Learner Guide

Municipal Governance
Municipal Governance
NQF Level 5
SAQA ID: 67467
Interpret classification systems in order to organise, retrieve
and dispose of records
US ID: 119352
LEARNER GUIDE
UDS ID: 119352 LEARNER GUIDE
Developed by BBT INSTITUTE info@nsaconsulting.co.za

Copyright ©BBT INSTITUTE 2011. All rights reserved
No part of this Publication may reproduced, stored in retrieval system, or transmitted,

in any form or by any means, electronic, mechanical, photocopying, recording or
otherwise, without the prior permission of the copyright owner.
Although every attempt has been made to ensure that the management guidelines
are safe and correct, the developer, publishers, and sponsors of the manual cannot
accept any responsibility for errors arising from the use of this manual for any
purpose.
BBT-6-US: 119352
Classification systems 2
TABLE OF CONTENT
ACKNOWLEDGMENT ............................................................................................... 6
1. Introduction ............................................................................................. 7
2.2 Learner Support...................................................................................... 8
3. Assessment ............................................................................................ 8
3.1 Formative Assessment ........................................................................... 8
3.2 Summative Assessment ......................................................................... 9
4. Navigating the Learner Guide ................................................................. 9
4.1 Use of Icons............................................................................................ 9
5. Learner Administration.......................................................................... 11
5.1 Attendance Register ............................................................................. 11
5.2 Learner Registration Form .................................................................... 11
5.3 Programme Evaluation Form ................................................................ 12
US ID: 259458 ......................................................................................................... 13
Interpret classification systems in order to organise, retrieve and dispose of
records .......................................................................... Error! Bookmark not defined.
Learning Outcomes: .............................................................................................. 13
BACKGROUND KNOWLEDGE ............................................................................ 13
Retrieve and dispose of records ........................................................................ 13
Official Copy of Financial Statements and Reports .................................................. 17
Audio-visual material ......................................................................................... 18
Micrographic records ......................................................................................... 20
Photographs and publications ........................................................................... 20
A1.Classification systems are identified in terms of types and format ................... 20
Important things to know about filing ........................................................................ 30
What do we file? ................................................................................................ 30
AC2.A different classification systems .................................................................. 30
Group Activity / Pair Activity: 1 ............................................................................. 40
AC3.Classification systems are evaluated in terms of differences, advantages and
disadvantages. ...................................................................................................... 40
Advantages and Disadvantages of Functional Classification ............................. 40
Advantages .............................................................................................................. 41
Disadvantages ......................................................................................................... 41
Major Heading: Human Resources Department ................................................ 45
AC4. An analysis of the classification systems is conducted in terms of specific
organisational requirements. ................................................................................. 46
SO2. Apply classification system(s). .................................................................... 58
AC1.Records are analysed in order to establish correct reference numbers
according to classification system. ........................................................................ 58
Individual Activity: ................................................................................................. 64
AC3.Classification systems are evaluated in terms of differences, advantages and
disadvantages. ...................................................................................................... 64
Basic concepts................................................................................................... 64
Design of a MIS in an agricultural extension organization ................................. 70
Need for automation .......................................................................................... 72
Organization of a database ................................................................................ 72
Networking and interactive processing .............................................................. 72
System alternatives and evaluation: Centralization versus decentralization ...... 73
End-user computing........................................................................................... 73
Summary ........................................................................................................... 74
AC4.An analysis of the classification systems ...................................................... 74
Integrity .............................................................................................................. 75
Availability .......................................................................................................... 75
Authenticity ........................................................................................................ 75
Non-repudiation ................................................................................................. 75
Risk management .............................................................................................. 75
Controls .................................................................................................................... 77
Administrative .................................................................................................... 77
Logical ............................................................................................................... 77
Physical ............................................................................................................. 78
Defense in depth ...................................................................................................... 78
Security classification for information ....................................................................... 79
Access control .......................................................................................................... 79
Cryptography ............................................................................................................ 81
Group Activity / Pair Activity: ................................................................................ 81
SO3.Evaluate classification system(s). ................................................................ 83

AC1.Gaps in the classification system .................................................................. 83
Key differences between this and standard card-based classification evaluation .... 83
Analyzing the results ................................................................................................ 85
What the results mean ............................................................................................. 87
Iterative evaluations ................................................................................................. 88
Last thoughts ............................................................................................................ 88
Group Activity / Pair Activity: ................................................................................ 89
AC3.The security levels of the classification system are evaluated in order to
establish strengths and weaknesses. ................................................................... 89
Portfolio Activity: assignment 3............................................................................ 91
Resources:.............................................................................................................. 91
References ........................................................................................................ 91
Self Assessment: .................................................................................................. 92
ACKNOWLEDGMENT
This learning material has been entirely developed and organized by Bull’s Business
and Skills training institute (BBT Institute) under supervision of NSA Consulting.
Many people have contributed in various ways to help develop and produce the
original version and the later edition of this manual. We wish to thank all those who
have contributed in one way or another.
We are heartily thankful to BBT and NSA agency employees, family and friends,
whose encouragement, guidance and support from the initial to the final level enabled
us to compile and have an understanding of this manual.
Lastly, we offer my regards and blessings to all of those who supported us in any
respect during the compilation of this Manual.
Other sources
 National Department of Education

 South African Qualification Authority
 SALGA
 The DTI
 DBSA
 NSA (Nsamba) consulting and training
 Wikipedia
INTRODUCTION
1. INTRODUCTION
The person credited with this unit standard is able to describe the various
classification systems and to evaluate them in terms of their differences, advantages
and disadvantages. The learner will also be able to create and maintain records
according to the classification system and evaluate the classification system and
make recommendations to authorised individuals.
The qualifying learner is capable of:
 Defining and explaining classification systems.

 Applying classification system(s).
 Evaluating classification systems.
UNIT STANDARD ESSENTIAL EMBEDDED KNOWLEDGE

 Analytical thinking.
 Organisational structures and services knowledge.
 Consultation and communication skills.
 Statutory requirements for interpreting and maintaining classification
systems.
Critical Cross-field Outcomes (CCFO):
UNIT STANDARD CCFO IDENTIFYING

Identify and solve problems which may impact on the effectiveness of the
classification system.
UNIT STANDARD CCFO WORKING

Work effectively with others in the process of putting the classification
system into practice and during the evaluation phase.
UNIT STANDARD CCFO COLLECTING

Collect, analyse, organise and critically evaluate information when applying
the classification system(s) and in order to evaluate the classification
system(s).
UNIT STANDARD CCFO COMMUNICATING

Communicate effectively when making recommendations in order to
streamline the classification system.
UNIT STANDARD CCFO SCIENCE

Use science and technology to interpret the classification system in order to
organise, retrieve and dispose of records.
UNIT STANDARD CCFO DEMONSTRATING

Demonstrate an understanding of the world as a set of related systems
where the proper interpretation of the classification system improves the
organisation, retrieval and disposal of records.
2.2 LEARNER SUPPORT

Please remember that as the programme is outcomes based – this implies the
following:
 You are responsible for your own learning – make sure you manage your study,
practical, workplace and portfolio time responsibly.
 Learning activities are learner driven – make sure you use the Learner Guide
and Portfolio Guide in the manner intended, and are familiar with the Portfolio
requirements.
 The Facilitator is there to reasonably assist you during contact, practical and
workplace time of this programme – make sure that you have his/her contact
details.
3. ASSESSMENT
Learning Outcomes:
Please refer to the beginning of each module for the learning

outcomes that will be covered per module.
3.1 FORMATIVE ASSESSMENT
In this Learner Guide, several activities are spaced within the content to assist you in
understanding the material through application. Please make sure that you complete
ALL activities in the Learner Guide, whether it was done during the contact session,
or not!
3.2 SUMMATIVE ASSESSMENT
You will be required to complete a Portfolio of Evidence for summative assessment

purposes. A portfolio is a collection of different types of evidence relating to the work
being assessed. It can include a variety of work samples.
The Portfolio Guide will assist you in identifying the portfolio and evidence
requirements for final assessment purposes. You will be required to complete
Portfolio activities on your own time, using real life projects in your workplace
environment in preparing evidence towards your portfolio.
Portfolio Activity:
DO NOT WAIT until the end – the programme is designed to assist
you in evidence preparation as you go along – make use of the
opportunity!
Remember:
If it is not documented, it did not happen!
In some evidence, the process you followed is more important than

actual outcome / end-product.
Therefore …
Please make sure all steps for the Portfolio Activities are shown
where required.
4. NAVIGATING THE LEARNER GUIDE

4.1 USE OF ICONS
Throughout the learning programme icons are used to focus your attention on
important aspects of the learning programme. The following icons are used in this
learning programme to direct your attention in using at as a reference guide.
Group Activity / Pair Activity:
You will be required to complete an activity in your group or in pairs

with fellow colleagues / programme participants, and provide
feedback to the participants in a report back or presentation session.
Individual Activity:
You will be required to complete an activity on your own that relates

to the outcomes covered in the module.
Portfolio Activity:
Complete the assessment activity that will be assessed as part of

your Portfolio of Evidence for the particular module.
Self Reflection:
Reflect on the question(s) asked to identify the relevance of learning

outcomes in your own working environment.
Learner Tip:
A useful tip or essential element regarding the concept under

discussion is given as a basis to further discussion.
Resources:
Possible sources for further research and study is listed under this
icon. Resources may include additional reading, handouts, web-
sites, multimedia
Facilitators Note:
Content matter that is critical to the understanding of the module.

The learner must pay careful attention to this section.
Mentored Discussion:
Refer to your Mentor or Workplace Supervisor to assist in this

activity, as they will conduct the assessment or sign off of the activity
once completed.
Learning Outcomes:
Please refer to the beginning of each module for the learning

outcomes that will be covered per module.
Self Assessment:
You have come to the end of this module – please take the time to
review what you have learnt to date, and conduct a self assessment
against the learning outcomes of this module
5. LEARNER ADMINISTRATION
Learner Tip:
The following Learner Administration is critical in assisting your

provider in managing this programme effectively.
Please take a moment to familiarize yourself with the requirements.
5.1 ATTENDANCE REGISTER
You are required to sign the Attendance Register every day of attendance. Please
make sure you sign daily!
5.2 LEARNER REGISTRATION FORM
Pease refer to the portfolio Guide for the Learner Registration Form. Make sure you
complete it using the Key Document, and submit to your Facilitator before the end of
the contact session with a copy of your ID document.
Learner Tip/Truths:
Without the Learner Registration and ID Documents we will not be

able to register you with SETA for certification purposes.
5.3 PROGRAMME EVALUATION FORM
At the end of the Learning Guide is a Learning programme Evaluation Form. Please
complete the form before the end of the contact sessions, as this will assist us in
improving our service and programme material. Your assistance is highly
appreciated!
US ID: 259458
APPLY PRINCIPLES OF INFORMATION SYSTEMS
TO PUBLIC FINANCE AND ADMINISTRATION
Learning Outcomes:
The following learning outcomes are covered in this module.
1. Identifying and describing the elements of management

information systems (MIS) relevant to public finance
management and administration
2. Utilising information technology to aid management planning
3. Assessing the risk associated with information technology
4. Utilising e-commerce and e-governance to enhance work
productivity
BACKGROUND KNOWLEDGE
RETRIEVE AND DISPOSE OF RECORDS
Records may include but are not limited to documents
These records document a department or office’s expenditures and

purchases. These records may include, but are not limited to, departmental
purchase orders, requisitions (IDRs), expense transfers, credit card charge
slips and statements (including P-Card transactions), bills, invoices, journal
vouchers, justifications of purchases, payment authorizations, reports of
receipt of goods or services, and receipts.
Record Holder Retention Period Disposition

Official Finance Division 7 Years Confidential
Copy Further details in the Finance Destruction
Division Records Policy
Unofficial Departments and Purchase Confirmed, see Notes Confidential
Copy Offices for more details Destruction
P-Card Records
7 Years
Notes
General Accounts Payable Records
The Finance Division holds the official copy of A/P records, except for P-Card
records (see below for notes about P-Card records). Department and programs need
to retain their copy of A/P records until they have reviewed and accepted the
corresponding financial reports from the Finance Division (usually in PeopleSoft).
Then confidentially destroy the records. Departments and offices may destroy these
records immediately after accepting the financial reports or at the close of every
fiscal year.
For general accounts payable records documenting purchases made on sponsored

accounts, retain until the close of the grant, award segment, or contract then
confidentially destroy the records.
P-Card Records
Departments and programs hold the official copy of P-Card records. Retain P-Card
records for 7 years, then confidentially destroy the records. For P-Card records
documenting purchases made on sponsored accounts, retain for the life of the grant,
award segment, or contract + 7 years, and then confidentially destroy the records.
A/P Records documenting the purchase of equipment or services
Departments and programs may retain records for life of the equipment or warranty,
plus one additional year (plus seven additional years for P-Card purchases), as
needed. Then confidentially destroy the records.
Official Copy of Accounts Payable Records (excluding P-Card records)
The Finance Division manages a wide range of accounts payable records. The
retention and disposition of accounts receivable records managed by the Finance
Division are detailed in the Finance Division Records Policy.
Accounts Receivable Records
 These records are used by departments and offices to document billing and
collection activities. These records may include, but are not limited to, account
edit sheets, classified advertisement forms, invoices, journal vouchers,
checks, and receipts.

Official Finance Division 7 Years Confidential
Copy Further details in the Finance Destruction
Division Records Policy
Unofficial Departments and Transaction Confirmed, see Confidential
Copy Offices Notes for more details Destruction
Notes
The Finance Division holds the official copy of accounts receivable records.
Departments and offices need to retain their copy of accounts receivable records
until they have reviewed and accepted the corresponding financial reports from the
Finance Division (usually in PeopleSoft). Then confidentially destroy the records.

Departments and offices may destroy these records immediately after accepting the
financial reports or at the close of every fiscal year.
Official Copy of Accounts Receivable Records
The Finance Division manages a wide range of accounts receivable records. The
retention and disposition of accounts receivable records managed by the Finance
Division are detailed in the Finance Division Records Policy.
Banking Records
These records may include, but are not limited to banking deposits, reconciliations,
statements, registers, stubs, cancelled checks, deposit slips, and wire transfers.

Official Finance Division Delineated in the Finance Confidential
Copy Division Records Policy Destruction
Unofficial Departments and Transaction Confirmed, see Confidential
Copy Offices Notes for more details Destruction
Notes
The Finance Division holds the official copy of banking records. Departments and
offices need to retain their copy of banking records until they have reviewed and
accepted the corresponding financial reports from the Finance Division (usually in
PeopleSoft). Then confidentially destroy the records. Departments and offices may
destroy these records immediately after accepting the financial reports or at the
close of every fiscal year.
Official Copy of Banking Records
The Finance Division manages a wide range of banking records. The retention and
disposition of banking records managed by the Finance Division are detailed in the
Finance Division Records Policy.
Budget Records
These records provide a record of departmental fiscal activity presented in summary

form which may be used for budget planning. These records may be used to analyze
budget cuts or restructuring of programs. These records may include, but are not
limited to, working papers, memorandums, final summary reports and spreadsheets,
and related documentation and correspondence.

Official Finance Delineated in the Confidential Destruction
Copy Division Finance Division
Records Policy
Unofficial Departments Summary Budget Summary Budget Reports:
Copy and Offices Reports: Permanent Transfer to the Digital

Collections and Archives
All Other Records:
Until no longer All Other Records:
needed Confidential Destruction
Notes
confidentially destroy periodic budget reports generated from financial systems,
budget calculations, draft budgets, and documents used to formulate budgets when
they are no longer needed. Retain Annual or project budget summary reports or
proposals permanently.
Official Copy of Budget Records
Finance Division manages a wide range of budget records. The retention and
disposition of budget records managed by the Finance Division are detailed in the
Finance Division Records Policy.
Capital Construction Funding Records
These records document the funding of capital construction projects and to prepare
budgets and allocations for capital construction projects. These records may include,
but are not limited to, project descriptions, budget projections and allocation records,
budget authorization forms, budget change orders, final acceptance statements, and
related documentation and correspondence.

