Scottish Government Records Management Plan Progress Update Review

Green

Green

Green

Update required on any change.

No change.

Update required on any change.

Green

Green

Green

Update required on any change.

No change though as a point of interest the Knowledge and Information Management Branch is now part of Digital Citizen Unit having moved out of iTECS Division.

The Assessment Team thanks you for this update on internal restructuring.

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Green

Update required on any change.

No change.

Update required on any change.

Green

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Update required on any change.

No change.

Update required on any change.

Amber

Green

Amber

The SG have provided the Keeper with the following update regarding the gap in retention noted above: "In terms of our legacy paper records these will all continue to be managed in line with the arrangements stated in the document titled 'Scottish Government Paper Records Retention schedule pre-eRDM'. We continue to progress the project to digitise our paper records in line with the document titled 'Digitisation of Legacy Paper Files'.

We have this year (2022) commenced a Shared Drive Programme which will

firstly see content held in 'H Drives' be reviewed by each individual member of staff and either added to the appropriate eRDM file where it is part of the corporate record (this exercise is to be completed by the end of July 2022) or deleted where it has no/no longer has any business value (note: any deletion

of corporate information will be done in consultation with our branch).

Following this we will begin the task of tackling content held on the G drive, pst files and public folders whereby business areas will be asked to review material and add any content which is for the corporate record to eRDM unless there is a valid business reason why it cannot be stored there (e.g. databases) or alternatively delete information which has no/no longer has any business value (as above any deletion of corporate information will be done in consultation with our branch). On completion of this exercise (which will inevitably take a reasonable period of time to complete) the vast majority of information for the corporate record will be stored in eRDM (where it will be managed appropriately in line with our RMP arrangements) and those objects not stored in eRDM (e.g. databases) will be recorded as Information Assets by local Information Asset Owners which will ensure they can be appropriately managed (note: we continue to advise business areas to ensure that regular 'snapshots' or reporting outputs of their databases are stored in eRDM to maintain the corporate record)."

Considering this statement, the Keeper accepts that the SG recognise that retention is not yet satisfactorily applied to all public records, but he is satisfied that there is a clear methodology in action to resolve the issue while sensibly weeding-out records that are of no ongoing business value. The Keeper also notes that the project to digitise paper records is in line with the SG's Digital First agenda.

The Keeper can agree this element of the Scottish Government's RMP on improvement model terms. This means that the authority has identified a gap in their records management provision (there is a backlog of legacy records that do not have retention/destruction processes applied) and have put processes in place to close that gap.

The Keeper's agreement will be conditional on his being kept up-to-date with progress.

The following new eRDM file types have been created at the request of SG business areas:

• Audit and Assurance Management – close after 3 years, destroy 3 years after closure;
• European Maritime and Fisheries Fund Casework - close after 5 years, destroy 2028 as required by EC audit;
• Fisheries and Aquaculture Casework – close after 5 years, review 25 years after closure;
• Marine Environment Consenting Casework – close after 5 years, review 75 years after closure;
• Marine Environment General Licensing Casework – close after 5 years, destroy 25 years after closure;
• Ministerial Decisions Backup – close after 5 years, destroy 5 years after closure.

We have also revised the retention schedules of the following eRDM file types as follows at the request of SG business areas in line with their business requirements:

• Legal Advice Working Papers – close after 5 years, archive 15 years after closure (was previously destroy 11 years after closure);
• Rural Payments Customer Casework – close after 20 years (was 5 years), destroy 10 years after closure;
• Rural Payments Agent Casework – close after 20 years (was 5 years), destroy 5 years after closure;
• Scotland Rural Development Programme RDC RP – close after 30 years (was 5 years), destroy 7 years after closure.

The project to digitise our paper records continues and work has largely been completed on closing down H drives (aside from those belonging to colleagues who are not at work as a result of long term absences) with any information which is part of the corporate record transferred into the appropriate eRDM file. A pilot exercise to test the end to end process of reviewing and managing/moving content held in public folders is about to begin following on from which we'll begin reaching out to other business areas to continue to progress this task.

Thank you for this update which has been noted. It is great to hear that retention schedules have been updated according to changes in business requirements.

