National Records of Scotland

Preserving the past, Recording the present, Informing the future

Model Plan Guidance to Element 13

Model Plan Guidance to Element 13

As a result of changes to the Keeper’s Model Plan, this guidance is currently being reviewed. We hope to have this completed by the end of 2019. In the meantime, if you have any queries about the guidance, please contact the Assessment team.

Review and assessment

Regular assessment and review of records management systems will give an authority a clear statement of the extent that its records management practices conform to the Records Management Plan as submitted and agreed by the Keeper.

In line with the Keeper of the Records of Scotland's (The Keeper) obligations under the Public Records (Scotland) Act 2011 (the Act) the following guidance is issued regarding self assessment and review:

The Keeper considers that it is a fundamental part of a records management plan (RMP) that it is reviewed:

• Shortly after implementation to determine whether it is operating as expected.

• On a regular basis thereafter to check that it still appropriate to the business needs of the organisation and has properly responded to the changes in circumstance that occur over time.

With this in mind it is important to schedule these reviews from the outset. The Keeper would expect to see some provision for review in an authority's RMP.

It is important that an authority's records management provision is properly assessed before and after the implementation of a plan. The Keeper would suggest that public authorities should consider implementing a self assessment survey of their level of records management development, before creating a RMP for submission. This is not a requirement of the Act.

Under the provisions of the Act (section 5.2) the Keeper has the authority to ask a scheduled public authority to review their records management plan after five years. It is hoped that this review will be done more frequently by the authority itself.

The Keeper should be notified of any changes made to an authority's RMP including those made as the result of a scheduled review.

Internal assessment of a records management plan might be facilitated by a user evaluation exercise. Larger organisations might consider the establishment of a review group.

Evidence

Evidence that an authority appreciates the importance of periodic review of its records management procedures may be detailed under the formal records management policy (Element 3).

Alternatively, evidence that this element is being properly considered may be submitted separately. This can be in the form of details of the self-assessment mechanism used with reports from assessments already undertaken, or that are underway.

Sample Documents

The Scottish Parliament has provided this example of a completed self assessment based on the JISC model:

Scottish Parliament Maturity Model and Road Map (955 KB PDF)

Guidance specifically about reviewing records management provision

The Scottish Council on Archives has developed a self assessment tool called ARMS

National Archives of Scotland workbook tool - which may be used by public authorities intending to assess their records management provision

JISC InfoNet measuring the impact of a records management plan

The National Archives - assessing RM in public authorities

The International Records Management Trust also offer a self-assessment tool

The 'Section 61' Code of Practice speaks of the importance of reviewing a records management programme.

Section 61 Monitoring and Reporting 2011 (223 KB PDF)

Edinburgh University provides a Records Management Self-Assessment Checklist

Complete Guidance Documents

Scottish Ministers' Code of Practice on records management by Scottish public authorities under the Freedom of Information (Scotland) Act 2002 -16 December 2011(Section 61)

JISC records management guidance

The National Archives records management guidance

University of Edinburgh records management guidance

United Nations records management guidance

If you encounter difficulties opening linked websites, PDF documents and RTF documents listed on this page, please contact us at publicrecords@nas.gov.uk.

Return to Model Plan

Return to Model Plan or read the complete guidance to Model Plan.

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