Official Finance Division Delineated in the Finance Delineated in the Finance
Copy Division Records Policy Division Records Policy
Unofficial Departments and Consult with Digital Consult with Digital
Copy Offices Collections and Archives Collections and Archives
Financial Statements and Reports
These records include annual certified and uncertified financial statements and
reports.

Official Finance Division Delineated in the Finance Delineated in the Finance
Copy Division Records Policy Division Records Policy
Unofficial Departments and See Notes See Notes
Copy Offices
Notes
The Finance Division is normally the official record holder of financial statements and
reports. Departments and Offices that hold unofficial copies of financial statements
and reports, should retain these documents until no longer needed, and then
confidentially destroy them. If a department or office holds a copy of a statement or

report that is not held by the Financial Division, consult with the Digital Collections
and Archives about how long to retain these records.
Official Copy of Financial Statements and Reports
The Finance Division manages a wide range of financial statements and reports. The
retention and disposition of financial statements and reports managed by the
Finance Division are detailed in the Finance Division Records Policy
Files
Records and Files
A record is a sequence of values or a sequence of characters. There are three

kinds of Fortran records, as follows:
 Formatted
A record containing formatted data that requires translation from internal to

external form. Formatted I/O statements have explicit format specifies (which
can specify list-directed formatting) or name list specifies (for name list
formatting). Only formatted I/O statements can read formatted data.
 Unformatted
A record containing unformatted data that is not translated from internal form.
An unformatted record can also contain no data. The internal representation
of unformatted data is processor-dependent. Only unformatted I/O statements
can read unformatted data.
A file is a sequence of records. There are two types of Fortran files, as follows:
 External
A file that exists in a medium (such as computer disks or terminals)

external to the executable program.
Records in an external file must be either all formatted or all

unformatted. There are three ways to access records in external files:
sequential, keyed access (VMS only), and direct access.
In sequential access, records are processed in the order in which they

appear in the file. In direct access, records are selected by record
number, so they can be processed in any order. In keyed access,
records are processed by key-field value.
 Internal
Memory (internal storage) that behaves like a file. This type of file
provides a way to transfer and convert data in memory from one format
to another. The contents of these files are stored as scalar character
variables.
AUDIO-VISUAL MATERIAL
When we think of organizational records, we usually think of paper,

emails and legal contracts. We don’t often consider film and other A/V
material that is created in the course of business. Radio and television
stations, for instance, record their broadcasts not only as evidence of
their business—the recording ‘fixes’ their work so that it may be
protected under copyright and other intellectual property legislation, but
also for their research value. In fact, many broadcasters rely on revenue
generated from licensing their material as part of their business model.
Records and artefacts
What? Is a term used to describe something which is the product of human

activity – it is what is left behind as a trace or consequence, product or
evidence of that activity. Artifacts can be integral to an activity – a shoe-maker
produces shoes – the shoes are artifacts of both the shoe-making process and
the shoe maker. Some artifacts may be crucial to understanding an activity –
such as the planning documents a teacher creates to support her teaching – or
incidental such as the service records a mechanic produces for his clients.
However careful study of even these records – integral or incidental – can tell
us about the person and how he or she works.
Why? Careful analysis of various artifacts can help us to understand the

activity which produced those artifacts, the process of making them and their
makers. However, a great number and variety of human activities produce few
if any direct artifacts. (Which artifacts are produced when a teacher is
teaching?) This means it is necessary to create artifacts which document
important or significant but otherwise transitory-ephemeral activities. We can
do this by photographing, filming, audio-recording or making written
observations of various activities – these records become durable artifacts
which can be reviewed, discussed and analyzed. The decision to document an
activity – to make a durable artifact of that which would otherwise be transitory
– is also a way of valuing that activity, seeing it as worth documenting-
recording-analyzing-discussing.
When the people responsible for an activity are engaged in the process of
documenting-recording-analyzing-discussing that activity, via the artifacts
collected or created, it leads to a better understanding of that activity and its
consequences and may engender changes in how that activity is performed
and whether or when it is employed (e.g. teaching practices).
Collecting, creating, analyzing and discussing artifacts is central to the

development of the teacher-as-researcher and teacher-as reflective-
practitioner electronic records
A sound records management programme is advantageous because:
 A well-organised file plan enables an organisation to find information

easily. Records that are correctly filed and stored are easily accessible,
and this facilitates transparency, accountability and democracy;
 the orderly and efficient flow of information enables the organisation to
perform its functions successfully and efficiently;
 authoritative and reliable records are created and maintained in an
accessible, intelligent and usable manner to support the business and
accountability requirements of the organisation;
 efficiency and economy are ensured by eliminating unnecessary
duplication of records;
 a retention and disposal programme ensures that the organisation
maintains only those records it really needs for functional purposes; and
 Controls are exercised to ensure that only authorised persons have
access to the information, thus preventing information and/or the records
themselves from being stolen or damaged. This ensures the protection of
privacy and confidentiality, and prevents the inappropriate disclosure of
information that could harm the organisation or infringe the privacy rights
of individuals.
Governmental bodies can only be effective and efficient if -
 Records management is considered a business process designed to

support business objectives;
 Records are considered a resource and are utilised fully and cost
effectively to realise business objectives;
 Each governmental body creates and maintains a culture which will
promote effective and efficient records management to facilitate efficient
and timely decision-making
MICROGRAPHIC RECORDS
Micrographic systems should be designed so the microform serves as the record

copy, except when it is not practical or cost effective.
a) Records created from hardcopy source documents; the original (first

generation) microform becomes the record copy and the hardcopy original
may be destroyed. Duplicate record copies will not be kept. It must be
ensured that the microforms are adequate substitutes for the original records
and serve the purpose for which such records were created or maintained.
Copies must be complete, legible, free of extraneous markings, and contain
all information shown on the originals.
b) When microforms are created by computer output microfilm without hardcopy
source documents, the original (first generation) microform becomes the
record copy.
c) When microforms are the record copy, they —
(1) Must be recorded on polyester based silver-gelatine type film that
conforms to American National Standards Institute code (ANSI/NAPM
IT9.1-1996) for permanent (TP and TEP) information. Other types of
microform are not acceptable for permanent information. For records
that do not have a permanent retention requirement, the original
microform may be dry silver or silver-gelatine, whichever is the more
efficient and economical filming process.
(2) Must be an acceptable substitute for the original records and must
meet prescribed archival quality standards. The activity or local
information manager will ensure that film samples are tested locally, or
are forwarded to a central facility designated by the Army for testing.
(3) Must meet all legal requirements imposed on the records of the
Federal Government and must adequately protect the rights and
interests of the Army and any soldiers, family members, or employees
that they affect? They must contain all of the recorded information
shown on the original documents. Records made by photographic,
photo static, microfilm, micro card, or another process which accurately
reproduces or forms a durable medium for reproducing the original are
considered legal and may be admitted as evidence.
(4) May be produced (copies) for daily use and reference purposes. Silver-
gelatine original and silver-halide duplicate microforms serving as the
record copy will not be used for reference purposes or as working
copies.
PHOTOGRAPHS AND PUBLICATIONS
 Define and explain classification systems.
A1.CLASSIFICATION SYSTEMS ARE IDENTIFIED IN

TERMS OF TYPES AND FORMAT
Records management was the responsibility of a small number of specialist staff
members within an organisation.
With the shift towards electronic records (including documents and e-mails), efforts
have instead turned to rolling out an electronic records management system (RMS)
across the entire organisation.
The challenge then becomes ensuring that staff throughout the organisation adopt
the use of the system, and take on the added responsibilities involved.
Up to this point, many organisations have attempted this ‘enterprise’ implementation

of records management, but few (if any) have succeeded.
This article explores, from a new perspective, the challenges involved in rolling out a
records management system, identifying three critical success factors for
widespread adoption.
The challenge
For a long period of time, records management was a fully centralised activity, with a
small team of specialist records managers handling the needs of the entire
organisation.
The discipline of records management grew up around this model, leading to the
creation of applications and classification schemes designed for specialist users.
The growth of electronic records has, however, had a dramatic impact on this
approach to records management.
No longer practical to manage via a fully-centralised model, records management

has instead been decentralised throughout the entire organisation. This has led to
rollout of records management systems to be used by general business staff, and
not just specialist records managers.
The fundamental challenge of rolling out a records management system is that for it
to be successful, it requires the active involvement of all staff.
If staff choose not to file documents in the system, or don’t use it to search for
existing documents, the system (and the project as a whole) has failed.
This introduces a tremendous change management challenge, one that involves a

widespread transformation of business processes and practices.
It is this challenge that is explored in this article: how to get staff to use the records
management system.
Three critical success factors
From observations of many different records management system rollouts through

organisations (most of which haven’t been successful), we have identified three
areas that must be addressed:
 Software
The design and usability of the records management software, with a

particular focus on ease of use for general business users.
 Classification scheme
Ensuring the classification scheme is designed to ensure general business

users store records in the correct location, and to help them find records again
at a later date.
 Message
The ‘message’ that drives the internal communications and change

management efforts, beyond simply ‘you must use the software’.
Each of these critical success factors is explored in the following sections.
All three critical success factors must be addressed
One: Software
Records management systems were designed to be used, and used very efficiently,
by experts.
With a centralised user base of specialist records managers, these systems were
developed to provide powerful tools to speed the day-in, day-out work of these staff.
As a result, most records management systems are hugely complex. In most

systems, simply filing a document presents the user with a huge dialog box with
dozens of drop-down lists, buttons and options.
While the design of these systems has served the records community well for some
time, they are now out of step with the needs of the new users of records
management systems: general staff throughout organisations.
For these staff, using records management systems, as they are currently designed,
can be a terrifying prospect.
The need for simplicity
Users are overwhelmed by the complexity of most records management systems. In

fact, it is fair to say that the very poor usability of these systems is one of the single
greatest barriers to project success.
Beyond this, it can be argued that unless the usability issues can be addressed,
enterprise-wide records management projects will never be successful.
What is needed is a simple interface that is at least as easy as other mechanisms

staff use for filing records (formally or informally).
A number of approaches have already been taken in records management projects:
 centralising the creation of new files

 limiting the areas of the software that most users have to interact with
 providing training, ‘cheat sheets’ and other support tools
While these have been valuable, none have tackled the fundamental design
problems of most records management systems.
Instead, organisations should plan to usability test any records management system
being implemented, with the expectation of having to address a range of issues and
problems.
While in the short-term, this will end up being the responsibility of organisations
implementing records solutions, pressure will inevitably be applied on the vendors
themselves to improve product usability.
There are many competing platforms for storing information
Competing platforms
There are many different competing platforms those users can make use of when
saving records:
 e-mail inbox (or other e-mail folders)

 Outlook public folders
 local drive
 network drive
 intranet
 collaboration tools and team workspaces
 Lotus notes
 paper (personal files, notes pinned to walls, etc)
Some organisations have attempted to eliminate these other mechanisms for storing
information, with the aim of forcing staff to use the records management system.
For example, access to local drives or network drives is restricted, thereby removing
one of the most common locations for saving documents.
While this may have some positive impact on staff usage, the frustration generated
will invariably increase the resistance to change within the organisation.
Unless there is a strong culture of record keeping (such as in a legal firm), staff will
find new (and creative) ways of ‘passively resisting’ the rollout of the system.
In many cases, they will continue to use their existing filing methods (however ad-
hoc), or find new (and simpler) alternatives to the records management system.
Fundamentally, staff will (and should) use the solution that is easiest and most
effective for them. The challenge therefore becomes to ensure that the records
management system is very easy to use, on par with other options available to staff.
Consider making the records system invisible
Invisible operation
While ensuring the usability of records management systems is vital, some have
argued that a necessary step is to make the systems entirely invisible.
In this model, records management systems are seamlessly integrated with core
business systems, whether e-mail, customer management systems or front-line
applications.
When records are filed from these systems, the context of the users current activities
are used to pre-fill most (or all) of the details required by the records management
system.
In this way, the system becomes little more than a menu item and a simple dialog
box. There are already systems in the market (particularly in the field of document
management) that are exploring this concept.
Whatever the approach, effort must be taken to reduce the barriers that are currently
making it too difficult for staff to file records, even when they are self-motivated to do
so.
Two: Classification scheme
The classification scheme within the records management system serves three main
goals:
 helping staff to determine where to file records

 assisting them to find (retrieve) records
 meeting statutory requirements
At present, the strongest emphasis within most projects is on the last of these goals.
These schemes work from general concepts down to the most specific, and are
primarily designed to assist in meeting the legislated requirements relating to
archiving and disposal.
Staff must understand how to file and retrieve records
Finding and storing records
While meeting statutory requirements is important, widespread usage of the records

management system primarily rests upon meeting the first two goals (filing and
retrieving records).
In this era of enterprise-wide rollouts of records management systems, the users of

the classification scheme have changed dramatically.
While historically the classification was only really used by the centralised records
management staff, it will now be used by staff throughout the organisation.
In order to meet these needs, the classification scheme must be understandable by

general business staff.
It is clear that:
 If staffs are unable to easily determine where to file records, the records
management system will become littered with miss-filed documents.
 If staff cannot easily find documents at a later date, then they will simply
abandon use of the records management system entirely.
For these reasons, the effective design of the classification scheme becomes an
imperative.
Design the classification scheme for the majority of users
Design for the greatest audience
In light of these findings, it is apparent that the classification schemes typically used
may not be appropriate for general staff within an organisation.
While training and support may assist to some degree, they will not eliminate the
problems generated by an inappropriate classification scheme. Reliance on such
approaches will also burden organisations with a never-ending requirement to
continue this training and support.
The alternative is to implement a classification scheme that is designed for the

greatest audience: general staff throughout the organisation. Taking this path not
only reduces the need for training, but also directly addresses one of the greatest
causes of frustration with current records management projects.
Successful approaches
There have already been a number of organisations that have moved away from the
functional classification scheme for some (or all) of their staff.
Instead, records are classified in line with the core business processes in the
organisation. For example:
 legal firms file documents according to client and matter

 councils file according to customer or area of land
 project managers file according to project
 customer service staff file according to client (for example, in CRM systems)
While these examples do not provide a complete solution, they do demonstrate the
value of exploring other approaches to the classification scheme.
Use practical usability testing and IA techniques
Practical testing techniques
Thankfully it is not necessary to rely on a philosophical approach to determine the

most effective classification scheme.
Instead, organisations can use a range of practical testing techniques to assess (or
design) a classification scheme. Taking this approach will ensure that the end result
will be useful for staff throughout the organisation.
Card-based classification evaluation provides another mechanism to directly assess

how well staff can understand and use a classification scheme (whether for a
records system, or for an intranet).
Beyond these two techniques are a range of approaches that can be drawn from the
fields of usability and information architecture.
Implement two schemes?
While we have focused on techniques and approaches for implementing a scheme

designed for general users, the statutory requirements must still be met.
While it is beyond the scope of this article to propose a total solution to these two
potentially conflicting needs, one approach is to implement two classification
schemes.
The first scheme is staff-facing, structured along business lines. The second scheme
is a functional classification scheme (such as Keyword AAA, expanded to include
core business functions).
A mapping is then maintained between the two schemes. General business staff
only ever see the first scheme, while records managers use the second scheme to
manage retention and disposal.
A number of document management systems in the marketplace have already

implemented this approach, demonstrating its feasibility.
Of course, considerable work is required to maintain these mappings, but at least

this is restricted to the staff best able to manage it (recordkeeping professionals).
Identify a message that will drive adoption of the solution
Three: Message
Too many records management implementations are driven by a single message to

staff: “you must use it!” This is generally supported by highlighting the importance of
records management, and the organisation’s legislative responsibilities.
The problem is that most staff is fundamentally disinterested in the concept of

records management, and there is no easy way of generating the required
enthusiasm.
While records management is extremely important for the organisation as a whole,

