Records are known and are identified within a structure, ideally founded on function.
In line with the Keeper of the Records of Scotland’s (The Keeper’s) obligations under the Public Records (Scotland) Act 2011 (the Act), the following guidance is issued about an authority’s Business Classification Scheme:
It is expected that an authority’s Records Management Plan (RMP) submitted for agreement with the Keeper, confirms that the authority has developed, or is in the process of developing, a business classification scheme or similar.
We are using the term ‘business classification’ to refer to a representation of an authority’s functions, and the records created pursuing those functions. For some authorities, this may appear in the form of a simple File Plan; for other, more complex organisations, as a full Information Asset Register. As long as all public records, in all formats, are considered under this element, the Keeper should be able to agree it is compliant.
The purpose of this element is to demonstrate, in the RMP, that the authority takes account of all the records created by the entire organisation and all its various business activities.
Having a structured business classification scheme at the outset will assist an authority in the application of retention and disposal decisions under each of these business functions. It is also likely that a robust business classification scheme structure will assist staff to save, locate and recover records efficiently.
To properly fulfil this element, an authority will need to demonstrate that its business classification scheme can be applied to all the records management systems which it operates.
Element 4 is, therefore, the ideal section of an authority’s RMP for them to explain to the Keeper the different systems and formats in which their public records are kept. For some authorities, all records will be held digitally in an electronic records management system. However, the majority of Scottish public authorities operate multiple record keeping systems simultaneously. The Keeper will need to be satisfied that the authority has considered all these structures under their Business Classification Scheme. For example, the Keeper would expect to see reference to all of the following:
- Records held digitally on an electronic records management system
- Records held digitally on network/shared drives
- Records held hard-copy in a corporate records store or in offices (including legacy records)
- Records held hard-copy in an external store operated under contract by a third party (the Keeper would expect to see evidence that this arrangement is operational – such as a copy of the contract, redacted as appropriate)
- ‘Line of Business’ systems (see below)
Once the different formats and record keeping systems are explained in element 4, this should provide a structure for other elements where procedures vary depending on format or location (such as the destruction procedures detailed in element 6).
A clear and robust business classification scheme is a strong business tool for any organisation. Its utility for the authority must be the primary consideration when the scheme is being developed and implemented.
However, this is also a very important element for the purposes of achieving the Keeper’s agreement upon which much of the rest of the plan will be built. It is also subject to change as new systems and procedures are implemented in an authority. It is approached in different ways by different organisations as best suits their business need. The Keeper is open to receiving schemes based on different methodologies, whether complete or in development. Any proposed scheme should aim to better allow an authority to document its activities, identify records, retrieve records, apply disposal markings, and meet statutory and regulatory requirements.
It is understood that to encompass an authority in its entirety, the expansion of the formal business classification scheme, may take many years – particularly for more complex organisations. If an authority is not able to fully satisfy this element when submitting their RMP for agreement, then
a) The Keeper will expect to see evidence that senior management acknowledge the importance of expanding the business classification scheme throughout the organisation, and
b) The Keeper’s agreement is likely to be conditional on receiving regular updates as the roll-out progresses.
To this end, it is suggested that authorities should schedule their own review of progress (see element 13) and report this to the Keeper.
Evidence
The Keeper does not require authorities to provide him with evidence down to file level, or containing all the details of an information asset register. He/she does, however, expect an authority to be able to classify its functions, the activities that deliver these functions, and an indication of the classes of records being created (or held) while pursuing these activities. The Keeper expects an authority to explain the format of these records and where they are being managed.
Sample business classification documents
N.B. Business Classification Schemes, Information Asset Registers and Retention Schedules are all ‘living documents’ – they are, quite properly, subject to regular review and alteration. The examples given below are to demonstrate potential layouts and the types of information that might be included. None are supplied as evidence of the current schemes in operation in the authority.
File 01 - A sample Business Classification Scheme and Retention Schedule as a combined document (Falkirk Council)
File 02 - A sample extract showing the information that could be included in an Information Asset Register (North Lanarkshire Council)
It is not necessary for a small authority to develop a scheme of the complexity shown in the examples above. Here is an alternative simple style that is perfectly acceptable
File 03 - Scottish Criminal Cases Review Commission
PDFs 04/04-10 A business classification is a living document liable to change to reflect alterations in the business procedures of an authority. Below are examples of documents from a business classification review framework (NHS National Services Scotland)
Three further examples of how a business classification scheme might be presented:
