
 
14.0.0   CAA Business Management
 
14.1.0   Human Resources
14.1.1   Employee Relations
14.1.2   Performance Management
14.1.3   Reward and Recognition
14.1.4   Resourcing
14.1.5   Learning and Development
14.1.6   Administration Services
14.1.7   Occupational Health
 
14.2.0   Organisational Unit Management
14.2.1   Quality Management
14.2.2   Budgeting and Charging
14.2.3   Local Procedures
14.2.4   Unit Strategy
14.2.5   Business Plans
14.2.6   Management Meetings
14.2.7   Projects
 
14.3.0   CAA Management System
 
14.4.0   Business Environmental Issues
 
14.5.0   Health & Safety Management
 
Access is based on CAA Security Policy.
 
I would suggest that you use the fileplan, to determine a 'single source' for all legislation, broken down in its various forms.
 
You should then ban all forms of duplication, with the possible exception of off-line uncontrolled copies, declaring the online controlled copy the authentic record by which the organisation stands. You should then enforce through regular record audits aggressive retention and disposition of all uncontrolled copies. Although you say that 'by which I refer to locally kept 1-to-1 files, sickness reports and other similar materials which have a management value locally, but little if any corporate value (or are more granular versions from which reports at a corporate level are made). - be aware that the 'corporate value' increases where the risk of litigation or prosecution is involved. You may also wish to apply any new or agreed Retention and Disposition retrospectively, to historical held material to reduce risks and recoup costs involved in maintaining unnecessary duplication. I can't think of better example of a 'business critical function' than eliminating court appearances and corporate damages.
 
Kind regards
Joseph
 
Joseph Wisener BA Hon's Info Sci
CAA EDRM System Manager
Civil Aviation Authority
Tel       01293 57-3962
Email   [log in to unmask]
 
 
-----Original Message-----
From: Fraser Marshall [mailto:[log in to unmask]]
Sent: 11 April 2006 10:20
To: [log in to unmask]
Subject: Business Classification - Local Management Files
 
Hi all,

I wondered whether people would be prepared to give their thoughts on the
classification of what I call 'local management filing'.

It's clear that as we audit each team here we pick up substantial
quantities of records that are exclusive to 'local' managers, by which I
refer to locally kept 1-to-1 files, sickness reports and other similar
materials which have a management value locally, but little if any
corporate value (or are more granular versions from which reports at a
corporate level are made). Another fact of life is that managers often
retain vast swathes of material that undoubtedly has a business value to
their teams, but is essentially duplicates of national legislation/ third
party materials; essentially reference material?

I would be interested to know how you have classified this material. Do you
create a generic code for 'Local Management Materials' or go more granular?
Do you ignore it altogether!? Given that many of our teams seem to have
entire cabinets' worth of hanging files of this stuff, I could potentially
get really hung up on this stuff if I wanted to, but there must be a more
sensible way of dealing with it, and allow me to concentrate on the actual
business critical functional stuff.

The RM Soc's Retention Guidelines for Local Authorities are no help, nor
are those from other local authorities/ public sector agencies I've seen.

Your thoughts would be very welcomed.

Regards,

Fraser


Fraser Marshall
Records Management Officer
Legal Service
Chief Executives Department
London Borough of Tower Hamlets
Phone: 0207 364 4055
email:  [log in to unmask]
Web: http://www.towerhamlets.gov.uk
Mulberry Place
5 Clove Crescent
London E14 2BG


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