Government of Newfoundland and Labrador Office of the Chief Information Officer

Information Management Branch

OCIO TRIM Number: DOC03307/2011

GUIDELINE – CLASSIFICATION PLAN DEVELOPMENT

FOR OPERATIONAL RECORDS

Guideline (Definition): OCIO Guidelines derive from Information Management and Protection Policy, TBM 2018-111 (replaces TBM 2009-335) approved by Treasury Board. Guidelines are recommended actions, general approaches and operational behaviors. They recommend actions and are not compulsory, as they take into consideration the varying nature of Information Management programs. Guidelines generally clarify what should be done and how to achieve the objectives set out in policies and directives (source: ISO/IEC 17799:2005).

Issuing Branch Information Management

Approval Date

Review Date 2015 03 24

OCIO TRIM Number DOC03307/2011

Authorizing Directive

(Where applicable)

Information Management and Protection Policy, TBM 2018-111 (replaces TBM 2009-335)

GRC Approval Date 2011 06 15

Related Directives

Related Standards Corporate Records and Information Management Standard (C-RIMS)

Related Guidelines Classification Plan Implementation Guideline

Records and Information Inventory Guideline

APPROVAL AND SIGN OFF

Executive Director, Information Management Branch

(name) (signature) (date)

Note: Questions related to this guideline should be forwarded to im@gov.nl.ca

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TABLE OF CONTENTS

1.0 Overview ................................................................................................................ 4

2.0 Scope ..................................................................................................................... 4

3.0 Recommended Approach ....................................................................................... 4

3.1 Introduction .......................................................................................................................... 4

3.2 Planning ............................................................................................................................... 5

3.2.1 Strategy ........................................................................................................................... 6

3.2.2 Communications Plan ..................................................................................................... 6

3.2.3 Staff Training ................................................................................................................... 6

3.2.4 Work Schedule ................................................................................................................ 6

3.2.5 Monitoring and Updating Plan ......................................................................................... 6

3.3 Research and Analysis ........................................................................................................ 6

3.3.1 Preliminary Research ...................................................................................................... 6

3.3.2 Interviewing ..................................................................................................................... 7

3.3.3 Interview Questions ......................................................................................................... 7

3.3.4 Scheduling Interviews ..................................................................................................... 8

3.3.5 Compiling Results from Interviews .................................................................................. 8

3.3.6 Completing Analysis ........................................................................................................ 8

3.4 Building a Classification Plan .............................................................................................. 8

3.4.1 Classification Hierarchical Structure ............................................................................... 8

3.4.2 Function .......................................................................................................................... 9

3.4.4 Secondary ....................................................................................................................... 9

3.4.5 File or Folder Level ....................................................................................................... 10

3.4.6 Scope Notes .................................................................................................................. 10

3.4.7 Arrangement and Classification Numbers .................................................................... 10

3.4.8 Completing the Classification Plan Template ............................................................... 11

4.0 Glossary ............................................................................................................... 12

4.1 Definitions .......................................................................................................................... 12

4.2 Acronyms ........................................................................................................................... 12

5.0 References ........................................................................................................... 13

6.0 Revision History ................................................................................................... 13

Appendix A: Classification Interview Data Form ............................................................ 14

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Appendix B: Interview Schedule for Classification Plan Project ..................................... 17

Appendix C: Classification Structure Template .............................................................. 18

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CLASSIFICATION PLAN DEVELOPMENT FOR

OPERATIONAL RECORDS

GUIDELINE

1.0 Overview

This guideline outlines the activities necessary to develop a classification plan for operational records. Operational records are records that reflect the unique mandate of their creators. Records of programs, projects, and service delivery are examples of operational records. This guideline includes information and recommendations on planning and organizing for development; researching and gathering information; analyzing information gathered; structuring classification information; and preparing the classification plan for use.

Its purpose is:

To provide a guideline for Government departments to develop a classification plan for operational records that complements existing standards including the Corporate Records and Information Management Standard (C-RIMS); and

To ensure that a department’s classification plan accurately represents the department’s mandated functions and that it is easily used to support access to government records and information.

2.0 Scope

This Guideline applies to or may be used by all public bodies, as defined in the Management of Information Act. Reference to department in this Guideline can be understood to include any public body.

3.0 Recommended Approach

3.1 Introduction

The purpose of a classification plan is to provide direction on how to systematically identify and categorize records and information created, received, processed and used by departments in a standardized manner. It is designed to capture the business functions of a department and establish rules around categorizing records created in the performance of these functions.

