Public Records (Scotland) Act 2011 - Model Plan Guidance to Element 4

Business classification

A business classification scheme describes what business activities the authority undertakes - whether alone or in partnership.

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.

We are using the term 'business classification' to refer to a representation of an authority's hierarchy which shows the functions of the organisation.

The purpose of this element is to demonstrate that the records management plan takes account of the complete organisation and all its various business functions. This process will assist an authority in making good retention or disposal decisions under each of these business functions. To properly fulfil this element, an authority will need to demonstrate that its business classification scheme can be applied to the record management systems which it operates.

The Keeper is open to receiving schemes based on different methodologies, completed or being developed, but 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, particularly for more complex organisations, the expansion of the formal records management system to encompass an authority in its entirety may take many years. If an authority is not able to fully satisfy this element when submitting their model plan for agreement, the Keeper will expect to see evidence that senior management acknowledge the importance of expanding the records management provision throughout the organisation. The Keeper will also expect to see progress in this respect when plans are reviewed. This review cannot be initiated by the Keeper for five years after an authority's RMP is agreed. (under section 5.2 of the Act 'The Keeper must not determine a review date...which is earlier than five years after the date on which the authority's records management plan was last agreed'). However, it is suggested that authorities should schedule their own review in the intervening period. (See element 13)

Current best practice guidance, such as that developed by the JISC InfoNet, Business Classification Scheme InfoKit [footnote 1] advises that:

A Business Classification Scheme is the keystone of a records management programme. A functional approach to records management focuses on managing records according to their business context (why they exist) rather than their content (what they are about) or their location (which business unit or person holds them). It links records management activities clearly and firmly to business functions and activities.

Evidence

As evidence of a business classification the Keeper would expect to see a hierarchical representation of the functions of an authority and a clear indication of the business areas responsible for delivering these functions to the public.

The Keeper does not initially require authorities to provide him with evidence down to file plan or information asset register level for each business area. He does, however, expect an authority to be able to classify its functions, the areas of the authority delivering these to the public and an indication of the classes of records being created or held by each business area.

The format of this representation is not prescribed but might appear as a hierarchical chart showing the divisions, departments or branches the authority is divided into.

Clearly, if an authority has a detailed and mature business classification scheme that provides a functional or organisational overview of all the authority's information assets the Keeper would be happy to receive it. However, at this early stage of implementation a clear indication that an authority understands where its record creating areas are and the types of record they create or hold will suffice. Any improvement plan, supported by senior accountable officer sign-off, and committing the authority to the development of a robust business classification scheme in the future, will attract the agreement of the Keeper.

Sample business classification documents

A local authority has provided samples that might help you prepare a business classification:
[MORAY - Local Government Classification Scheme - Acrobat PDF 548KB, new window]

Historic Scotland have provided a draft proposal for creating a business classification fileplan:
[Historic Scotland's Corporate Classification proposal - Acrobat PDF 248KB, new window]

NHS NSS Business Classification:
[NHS NSS Business Classification - Acrobat 443KB, new window]

Dumfries and Galloway Council have created a full business classification scheme and retention schedule. This a very large series of documents, but the council is willing for these to be shared as they may inform the proposals of other public authorities. The file can be sent (zipped) on application to publicrecords@nas.gov.uk

Guidance Specific to business classifications and/or file plans:

The Scottish Council on Archives (SCA) has created a model retention schedule for use by Scottish Local Authorities. This can also be used as a guide to the sort of 'functions' an authority might be divided into
(http://www.scoarch.org.uk/projects/retentionschedules/retentionschedules)

NHS Scotland has provided this sample guidance (http://www.scotland.gov.uk/Resource/Doc/310130/0097861.pdf)

JISC Guidance on Developing a File Plan (http://www.jiscinfonet.ac.uk/partnerships/records-retention-he/developing-a-file-plan)

Edinburgh University provides guidance on:
1. Developing an information map (http://www.ed.ac.uk/schools-departments/records-management-section/records-management/staff-guidance/technical-guidance/info-map)
2. Compiling a records inventory (http://www.ed.ac.uk/schools-departments/records-management-section/records-management/staff-guidance/technical-guidance/inventory-compilation)
3. Conducting a records survey (http://www.ed.ac.uk/schools-departments/records-management-section/records-management/staff-guidance/technical-guidance/survey-procedures)
4. Developing a filing scheme (http://www.ed.ac.uk/schools-departments/records-management-section/records-management/staff-guidance/technical-guidance/filing-scheme)

Information Governance Records Management Guidance for NHS Boards - Compiling a records inventory (http://www.scotland.gov.uk/Publications/2010/04/22093418/0)

NHS National Services Scotland guidance on developing a file plan:
[NSS Fileplan Development Guidelines - Acrobat PDF 717KB, new window]

Complete Guidance Documents

The Moray Council Records Management Strategy (http://www.moray.gov.uk/moray_standard/page_46084.html)

Information Governance Records Management Guidance for NHS Boards (http://www.scotland.gov.uk/publications/2010/04/nhs-record-management)

JISC Records Management and toolkits (http://www.jiscinfonet.ac.uk/topics/organisational-efficiency/record-management/)

Edinburgh University Records Management Advice (http://www.ed.ac.uk/schools-departments/records-management-section/records-management/staff-guidance)

Electronic records management without an EDRM system referring to a filing structure
(http://www.nationalarchives.gov.uk/information-management/projects-and-work/essential-records-management.htm)

If you are creating a file plan from scratch you may wish to investigate the terminology standards used in the RM world (http://www.naa.gov.au/Images/Keyword%20AAA_tcm16-47292.pdf)

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

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


Footnotes:


1. JISC Business Classification Scheme InfoKit (http://www.jiscinfonet.ac.uk/partnerships/records-retention-he/hei-bcs-user-guide)