Scottish Government records management plan

Element 4: Business classification

Records are known and are identified within a structure, ideally founded on function.

The Keeper expects an authority to have properly considered business classification mechanisms and its RMP should therefore reflect the functions of the authority by means of a business classification scheme, information asset register or similar.

This should record, at a given point in time, the information assets the business creates and maintains, and in which function or service area they are held. As authorities change, the structure should be regularly reviewed and updated.

A classification structure allows an authority to map its functions and provides a system for operating a disposal schedule effectively.

Some authorities will have completed this exercise already, but others may not. Creating the first classification structure can be a time-consuming process, particularly if an authority is complex, as it involves an information audit to be undertaken. It will necessarily involve the cooperation and collaboration of several colleagues and management within the authority, but without it the authority cannot show that it has a full understanding or effective control of the information it keeps.

Although each authority is managed uniquely there is an opportunity for colleagues, particularly within the same sector, to share knowledge and experience to prevent duplication of effort.

All of the records an authority creates should be managed within a single structure, even if it is using more than one record system to manage its records.

An authority will need to demonstrate that its chosen structure can be applied to the record systems which it operates.

Best Practice might include:

• Business classification is recorded within a business classification scheme, a file plan or an information asset register.
• The structure includes all records and information held by the authority regardless of format (physical or digital).
• In particular, the structure should identify the systems and records that contain personal data.
• The structure also covers any functions which are contracted to third parties and the authority recognises its responsibility to satisfy itself that the records produced by these functions are robustly managed and revert to the authority at the end of the contract (see element 15).
• The arrangement is periodically reviewed (see element 13).

Read further explanation and guidance about element 4.

Scottish Government Statement

Our Business Classification Scheme is the keystone of the records management function within Scottish Government. The Business Classification Scheme aims to provide the framework for managing the records and information.

The Business Classification Scheme has been adapted from the Integrated Public Sector Vocabulary (IPSV) and Government Category List. The scheme has four levels of classification, the first three levels are subject based and the fourth level describes the activity undertaken.

Every file that is created has a file type attached to it. The file type determines when the file will be closed and the action that will be taken on the file following closure.

Extracts of eRDM files created for those bodies who have elected to be part of the SG file plan have been provided to show where they sit in the structure.

Evidence

E03: SG Business Classification

E04: Scottish Government File type guidance

E05: Scottish Government Casework File type guidance

E48: Extract of Chief Dental Officer file in eRDM

E49: Extract of Chief Medical Officer file in eRDM

E50: Extract of Scottish Agricultural Wages Board file in eRDM

E51: Extract of Transport Scotland file in eRDM

E52: Extract of Student Awards Agency for Scotland file in eRDM

E53: Extract of a Legal Secretariat for the Advocate General file in eRDM

E54: Extract of HM Inspectorate of Anatomy file in eRDM

E55: Extract of a HM Inspectorate of Constabulary file in eRDM

E56: Extract of a Legal Secretariat of the Lord Advocate in eRDM

E65: Scottish Government Fileplan Level 1 to 3

E68: Extract of a Safeguarders Panel file in eRDM

E69: Extract of a Drinking Water Quality Regulator for Scotland file in eRDM

Further Development

No changes will be made to our Business Classification Scheme at the current time but we will continue to review it on an annual basis.