The information in a classification plan:

Identifies the government records and information of the department;

Provides a method to organize the use and storage of paper and electronic records and information;

Shows record relationships necessary for supporting their authenticity;

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Provides metadata about the department’s record and information assets;

Organizes records and information to provide better access; and

Aids a department in responding to Access to Information requests and legal discovery requirements.

Before undertaking development of a classification plan, a department should complete an inventory of its records, in all formats, to understand the types and nature of the records and information it creates, collects and manages. For further information about the inventory process, see OCIO Guideline Records and Information Inventory. The classification plan should be the second initiative a department should undertake and it should be followed by the creation of a records retention schedule. Corporate records (sometimes also known as Administrative Records) can be classified using C-RIMS.

The scope of the classification plan is to identify and organize the records and information assets of the entire department down to the file level. Classification plans follow a hierarchy that includes a minimum of three to a maximum of five levels in its structure. Specialized file plans for records series may be further developed depending on the nature of the records.

Classification Plan Development tasks include:

Planning - devising a plan for getting organized and overseeing the activities and processes involved in the project;

Research and Analysis - conducting preliminary research and drafting a preliminary functional analysis; interviewing stakeholders to confirm and update analysis; collecting and compiling data; analyzing and organizing information; and completing functional analysis.

Building the Classification Plan – putting information into classification hierarchical structure; drafting classification structure and compiling scope notes; getting feedback from stakeholders; completing the classification plan; obtaining approval from management; and preparing the classification plan for use.

The final classification plan is maintained as part of the department’s records filed under C-RIMS classification # 08-01-42: Information Management and Protection, Classification and Retention, Classification Plan.

3.2 Planning

Creation of a records classification plan schedule should be treated and managed as a project, with project plans, resource allocation and timelines all managed by an individual who is accountable for the outcome. The department should develop a project plan that outlines the effort and resources necessary to complete the classification plan development. The project plan should contain the purpose and objectives of a classification plan; a strategy outlining the scope of the project and how it is being done; a communications plan; a list of project staff; staff training; and the work schedule.

Prior to developing a classification plan, a strategy needs to be developed and approval sought within the department. Success of the classification plan is dependent upon executive support and knowledge transfer from staff already using and working with the records. Communicating the strategy is essential to garnering cooperation of staff during the project.

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3.2.1 Strategy

Identify the scope of the classification plan and a list of stakeholders, and include which business units will be interviewed. Consult with branches and divisions, if necessary, to determine what will work best for their specific business units. Seek the assistance of program staff that have specialized knowledge of their business functions, activities and information needs. Review the department’s records inventory to understand the content required in the classification plan. In addition, identify who will be the final authority for approving the classification plan.

3.2.2 Communications Plan

When the strategy is complete and has Executive approval, communicate it to Executive and staff who will be involved in the classification plan development. This includes a presentation to the Executive, orientation and training to staff involved in the project, and a wrap-up or follow-up presentation to either or both reporting on the project and findings. The department’s Executive should receive a presentation communicating the processes involved in the classification plan development, the role of staff and the projected work schedules so that they can communicate their support to staff to garner their cooperation.

3.2.3 Staff Training

Conduct workshop(s) to orientate selected staff involved in the project about the method and types of information being gathered. Train staff to use templates. Interviewees might require a one-sheet orientation about the project, classification and types of information needed from staff.

3.2.4 Work Schedule

Schedule the order of Divisions that will be interviewed and consult with Division supervisors to ensure that times selected are appropriate and that Division deadlines will not interfere with completing the project. Establish time-lines and completion dates. Adjust work schedule as the project proceeds.

3.2.5 Monitoring and Updating Plan

Monitor project time-lines and update the project plan as the classification plan proceeds. Timelines are likely to be affected due to the availability of staff and response to review requests. Adjust the project plan and report to Executive regularly about progress and any project risks or slippage in timelines.

3.3 Research and Analysis

3.3.1 Preliminary Research

Preliminary research is best gathered from the following sources: departmental organizational charts, legislation, regulations, policies, annual reports and strategic plans. For corporate functions, those functions common across government, it may be necessary to consult government-wide policies and processes. For instance, Government’s Corporate Records and Information Management Standard (C-RIMS) or the Government policy on policy development provides information on the function and activities involved in formulating, establishing and reviewing Government policy.