and for those responsible for information management, simply highlighting this to
staff will have little effect.
In most organisations, the net result of this approach is to generate small pockets of
effective record-keeping (where staff can see for themselves the relevance and
value of records management), while the rest of staff essentially ignore the rollout.
Can’t be enforced
The biggest challenge for records management staff in rolling out a new system is
that staff can’t be forced to use it.
While the establishment of suitable policies and guidelines is certainly required,

these alone will have little impact on uptake throughout the organisation.
Furthermore, few (if any) staff directly report to the records team. Even when the
message is driven down from senior management, staff have many ways of
‘passively resisting’ the rollout.
While a ‘carrot and stick’ approach is often recommended for these types of projects,
in practice, the ‘stick’ is generally not practical or possible.
Instead, the records management project must encourage uptake amongst staff, by
identifying one or more messages that will engage staff.
Look for the ‘what’s in it for me’ factor
‘What’s in it for me’ factor
What is generally missing from change management and internal communications

activities conducted for records management projects it the ‘what’s in it for me’
factor.
While the benefits to the organisation as a whole are clearly articulated, the more
immediate benefits for individual staff are not highlighted.
For records management projects to be successful, these individual benefits must be

determined and then clearly communicated.
Aligning with business activities
One approach for determining the ‘what’s in it for me’ factor is to strongly align the
records management system with core business activities.
For example, project teams have a clear need for an effective way of storing,
tracking and communicating project documents. By promoting the solution as a
‘project management solution’ (instead of a records management solution), interest
and usage can be generated.
Those involved in customer service or client relations have a similarly clear need, as
do staff in legal or contracts sections.
In all of these cases, the needs of the individual teams are determined, and the
records management system is designed and promoted accordingly.
This model of records management rollout is an incremental one, with uptake being
ensured on a team-by-team basis. While it is much slower than a single enterprise-
wide rollout, it is much more likely to generate sustained usage.
Align the records solution to key business processes and needs
A more general message
While the approach outlined above can be very effective, it is best suited to those
sections of the business that have clearly defined processes and needs. For the rest
of the organisation, a more general message will be needed.
This message can be determined from the observation that most staff are clearly
aware of the inadequacies of their current ‘personal information management’
practices.
Staffs are flooded with information every day that they have a desire to keep, and
they struggle with a variety of methods, none very effective:
 retaining messages in the e-mail system, until forced to delete them by IT

 storing documents on a shared drive, where the lack of consistent structure
rapidly makes it hard to find documents, and generates many duplicates
 printing documents, and stacking them up in piles or pinning them to partition
walls
Staff struggle with these approaches because no better solution has been provided
to them.
If a better solution, in the form of the records management solution is made

available, this will naturally lead to adoption.
The message then becomes:
“Storing your documents in the records management system is the single easiest
way of ensuring you can quickly find them again when you need them in six months
or a years time.”
This is the ‘what’s in it for me’ factor: a simpler way of meeting personal needs for
storing and retrieving information.
Of course, this message will only succeed if it is actually true:
 the records management system must be quick and easy to use (the first
critical success factor)
 the classification scheme must be designed so that staff can actually find
documents again at a later date (the second critical success factor)
If the records management system is genuinely designed to meet the needs of staff,
then communicating this fact will inevitably lead to sustained use.
Internal promotion will only succeed if the system works well
More issues
While this article has focused on three specific issues relating to records
management adoption (system, classification scheme and message), these are
obviously not the only aspects that need to be addressed during the project.
Other issues to consider include:
 implementation of hardware and other necessary infrastructure

 deployment of the software
 migration of records
 records management policies and guidelines
 management of both paper and electronic records
 appropriate security measures
 ongoing resource levels
 integration with other systems (including customer management systems and
the intranet)
 Plus much more…
While this article has not covered any of these issues, the focus on the three specific
areas is deliberate, as they will have the greatest impact upon project success.
While all aspects of the project must be explored, failure to address the three critical
factors will almost certainly lead to project failure.
Documents, not just records
As a final note, it is worth highlighting that while this article has focused on records
management systems, it is equally applicable to document management systems.
In many cases, the two systems are now considered aspects of the one solution,
referred to as an electronic documents and records management system (EDRMS).
Even when being deployed separately, documents management systems face the
same challenges as their records management counterparts, and focusing on the
same three aspects will have the greatest impact upon project success.
Conclusion
Projects planning to roll out records management systems across an entire

organisation face considerable challenges, not least of which is that they require the
active participation of all staff to be successful.
To achieve this level of cultural change, three critical success factors have been
identified:
 Ensuring that records management systems are sufficiently usable for general
staff throughout the organisation.
 Implementing classification schemes that are matched to the needs and
working practices of all staff.
 Identifying a clear message that will resonate with users and drive real
adoption of the records management system.
While there are many other aspects to be managed within a records management
project, these three factors will have the greatest impact upon the
Filing means keeping documents in a safe place and being able to find them
easily and quickly. Documents that are cared for will not easily tear, get lost or
dirty.
A filing system is the central record-keeping system for an organisation. It

helps you to be organised, systematic, efficient and transparent. It also helps
all people who should be able to access information to do so easily.
It is always a pleasure when someone looks for something and is able to find it
without difficulties. In our organisations we work in groups. We receive and
send out documents on different subjects. We need to keep these documents
for future reference. If these documents are not cared for, we cannot account
for all our organisational activities. Everyone who needs to use documents
should know where to get them.
Important things to know about filing
What do we file?
We file documents that are sent to us by other people or organisations. We

also file records of all our organisational activities. These can be letters,
memos, reports, financial records, policy documents, etc.
AC2.A DIFFERENT CLASSIFICATION SYSTEMS

When do we file?
This depends on how busy your office is. In very busy organisations filing is
done at least every day and usually first thing in the morning. In a small or less
busy office you could file once or twice a week.
Equipment used for filing
Filing Cabinet - It is used to keep flat files and suspension or hanging files
Steel Cabinet - It is used to keep big files that need to be locked up
Date Stamp - It is used to date stamp documents that are received on daily
basis so that they are filed in chronological order and so we have a record of
when we received the document
Register - It is used to record files taken out and files returned
Filing shelves - It is used to file box files
Box file - This is a big file that is used to keep big documents that cannot go
into a filing cabinet. They are kept in shelves.
What files are used and how are they used?
Clip folders - they are used for documents that need to be taken out very often;
they hold documents tightly so that they do not fall out.
Folders - paper or cardboard folders are used to keep loose documents

together. The folders are placed inside suspension or box files.
Suspension file -the suspension files are used to keep documents in filing
cabinets. The files are put into the drawers upright. The suspension files
hangs down from the cradle. These files always remain in the cabinets but
folders inside them can be taken out.
Box files - they are used to keep big documents including magazines and
books.
Lever arch files -documents are kept firm in these files and allow one to look at
documents without taking them out of the file.
Methods of filing
There are 5 methods of filing:
 Filing by Subject/Category
 Filing in Alphabetical order
 Filing by Numbers/Numerical order
 Filing by Places/Geographical order
 Filing by Dates/Chronological order
These ways of filing is called classification and means organising things that
are alike, together. You can, however, combine some of these methods. For
example, files that are kept together according to what they are about we say
are subject filing but, inside each file the documents could be filed according
to date order.
3. How to set up a filing system
a. Filing Categories
To make a filing system more useful, we can group files into CATEGORIES. A
category is a group/collection of things that belong together.
e.g. PPWAWU, SARHWU, NUM and NUMSA all belong to the category Unions.
When we file by categories, we try to file in a logical way; we put files together
because they belong together; we don't put them together just because they
start with the same letter.
For example, we could put all our files into categories. Correspondence could
be one category that takes up a whole drawer of our filing cabinet. Inside that
drawer we could have sub-categories. Sub categories could be things like:
 Fundraising correspondence
 Correspondence with other organisations
 Correspondence with members
 Correspondence with members of the public
 Correspondence with Board
 …and so on.
Some documents may have to fill in two places to make it easier to access the
information. For example you may have a category for "funders" and for
"correspondence". In your funders category you will have a sub-category for
each major funder and you will sometimes have to file a letter from a funder in
that funder's file as well as in your fundraising correspondence file.
b. How to form categories
1. Sort all your documents out into piles that you think belong together.
2. Give each pile a category name.
3. Make a list of categories.
4. Look at your list critically: Ask yourself: Can we combine any
categories?. Should we break up a category into two categories? What
sub-categories do we need? Do we need to have alphabetical files within
a category?
Make sure you don't have too many categories. It should not be difficult for
anyone to decide in which category they are likely to find the information they
need.
c. Filing key
Once you have decided on your categories, you will have to draw up a filing
index so that everyone can understand the system you used and find the
information they want. This index is called a filing key.
Write up a filing key by listing all the categories and sub-categories in the
order they are filed in. Make sure it is laid out so that everyone can understand
it. Put it on the filing cabinet and also put a key for each drawer on the front of
the drawers. Give everyone a copy of the whole filing key.
Make sure that everyone who does filing understands the key and uses it for
filing.
d. New files
Don't create new files unless you are absolutely sure the information does not
logically fit into an existing file. Put the new file in the correct category and
write it in the filing key immediately. Give everyone a copy of the new
categories as soon as possible.
e. Filing Correspondence
All letters must be filed in 2 places
Incoming mail
1. The original letter together with a copy of your answer goes into the
SUBJECT FILE.
2. A second copy of the letter goes into the CORRESPONDENCE IN file.
Outgoing mail
1. One copy of the letter goes into the SUBJECT FILE. Any letters in
answer to your letter must go into this file; and all future
correspondence about the subject.
2. One copy goes into the CORRESPONDENCE OUT file.
f. Filing Rules
There are two basic rules underlying filing:
ALPHABETICAL FILING - filing according to the letter of the alphabet
DATE FILING - most recent files on top
These rules are basic because they apply to all filing systems. When we file by
name, subject and area we should always file alphabetically and by date.
Alphabetical filing rules
Rule 1: File by name in terms of the first letter
Example: African Eagle
Becker
Duncan & Co
Greenfield
Rule 2: If the first letters are the same, file in terms of the second letter.
Example: Clarence
Coetzee
Curnow
Cyril
Rule 3: File in terms of surnames
Example: Donkor, SJ
Nkomo PS
Shongwe RO
Yesufu ED
Rule 4: If surnames are the same, file in terms of the initial
Example: Cato, JS
Cato, JU
Cato, RS
Cato, TM
Rule 5: Some surnames have prefixes and are filed in terms of the first letter of the
prefix
Example: de Gruchy, JR
de la Rey, OP van der Linden, MN van Rensburg, MJ
Rule 6: When there are two surnames, file under the first surname.
Example: Mokoena & Khumalo
Nxumalo & Abrahams
Saloojee & Cassim
Verachi & Ntuli
Rule 7: Mac Mc & M' all files as Mac; St and Saint all filed as Saint
Example: MacDonald
McNair
M'Namara
Saint Christopher's
St Margaret's
Rule 8: When the file does not have the name of a person we file by the MOST
IMPORTANT WORD in the name or by the name of the PLACE Example: Active
Wheel Co
The Star
The City of Johannesburg
North cliff Printers
g. Taking files out - [Use the filing key]
Making sure you don't lose files
When people take files out of the filing system, or they take documents out of
a file, we must ensure that they don't lose them or forget to bring them back.
People must never take the suspension files out; they should only take out the
flat folder inside the file. To keep track of files we need a record of all the files
or document that people borrow.
To do this we can use:
A file-out book - a file-out book is simply a book in which we write
 Who borrowed the file or document

 Name of the file or document
 When they borrowed it
 When they returned it
Example:
NAME FILE DOCUMENT DATE TAKEN DATE

OUT RETURNED
Ms Modise Reports file 10-02-2001 12-02-2001
Mr Ngwenya Finance file 23-01-2001
The person responsible for maintaining the system can us the file-out book to
check who has which files an remind them to return it.
A file-out card - file-out cards are used in a filing cabinet. They are the same
size as the files and are put in the place of the file, which has been borrowed.
On the file-out card we write the same information as in the book, i.e.
 Who borrowed the file or document

 Name of the file or document
 When they borrowed it
 When they returned it
DATE TAKEN DATE

OUT NAME FILE
OUT RETURNED
Finding information
Keeping information in files is only useful if we, and everyone in our

organisation, know how to find the documents we need. We file information so
that we can find it easily. Finding information that is in the files is called
retrieving information.
Everyone who needs to use the files should be able to find information quickly
and easily. This means that they must know the method of filing we use.
A filing method book could be a small book that we use to explain how we file
documents. For example:
 All letters are filed under correspondence

 All membership cards are filed under number
 Reports are filed by subject
An index book can also help us to find files. The name of each file can be
written on the page with that letter. For example:
The MINUTES file is written on the M page. Then we can write where that file is:
"MINUTES - filing cabinet 1 drawer 2 or lever arch file 4"
h. Filing procedure, maintenance and safety
Filing procedure
Step 1: Receiving the document
If it is a letter or document that came through the mail, you record it in the
"mail received" register and write the date received or date stamp it
Step 2: Action
Forward the letter/document to the person that has to deal with it.
Step 3: Follow up
Check that the letter has been dealt with.
Step 4: Collecting Documents to be filed
All documents and two copies of the replies must be collected in a filing tray.
Step 5: Filing
Choose a regular time to file every day so that you are never left with a huge
pile of loose documents. Use a sorter to help you file and remember to file by
date order.
Maintaining the filing system
One of the most important reasons why we file is to keep document safe. It is
therefore very important to make sure that all papers and files are kept in good
condition. Here are some ways that we can do this:
 Keep documents that are waiting to be filed in trays, do not leave them lying
about on desks or shelves.
 File documents away at least once a day, or if your organisation is very small
you can do it once a week.
 Do not put too much in files or folders
 Put new covers on old files which get a lot of use and have become worn or
torn.
 Box files and lever arch files can hold more than simple folders.
 Never allow filing drawers or shelves to become too full. Acquire new filing
cabinets when necessary.
Good housekeeping and safety
At the end of every day you should:
 File all the documents you can

 Put away those you cannot file in filing trays
 Lock up all confidential documents
 Place all waste paper in rubbish bins
 Leave desks tidy
EXAMPLE OF A FILING KEY
1. GENERAL ADMINISTRATION
1.A Correspondence
1. A.1 Director
1. A.2 Bookkeeper
1. A.3 Training officers
1. A.4 Administrative officers
1. A.5 Programme Co-ordinators
1. B Operations
1. B.1 Rental, Postal Box, Telephones, Faxes, etc.
1. B.2 Internal organisational forms
1. B.3 Mailing list
1. B.4 Constitution, Articles of Association, legal documentation, etc.
1. B.5 Office Equipment inventory, service and maintenance agreements, etc.
1. B.6 Miscellaneous
1. C Committees
1. C.1 Director's Reports
1. C.2 Minutes and Reports
1. C.3 Finance Committee
1. D Planning
1. D.1 Annual Planning Meetings
1. D.2 Issues in Planning
1. D.3 Targets
1. D.4 Evaluations
2. EMPLOYMENT/STAFF
2. A Procedures
2. A.1 Personnel Procedures
2. A.2 Conditions of Employment
2. A.3 Contract of Employment
2. A.4 Induction
2. A.5 Job descriptions
2. A.6 Performance Management System
2. A.7 Leave
2. B Staff
2. B.1 Current Employees in alphabetical order (locked in Director's office)
2. B.2 Testimonials
2. B.3 Staff Training
2. B.4 Job applications
3. FINANCES
3. A Financial Administration
3. A.1 Budget
3. A.2 Salaries
3. A.3 Financial Statements
3. A.4 Petty Cash
3. A.5 Auditor's Statements
3. A.6 Tax
3. A.7 Strategies
3. A.8 Bank
3. A.9 Debtors
3. A.10 Bookkeeping
4. FUNDRAISING
4. A Fundraising Administration and General
4. A.1 Fundraising Act
4. A.2 Fundraising Planning and Proposals sent
4. A.3 Fundraising Systems
4. A.4 Fundraising Trips and Campaigns
4.B Funding Agencies
4. B.1 List of Agencies
4. B.2 General file for local foundations
4. B.3 SA Business in General
4. B.4 USA Funding Contacts
4. C Donor files
4. C.1 DMMA Foundation
4. C.2. SOCTA
4. C.3. ZDA
5. TRAINING
5. A General5.A.1 Reports - Training department
5. A.2 Community Workshop outlines and materials
5. A.3 Training Contracts
5. A.4 Membership Skills Training
5. A.5 Office skills training
5. A.6 Correspondence (separate files for each client
Group Activity / Pair Activity: 1
1. Identify the Classification systems of filing in terms of types

and format
2. Give a brief description of the different filing classification
systems and their uses
AC3.CLASSIFICATION SYSTEMS ARE EVALUATED IN

