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What is Classification?

Classification is the process of systematically organizing information to improve managing, storing, and accessing information overtime. A classification plan is a tool that departments can create to promote consistency by standardizing how they manage records. 

There are three characteristics of a good classification plan. First, it should accurately document the activities your department performs. Second it should be uncomplicated and use recognizable lanaguge. Finally, it should be stable enough to manage change within a department without major revisions.

What is a Functional Classification?

There are many types of classification systems, such as subject, topic, organization, function, etc. Function based classification plans organize records based on the work processes that a department performs. As such, it is considered records management best practice to adopt a function based approach to organizing records.    

Process for creating a file classification plan

There are nine steps to creating a classification plan. Use the Classification Plan Template, and follow the instructions for each steps listed below to develop a file classification plan for your department. 

1. Project Planning
2. Gather Information
3. Identify and Document Functions
4. Identify and Document Activities and Sub-Activities
5. Classify Record Series
6. Create a File Coding System
7. Identify and Document Records Retention and Disposition Requirements
8. Identify and Document Access
9. Identify and Document Storage

Step 1: Project Planning

Like any project, developing a file classification plan will require time and resources. Ask yourself: 

• Who will be responsible for supporting the project?
  
• Who will be responsible for leading the project?
  
• Who will be responsible for maintaining and updating the file classification plan?
• What information and resources will be required?
  

Consider establishing a File Classification Plan Working Group and ensure you have management support. Developing documents like Terms of Reference, Project Charts, and Project Plans can help ensure your project has clear goals, scope, and defined outcomes. 

At the end of Step 1, you should have a project team in place and a final project plan.   

Step 2: Gather Information

Most departments already have some file classification documentation in place. Begin by gathering together information about the department and the records it creates and manages. Consult existing information, such as: 

• Exiting file classification plans
• Existing file directories
  
• File inventories
  
• Policies and procedures
• Organizational charts
• Annual reports and/or strategic plans

At the end of Step 2, you should have an understanding of the work performed by the department and a sense of the records that are created to support this work.  

Step 3: Identify and Document Functions

Functions are the largest bucket of work performed by a department. There are two types of functions, departmental and general.

• Departmental functions are specific to a department. For example, at SFU the Archives and Records Management Department has several unique functions including the Archives Management, Records Management, and Access and Privacy Management Program.
• General functions are common to many (or most departments). For example, all SFU departments are responsible for Finance, Human Resources, Administration, and Governance.  

All departments perform a mixture of departmental and general functions. The Model File Classiciation Plan has been developed as a resource that departments can use to develop their own department specific classification plans. 

At the end of Step 3, you should have a list of all the functions your office performs.  

Step 4: Identify Activities and Sub-Activities

Once you have identified your department's functions, you can break each function down into its activities and sub-activities. Activities are the major actions undertaken to complete a function, and can be applied to a single function or multiple functions. In the Model File Classification Plan "activities" are called "primary classification categories." Serveral activities are usually associated with a single function, though the number of activties will differ each time. For example: 

• Finance (Function)
  • Accounts Payable (Activity)
  • Accounts Receivable (Activity)
  • Audits (Activity)
  • Budget (Activity)

• Human Resources (Function)
  • Employee Relations (Activity)
  • Grievances (Activity)
  • Pension and Benefits (Activity)
  • Personnel Management (Activity)

Depending on how complex the functions and activities of your department are, some activities may need to be furthur sub-divided. It is a general rule of thumb that a file classification plan should only be 3 or 4 levels deep, otherwise you risk making the file plan overly complex.

The Model File Classiciation Plan breaks down each primary classification category (activities) into secondaries (sub-activities). There are a number of common secondaries which can be applied to any primary classification category. They are as follows:

• Policies and Procedures: Use for records documenting the way an activity relating to the primary ought to be used.
  
• General: Use for records that relate to the primary, but do not fit under any other secondary. Use sparingly.
  
• Planning: Use for records of planning activities related to the primary.
• Reports and Statistics: Use for reports and statistical compilations created by or directly related to your department and to the primary.
• Special Projects: Use for records created during an individual project relating to the primary. Create separate files for each project.
  
• Reference and Information Files: Use for documents you receive for information purposes only and retain for their reference value relating to the primary. Regularly weed these files and discard documents no longer required because they are obsolete.

It may be helpful to bring together department staff to collaborate on this step, especially in small departments where there are often activites performed by a single person.

By the end of Step 4, you should have a list of all the activities and sub-activities performed to undertake each function identified in Step 3.  

Step 5: Classify Record Series

For each activity, or sub-activity, classify the main records series (the groups of records) that are created to support and document the activity. There may be a single record series associated with an activity, or there may be multiple record series. For example: 

• Human Resources (Function)
  • Employee Management (Activity)
    • Employee Files (Sub-Activity)
      • Academic Presonnel - Continuing (Record Series)
      • Academic Personnel - Exchange & Visiting (Record Series)
        
      • Academic Personnel - Non-Continuing (Record Series)
        
      • Non-Academic Personnel - Continuing (Record Series)
      • Non-Academic Personnel - Non-Continuing (Record Series)
        
      • Teaching Support Staff Union (TSSU) Employees (Record Series)

At the end of Step 5, each activity should be broken down it a record series. Consider describing how each record series is filed (i.e., chronologically by year, alphabetically by last name, numberically by employee ID) in the file classification plan scope notes.  