Preliminary research provides background and insight into the organization, functions and business culture of the department, and is necessary for understanding how records and information should be organized and categorized. This information will provide context for

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examining the department’s information requirements and relationships within the department, the Government of Newfoundland and Labrador and the department’s stakeholder community. Information gathered can be used in future Information Management processes such as in assessing the value of records and information and in developing a Records Retention and Disposal Schedule (RRDS).

When conducting preliminary research:

Identify the main functions, sub-functions and activities of the department and assemble information in a hierarchical fashion to show their relationships. Departments, agencies, boards and commissions are mandated to perform specific functions and their records are usually arranged along functional lines of business.

Identify stakeholders and gather contact information to be used for scheduling interviews and consultations.

Determine the gaps in your research and form questions to be answered through further research. Also, examine the department’s records inventory for records series, department files and file lists; consult former classification plans should they exist, and classifications for the same department or functions from other jurisdictions.

Research the names and subjects commonly used and related to the department’s functions. This will provide additional insight into the information needs of the creators and users of department records and information. Sources that provide this information include the records inventory, former classifications, individual records series and the files themselves. It is important to note that the terminology and language that the department uses should be included in building your classification plan in order for it to be relevant to users.

After the preliminary research has been completed, draft a preliminary functional analysis outlining the functions, sub-functions, activities and records identified in your findings. This outline becomes the foundation of the classification plan and indicates the gaps in your information gathering. Seek out additional sources to confirm and update your research. Scheduling and conducting consultations and interviews with key stakeholders within the department is the next step in developing a department’s classification plan.

3.3.2 Interviewing Stakeholders

Stakeholders in the department will confirm the information you have assembled about the functions and activities they perform to do their work; update your findings; identify and incorporate new initiatives; and give insight into the records and information they create, receive and use. Interviews provide an opportunity to communicate about the project, respond to questions, and get feedback from creators and users about their records and information.

3.3.3 Interview Questions

A set of interview questions that can be adapted for use is provided in Appendix A. These questions are the minimum that are necessary to gather information for developing a records classification plan. Additional questions may be included for collecting specialized information on a function or topic. The interview might also be expanded to include questions on records and information retention and value in preparation for the development of a RRDS.

Depending on the culture of your organization, the questions can be sent ahead of the interview to prepare the interviewee. Some Managers may request the interview questions

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and determine who would be best to be interviewed. It would be advisable to have two people conducting group interviews, one to ask questions and the other to take notes.

3.3.4 Scheduling Interviews

It is generally recommended to schedule management interviews first and separate from the other members of the business unit. Consult with management about which staff within the business unit should be interviewed to add detailed information about their business unit or have the most knowledge about its operations. Keep track of interviews; see a scheduling template in Appendix B.

Interviews typically take one hour to conduct. However, schedule an extra half-hour between interviews to accommodate going over-time and to allow for a break to review your notes while interviews are still fresh. It is best to not schedule more than three interviews per day.

When setting up interviews inform interviewees of the duration of meetings and meeting location. It is advisable to request any functional or business process management charts outlining their business processes, file lists (physical and/or electronic), lists of acronyms, names of committees or working groups, and other documentation they deem to be useful to the interview or project.

3.3.5 Compiling Results from Interviews

Interview notes should be compiled as quickly as possible after the interview. The longer the data remains in its raw form the greater the likelihood of losing context for comments and forgetting shorthand notations used during interviews.

Assemble the information from interview responses following the structure of your preliminary research. The responses will add to the functional analysis of information already prepared from your preliminary research. Remember the purpose of the interviews is to confirm your research; supply new information where there are gaps, and brings it up to date with current information.

3.3.6 Completing Analysis

The completed functional analysis forms the foundation of a department’s classification plan for operational records. It should include a hierarchical structure going from the general to the specific, relating functions, sub-functions and activities. It should also contain information defining what they are, how they are related and what type of information and records they contain. It is important to seek confirmation of the functional analysis from senior management before proceeding to building the classification plan.

3.4 Building a Classification Plan

3.4.1 Classification Hierarchical Structure

A hierarchical classification plan organizes records in a fashion that makes it easier to manage them through their life-cycle. Classification plans for operational records capture business functions relevant to a department, rather than subjects, the labels used to describe each level of the hierarchy will be different.

The hierarchical structure of the classification plan is three-tiered, going from the general to the specific, followed by individual containers or folders at the “file level” as the fourth level shown on the following page.