TERMS OF DIFFERENCES, ADVANTAGES AND
DISADVANTAGES.
ADVANTAGES AND DISADVANTAGES OF FUNCTIONAL CLASSIFICATION
In the 'bad old days' before electronic systems swept all before them, many
organisations had a registry which controlled, named, tracked, retrieved and
stored paper files and was staffed by file clerks. Success depended upon the
skills and care of the organisation's administrators but in practice this was
often variable. It did mean that with suitable permissions and controls many
members of staff could share the information that the files contained (although
not simultaneously). Electronic systems, especially desktop PCs, did away
with all of this, but did not really replace it with anything comparable. It was
not thought necessary. Changed days have changed requirements. One way of
looking at a corporate file plan is as technique for re-asserting control over
corporate information assets.
Advantages
 The main functional high-level categories are:
1. GENERAL INFORMATION
2. ACCESS TO INFORMATION
3. GOVERNANCE
4. FINANCIAL RESOURCES
5. CORPORATE PLANNING
6. PROCUREMENT
7. MANAGEMENT OF RESEARCH
8. COMMERCIALISATION AND KNOWLEDGE TRANSFER
9. HUMAN RESOURCES
10. PHYSICAL RESOURCES
11. HEALTH AND SAFETY
12. SUPPORT FOR DISABLED PEOPLE
13. STUDENT ADMINISTRATION AND SUPPORT
14. TEACHING QUALITY
15. INFORMATION SERVICES
16. EXTERNAL AND COMMUNITY RELATIONS
17. GOVERNMENT AND REGULATOR RELATIONS
 Functions do not change over time

 Files can be easily identified and used without affecting the fileplan
classification
 There is a greater spread of ownership
 There is better search and retrieval of information
 The transition from paper to e-systems becomes simpler and more
transparent
 New functions can be added
 Work processes are identified and mapped
 A file plan and taxonomy has to be devised as part of the preparation for
electronic document and records management systems
Disadvantages
 Implementing such a system across an institution requires a cultural shift in

the organisation and attitudes. It also requires confidence in the systems in
place. It is both an organisation and a people issue.
 To the 'first-timer' the relationship between the organisational structure in
Departments, schools and faculties which is easily understood does not relate
immediately to the corporate file structure by function. This appears to be an

intellectual abstraction rather than a business tool. The curious thing to say is
that once in place such a system it becomes almost second nature, because it
removes the uncertainty of 'What shall I call this, and where shall I file it so
that I can find it again?'
 The major hurdle to be overcome is the perception that work is 'my work'
rather than part of a bigger business process which must be shared (and in
practice usually is). The key is not who owns the work, but how the work is
done.
 Older ways of organising files by subject, creator or department become
irrelevant, and the feeling of personal loss of control of file taxonomy has to be
counteracted by making it easier to retrieve and share all information.
Records management is the science of determining how files will be arranged,

categorized, accessed and stored, and in what format. Proper filing practices ensure
that the right information will be in the right order, at the right time, at the right place,
to be retrieved for the lowest possible cost.
The Records Officer of an office is the "architect" of the filing system in use in that
organizational unit. Establishing an efficient filing system involves planning the
design of the system to ensure productive workflow. This includes deciding how files
will be arranged, type of access, the classification system to be used, coding and
indexing schemes, and selecting the proper equipment and supplies.
File Arrangement
All written records have one thing in common: If something is written down, then
what is written is important enough either to be filed in a place where it can be
retrieved, or a conscious decision to destroy it needs to be made. If there were no
need to return to information, there would be no need to write it down. Both official
records and grocery lists have life cycles, whether we file them in drawers or in our
wallets.
The first step in creating a filing system is to develop a file plan. It specifies the
logical order of documents or files and the arrangement or scheme by which
documents may be identified, stored and retrieved. The plan consists of:
 Selecting the file arrangement (e.g. alphabetical, numerical, alphanumeric,

etc.)
 Developing an index
 Planning file system maintenance
The most common methods of arranging documents are alphabetical, numerical, or

alpha-numeric. The file arrangement should be based on how the information will be
retrieved.
Alphabetical Filing
These may be topical or classified arrangements. Topical filing arranges files in

straight alphabetical order. For example, subject correspondence would be arranged
from A-Z, based on the name of the subject. This method is also called the
"dictionary" method because it is the method used in dictionaries.
Classified filing places related documents under a major sub-heading. For example,
customer complaint correspondence may be filed under the general heading of
customer relations. An alphabetical arrangement also is appropriate for filing records
that are arranged by geographical locations, such as cities, towns or counties. This
system is also called "encyclopaedic" because records are arranged first by broad
categories (for example, "grants"), followed by sub-headings ("2001"), followed by
still other sub-headings ("records" or "security").
Advantages of Alphabetical Filing
 An index to records may not be needed.

 Can be effective, if everyone adheres to filing rules.
 Permits browsing through files.
Disadvantages of Alphabetical Filing
 More misfiling occurrences than in numerical systems. Misfiles occur

frequently with alphabetical filing due to different interpretations of order. For
example, the prefix "Mac" and "Mc" may be filed in various positions if users
are not adhering to the same rules of alphabetical filing.
 Name changes can cause problems with retrieval.
 It becomes inefficient and cumbersome in large systems.
 Unauthorized persons can easily find records.
Numerical Filing
A numerical arrangement places records in order from the lowest number to the
highest. This method also often tells the searcher which files are the oldest (the
lowest numbered files) and which are the newest (the higher numbered files). A
numerical scheme is easier to comprehend than alphabetical filing and may have
fewer misfiles. Numerical filing by file number, social security number,
chronologically or by patient or case number is common. Records that have pre-
printed numbers on them such as checks, invoices, purchase orders, and vouchers
also are suited for this filing arrangement.
Advantages of Numerical Filing
 Users understand straight numerical sequences (1, 2, 3,4,5,6, etc.) quicker

than some alphabetical schemes.
 Filing expansion is easier, because new numbers may be assigned without
disturbing the arrangement of existing folders.
 Misfiles can be quickly identified because the number out of sequence is
easily detected if colour-coding is used.
Disadvantages of Numerical Filing
 It is what is called an "indirect method" because if a requestor asks for a file, it

is asked for by its name. If the system is numeric, then the researcher must
first look at an index which cross-references the number with the name.
 The file system is always growing in one direction at the end. When new files
are created and old ones are retired, file personnel must continually shift the
files backwards to make room for new files at the highest number end of the
system.
Alpha-Numeric Filing
An alpha-numeric arrangement uses a combination of numeric digits and alphabet

characters to create a flexible filing system. Subjects may be substituted with
alphabetical or numerical codes. An index is needed to use the system effectively.
For example, ADM-001 could be a code for Administrative files, Director's
Correspondence. All records that relate to this subject would be filed under that
particular code.
Advantages of Alpha-Numeric Filing
 Codes eliminate the need for long titles.

 File security is increased because a user must know, as in a purely numerical
system, the meaning of codes before accessing files.
Disadvantages of Alpha-Numeric Filing
 Users must first consult an index before accessing files.

 Users must be trained, and, even then, one user may interpret where to file a
document differently than another, leading to confusion and a breakdown of
the filing order.
 Misfiles are common and are difficult to detect.
Access
Another aspect of creating a file plan is deciding how files will be accessed. The two
methods of access are direct access and indirect access.
Direct Access
A direct access plan allows the user to access the file without first referring to an
index. Direct access may be ideal for small offices that produce a low volume of
records. (Example: If it is easier to find information by a person's name, the system
would be alphabetical. One looks for the file directly by the name.)
Advantages of a Direct Access System
 Eliminates the need for an index.

 Allows users to browse through files.
 Time associated with filing and records retrieval is reduced.
 Users require little or no training to access the system.
Disadvantages of a Direct Access System
 Filing for large systems becomes cumbersome.

 Selecting terminology names may be difficult with subject files.
 File captions may be longer than codes; filing is tedious.
Indirect Access
An indirect access system requires the use of an index or codes to locate a file, such
as assigning a number to a file (e.g., case number, project numbers, patient
numbers). An indirect access system generally is used for large or complex filing
systems. It may require the use of automated equipment to locate the files, as well
as knowledge of the coding system. (Example: If a person comes to look for his/her
file, but the system is numeric, the clerk assisting the individual must first look up the
person's name in order to find the number of their file.)
Advantages of an Indirect Access System
 Codes are easier to note and refer to on a document or folder than word
captions.
 Sorting is easier.
 Greater accuracy in filing and retrieving is achieved with the use of codes.
 Security of the files is enhanced because users unfamiliar with the system will
have difficulty accessing documents.
Disadvantages of an Indirect Access System
 User access is dependent on the accuracy of the index.

 Coding and indexing are time consuming.
 Browsing is not feasible.
Classification
A classification is a grouping of records with common characteristics or which

document similar functions. The point of having a classification system is to keep all
like records together, which, in turn, expedites records retrieval and maintains file
integrity.
Generally, if the volume of records exceeds two file cabinets and consists of multiple
records series, then a files classification system should be considered. Classification
systems sort records by major headings and subdivisions. The major heading name
usually is decided by the major function or main purpose of the records; the
subdivision would be a small component of the major function. For example:
Major Heading: Human Resources Department
Sub-Heading: Payroll Section
Tertiary Heading: Payroll Timesheets
This filing system is often called encyclopaedic, because the arrangement is the
same as that used in encyclopaedias.
A dictionary classification system is straight alphabetic, and many records managers

find it easier to use a dictionary rather than invent one. Of the two classification
systems, the dictionary system is simpler to operate.
A classification system is usually considered when:
 The current filing system produces excessive misfiles.

 Various subjects are filed by the same name.
 The method for filing documents varies from user to user.
 The volume of records is so large that an index is necessary to locate a file
quickly.
AC4. AN ANALYSIS OF THE CLASSIFICATION SYSTEMS

IS CONDUCTED IN TERMS OF SPECIFIC
ORGANISATIONAL REQUIREMENTS.
RECORDS CONTROL
Traditionally, the records management function of classification has tended to

be defined as the putting together of like things in a systematic and consistent
way in order to make retrieval quick and easy."
It has mainly been associated with developing language controls for titling and
indexing, and developing numbering systems to control records. [File Creation
p.19] The controlled language which was developed would identify those
terms which could or could not be used for titling or indexing, and these were
then incorporated into a document referred to as a thesaurus. [In records
management, controlled vocabulary and language brings consistency to the
terms used for titling and indexing, while speeding retrieval by limiting the
number of terms required for a successful search.] The thesaurus could be
used to classify records, that is group documents together and label, or to
identify suitable indexing terms for the record. The thesaurus was used as the
basis of a classification scheme, however this classification scheme was
generally based on broad subject areas and was not closely related to the
business functions and activities of the organisation.
In recent years classification has come to mean more than the development of
a thesaurus listing terms in alphabetical order which may or may not be used
for titling and indexing. Classification is a scheme of control based on an
analysis of functions and activities of an organisation. The analysis focuses
on the goals and strategies of the organisation, how these are pursued
through the broad functions and activities of the organisation, the activities
which are the accomplishment of the function, and the transactions which
constitute the activities. [AS 4390, Part 4 Controls, Clause 7.2]
Diagram 1
Diagram 1 shows the agency at the top of the hierarchy, the functions which
have been identified as a result of the analysis, the activities within those
functions, and the transactions within the activities.
Terminology used to identify these business functions and activities in the

business classification scheme can be used as the preferred terminology for
titling and classifying records, and thus can be the basis of a thesaurus. See
Diagram 2 below. The thesaurus is a product of the classification scheme
rather than the basis for the classification scheme. This means that the
thesaurus leads the user to the right classification, not just the right term to
use in a file title.
Diagram 2
By basing the thesaurus on a classification scheme of an organisation's

business functions and activities, records can be directly linked to the
business function and activity which created the record and linkages can be
drawn between individual records so as to provide a continuous record of
business activity.
Additionally by using a thesaurus based on a classification scheme to classify

a record, not only are you able to apply controlled language to its titling and
indexing, but you also have the opportunity to use the record's classification
to help determine:
 how long the record should be kept

 how it should be handled and stored, and
 Who should have access to it.
Using activity descriptors in Keyword AAA such as SECURITY, POLICY,

COMPLIANCE, and FREEDOM of INFORMATION identifies a record as having
particular qualities which would require specific handling regimes. For
example, if the activity documented on the file was POLICY, then its likely
retention would be long term and the use of permanent paper to create the
records contained within this file would be advisable. Another example would
be a file with the activity of SECURITY: this term is defined in its scope note as
'the activities associated with measures taken to protect people, premises,
equipment or information from accidental or intentional damage or from
unauthorised access.'
Structured file titling systems have also been used to control the vocabulary in
titling and indexing. These systems while useful for controlling vocabulary
have not generally been based on a business classification scheme and only
provide an illusion of classification. For example the file title ACTS - BILLS -
NSW is a structured title, it moves from a broad concept to the specific and
uses terminology which is part of a controlled vocabulary. However there is no
activity suggested for this file through the terminology used and it would be
difficult to appraise and decide upon its retention without understanding the
function and activity which were being documented on the file. As the
terminology used has not been derived from a business classification scheme,
these other decisions are unable to be made.
WHAT IS KEYWORD AAA?
Keyword AAA is a thesaurus of general terms designed for use in classifying,

titling and indexing records. It covers terminology common to business
functions and activities in most organisations, and is normally used in
conjunction with a thesaurus of functional terms, relating to the organisation's
specific functions, to provide comprehensive controlled vocabulary coverage.
Keyword AAA is based on the Keyword Classification System, developed by

the Records Management Office, a unit of the Archives Authority, whereby
records are classified, that is labelled, first by a keyword and then by one or
more descriptors. The Keyword Classification System allows for the use of
keywords to define specific concepts establishing terminological control by
eliminating synonymous terms and ambiguities arising from the use of
homographs. We contend at the Authority that using a thesaurus, based on a
business classification scheme, will provide control and consistency over the
vocabulary used for titling and indexing records, and enable recordkeeping
practitioners to make other management decisions about the record as a
result of it's classification.
DEVELOPMENT OF KEYWORD AAA
Keyword AAA is a logical progression in thesaurus products developed by the

