Introduction
This guidance document is designed to assist authorities with the Progress Update Review (PUR) process. This optional process is available to authorities who have had a Records Management Plan (RMP) agreed under the Public Records (Scotland) Act 2011 (PRSA). It can be used by authorities to report on their records management arrangements and to receive feedback from the PRSA Implementation Team.
This guidance has been prepared by the PRSA Implementation Team who can be contacted at public_records@nrscotland.gov.uk.
PURs were introduced in 2017, following consultation with PRSA stakeholders. PURs help support positive engagement between public authorities and the PRSA Implementation Team
PUR Overview
The opportunity to submit a PUR is offered by the PRSA Implementation Team around one year after the agreement of an authority’s RMP, and every two years thereafter.
The authority has three months from receiving the template to complete a self-assessment and return the template. No evidence should be provided as it will not be considered. The Key Contact should return the template to the PRSA Implementation Team. We will consider the self-assessment update and provide feedback, as well as an indicative RAG (Red—Amber—Green) status. A PUR draft Report will then be sent to the Key Contact to ensure we have understood the update.
The Key Contact will have a month from the date of receipt of the Draft Report to respond. If we receive no response to the Draft Report, the report will automatically be finalised. The finalised PUR Report is sent to the Key Contact, along with a letter addressed to the authority’s Chief Executive (or equivalent) which the Key Contact can pass on. The final PUR Report will be published on NRS website.
Steps to PUR processes:
- Authorities are invited to submit a PUR around one year after an agreed RMP, and thereafter every two years. A blank template will be provided.
- The authority has three months to complete the template and submit a PUR. No evidence should be provided.
- The PRSA Implementation Team reviews PUR and provides a Draft Report.
- The authority has one month to respond to the Draft Report, if required, before the report is finalised.
- The PUR Report is finalised and sent to the Key Contact.
- The PUR Report is published on the NRS website.
Completing the template
The template has space for a self-assessment update under each of the fifteen Elements, to inform the PRSA Implementation Team of any changes.
Authorities should only populate the sections titled ‘Self-assessment Update’ under each relevant Element, particularly if there has been change or progress. The rest of the template will be completed by the PRSA Implementation Team. If there are Elements where there is nothing to report these can be left blank, or with a note such as ‘No change’.
Please do not send evidence along with the PUR as it will not be considered.
Evaluation of the Self-Assessment Update
The PRSA Implementation Team will provide comments on the self-assessment update. The assessment of evidence is not part of this process.
Element is given a Red—Amber—Green (RAG) status rating as follows:
RAG status rating: Red
There is a serious gap in provision for this Element with no clear explanation of how this will be addressed. If this were an RMP the Keeper may choose to return it, without agreement, on this basis.
RAG status rating: Amber
If this were an RMP the Keeper would consider agreeing this Element under an ‘improvement model’. This means that the Authority demonstrates an ongoing commitment to closing a gap in provision.
RAG status rating: Green
If this were an RMP the Keeper would consider agreeing this Element of an authority’s RMP.
The PRSA Implementation Team’s review of the completed PUR template does not change the formal RAG status of an authority’s agreed RMP Assessment Report.
The Team’s review is an informal indication of what marking an authority could expect should it submit a revised RMP with an appropriate evidence pack to the Keeper under PRSA.
Benefits of PURs
Benefits to authorities
Engaging with the PUR process enables acknowledgement to be given for making progress and is an opportunity to receive feedback on developments. The publication of PUR Reports on the NRS website allows these developments and successes to be shared more widely.
Benefits to PRSA Implementation
PURs encourage engagement and collaboration between public authorities and NRS. They allow the Team to identify where authorities are making progress, individually and collectively, and where progress may have slowed or halted. This helps the Team – and the Keeper – maintain a picture of public sector record keeping.