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3.4.2 Function

The function is at the highest level on the classification plan and clusters together the next level of sub-functions and activities relating to that function. It represents a grouping of primary activities required to meet a particular mandate. For example, Electrical Inspection and Electrical Permit Issuing are sub-functions of Electrical Permits and Inspection and therefore are identified as separate primaries grouped under .this function.

3.4.3 Primary

The primary is the next level and represents a grouping of secondary functions and activities that support the function it is attached to at the higher level. For example, the activities of receiving permit applications, review and approval by the Chief Electrical Inspector and the issuing of permits for electrical work in installation and repairs and electrical maintenance that support the primary Electrical Permit Issuing would form secondaries under this primary.

3.4.4 Secondary

The secondary is the next level and represents groupings of activities performed and some record series that support the higher level. We recommend using two types of secondaries: common and function specific secondaries. Common secondaries are those activities and record series commonly listed under each primary (e.g., Working Groups). Function specific secondaries are specialized types of activities and records series that are unique to that primary (e.g., Installation and Repair Permits under the Primary called Electrical Permit Issuing).

Level 1 - Function

e.g., Electrical Permits and Inspection

Level 2 - Primary

e.g., Electrical Inspections

Level 2 - Another Primary e.g., Electrical Permit Issuing

Level 3 - Secondary e.g., Installation and Repair Permits

Level 4 - File – e.g., Permit Applications

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3.4.5 File or Folder Level

The file or folder is the lowest, most specific level of the classification plan, where the document (or information object) exists. It represents a container or “folder” of documents and information objects. For example, under the secondary Installation and Repair Permits are likely to have containers or files by name of applicant and/or permit number that includes permit applications, specifications of electrical work, additional plans or specs depending on the activity, approvals, permits, declines, and appeals that are necessary to organize various documents.

3.4.6 Scope Notes

Scope notes provide users with enough information to assist them in making the correct decision for identifying and capturing their records. This information is also important when developing an RRDS. Descriptions should be consistent in the organization of information being communicated. Each level refers to the next level in that it describes the groupings at the next lower level.

The description should contain a statement that includes the following types of information: 1) a definition of the function, primary or secondary; 2) a summary of the primaries or secondaries or records series beneath that level in the hierarchy; and 3) the types of information and records found in that specific classification. As you descend the level, additional information may be included (e.g., specific filing arrangements or a cross-reference to another classification).

Scope Notes Example

Level 1 – Function Scope Notes

Electrical Permits and Inspection

The Electrical Permits and Inspection function provides a means to ensure public safety through regulation of electrical work being carried out by certified electricians and registered contractors. The Chief Electrical Inspector reviews applications, approves and issues electrical permits allowing electrical work to be carried out and conducts inspections of contractors' electrical work as defined in the Public Safety Act , snl1996 c.p-41.01 and Electrical Regulations nlr120/96.

Level 2 - Primary Scope Notes

Electrical Permit Issuing

Chief Electrical Inspector review and approval of permit applications that must be issued before installation or repair of any electrical equipment commences. The primary includes the issuance of two different permits: one for electrical installation and repair and the other for electrical maintenance.

Level 3 - Secondary Scope Notes

Installation and Repair Permits

Use for application submissions for electrical installation and repair permits for both single and non-single dwellings. Information includes permit applications, specifications of electrical work, building plans, approvals, permits, declines, and appeals. Arranged by applicant name and permit number.

3.4.7 Arrangement and Classification Numbers

It is recommended that whenever possible the arrangement of each level within the hierarchy follow alphabetical order to facilitate browsing and filing.

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A common method of numbering and one that is used widely in the Government is the block numeric system. Each level in the classification hierarchy is assigned a number resulting in a string of numbers that indicate how the records are tied to the main function. The function number is at the beginning followed in order by the primary, secondary and file numbers. For example, 400-20-20 is the classification number which represents Electrical Permits and Inspection (400) – Electrical Permit Issuing (20) – Installation and Repair Permits (20). The numbering system relates to specific categories of records.

When assigning numbers it is advisable to leave reasonable sized gaps to allow for additional functions, primaries and secondaries. The numbers assigned between gaps depend on the specific organization or business function. A business function that has been static for many years and not likely to change may not require large gaps; however, a function that is new or always changing will require larger gaps in order to support future changes. (e.g., in the example, the 1st level should be separated by hundreds and tens; the 2nd level separated by tens; and the 3rd level by tens.)

Numbering for secondaries is usually from 00-99. Usually the numbers from 00-14 are reserved for common secondaries.