Records Management Office over the last 20 years. In 1978 a Thesaurus of
General Administrative Terms, or the 'GADM' as it has been better known, was
released. The GADM Thesaurus became Australia's most popular and
successful records management thesaurus and in 1995 was being used by
more than 140 public sector organisations at all three levels of government
around Australia.
The GADM Thesaurus was regularly revised and Keyword AAA is the product
of the 1994/1995 revision. The different name is reflective of the fact that our
revision had involved a fundamental rethinking of the general thesaurus and
had resulted in a new product, rather than just a new version of the same.
Keyword AAA was released in November 1995.
When work commenced on revising the GADM Thesaurus a number of

developments were taking place within the recordkeeping profession,
specifically the use of functional analysis and the drafting of the Australian
Standard on records management. Our revision process was definitely
coloured by these developments, although we were constrained by the need to

meet the requirements of our thesaurus licences and to plot a migration path
for GADM users to the new product and from subject based classification to
classification schemes based on functions and activities.
We used the three-tiered hierarchy of function, activity and transaction as our

model for the revised thesaurus. To establish the 'function' or first level, we
attempted to describe the keywords in functional terms and all scope notes of
keywords in the GADM Thesaurus were changed to commence with the
standard phrase 'The function of …' This was the beginning of the change in
the mindset! We also commenced calling keywords 'functional descriptors'.
Additional functional flavour was built into the thesaurus by then looking at
the next level as the 'activities' performed within each 'function'. Scope notes
for this level were also altered to reflect the fact that an activity or series of
activities were being carried out. Thus the standard phrase for this level was
'The activities involved in….' To ensure that we remained consistent with the
business classification scheme, we needed a third level to reflect the
'transactions' resulting from the 'activities'. In our work we found that the
'transaction' was generally documented by individual records, and that the
thesaurus was used to classify whole files. As a consequence the
classification only goes to the level above the 'transaction'. We suggest to
users that they may also wish to use this level to include free text that is words
not derived from the thesaurus, such as the name of an organisation, an
individual or a project.
The next major change to the GADM Thesaurus was to enforce a hierarchy
between the functional descriptors and activities within those functions.
Previously GADM Thesaurus users could nominate the order, in which the
descriptors following the keyword would appear, the enforced hierarchy in
Keyword AAA meant that the user selected a keyword and then was offered a
choice between activity descriptors which were linked to that keyword. This
enforced hierarchy meant that the classification scheme remain true to the
hierarchy of business functions and the activities which constitute the
function. The Classification Guide (Diagram 3 is an extract from the
Classification Guide. Activities are linked to the keyword, and subject
descriptors are linked to activities) is a concrete reflection of the hierarchy
within the thesaurus and a reflection of the principle of hierarchy on which the
Keyword Classification System is based. The hierarchy within Keyword AAA
also adds to the thesaurus' compliance with the International standard on
thesaurus construction, ISO 2788. [International Standard ISO 2788
Documentation - Guidelines for the establishment and development of
monolingual thesauri , Clause 8.3, 1986]
KEYWORD ACTIVITY Subject Descriptors

DESCRIPTORS
FLEET MANAGEMENT ACCIDENTS Accident Report
The function of acquiring, managing, ACQUISITION Forms
maintaining, repairing and disposing of ALLOWANCES Address Lists

vehicles. Vehicles are any means of AUTHORISATION Advances
conveyance owned or used by the BOOKINGS Auctions
organisation to transport people or items. CONTRACTING- Bonds
OUT (agreements)
DISPOSAL Exchanges
INFRINGEMENTS Expressions of
INSURANCE Interest
Fuel
add type of vehicle
(e.g.
Cars, caravans,
motor bikes etc.)
Add type of tax
(e.g. fringe benefit,
full vehicle etc.)
Diagram 3
LEVEL OF FUNCTIONS
Our intention has always been that each keyword would represent a broad
administrative function. However there was a need to settle on a certain level
so as to be able to create meaningful file titles. An example of this is the
Human Resources function. This is generally a reasonably big function in any
organisation and includes activities such as establishing positions,
development of staff, approval and processing of leave, Occupational Health
and Safety matters, industrial relations, etc. To apply this in a hierarchical
fashion would mean that Human Resources would be the first level of the
hierarchy, Occupational Health and Safety on the second and the inspection of
premises for workplace hazards would appear on the last level. See Diagram 4.
Diagram 4
A file title using this hierarchy would appear as HUMAN RESOURCES - OH&S -
INSPECTIONS. This is a rather clumsy title and the activity taking place, the
inspection of the workplace, is classified at the subject level rather than the
activity level. Consequently we opted to not use the first level term HUMAN
RESOURCES, but rather go to the next level for the Function/Keyword, so the
terms PERSONNEL, OCCUPATIONAL HEALTH & SAFETY, STAFF
DEVELOPMENT appear as the keywords in Keyword AAA. That is, to make the
thesaurus terms sufficiently specific for practical titling, we often pitched the
first level descriptor — the keyword — at a level lower than the broadest
general administrative function. We have 22 keywords as a result of this
decision rather than perhaps 6 keywords.
The GADM Thesaurus was a product of its time and was designed for paper-
based filing systems. In direct contrast Keyword AAA has been designed to be
used with records in any form, including electronic recordkeeping systems
and document management systems. At the Authority we have adopted
Keyword AAA for use in our own directory structures on the Authority's PC
network.
IDENTIFYING AGENCY FUNCTIONS
Agencies which use Keyword AAA are encouraged to develop functional

thesauri which can be merged with Keyword AAA in order that all their records
are covered by a classification scheme and a thesaurus. Through a training
course conducted by the Authority's staff we are able to train agency staff to
analyse their agency's functions and activities, establish a classification
scheme and thus compile a thesaurus.
The methodology we use for the analysis is based on that contained in Part 3,
Strategies, of the Australian Standard on Records Management AS 4390. This
methodology for designing and implementing recordkeeping systems 'DIRKS'
features eight stages:
1. Preliminary Investigation
2. Analysis of business activity
3. Identify recordkeeping requirements
4. Analyse existing systems
5. Identify strategies
6. Design recordkeeping system
7. Implement recordkeeping system
8. Post implementation review.
This methodology is central to much of the work of the Archives Authority and
is currently being developed into a manual which will be a practical guide for
NSW Government agencies seeking to design or re-design recordkeeping
systems, irrespective of format. The manual aims to provide guidance and
consolidates a number of sources of information and tools facilitating
implementation of the methodology. The methodology, while devised for
designing and implementing recordkeeping systems, has relevance for

establishing business classification schemes which may be used for a number
of purposes.
The first part of the methodology, the preliminary investigation requires the
collection of documentary sources and information gathered through
interviews for the documenting of:
 the organisation's role and purpose

 structure
 the organisation's environment (legal, regulatory, business and political)
 critical factors affecting recordkeeping
 Critical weaknesses associated with recordkeeping. [AS 4390 Part 3,
Strategies , Clause 6.2.2]
The second part, the analysis of business activity, requires the identification of
functions, activities and transactions. These then need to be placed in a
hierarchy or business classification scheme. We emphasis to participants in
our training course that the analysis undertaken at this point in the
methodology may be used in many ways, it is a situation of 'do it once but
enjoy many benefits'. The business classification scheme derived from this
analysis can be used for intellectual control, for example a thesaurus such as
Keyword AAA, appraising and sentencing records, and establishing what
records need to be created and captured.
To assist participants in identifying their agency's unique functions (as

opposed to the administrative functions which are covered by Keyword AAA)
we work through two of the participant's documentary sources, typically the
annual report and the corporate plan, to identify functions and activities which
can be melded into a business classification scheme. Participants are
reminded that these are not the only documentary sources available to them,
but a good starting point. Prior to the training course we ask participants to
prepare themselves by examining both sources and gaining an overview of the
work of their agency. Effectively participants are doing much of the
preliminary investigation stage of the methodology before they arrive to do the
training course.
Once participants have identified functions and activities (they're unlikely to

get to transactions during the training course), these are then arranged into a
hierarchy. We are able to use the terminology identifying the different levels as
the basis of the thesaurus terminology. We stress during the course that
participants can expect to identify and develop one function and thus one
keyword with all its relationships. It is very labour intensive and this is a
reasonable expectation for a two day course. We are also involved during the
course in changing mindsets as many of our participants have used or
compiled thesauri using subject based classification. While participants may
find the analysis of documentary sources challenging, it does reinforce the
need to develop a classification scheme of the functions, activities and
transactions undertaken by the agency to meet its goals and then to use this
as the basis for compiling terminology for a thesaurus.
DISPOSAL
The Archives Authority has produced General Records Disposal Schedules for
administrative, personnel and financial records since 1978 with regular
revisions occurring in 1985, 1992, 1994 and 1996. These general disposal
authorities cover records common to all NSW Government agencies and
eliminate the necessity of agencies preparing their own schedules on records
of common administrative and housekeeping purpose. Agencies are
encouraged to develop functional records disposal schedules which cover
records relating to the unique functions of the agency.
The 1985 edition of the General Records Disposal Schedule was broken into
three main sections — Administrative, Accounting, and Personnel — within
the one publication and the Administrative Records section in particular was
linked strongly to the GADM Thesaurus. Agency staff familiar with the
thesaurus and agencies using the thesaurus to title and index their records
would be able to easily locate the correct entry in the disposal authority and
sentence common administrative records at the point of creation. Scope notes
for GADM keywords were provided to assist users in selecting the correct
category, and a comprehensive index by subjects was provided as further
assistance.
The link established between these two records management tools has been
very strong within the NSW Public Sector and it was thus important that any
revision to the GADM Thesaurus was incorporated into the General Records
Disposal Schedules. As the Personnel and Accounting sections of the 1985
edition were revised and published separately in 1992 and 1994 respectively,
some links to the GADM Thesaurus still remain. The General Records Disposal
Schedule - Personnel Records is due to be revised in 1997/98 and it will be
closely linked to Keyword AAA to assist NSW Government agencies.
The new edition is hierarchical in comparison to the earlier edition and is

structured around functions and activities which were identified in Keyword
AAA. Like Keyword AAA, functional flavour has been built into the schedule
while also assisting schedule users make the transition from subject based
systems to systems based on functional analysis.
The schedule is designed to be applicable to all general administrative records

regardless of titling conventions. A very comprehensive index has been
provided so records titled using the GADM Thesaurus or Keyword AAA or
systems where titling has been uncontrolled present no difficulties to finding
the correct entry within the schedule. It must be noted that, while General
Records Disposal Schedules are standards and formal disposal authorities for
NSW Government agencies, there has not been the same requirement upon
agencies to use the GADM Thesaurus nor Keyword AAA. There has been a
requirement for the General Records Disposal Schedules to cater for all titling
and indexing regimes.
The layout of the schedule also reflects the more functional flavour which has
been taken. Each entry commences with the function and its Keyword AAA
scope note, and then the activity identified within Keyword AAA. The different
types of records created as a result of these activities are then described and
sentenced. To help users understand the appraisal decision given, a
requirements/remarks section was added to the schedule to incorporate
recordkeeping requirements which had been identified as part of the revision
process.
It should also be noted that common terms within Keyword AAA can and are
being used in 'unique' agency functions. This has major implications for the
use common tools in agencies and the appraisal of functions and activities. An
example would be the policy files created by the Department of Corrective
Services pertaining to the parole of offenders. Policy is a common activity
which has been identified in Keyword AAA and linked to every common
administrative function. It is also feasible that it will be linked to most 'unique'
agency functions. Policy as it is defined in Keyword AAA could be quite
different to the scope of the term when placed into the Department's functional
thesaurus. Likewise it will be defined in one way in the General Records
Disposal Schedules and another in the Department's functional disposal
authority.
DEVELOPING AGENCY FUNCTIONAL RECORDS DISPOSAL SCHEDULES
Agencies are encouraged to develop functional records disposal schedules,

disposal authorities which relate to the agency's primary duties and
responsibilities. Through an analysis of business functions and activities, and
the preparation of a business classification scheme for the development of a
functional thesaurus, agencies will have completed much of the work required
for the development of a functional records disposal authority.
The 'DIRKS' methodology outlined earlier is also relevant for the appraisal of
records. Appraisal is defined in the Australian Standard on records
management as
the process of evaluating business activities to determine which records need

to be captured and how long the records need to be kept, to meet business
needs, the requirements of organisational accountability and community
expectations."
The third part of the methodology, the identification of recordkeeping

requirements, will assist recordkeeping practitioners to identify and apply
recordkeeping requirements to the business classification scheme to inform
the appraisal process. A new appraisal and disposal manual which will
complement the 'DIRKS' Manual is currently on the drawing board and due for
release for comment in 1998.
BENEFITS FROM FUNCTIONAL ANALYSIS
What will be the result of using functional analysis for records control and
disposal in the NSW Public Sector? Firstly, by analysing and documenting
agency functions and activities through business classification schemes we
hope to establish better control and disposal of agency records thereby

improving the quality of Government recordkeeping. However there are larger
benefits to be gained from this work.
At the Authority we have developed a three level model of functions to be

documented across the NSW Government: the first level in this model are the
'government functions', reflecting the most ambient of functions such as law
and order, health, and education; 'agency functions' reflecting how those high
level functions are broken down and pursued as large organisational
functions, for example the 'government' function of law and order is carried
out through the 'agency' functions of corrective services, law enforcement,
courts administration etc.; and the third level are the 'business functions'
conducted within agencies in the pursuit of the goals and strategies of the
organisation. Functions being documented through Keyword AAA and the
compilation of agency functional thesauri are what we refer to as the 'business
functions' level. Diagram 5 shows the three levels in our model.
Diagram 5
It must be remembered that at the present the first two levels of functions are
being documented primarily for the purposes of archival description. However
we are in fact building a bigger perspective of functions and activities being
conducted across NSW Government. It is our intention that the 'Government
Functions', 'Agency Functions' and 'Business Functions' will neatly dovetail
into each other, providing us with better understanding and control of records.
Diagram 6
Diagram 6 demonstrates that work being carried out for archival description
establishes the first two levels of this hierarchy. The development of business
classification schemes by agencies using the Australian Standard on records
management and our guidance, along with the associated terminology
establishes the last three levels.
Primarily the end result or benefit of our functional analysis work will be the
establishment of business classification schemes within agencies across the
NSW Government which will assist us in identifying common functions within
agencies, appraising and disposing of records of those common functions,
and identifying unique functions and the records of those functions and
making appraisal decisions at a macro level for those functions. This macro
appraisal will enable us to make more of a strategic appraisal across our
jurisdiction. This has not been done but its on our plan. The end result of
agencies establishing business classification schemes of their agency's
functions and activities will also be better archival understanding and control
of records
SO2. APPLY CLASSIFICATION SYSTEM(S).
AC1.RECORDS ARE ANALYSED IN ORDER TO

ESTABLISH CORRECT REFERENCE NUMBERS
ACCORDING TO CLASSIFICATION SYSTEM.
The schema object to be analyzed must be local, and it must be in your own
schema or you must have the ANALYZE ANY system privilege.
If you want to list chained rows of a table or cluster into a list table, then the
list table must be in your own schema, or you must have INSERT privilege on
the list table, or you must have INSERT ANY TABLE system privilege.
If you want to validate a partitioned table, then you must have the INSERT object
privilege on the table into which you list analyzed rewinds, or you must have
the INSERT ANY TABLE system privilege.
Syntax
analyze::=
validation clauses::=
for clause::=
Into clause::=
compute_statistics_clause :=
estimate_statistics_clause ::=
Semantics
Schema
Specify the schema containing the table, index, or cluster. If you omit schema,
then Oracle Database assumes the table, index, or cluster is in your own
schema.
TABLE
Specify a table to be analyzed. When you collect statistics for a table, Oracle
Database also automatically collects the statistics for each conventional and
domain index of the table unless you specify the for clause.
When you analyze a table, the database collects statistics about expressions
occurring in any function-based indexes as well.
When analyzing a table, the database skips all domain indexes marked LOADING
or FAILED.
For an index-organized table, the database also analyzes any mapping table
and calculates its PCT_ACCESSS_DIRECT statistics. These statistics estimate the
accuracy of guess data block addresses stored as part of the local rewinds in
the mapping table.
Oracle Database collects the following statistics for a table. Statistics marked
with an asterisk are always computed exactly. Table statistics, including the
status of domain indexes, appear in the data dictionary views USER_TABLES,
ALL_TABLES, and DBA_TABLES in the columns shown in parentheses.
 Number of rows (NUM_ROWS)

 Number of data blocks below the high water mark—that is, the number
of data blocks that have been formatted to receive data, regardless
whether they currently contain data or are empty (BLOCKS)
 Number of data blocks allocated to the table that have never been used
(EMPTY_BLOCKS)
 Average available free space in each data block in bytes (AVG_SPACE)
 Number of chained rows (CHAIN_COUNT)
 Average row length, including the row overhead, in bytes (AVG_ROW_LEN)
Restrictions on Analyzing Tables
 You cannot use ANALYZE to collect statistics on data dictionary

tables.
 You cannot use ANALYZE to collect statistics on an external table.
Instead, you must use the DBMS_STATS package.
 You cannot use ANALYZE to collect default statistics on a temporary
table. However, if you have already created an association
between one or more columns of a temporary table and a user-
defined statistics type, then you can use ANALYZE to collect the
user-defined statistics on the temporary table.
 You cannot compute or estimate statistics for the following
column types: REFs, arrays, nested tables, LOBs (LOBs are not
analyzed, they are skipped), LONGs, or object types. However, if a

statistics type is associated with such a column, then Oracle
Database collects user-defined statistics.
PARTITION | SUBPARTITION
Specify the partition or sub partition on which you want statistics to be

gathered. You cannot use this clause when analyzing clusters.
If you specify PARTITION and table is composite-partitioned, then Oracle