The update regarding continuing digitisation of legacy paper records is welcome. It is good to hear that the retirement of H drives has now largely been completed, aside from a few exceptions. Further updates on the progress of the Shared Drive Programme would be welcome in future PUR submissions as the Keeper has agreed this Element on an improvement model basis.

This Element will remain at Amber as the work continues.

Green

Green

Green

Update required on any change.

No change.

Update required on any change.

Green

Amber

Green

The Keeper acknowledges that this arrangement is operational and public records of the SG are routinely transferred into NRS.

However, the Service Level Agreement under which these arrangements operate is out-of-date.

The NRS Client Management Team and the Corporate Records Manager (see element 2) have both acknowledged this discrepancy and have set up a meeting to begin taking forward the updating of these documents. The SG have also committed to provide the Keeper with a copy of the updated agreement as soon as it becomes available.

The Keeper can agree this element of the SG RMP under 'improvement model' terms. He can do this when he is convinced that, having identified a gap in records management provision, an authority has put appropriate process in place to close that gap.

We are currently working with NRS colleagues in relation to the arrangements for the transfer of eRDM files to NRS this year in line with agreed file retention arrangements. We would expect to complete the transfer of these records by no later than 1 September.

As mentioned at element 5 work continues on the project to digitise our paper records and to take forward the review and management/movement of information held in non-eRDM repositories such as public folders.

Unfortunately due to other work pressures on both sides it has not been possible to link in with NRS colleagues as yet on updating the Service Level Agreement and NRS selection policy. We have not lost sight of the requirement to undertake this work and will update the Keeper in due course.

The Assessment team thanks you for this update on digital archiving arrangements with NRS. The legacy paper record digitisation and Shared Drive projects, also mentioned under Element 5, are also noted with thanks.

The Team notes that pursuing an up-to- date Service-Level Agreement and selection policy with NRS has not progressed, but that this remains on the authority's radar. It is

hoped that this process will have been started at the time of the next PUR submission.

Green

Green

Green

Update required on any change.

No change.

Update required on any change.

Green

Green

Green

Update required on any change.

No change.

Update required on any change.

Green

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Update required on any change.

As mentioned at elements 5 and 7 work continues in our project to digitise our paper records.

No changes to report at this time.

Thank you for this update which has been noted. Update required on any future change.

Green

Green

Green

Update required on any change.

No change.

Update required on any change.

Green

Green

Green

Update required on any change.

Members of the Branch are currently completing a Glasgow University course on Records Management.

This will complete by the end of August 2023.

We continue to look for other relevant training opportunities and will encourage colleagues within the branch to attend where it is possible to do so in line with budgetary restraints.

Thank you for this positive update. It is very exciting to hear that opportunities have arisen for upskilling training in records management, and that this is being pursued across the branch.

Green

Green

Green

The Keeper would like to note that

several evidence documents provided to him have no control sheet attached. Therefore, he is not able to judge who authorised them, their approval date or when they are due to be reviewed.

Update required on any change.

We will endeavour to add control sheets to evidence documents which we have responsibility for and will pass this feedback to colleagues whose areas are responsible for the other documents.

It should also be noted that some of our documents are static (e.g. E48: Extract of a Chief Dental Officer file in eRDM) and others are copied and pasted from content held on Saltire hence the reason no control sheet is provided on them.

I can confirm that the following evidence documents have been updated since we submitted our Records Management Plan. I have provided copies of the latest versions of these documents:

• E38;
• E57;
• E65

Section 1(5)(i)(a) of the Act says that an authority must keep its Records Management Plan (RMP) under review. An authority's RMP must describe the procedures in place to regularly review it in the future.

Document control sheets are good practice as they allow for management and monitoring of regular review of all RMP- adjacent plans and policies. Any other style of indication of authorising person, issue date and review schedule would also be acceptable.

It is positive to hear that there has been a drive to add these to relevant documentation.

The Assessment Team thanks you for providing the

evidence documents listed; these have been received with thanks.

Update required on any future change.

Green

Green

Green

Update required on any change.

As the Keeper may have noted the UK Government has launched a revised security classification policy that applies to all civil servants. SG Colleagues are currently working on revising the internal guidance which we provide to colleagues on this and we can share this when it becomes available.

The Team thanks SG for providing this update on the launch of a revised security classification policy. We look forward to further updates on the internal guidance in future PURs.

Green

Green

Green

Update required on any change.

No change.

Update required on any change.