Corporate Records Management Branch

 

3.4 The Classification System

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A standard classification system such as ARCS is the cornerstone of an effective records management system.  The classification gives an indication of what records are created and used by the ministry or agency and how the records are placed within a records system.  The sections, primaries, scope notes, and secondaries of ARCS not only indicate standard classification and filing categories, but also aid access and guide retrieval.

ARCS is organized to facilitate records classification, retrieval, retention, and disposition.   It is a block numeric records classification system based upon the federal government's model for the development of classification systems.

ARCS is a classification system based upon function and subject.  Each functional or subject grouping of records is assigned a unique three- or four-digit number which is called a primary number and is the system's main building block.  This number is used to classify all information related to a subject or function, regardless of physical format.

Primaries which form a logical group of related subjects or functions are assigned sequential numbers in what is called a primary block.  Each block contains primary subjects subordinate to the major function of the block.

Primaries are arranged in alphabetical order by title, except for the first primary within a section or primary block.  The first primary is the general or "section default" primary and contains records of a general nature relevant to the entire section or primary block.  The numerical arrangement of the section or primary block is sufficient to permit expansion and amendment.

A primary may cover a variety of types of records or files, such as policy and procedures, general and routine files, subject files, and case files.  Each type is designated by a secondary number.  Secondary numbers describe and delineate specific types or series of records.  When a greater detail of files is required for any subject, the subordinate files may be coded.

A secondary may cover records created in various physical formats (such as paper, microfilm, microfiche, magnetic media, and optical disk) and media (such as maps, photographs, videotapes).  Records in different physical formats may contain the same information but be scheduled differently (for example, the paper and microfilm versions of the same file).  Records in different media often contain different information but are filed and scheduled together (for example, textual records and photographs concerning the same building).

A secondary may be flagged for special access and preservation considerations, as a Personal Information Bank (PIB), Public Use Record (PUR), or a Vital Record (VR); see explanations of these terms in 2.8 and 2.11.

For a detailed analysis of primaries and secondaries, see Part 2, "How to Read a Primary."

The classification system is the basis for other finding aids, such as file lists and indexes.  ARCS describes all of the administrative records which might exist in an office responsible for some of the functions covered by ARCS.  The file list documents those files that have actually been opened. See 3.5 and 3.6 for discussions of file lists and other finding aids.

3.4.1 Staff Responsibilities and Procedures

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CRMB recommends that each staff member be responsible for classifying documents which he or she creates.  This includes recording the complete primary and secondary number on the top right hand corner of the document before it is printed, photocopied, filed, or distributed.  Over time, your correspondents will begin to quote your file number on return mail and less incoming mail will require classification.

CRMB also recommends that the staff member responsible for opening, logging, and distributing incoming mail classify all incoming mail before it is distributed to the addressee.  If that individual is unable to classify an individual item, he or she should refer it to the recipient for a primary and secondary number.

Each staff member is encouraged to organize working papers according to ARCS.

If there is central filing, one individual within each filing area should have overall responsibility for the central filing system, ensuring that filing procedures, file lists, and finding aids are accurately maintained.  He or she will liaise with the staff member responsible for procuring records equipment and supplies.  This individual will also check classifications assigned by others and, in the event of amendments, will update the mail logs, file lists, etc.

3.4.2 Classifying Records

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It is important to be consistent in assigning primary and secondary numbers, as filing and retrieval is dependent upon the classification number assigned to a document.

CRMB recommends that a memo deal with only one subject.  Occasionally, it may be necessary to photocopy a document which deals with more than one subject, place it on two or more files and cross-reference it appropriately.  If the document has more than one page, only photocopy the first page and cross-reference it to the location of the complete document.

Records are classified based upon how they will be referenced and retrieved.  In order to select a classification number, first read and understand the document.  The subject is not always obvious.  When the document deals with more than one subject and you are having difficulty classifying it, think about where someone other than yourself would look first for the information.

When classifying the document, use the alphabetic subject index and/or the broad subject approach to find the appropriate secondary.  Remember that the secondary relates to the subject and purpose of the document and not necessarily the sender or recipient.

a) Alphabetic Subject Index

To use the index, think of various subject terms which describe the record.  Look under that term or synonyms in the index. Locate a number, and then refer to that primary block in the classification system to ensure that the number is the best possible one.  Reading the primary scope notes will clarify whether or not a document should be classified in a given primary.  Often the cross-references listed below the scope note will lead to a more appropriate primary.  If the appropriate classification proves difficult to locate, you may want to contact your Records Officer and suggest an update to the index.  For a discussion of the index, see 2.4.

b) Broad Subject Approach

When it is difficult to describe a document in subject terms, decide under which of the main primary headings the record is most likely to fall.  Turn to the list of primaries for the most relevant ARCS section, pick one or more primaries which might be applicable and then browse through those primaries, reading scope notes and reviewing secondary numbers and titles.  Choose the most appropriate primary and secondary and classify the document accordingly.

For guidance on classifying records as policy and procedure files or general files, see section 2.6.1 (How to Read a Primary).

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