Database analyzes all the sub partitions within the specified partition.
INDEX
Specify an index to be analyzed.
Oracle Database collects the following statistics for an index. Statistics

marked with an asterisk are always computed exactly. For conventional
indexes, the statistics appear in the data dictionary views USER_INDEXES,
ALL_INDEXES, and DBA_INDEXES in the columns shown in parentheses.
 Depth of the index from its root block to its leaf blocks (BLEVEL)
 Number of leaf blocks (LEAF_BLOCKS)
 Number of distinct index values (DISTINCT_KEYS)
 Average number of leaf blocks for each index value
(AVG_LEAF_BLOCKS_PER_KEY)
 Average number of data blocks for each index value (for an index on a
table) (AVG_DATA_BLOCKS_PER_KEY)
 Clustering factor (how well ordered the rows are about the indexed
values) (CLUSTERING_FACTOR)
For domain indexes, this statement invokes the user-defined statistics

collection function specified in the statistics type associated with the index. If
no statistics type is associated with the domain index, then the statistics type
associated with its index type is used. If no statistics type exists for either the
index or its index type, then no user-defined statistics are collected. User-
defined index statistics appear in the STATISTICS column of the data dictionary
views USER_USTATS, ALL_USTATS, and DBA_USTATS.
Restriction on Analyzing Indexes
You cannot analyze a domain index that is marked IN_PROGRESS or FAILED.
CLUSTER
Specify a cluster to be analyzed. When you collect statistics for a cluster,

Oracle Database also automatically collects the statistics for all the tables in
the cluster and all their indexes, including the cluster index.
For both indexed and hash clusters, the database collects the average number
of data blocks taken up by a single cluster key (AVG_BLOCKS_PER_KEY). These
statistics appear in the data dictionary views ALL_CLUSTERS, USER_CLUSTERS and
DBA_CLUSTERS.
VALIDATE REF UPDATE Clause
Specify VALIDATE REF UPDATE to validate the REFs in the specified table, check the
rowid portion in each REF, compare it with the true rowid, and correct it, if
necessary. You can use this clause only when analyzing a table.
If the owner of the table does not have SELECT object privilege on the
referenced objects, then Oracle Database will consider them invalid and set
them to null. Subsequently these REFs will not be available in a query, even if it
is issued by a user with appropriate privileges on the objects.
SET DANGLING TO NULL
SET DANGLING TO NULL sets to null any REFs (whether or not scoped) in the
specified table that is found to point to an invalid or nonexistent object.
VALIDATE STRUCTURE
Specify VALIDATE STRUCTURE to validate the structure of the analyzed object. The
statistics collected by this clause are not used by the Oracle Database
optimizer, as are statistics collected by the COMPUTE STATISTICS and ESTIMATE
STATISTICS clauses.
 For a table, Oracle Database verifies the integrity of each of the data
blocks and rows. For an index-organized table, the database also
generates compression statistics (optimal prefix compression count) for
the primary key index on the table.
 For a cluster, Oracle Database automatically validates the structure of
the cluster tables.
 For a partitioned table, Oracle Database also verifies that each row
belongs to the correct partition. If a row does not collate correctly, then
its rowid is inserted into the INVALID_ROWS table.
 For a temporary table, Oracle Database validates the structure of the
table and its indexes during the current session.
 For an index, Oracle Database verifies the integrity of each data block in
the index and checks for block corruption. This clause does not confirm
that each row in the table has an index entry or that each index entry
points to a row in the table. You can perform these operations by

validating the structure of the table with the CASCADE clause.
Oracle Database also computes compression statistics (optimal prefix

compression count) for all normal indexes.
Oracle Database stores statistics about the index in the data dictionary
views INDEX_STATS and INDEX_HISTOGRAM
Individual Activity:
1. Classification systems are evaluated in terms of differences,

advantages and disadvantages
AC3.CLASSIFICATION SYSTEMS ARE EVALUATED IN

TERMS OF DIFFERENCES, ADVANTAGES AND
DISADVANTAGES.
Information is a critical resource in the operation and management of
organizations. Timely availability of relevant information is vital for effective
performance of managerial functions such as planning, organizing, leading,
and control. An information system in an organization is like the nervous
system in the human body: it is the link that connects all the organization's
components together and provides for better operation and survival in a
competitive environment. Indeed, today's organizations run on information.
The term information system usually refers to a computer-based system, one

that is designed to support the operations, management, and decision
functions of an organization. Information systems in organizations thus
provide information support for decision makers. Information systems
encompass transaction processing systems, management information
systems, decision support systems, and strategic information systems.
Information consists of data that have been processed and are meaningful to a
user. A system is a set of components that operate together to achieve a
common purpose. Thus a management information system collects, transmits,
processes, and stores data on an organization's resources, programmes, and
accomplishments. The system makes possible the conversion of these data
into management information for use by decision makers within the
organization. A management information system, therefore, produces
information that supports the management functions of an organization (Davis
& Olson, 1985; Lucas, 1990; McLeod, 1995).
BASIC CONCEPTS
Data versus Information
Data refers to raw, unevaluated facts, figures, symbols, objects, events, etc.
Data may be a collection of facts lying in storage, like a telephone directory or
census records.
Information is data that have been put into a meaningful and useful context
and communicated to a recipient who uses it to make decisions. Information
involves the communication and reception of intelligence or knowledge. It
appraises and notifies surprises and stimulates, reduces uncertainty, reveals
additional alternatives or helps eliminate irrelevant or poor ones, and
influences individuals and stimulates them to action. An element of data may
constitute information in a specific context; for example, when you want to
contact your friend, his or her telephone number is a piece of information;
otherwise, it is just one element of data in the telephone directory.
Computers have made the processing function much easier. Large quantities
of data can be processed quickly through computers aiding in the conversion
of data to information. Raw data enter the system and are transformed into the
system's output, that is, information to support managers in their decision
making.
Characteristics of Information
The characteristics of good information are relevance, timeliness, accuracy,

cost-effectiveness, reliability, usability, exhaustiveness, and aggregation level.
Information is relevant if it leads to improved decision making. It might also be
relevant if it reaffirms a previous decision. If it does not have anything to do
with your problem, it is irrelevant. For example, information about the weather
conditions in Paris in January is relevant if you are considering a visit to Paris
in January. Otherwise, the information is not relevant.
Timeliness refers to the currency of the information presented to the users.

Currency of data or information is the time gap between the occurrences of an
event in the field until its presentation to the user (decision maker). When this
amount of time is very short, we describe the information system as a real-
time system.
Accuracy is measured by comparing the data to actual events. The importance

of accurate data varies with the type of decisions that need to be made. Payroll
information must be exact. Approximations simply will not suffice. However, a
general estimate of how much staff time was devoted to a particular activity
may be all that is needed.
Value of Information
Information has a great impact on decision making, and hence its value is
closely tied to the decisions that result from its use. Information does not have
an absolute universal value. Its value is related to those who use it, when it is
used, and in what situation it is used. In this sense, information is similar to
other commodities. For example, the value of a glass of water is different for
someone who has lost his way in Arctic glaciers than it is to a wanderer in the
Sahara Desert.
Economists distinguish value from cost or price of a commodity incurred to

produce or procure the commodity. Obviously, the value of a product must be
higher than its cost or price for it to be cost-effective.
The concept of normative value of information has been developed by

economists and statisticians and is derived from decision theory. The basic
premise of the theory is that we always have some preliminary knowledge
about the occurrence of events that are relevant to our decisions. Additional
information might modify our view of the occurrence probabilities and
consequently change our decision and the expected payoff from the decision.
The value of additional information is, hence, the difference in expected payoff
obtained by reduced uncertainty about the future event.
Information supports decisions, decisions trigger actions, and actions affect

the achievements or performance of the organization. If we can measure the
differences in performance, we can trace the impact of information, provided
that the measurements are carefully performed, the relationships among
variables are well defined, and possible effects of irrelevant factors are
isolated. The measured difference in performance due to informational factors
is called the realistic value or revealed value of information.
For most information systems, particularly those supporting middle and top
management, the resulting decisions often relate to events that are not strictly
defined and involve probabilities that cannot be quantified. The decision-
making process often is obscure and the outcomes are scaled by multiple and
incomparable dimensions. In such cases, we may either attempt to perform a
multi attribute analysis or derive an overall subjective value. The subjective
value reflects people's comprehensive impression of information and the
amount they are willing to pay for specific information (Ahituv, Neumann, &
Riley, 1994).
Information as an Aid to Decision Making
Simon (1977) describes the process of decision making as comprising four

steps: intelligence, design, choice, and review. The intelligence stage
encompasses collection, classification, processing, and presentation of data
relating to the organization and its environment. This is necessary to identify
situations calling for decision. During the decision stage, the decision maker
outlines alternative solutions, each of which involves a set of actions to be
taken. The data gathered during the intelligence stage are now used by
statistical and other models to forecast possible outcomes for each
alternative. Each alternative can also be examined for technological,
behavioural, and economic feasibility. In the choice stage, the decision maker
must select one of the alternatives that will best contribute to the goals of the
organization. Past choices can be subjected to review during implementation
and monitoring to enable the manager to learn from mistakes. Information
plays an important role in all four stages of the decision process. Figure 1
indicates the information requirement at each stage, along with the functions
performed at each stage and the feedback loops between stages.
Classification of Management Information Systems
There are various types of management information systems. Mason and

Swanson (1981) describe four categories of management information systems:
(1) databank information system,

(2) predictive information system,
(3) decision-making information system, and
(4) Decision-taking information system. The classification is based on the
level of support that the information system provides in the process of
decision making. Sachdeva (1990) comprehensively presents these
four types of systems:
Databank Information System. The responsibility of this information system is

to observe, classify, and store any item of data which might be potentially
useful to the decision maker. Examples of the kind of data that might be
recorded in such a database for a given village, region, or area are as follows:
 Number of farms
 Number of units of arable land (hectares, fedans, acres)

 Average farm size
 Amounts of selected farm inputs applied annually
 Production per year on a unit of land for selected crops
A second example of data that might be recorded in a database (this time

involving data internal to the organization) is as follows:
 Number of extension staff by category and assigned to a particular village,

region, or area
 Number of work hours devoted by staff to selected concerns for a particular
village, region, or area
 Total extension salary costs and other expenses by village, region, or area
 Number of demonstrations conducted for selected farm technologies by
village, region, or area
 Number of on-farm trials conducted for selected farm technologies by region
or area
 Number of radio, TV, and print media releases regarding selected farm
technologies by time period and region or area
Figure 1. Role of information in the decision process.
Each of these databases can be summarized and converted to single tabular

presentations of information of interest to management. When information
from two or more time periods is compared, trends can be observed.
Predictive Information System. This system moves beyond pure data

collection and the determination of trends over time. Predictive information
systems provide for the drawing of inferences and predictions that are
relevant to decision making. If data from the above examples were to be used
in this way, it is possible to obtain information useful for making predictions or
for drawing inferences. For example, tables containing the following
information for a given village, region, or area might be produced:
 The ratio between the number of farms and the various categories of
extension staff members
 The ratio between the amount of farmland and the various categories of
extension staff members
 Amount of extension financial operating resources allocated per year to
selected farmer problems or concerns
 Amount of extension financial resources, both salary and operating expenses,

allocated per year to selected extension approaches to solving different
farmer problems or concerns
Information obtained from these kinds of analyses is normally summarized in

a two-way tabular format. And likewise, the information often is compared over
time. Managers can then use such information to make predictions, for
example to forecast costs of particular undertakings for budgeting purposes
or as a basis for predicting results if a given change is made, such as change
in the number of demonstrations with a given change in staffing.
Decision-Making Information System. This system goes one step further in the
process of decision making and incorporates the value system of the
organization or its criteria for choosing among alternatives. An extension
organization's values are many and varied. They include concerns for
resolving farmer problems, increasing and providing for stability of farmer
incomes, and improving the quality of farm life. But they also including and
providing for stability of farmer incomes, and improving the quality of farm life.
But they also include an intent to provide well for staff members (training,
adequate salaries, etc.) and to aid in the process of bringing about rural
economic development.
Information regarding various attributes helps managers to make more

enlightened decisions. Examples of ways that an extension organization uses
information from a decision-making information system are as follows:
 Change in specific farm outputs (yields, practices) following selected

extension activities
 Change in staff productivity following selected interventions (in-service
training, better transport, etc)
 Comparison of relative costs and relative effectiveness of alternative
extension delivery methods
 Analysis of economic returns to farmers who adopt recommended practices
as compared to those who do not
Decision-Taking Information System. Examples of decision-taking information

systems are not usually found in an extension organization. This is a decision
system in which the information system and the decision maker are one and
the same. Management is so confident in the assumptions incorporated in the
system that it basically relegates its power to initiate action to the system
itself. Airplanes carry automatic pilot systems, which are an example of a
decision-taking system. Once activated, the system itself keeps the plane on
course and at the proper speed and altitude (according to parameters
determined by the pilot). Another example of decision-taking information
systems is found in modem factory production. In automobile production,
continuous inventories of parts are maintained by computer as cars move
down an assembly line. Orders are placed automatically by the computer when
additional parts are needed. This is done without the intervention of a
manager.
Data that have been processed, stored, and presented properly will aid them in
analysing situations and to make effective decisions.
As suggested above, at every phase of the management process, managers

need information in order to make effective decisions. This we call
management information. It does not include purely functional information or
technical information, such as packages of practices for rice or wheat
cultivation. Management information is the information required by managers
as they make their decisions, such as the number of extension personnel
employed by category, their training requirements, career development plans,
job descriptions, budgets, forecasts, benchmark surveys, reports on
socioeconomic conditions of people served, and existing facilities (Ramesh
Babu & Singh, 1987).
The main purpose of management information systems is to provide

management information to decision makers at various levels in the
organization. Specifically, in an agricultural extension organization, MIS is
needed:
1. To plan the most effective allocation of resources, for example, the allocation
of extension personnel under a T & V extension system, the need for
communications and training equipment and facilities, mobility, the amounts of
required operational resources
2. To choose between alternative courses of action, whether to conduct a study
on the impact of the T & V system with the resources on hand or hire an
expert to investigate
3. To control day-to-day operations, for example, comparing the actual results
achieved and those planned under the T & V system.
DESIGN OF A MIS IN AN AGRICULTURAL EXTENSION ORGANIZATION
The following are suggested steps to follow when designing a MIS for a
national agricultural extension system.
Step One: Assessing Information Needs for Planning, Monitoring, and Evaluation
An investigation needs to be conducted into the types of decisions that

extension managers have to make. For example, village extension workers
(VEWs) seek solutions to their problems from their supervisors. In turn,
supervisors need to be in a position to resolve these problems and to
document how problems were solved for future reference.
State-level managers also need information to resolve problems. They are

concerned with implementing extension programmes district by district. They
need information on staffing, transport, research-extension linkages, staff
training activities, and successes (or lack of them) in solving technical
problems. Feedback is needed from field staff and farmers on farmer problems
and on which recommended practices are helpful. State-level managers need
to know something about the amounts, kinds, and combinations of media
support (i.e., print, radio, television) that have been used for various efforts.
They need to know if external factors have limited the success of particular
efforts such as supply of credit or farm inputs and they need some
assessment of farmers' responses to extension programmes (Raheja & Jai
Krishna, 1991, p. 84).
Step Two: Deciding the Levels of Information Groups, Information Frequency, and
Content
The number of information groups within an agricultural extension

organization has to be decided because each group potentially will require a
different type of information. As an example, in India, the reorganized national
agricultural extension system can be grouped as shown in Table 1.
Data processing consists of identifying each item of data and systematically