Step 6: Create a File Coding System

Step 6 is an optional step. Instead of writing out the full name of the primary and secondary class for each file, some departments may choose to implement a file code system. Two main systems are commonly used, the block numeric and the alpha numeric.   

Example 1: Primary Subject Headings

In the block numeric system, each subject heading is assigned a block of numbers; in this example, any file beginning with a number between 800 and 899 would be identified as a Human Resources file. 

In the alpha numeric system, each subject heading is assigned a three-letter alpha code; in this example, any file beginning with HRS would be identified as a Human Resources File. 

Example 2: Primaries within the subject heading "Human Resources"

In the block numeric system, each primary class is assigned a number within its subject block; in this example, any file beginning with the number 850 would be identified as a personnel file within the Human Resources block.

In the alpha numeric system, each primary would be assigned a number appended to its alpha subject code; in this example, any file beginning with HRS005 would be identified as a personnel file within the Human Resources block.

Example 3: Secondaries within the primary "Personnel Files"

In the block numeric system, each secondary class is assigned a two-digit number and separated from the primary by a dash; in this example, any file beginning with the number 850-10 would be identified as a personnel file of an academic employee in a continuing position. 

In the alpha numeric system, each secondary is assigned a two-digit number and separated from the primary by a dash; in this example, any file beginning with the code HRS005-10 would be identified as a personnel file of an academic employee in a continuing position. 

Note that in both systems, the common secondaries should always be assigned the same number, for example: 

• 00 Policies Procedures and Standards

• 01 General 

• 02 Planning

• 03 Reports and Statistics  

Example 4: Paper Folder Titles

Joan Smith is a continuing academic employee who was hired in 1979 and their paper personnel file comprises three folders. The folders would titled as follows:

Block Numeric:

• 850-10 / Smith, Joan, v.1, 1979-1986
• 850-10 / Smith, Joan, v.2, 1987-1993
• 850-10 / Smith, Joan, v.3, 1994-

Alpha Numeric:

• HRS005-10 / Smith, Joan, v.1, 1979-1986
• HRS005-10 / Smith, Joan, v.2, 1987-1993
• HRS005-10 / Smith, Joan, v.3, 1994-

Example 5: Digital File Titles

Elizabeth Mung is a continuing academic employee who was hired in 2020. Their department maintains a file share where all employee records are stored. Their digital personnel file comprises a single folder. The folder would be titled as follows:

Block Numeric:

• 850-10_MungElizabeth_2020

Alpha Numeric:

• HRS005-10_MungElizabeth_2020

At the end of Step 6 you should have an alpha numeric code system for your files. 

Step 7: Identify and Document Records Retention and Disposition Requirements

In addition to describing how records are organized and categorized, a file classification plan should also identify their retention and final disposition. Use the Records Retention Schedules and Disposal Authorities to include information about retention and disposition in your file classification plan. 

By default, departmental files are scheduled under RRSDA 1999-005, General Administrative, Program and Subject Files unless a more specific schedule applies. Individual departments should also consult any special departmental retention schdeules which may have been prepared specifically for their own department and its unique records. A list of all RRSDAs is available in the DUR.  

Closing Files

A file is closed when no more records are to be added to it. It is important to know to close a file, since the retention periods prescribed in the RRSDAs only apply once a file has been closed. There are three close types:

Event-based
There is a definitive event which triggers the closure of the file because the business documented in the file is complete. For example:

• Personnel files are considered closed when an employee leaves the University.
  
• Project files are considered closed when the project is completed.  

Time-based
There is a definitive calendar date which triggers the closure of the old file and opening of a new file. At the university there are three calendars on which dates are calculated:

• Calendar Year (January 1 to December 31);
• Fiscal Year (April 1 to March 31; and
  
• Academic Year (September 1 to August 31).
  

Continuous
If there is no definitive event or date on which files are closed, they are considered to be open "continuously".

In paper-based filing systems it was common to close files due to volume. While this is less likely in digital environments, files may still be 鈥渃losed鈥� when the volume or number of files in a particular folder grows to an unmanageable number. Note, that continuous files are rare.  

At the end of Step 7, you should know how long to keep each record series, what its file close type is, and what to do with it at the end of its retention period.  

Step 8: Identify and Document Access

The next step is to identify and document access restrictions for each record series. Managing access to individual documents and/or individual records series is not recommended as complex access restrictions are difficult to manage and maintain overtime. Ideally, access should be granted to the most people possible and managed through the use of groups.

Consider the following questions when determining access restrictions: 

• Who should have regular access to the information? 
  • Should the whole department have access? 
  • Should only part of the department have access? 
  • Do individuals external to your department but internal to SFU need access? 
  • Do individuals external to SFU need access?  
• Should everyone who has access to the information have the same level of permissions?
  
  • Should some groups be able to view records but not edit or delete?
    
  • Should some groups be able to view and edit but not delete?  

At the end of Step 8, you should have a clear understanding of the access restrictions and requirements for each record series.  

Step 9: Identify and Document Storage

The final step of this process is to identify and document where records are stored. List storage for paper (i.e., department central filing, University Records Centre, etc.) and digital records (i.e., SharePoint, ShareDrive, etc.). Also list storage locations for information located in databases (i.e., Blackbod, eTRACs, Salesforce, etc.). Be as specific as possible to ensure others can quickly find the records they are looking for.  

At the end of Step 9 you should have a clear understanding of the where all your records are stored and a complete file classification plan for your department.