Numbering for file units is discretionary to each records series although the number 1 should always be assigned as 01 or 001 to ensure proper filing order within an electronic environment.

3.4.8 Completing the Classification Plan Template

Classification plans should be compiled in a spreadsheet format in order to control the hierarchical structure and facilitate migration into an automated system, such as TRIM. A classification template has been compiled to assist departments in the development of departmental classifications. This template includes worksheets for classification structure hierarchy, C-RIMS, Operational Classification Plan, and common secondaries. See Appendix C.

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4.0 Glossary

4.1 Definitions

Active Record

Classification Plan

Corporate Records

Corporate Records and Information Management (C-RIMS)

Government Record

Inventory

Metadata

Operational Records

Record

Record Series

Stakeholders

TRIM

4.2 Acronyms

RRDS

Records and Retention Disposal Schedule

C-RIMS

Corporate Records and Information System

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5.0 References

Management of Information Act

Information Management and Protection Policy, TBM 2009-335

Government of Newfoundland and Labrador Corporate Records Information Management Standard l (C-RIMS) Manual

ISO/TR 15489-2: 2001 - Information and Documentation - Records Management - Part 2: Guidelines

DIRKS: A Strategic Approach to Managing Business Information (DIRKS Manual).

6.0 Revision History

Date Reviewed Reviewed By

2010-11-05 Access to Information and Protection of Privacy (ATIPP) Office

2010-11-22 Information Management Standards Board (IMSB)

2010-12-06 Iris Power, Director of Information Management Services

2011-01-07 Shelley Smith, Executive Director Information Management

2011-01-26

2015-03-24

Government Records Committee (GRC)

Bun Power, IM Consultant, IM Services

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Appendix A: Classification Interview Data Form

Name of Interviewee (Last Name, First Name): Date Interviewed (yyyy-mm-dd):

Program/Services Name:

Questions Reply to Questions

1. Major Functions or Activities

1.1 What is the Mandate or purpose or Service?

1.2 What basic activities are performed?

1.3 Is the program or service centralized or decentralized?

1.4 If decentralized, is it managed at a regional or district level?

1.5 When did the program or service start?

1.6 Was it part of another department previously? If yes, what department?

2 Changes to Major Functions/Activities

2.1 Have there been any major changes recently? Are any planned? What are the changes? Are they now obsolete?

2.2 Are there any changes proposed to the enabling or programs specific legislation?

3 Legislation/Policies/Procedure

3.1 What legislation, regulation, policy or procedures guide your work? Can you make them available to our project?

4 Record Series Information

4.1 Briefly describe activities performed and identify associated records series.

4.2 Who keeps the master records series?

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4.3 What media is the master or official record stored in?

4.4 What copies of the records are made and where are they?

4.5 What copies are stored in different media formats?

4.6 Are there issues related to the physical characteristics and storage of the records?

4.7 What is the growth rate of these records?

4.8 How are records created?

4.9 How are records organized?

4.10 Are there any plans to convert the records to another media?

5 Interrelationships/Partnerships with other Government Jurisdictions, GNL Organizations, Local Government, Non-Government Organizations

5.1 What other organizations (government or private) are affected by the activities of the program or services? What interaction is there with these organizations?

5.2 Are there records that are created by government and then transferred to non-government business?

5.3 Are there records collected in non-government organizations performing government business.

6 Electronic Formats/Systems in Use

6.1 What electronic information systems exist? Are electronic systems used to create records or to store or both?

7 Access/ Restrictions/PIB

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7.1 Are there Personal Information Banks being maintained and records series that may be subject to the exceptions to disclosure in ATIPP?

7.2 What access restrictions apply to records now or in the past?

8 Business Value

8.1 How long will the record be of business value?

9 Frequency of Use and Old Stuff

9.1 When can the records be considered completed or closed?

9.2 How long will the record be of business value?

9.3 How often is it required after closure? How long and for what purpose?

9.4 Do records need to be on-site for audit purposes or can audit take place offsite?

9.5 Do you feel these records could be destroyed at the end of their life cycle? Why or why not? Is there historical value? Is there potential for research value?

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Appendix B: Interview Schedule for Classification Plan Project

S:\Information Management\Education and Awareness\Projects\IM3\Interview Schedule for Classificaiton Plan Project.doc

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Appendix C: Classification Structure Template

S:\Information Management\Education and Awareness\Projects\IM3\Worksheet Classification Plan Development for Operational Records.xls