placing it within a scheme that categorizes data items on the basis of some
common characteristic or feature. Data not organized into a meaningful
pattern can serve almost no useful purpose to those who must use them to
make decisions.
Documentation (storage and retrieval) involves storing items of information in

an orderly manner. Storing information means recording it on storage media
from which it can be made available when needed.
Storage media are materials such as ordinary office paper, magnetic tapes,
magnetic disks, microfilms, film strips, and a few other devices. Once the
information is recorded on these storage media, the system can generate, on
demand, information required for making decisions, solving problems, or
performing analyses and computations. Information retrieval refers to the
ability to take different types of data in the storage media and to array
information in some desired and meaningful format. A properly designed
storage and retrieval system matches the related variables efficiently and
accurately. In some cases, it even suggests alternative courses of action for
management to take.
Presentation of information should be in a form and format suitable to the

needs of extension managers. Generally, information is presented in reports,
statistical summaries, analyses, and so forth in the form of text, figures,
charts, tables, and graphs. The presentation of information should be precise,
clear, and appealing.
Step Three: Ensuring System Flexibility and Adaptability
Flexibility means the ability to retrieve information from a system in whatever

form it may be needed by decision makers. Therefore, data need to be
collected in some detail so that they can be rearranged or summarized
according to the needs of managers. But system design should not be too
complex because it must first serve the needs of the lowest levels of
management (i.e., sub district) that are likely to be instrumental in collecting
important components of the original data. In addition, the system also must
serve the needs of the district, regional, state or provincial, and national levels.
Therefore, considerable care must be taken in assessing what types of

information are required by management at the different levels. At the same
time, effort must be made to ensure that the information collected meets
acceptable standards of accuracy, timeliness, and coverage for each level.
NEED FOR AUTOMATION
An automated MIS system contains data just as a manual system does. It

receives input, processes input, and delivers the processed input as output.
Some input devices allow direct human-machine communication, while others
require data to be recorded on an input medium such as a magnetisable
material (specially coated plastic flexible or floppy disks and magnetic tapes).
The keyboard of a workstation connected directly to a computer is an example
of a direct input device. Use of automation makes it possible to store immense
quantities of information, to avoid many of the errors that find their way into
manual records, and to make calculations and comparisons that would be
practically impossible in a manual system.
ORGANIZATION OF A DATABASE
Data are usually generated at the field level through transaction-processing

systems, but once the data are captured, any echelon along the organizational
hierarchy may use them, provided that information requirements have been
well defined, appropriate programmes have been implemented, and a means
has been arranged for the sharing of the data. This would imply that the same
data can be used by different sets of programmes; hence we distinguish
between the database (a set of data) and the applications (a set of
programmes). In a decision support system (DSS), this set of programmes is
the model base (Keen & Morton, 1978).
The term database may refer to any collection of data that might serve an
organizational unit. A database on a given subject is a collection of data on
that subject that observes three criteria: comprehensiveness (completeness),
non-redundancy, and appropriate structure. Comprehensiveness means that
all the data about the subject are actually present in the database. Non-
redundancy means that each individual piece of data exists only once in the
database. Appropriate structure means that the data are stored in such a way
as to minimize the cost of expected processing and storage (Awad & Gotterer,
1992).
The idea of a large corporate database that can be flexibly shared by several
applications or model bases has been realized by means of software packages
specially devised to perform such tasks. These packages, called database
management systems (DBMSs), are available in the market under different
trade names such as ORACLE, SYBASE, INGRES, FOXBASE, and dBase.
NETWORKING AND INTERACTIVE PROCESSING
The two principal blocks that facilitate development and use of MIS are DBMS
and telecommunications. The former makes data integration possible, while
the latter brings information closer to the end users, who constitute nodes in a
telecommunication network. The notion of telecommunications implies that
some geographical distance exists between the computer site and the users'
locations and that data are electronically transmitted between them. Remote
applications may be executed between two floors in the same building, two
offices in the same city, two offices on the same continent, or two places on
opposite sides of the globe (Martin, 1990).
SYSTEM ALTERNATIVES AND EVALUATION: CENTRALIZATION VERSUS

DECENTRALIZATION
A completely centralized information system handles all processing at a single

computer site, maintains a single central database, has centralized
development of applications, provides central technical services, sets
development priorities centrally, and allocates computer resources centrally.
The system's remote users are served by transporting input and output data
physically or electronically.
A completely decentralized system may have no central control of system

development, no communication links among autonomous computing units,
and stand-alone processors and databases at various sites. Each unit funds
its own information-processing activities and is totally responsible for all
development and operation.
An advantage of centralized information systems is that they provide for

standardization in the collection of data and the release of information. There
also are some economies of scale. A centralized system reduces the need for
multiple hardware, software, space, personnel, and databases. It may be
possible to recruit more qualified personnel in a central facility.
Observations indicate that user motivation and satisfaction are increased

under a decentralized environment. This is attained because users feel more
involved and more responsible, systems are better customized to their specific
needs, and they usually get better response time in routine operations as well
as in requests for changes.
It is likely that for national agricultural extension systems, neither a completely

centralized nor a completely decentralized system is desirable. While it may be
useful to decentralize hardware and software resources at different locations,
the development of applications and provision of technical services may better
be centralized.
END-USER COMPUTING
The widespread use of personal computers and computer-based workstations

has brought with it the age of end-user computing. End-user computing is a
generic term for any information-processing activity performed by direct end
users who actually use terminals or microcomputers to access data and
programmes. The manager as end user may be provided with powerful
software (like DBMS) for accessing data, developing models, and performing
information processing directly. This has brought computing directly under

the control of the end users and eliminates their dependence on the
information systems specialist and the rigidities of predesigned procedures.
They may now make ad hoc queries of information and analyse it in various
ways. They may write programmes, or may often use ready-made programmes
stored in the computer, using the computing power of a local PC or the
mainframe to which it is connected.
SUMMARY
In this chapter, we have defined and described the basic concepts of a

management information system. The characteristics of good information,
namely, relevance, timeliness, accuracy, cost-effectiveness, reliability,
usability, exhaustiveness, and aggregation level, have been described. The
role of information systems in the process of decision making and the value of
information have been explained. Four types of MIS, namely, databank
information system, predictive information system, decision-making
information system, and decision taking information system, have been
presented. The role of MIS in management of agricultural extension
programmes and the conceptual design of a MIS in an agricultural extension
organization have been described.
Basic computer concepts have been explained. The advantages and

disadvantages of centralized versus decentralized systems have been
examined. The need for organizing databases and their integration and the
need for programmes for decision analysis to evolve a decision support
system have been explained. Assessments of hardware, software, and
networking requirements for a typical computer-based MIS for a national
agricultural extension system have been illustrated.
AC4.AN ANALYSIS OF THE CLASSIFICATION SYSTEMS

Confidentiality is the term used to prevent the disclosure of information to
unauthorized individuals or systems. For example, a credit card transaction on
the Internet requires the credit card number to be transmitted from the buyer
to the merchant and from the merchant to a transaction processing network.
The system attempts to enforce confidentiality by encrypting the card number
during transmission, by limiting the places where it might appear (in
databases, log files, backups, printed receipts, and so on), and by restricting
access to the places where it is stored. If an unauthorized party obtains the
card number in any way, a breach of confidentiality has occurred.
Breaches of confidentiality take many forms. Permitting someone to look over

your shoulder at your computer screen while you have confidential data
displayed on it could be a breach of confidentiality. If a laptop computer
containing sensitive information about a company's employees is stolen or
sold, it could result in a breach of confidentiality. Giving out confidential
information over the telephone is a breach of confidentiality if the caller is not
authorized to have the information.
Confidentiality is necessary (but not sufficient) for maintaining the privacy of

the people whose personal information a system holds.
Integrity
In information security, integrity means that data cannot be modified

undetectably. This is not the same thing as referential integrity in databases,
although it can be viewed as a special case of Consistency as understood in
the classic ACID model of transaction processing. Integrity is violated when a
message is actively modified in transit. Information security systems typically
provide message integrity in addition to data confidentiality.
Availability
For any information system to serve its purpose, the information must be
available when it is needed. This means that the computing systems used to
store and process the information, the security controls used to protect it, and
the communication channels used to access it must be functioning correctly.
High availability systems aim to remain available at all times, preventing
service disruptions due to power outages, hardware failures, and system
upgrades. Ensuring availability also involves preventing denial-of-service
attacks.
Authenticity
In computing, e-Business and information security it is necessary to ensure

that the data, transactions, communications or documents (electronic or
physical) are genuine. It is also important for authenticity to validate that both
parties involved are who they claim they are.
Non-repudiation
In law, non-repudiation implies one's intention to fulfill their obligations to a

contract. It also implies that one party of a transaction cannot deny having
received a transaction nor can the other party deny having sent a transaction.
Electronic commerce uses technology such as digital signatures and public

key encryption to establish authenticity and non-repudiation.
RISK MANAGEMENT
Risk is the likelihood that something bad will happen that causes harm to an
informational asset (or the loss of the asset). Vulnerability is a weakness that
could be used to endanger or cause harm to an informational asset. A threat is
anything (man made or act of nature) that has the potential to cause harm.
The likelihood that a threat will use a vulnerability to cause harm creates a
risk. When a threat does use a vulnerability to inflict harm, it has an impact. In
the context of information security, the impact is a loss of availability,
integrity, and confidentiality, and possibly other losses (lost income, loss of
life, loss of real property). It should be pointed out that it is not possible to
identify all risks, nor is it possible to eliminate all risk. The remaining risk is
called residual risk.
A risk assessment is carried out by a team of people who have knowledge of

specific areas of the business. Membership of the team may vary over time as
different parts of the business are assessed. The assessment may use a
subjective qualitative analysis based on informed opinion, or where reliable
dollar figures and historical information is available, the analysis may use
quantitative analysis.
The research has shown that the most vulnerable point in most information
systems is the human user, operator, designer, or other human. The ISO/IEC
27002:2005 Code of practice for information security management
recommends the following be examined during a risk assessment:
 security policy,
 organization of information security,
 asset management,
 human resources security,
 physical and environmental security,
 communications and operations management,
 access control,
 information systems acquisition, development and maintenance,
 information security incident management,
 business continuity management, and
 Regulatory compliance.
In broad terms, the risk management process consists of:
1. Identification of assets and estimating their value. Include: people, buildings,

hardware, software, data (electronic, print, and other), and supplies.
2. Conduct a threat assessment. Include: Acts of nature, acts of war, accidents,
and malicious acts originating from inside or outside the organization.
3. Conduct a vulnerability assessment, and for each vulnerability, calculate the
probability that it will be exploited. Evaluate policies, procedures, standards,
training, physical security, quality control, technical security.
4. Calculate the impact that each threat would have on each asset. Use
qualitative analysis or quantitative analysis.
5. Identify, select and implement appropriate controls. Provide a proportional
response. Consider productivity, cost effectiveness, and value of the asset.
6. Evaluate the effectiveness of the control measures. Ensure the controls
provide the required cost effective protection without discernible loss of
productivity.
For any given risk, Executive Management can choose to accept the risk
based upon the relative low value of the asset, the relative low frequency of
occurrence, and the relative low impact on the business. Or, leadership may
choose to mitigate the risk by selecting and implementing appropriate control
measures to reduce the risk. In some cases, the risk can be transferred to
another business by buying insurance or out-sourcing to another business.

The reality of some risks may be disputed. In such cases leadership may
choose to deny the risk. This is itself a potential risk.
Controls
When Management chooses to mitigate a risk, they will do so by implementing

one or more of three different types of controls.
Administrative
Administrative controls (also called procedural controls) consist of approved

written policies, procedures, standards and guidelines. Administrative
controls form the framework for running the business and managing people.
They inform people on how the business is to be run and how day to day
operations are to be conducted. Laws and regulations created by government
bodies are also a type of administrative control because they inform the
business. Some industry sectors have policies, procedures, standards and
guidelines that must be followed – the Payment Card Industry (PCI) Data
Security Standard required by Visa and Master Card is such an example. Other
examples of administrative controls include the corporate security policy,
password policy, hiring policies, and disciplinary policies.
Administrative controls form the basis for the selection and implementation of
logical and physical controls. Logical and physical controls are manifestations
of administrative controls. Administrative controls are of paramount
importance.
Logical
Logical controls (also called technical controls) use software and data to
monitor and control access to information and computing systems. For
example: passwords, network and host based firewalls, network intrusion
detection systems, access control lists, and data encryption are logical
controls.
An important logical control that is frequently overlooked is the principle of

least privilege. The principle of least privilege requires that an individual,
program or system process is not granted any more access privileges than are
necessary to perform the task. A blatant example of the failure to adhere to the
principle of least privilege is logging into Windows as user Administrator to
read Email and surf the Web. Violations of this principle can also occur when
an individual collects additional access privileges over time. This happens
when employees' job duties change, or they are promoted to a new position, or
they transfer to another department. The access privileges required by their
new duties are frequently added onto their already existing access privileges
which may no longer be necessary or appropriate.
Physical
Physical controls monitor and control the environment of the work place and
computing facilities. They also monitor and control access to and from such
facilities. For example: doors, locks, heating and air conditioning, smoke and
fire alarms, fire suppression systems, cameras, barricades, fencing, security
guards, cable locks, etc. Separating the network and work place into functional
areas are also physical controls.
An important physical control that is frequently overlooked is the separation of

duties. Separation of duties ensures that an individual can not complete a
critical task by himself. For example: an employee who submits a request for
reimbursement should not also be able to authorize payment or print the
check. An applications programmer should not also be the server
administrator or the database administrator – these roles and responsibilities
must be separated from one another.
Defense in depth
Information security must protect information

throughout the life span of the information, from the
initial creation of the information on through to the
final disposal of the information. The information
must be protected while in motion and while at rest.
During its lifetime, information may pass through
many different information processing systems and
through many different parts of information
processing systems. There are many different ways
the information and information systems can be
threatened. To fully protect the information during
its lifetime, each component of the information
processing system must have its own protection
mechanisms. The building up, layering on and overlapping of security measures is
called defense in depth. The strength of any system is no greater than its weakest
link. Using a defense in depth strategy, should one defensive measure fail there are
other defensive measures in place that continue to provide protection.
Recall the earlier discussion about administrative controls, logical controls,

and physical controls. The three types of controls can be used to form the
basis upon which to build a defense-in-depth strategy. With this approach,
defense-in-depth can be conceptualized as three distinct layers or planes laid
one on top of the other. Additional insight into defense-in- depth can be gained
by thinking of it as forming the layers of an onion, with data at the core of the
onion, people the next outer layer of the onion, and network security, host-
based security and application security forming the outermost layers of the
onion. Both perspectives are equally valid and each provides valuable insight
into the implementation of a good defense-in-depth strategy.
Security classification for information
An important aspect of information security and risk management is

recognizing the value of information and defining appropriate procedures and
protection requirements for the information. Not all information is equal and so
not all information requires the same degree of protection. This requires
information to be assigned a security classification.
The first step in information classification is to identify a member of senior

management as the owner of the particular information to be classified. Next,
develop a classification policy. The policy should describe the different
classification labels, define the criteria for information to be assigned a
particular label, and list the required security controls for each classification.
Some factors that influence which classification information should be

assigned include how much value that information has to the organization,
how old the information is and whether or not the information has become
obsolete. Laws and other regulatory requirements are also important
considerations when classifying information.
The type of information security classification labels selected and used will
depend on the nature of the organisation, with examples being:
 In the business sector, labels such as: Public, Sensitive, Private, and
Confidential.
 In the government sector, labels such as: Unclassified, Sensitive But
Unclassified, Restricted, Confidential, Secret, Top Secret and their non-
English equivalents.
 In cross-sectoral formations, the Traffic Light Protocol, which consists of:
White, Green, Amber and Red.?
All employees in the organization, as well as business partners, must be

trained on the classification schema and understand the required security
controls and handling procedures for each classification. The classification of
a particular information asset has been assigned should be reviewed
periodically to ensure the classification is still appropriate for the information
and to ensure the security controls required by the classification are in place.
Access control
Access to protected information must be restricted to people who are

authorized to access the information. The computer programs, and in many
cases the computers that process the information, must also be authorized.
This requires that mechanisms be in place to control the access to protected
information. The sophistication of the access control mechanisms should be
in parity with the value of the information being protected – the more sensitive
or valuable the information the stronger the control mechanisms need to be.
The foundation on which access control mechanisms are built start with
identification and authentication.
Identification is an assertion of who someone is or what something is. If a

person makes the statement "Hello, my name is John Doe" they are making a
claim of who they are. However, their claim may or may not be true. Before
John Doe can be granted access to protected information it will be necessary
to verify that the person claiming to be John Doe really is John Doe.
Authentication is the act of verifying a claim of identity. When John Doe goes
into a bank to make a withdrawal, he tells the bank teller he is John Doe (a
claim of identity). The bank teller asks to see a photo ID, so he hands the teller
his driver's license. The bank teller checks the license to make sure it has
John Doe printed on it and compares the photograph on the license against
the person claiming to be John Doe. If the photo and name match the person,
then the teller has authenticated that John Doe is who he claimed to be.
There are three different types of information that can be used for
authentication: something you know, something you have, or something you are.
Examples of something you know include such things as a PIN, a password, or
your mother's maiden name. Examples of something you have include a
driver's license or a magnetic swipe card. Something you are refers to
biometrics. Examples of biometrics include palm prints, finger prints, voice
prints and retina (eye) scans. Strong authentication requires providing
information from two of the three different types of authentication information.
For example, something you know plus something you have. This is called two
factor authentications.
On computer systems in use today, the Username is the most common form of
identification and the Password is the most common form of authentication.
Usernames and passwords have served their purpose but in our modern world
they are no longer adequate. Usernames and passwords are slowly being
replaced with more sophisticated authentication mechanisms.
After a person, program or computer has successfully been identified and

authenticated then it must be determined what informational resources they
are permitted to access and what actions they will be allowed to perform (run,
view, create, delete, or change). This is called authorization.
Authorization to access information and other computing services begins with

administrative policies and procedures. The policies prescribe what
information and computing services can be accessed, by whom, and under
what conditions. The access control mechanisms are then configured to
enforce these policies.
Different computing systems are equipped with different kinds of access

control mechanisms - some may even offer a choice of different access
control mechanisms. The access control mechanism a system offers will be
based upon one of three approaches to access control or it may be derived
from a combination of the three approaches.
The non-discretionary approach consolidates all access control under a

centralized administration. The access to information and other resources is
usually based on the individuals function (role) in the organization or the tasks
the individual must perform. The discretionary approach gives the creator or
owner of the information resource the ability to control access to those
resources. In the Mandatory access control approach, access is granted or
denied basing upon the security classification assigned to the information
resource.
To be effective, policies and other security controls must be enforceable and

upheld. Effective policies ensure that people are held accountable for their
actions. All failed and successful authentication attempts must be logged, and
all access to information must leave some type of audit trail.
Cryptography
Information security uses cryptography to transform usable information into a

form that renders it unusable by anyone other than an authorized user; this
process is called encryption. Information that has been encrypted (rendered
unusable) can be transformed back into its original usable form by an
authorized user, who possesses the cryptographic key, through the process of
decryption. Cryptography is used in information security to protect
information from unauthorized or accidental disclosure while the information
is in transit (either electronically or physically) and while information is in
storage.
Cryptography provides information security with other useful applications as

well including improved authentication methods, message digests, digital
signatures, non-repudiation, and encrypted network communications. Older
less secure application such as telnet and ftp are slowly being replaced with
more secure applications such as that use encrypted network
communications.
Cryptography can introduce security problems when it is not implemented

correctly. Cryptographic solutions need to be implemented using industry
accepted solutions that have undergone rigorous peer review by independent
experts in cryptography. The length and strength of the encryption key is also
an important consideration. A key that is weak or too short will produce weak
encryption. The keys used for encryption and decryption must be protected
with the same degree of rigor as any other confidential information. They must
be protected from unauthorized disclosure and destruction and they must be
available when needed. PKI solutions address many of the problems that
surround key management
1. Conduct an analysis of the classification systems in terms of

specific organisation of your choice.
2. Give the comparison on the Classification systems in terms of
differences, advantages and disadvantages
SO3.EVALUATE CLASSIFICATION SYSTEM(S).
AC1.GAPS IN THE CLASSIFICATION SYSTEM

Having previously used card-based classification evaluation to obtain qualitative
insights into labeling and the general effectiveness of a classification system, I felt
there was an opportunity to enhance the technique and deliver just the kind of
information my client demanded without breaking their budgetary constraints.
Key differences between this and standard card-based classification evaluation
The two key differences between this and standard card-based classification
evaluation are the way in which the captured data is analyzed, and that the
technique should be conducted in a number of rapid iterations throughout the
development of the classification system so that any improvements can be identified.
How to conduct card-based classification evaluation
Card-based classification evaluation should be conducted in exactly the same way

as described in Donna Maurer’s article. For those unfamiliar with the technique, what
follows is a précis of how the technique is conducted. For more detailed instructions
see “Donna’s article”: maurer.
1. Transfer the top 3 or 4 levels of the classification system you wish to evaluate
onto index cards. On the first card, put all of the top level categories. On each
subsequent card place the next level of classification labels.
2.
3. On another set of index cards, write and number around 15 common

information-seeking tasks. One task per index card.
4. Arrange ten-fifteen 30-minute one-on-one sessions with representative users

of the system. I find that this number enables you to conduct the sessions
over a single day, thus enabling rapid progress.
5. To conduct each session you should:
a) Introduce the activity (ensuring you inform the participant that you are not
testing them but the proposed system).
b) Show the participant the top level card and ask them where they would go to
complete each scenario (never let them know whether their response is
correct or not).
c) Make a note of the last selection each participant makes for each task. For
example, Task A – 1.12.4.
d) Capture any general comments the participant makes about the classification
labels.
e) Thank the participant for their involvement.
Analyzing the results
To analyze the results it is easiest to use a spreadsheet application. On a

spreadsheet, create a separate column for each of the following:
 The tasks
 The correct location(s) of the information (or where you think it should be)
 A column to record each users’ results, i.e. one column per user
 Columns for analyzing the results (these are explained in detail later)
A screenshot of an analysis spreadsheet is included below.
For each task define where in the classification system the correct result
would be found. This is easy when evaluating an existing classification
system, but for new structures this forces you to make a decision. If the
correct answer could be found in multiple places, capture all the possible
locations.
For each task record the location in which each participant believed they
would find the information they required. If the user made two attempts, enter
both numbers separated by a comma.
Once the results have been input, use a color-coding system to make the
results easy to scan. I highlight first-time correct responses in bright blue,
second-time correct responses in green and incorrect responses in yellow.
Having entered the raw data, this can be analyzed to generate results that can
indicate whether or not the proposed classification system is working. The
following are key pieces of analysis that can be extracted from the data:
* Percent correct on first attempt: The total number of first time correct answers
divided by the total number of attempts * Percent correct on first or second
attempt: The total number of first or second time correct answers divided by
the total number of participants
Other data, such as percent of participants making the correct first choice
from the top-level navigation, can also be interesting as it can indicate where
in the classification system problems lie.
I then use a traffic light system to give an immediate visual indication of the
results of this analysis. I color the cells in the following way:
 red for 0-40% correct

 amber for 40-60% correct
 dark green for 60-80% correct
 Light green for over 80%.
What the results mean
The results are intended as a guide to support what may otherwise be a

subjective analysis. Don’t focus on the specific percentages; instead look at
the color bands.
 Lots of red in the ‘getting first click right’ cells suggests that there is a
problem with the top-level categories. Poor top level labeling alone can affect
the success rates for the entire classification system. Consider whether the
entire information architecture needs to be restructured, or whether the
problem can be resolved by creating more meaningful top-level navigation
labels.
 Green in the ‘getting first click right’ column, but red ‘overall success
rate’ suggests that the top-level categories are good, but that there is poor
distinction between the second level categories, or that the labeling requires
attention.
 Green ‘correct first time’ suggests that it is time to start thinking about the
next phase of the project.
 Streaks of green and red suggests that the classification system is working
very well for some tasks, but very poorly for others. More work is required.
Iterative evaluations
By conducting this technique at intervals during the development of the

classification system you can assess the progress being made.
The following screenshot shows a summary of the results of 4 rounds of this

technique conducted iteratively during the rapid development of a
classification system for an intranet. As you can see from the dates, three
iterations were conducted in a seven day period and the percent of people
being able to get to the right location on a first or second attempt improved
from 39% to 81%.
On the spreadsheet, the first round of evaluations was conducted on the

existing site. This served as a benchmark against which the new classification
system was measured. Subsequent iterations were on different versions of the
redeveloped classification system.
The spreadsheet highlights the following:
 the poor initial quality of the classification system

 the improvements that were made with each iteration
 the relatively limited improvements that are made after a number of iterations,
indicating the diminishing returns of continuing to make refinements after a
point
Last thoughts
The data produced by this technique should be used as a guide to support

qualitative assessments made during the development of a new classification
system. If conducted iteratively during the development of a classification
system, the technique can provide a sense of the progress being made.
Please note: I am careful to say “a sense of the progress being made.” I am

not a statistician and am thus cautious when presenting numeric information. I
believe it may be possible to use the technique to produce statistically valid
data, but I have only used it to produce indicative data to support and help
communicate my qualitative assessment of the success of a classification

system.
Obviously there are many other methods of enabling people to find the
specific content they require (searching, A-Z indexes, etc.), so I recommend
against zealously repeating this technique until you obtain 100% success.
Instead use the technique to support your instincts and the other card sorting
activities conducted during the development of a classification system
1. Identify the Gaps in the classification system in order to

maintain the system which reflects the organisational
functions and structure.
AC3.THE SECURITY LEVELS OF THE CLASSIFICATION

SYSTEM ARE EVALUATED IN ORDER TO ESTABLISH
STRENGTHS AND WEAKNESSES.
One of the most important aspects of the USCS relates to its record retention
components which create a records retention linkage
This includes tracking and providing a direct linkage to the terminology used
in the U.S. Code of Federal Regulations and to similar legislative retention
requirements of any other country.
Subject classification is an essential component of the system. As closely as

possible, the terminology used in the class description is the terminology
used in the controlling legislation.
Retention Management must be rigorously followed to ensure legal protection
Natural Security
The most practical level of a records management system's security (and of

control and maintenance) is directly linked to the organization's Chart-of-
Accounts.
"Natural" security scheme is based upon the user's position in the

organization and document classification
Records management stores security information at the classification or organization

level, not at the document level. Records management uses a matrix of class and
organization to determine who can read or write to a document. Security from
disclosing sensitive information through association by subject descriptions is
managed through identification of the "record type" as "sensitive".
Additionally, a classification can be added that requires specific authorization,

then within that class, a series of sub-classes can be used to restrict
unauthorized access to document descriptions.
Classification
Folders in a computer filing system can utilize USCS system's approach in

classifying documents.
Ideally, a computer filing system should be structured in the same hierarchy

as the USCS. This allows people to uniformly store documents in the same
fashion it would be stored in a records management system, making it easy to
search and retrieve documents put in a desktop application.
In the same fashion, physical filing cabinets stored with file folders containing
paper documents would be filed using the same subject classification
hierarchy as USCS.
Using this approach to filing, an enterprise can achieve uniformity, whether it

is stored electronically or in a filing cabinet.
Portfolio Activity: assignment 3
2. Identify the Classification systems in terms of types and format

3. Give a description of the different classification systems in
terms of key features and uses
4. Demonstrate the Classification systems in terms of
differences, advantages and disadvantages.
5. Provide an analysis on the records in order to establish
correct reference numbers according to classification system.
Resources:
Possible sources for further research and study is listed below;
REFERENCES
Ahituv, N., Neumann, S., & Riley, H. N. (1994). Principles of

information systems for management (4th ed.). Dubuque, IA:
Wm. C. Brown Communications.
Awad, E. M., & Gotterer, M. H. (1992). Database management.

Danvers, MA: Boyd & Fraser.
Banerjee, U. K., & Sachdeva, R. K. (1995). Management

information system: A new frame work. New Delhi: Vikas
Publishing House.
Davis, G.B., & Olson, M. H. (1985). Management information

systems: Conceptual foundations, structure, and development.
New York: McGraw-Hill.
Imboden, N. (1980). Managing information for rural development

projects. Paris: Organization for Economic Co-operation and
Development.
Keen, P. G. W., & Morton, M. S. S. (1978). Decision support

systems. Reading, MA: Addison-Wesley.Self Assessment
SELF ASSESSMENT:
You have come to the end of this module – please take the time to
review what you have learnt to date, and conduct a self assessment
against the learning outcomes of this module by following the
instructions below:
Rate your understanding of each of the outcomes listed below:

Keys:  - no understanding
 - Some idea
 - Completely comfortable
SELF
RATING
NO OUTCOME
  
1. Identifying and describing the elements of management
information systems (MIS) relevant to public finance
management and administration
2. Utilising information technology to aid management planning
3. Assessing the risk associated with information technology
4. Utilising e-commerce and e-governance to enhance work
productivity

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Municipal Governance

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SO3.Evaluate classification system(s). ................................................................ 83

 National Department of Education

The qualifying learner is capable of:

 Defining and explaining classification systems.

UNIT STANDARD ESSENTIAL EMBEDDED KNOWLEDGE

Critical Cross-field Outcomes (CCFO):

UNIT STANDARD CCFO IDENTIFYING

UNIT STANDARD CCFO WORKING

UNIT STANDARD CCFO COLLECTING

UNIT STANDARD CCFO COMMUNICATING

UNIT STANDARD CCFO SCIENCE

UNIT STANDARD CCFO DEMONSTRATING

2.2 LEARNER SUPPORT

Please refer to the beginning of each module for the learning

3.1 FORMATIVE ASSESSMENT

3.2 SUMMATIVE ASSESSMENT

You will be required to complete a Portfolio of Evidence for summative assessment

If it is not documented, it did not happen!

In some evidence, the process you followed is more important than

4. NAVIGATING THE LEARNER GUIDE

Group Activity / Pair Activity:

You will be required to complete an activity in your group or in pairs

You will be required to complete an activity on your own that relates

Complete the assessment activity that will be assessed as part of

Reflect on the question(s) asked to identify the relevance of learning

A useful tip or essential element regarding the concept under

Content matter that is critical to the understanding of the module.

Refer to your Mentor or Workplace Supervisor to assist in this

Please refer to the beginning of each module for the learning

The following Learner Administration is critical in assisting your

Please take a moment to familiarize yourself with the requirements.

5.1 ATTENDANCE REGISTER

5.2 LEARNER REGISTRATION FORM

Without the Learner Registration and ID Documents we will not be

5.3 PROGRAMME EVALUATION FORM

The following learning outcomes are covered in this module.

1. Identifying and describing the elements of management

Records may include but are not limited to documents

These records document a department or office’s expenditures and

Record Holder Retention Period Disposition

For general accounts payable records documenting purchases made on sponsored

A/P Records documenting the purchase of equipment or services

Official Copy of Accounts Payable Records (excluding P-Card records)

Accounts Receivable Records

Record Holder Retention Period Disposition

Finance Division (usually in PeopleSoft). Then confidentially destroy the records.

Official Copy of Accounts Receivable Records

Record Holder Retention Period Disposition

Official Copy of Banking Records

These records provide a record of departmental fiscal activity presented in summary

Record Holder Retention Period Disposition

Copy and Offices Reports: Permanent Transfer to the Digital

Official Copy of Budget Records

Capital Construction Funding Records

Record Holder Retention Period Disposition

Financial Statements and Reports

Record Holder Retention Period Disposition

confidentially destroy them. If a department or office holds a copy of a statement or

Official Copy of Financial Statements and Reports

Records and Files

A record is a sequence of values or a sequence of characters. There are three