LGCS 2.03
Contents
Metadata
1. Introduction
1.1 Purpose
1.2 Definitions
1.3 Scope
1.4 Benefits
2. Structure
2.1 Structure and use of the classification scheme
2.2 Abbreviations
2.3 Maintenance
2.4 Retention Scheduling
2.5 Contributors
Notes
Metadata
Name / Content / SchemeCoverage / UK
Creator / In-Form Consult Ltd, West Clayton, Berry Lane, Chorleywood, WD3 5EX.
Date.Created / 2006-08-21
Date.Issued / 2006-08-21
Date.Modified / 2007-08-17
Description / Local Government Classification Scheme has been issued to support local authorities in the areas of Data Protection, Freedom of Information and the Local Government Act. The schemes objective is to promote improved records management practices within local government.
Language / eng / ISO 639-2/T
Publisher / Records Management Society of Great Britain, Woodside, Coleheath Bottom, Speen, Princes Risborough, HP27 0SZ
Status / Version 2.03
Subject.Category / Information management / IPSV
Title / Local Government Classification Scheme
Title.AlternativeTitle / LGCS 2.03
Relation.IsFormatOf
Source
Relation.IsReplacedBy
The Local Government Classification Scheme (LGCS)
1. Introduction
Welcome to the LGCS. This scheme has been developed to ease the burden of developing classification schemes to support business activities undertaken in the predominantly (but not exclusively), local government environment. The content remains the intellectual property of the Records Management Society and is free to use subject to recognition relating to its origin -"The Records Management Society of Great Britain”.
The Records Management Society of Great Britain has issued this scheme after consultation with a number of local government authorities, their agencies and other experts in the field.
1.1 Purpose
The purpose of this scheme is to: -
"Facilitate and enhance the capacity of the organisation to share information and knowledge"(1).
Modern local government is becoming increasingly complex, with hardcopy and electronic records often arranged in mutually exclusive systems. This scheme seeks to achieve intellectual control over both, by ensuring that records, whatever their medium, are stored consistently.
It aims to achieve this by ensuring that electronic records and their hardcopy equivalents can be logically stored together, and, thereby “facilitate and enhance the capacity of the organisation to share information”.
1.2 Definitions
Classification
“Classification is the process of identifying the category or categories of business activity and the records they generate and of grouping them, if applicable, into files to facilitate description, control, links and determination of disposition and access status”(2).
Record
Recorded information, in any form, including data in computer systems, created or received and maintained by an organisation or person in the transaction of business or the conduct of affairs and kept as evidence of such activity.
1.3 Scope
This scheme has been issued to support local authorities in the areas of Data Protection, Freedom of Information, Records Management and various information management related legislation. Its objective is to promote improved records management practices within local government.
The structure of the scheme is such that it promotes functionality. It is a hierarchy of terms, moving from the broadest level function to the more specific activity. In simple terms entries have been classified according to:-
Function, then
Activity, then
Transaction
Much of the information held by a local authority is stored in case files and registers. Previous versions of the LGCS incorporated these structures within the classification scheme itself. This version of the LGCS has separately identified case files and registers. A single case file may incorporate information from several classes representing different transactions(3).
This version of the LGCS also identifies examples of types of records. These may have different retention schedules within the same class. These might be stored in separate folders, or identified as specific record types.
It is important to note that this scheme provides a starting point for the development of a businessclassification scheme. It is not intended to fully meet the needs of organisations intending to use it. The reason for this is that different authorities have different responsibilities and therefore undertake different functions and activities. Also an authority may use different terminology and wish to reflect this in its fileplan.
In adapting and extending the scheme, a hybrid approach (e.g. functional at high level, subject-based lower down with optional flatter case file areas), can, if implemented successfully gain most of the advantages of the functional and subject approaches whilst minimising the disadvantages (4).
The scheme has also been mapped to the Integrated Public Service Vocabulary (IPSV).
1.4 Benefits
The International Standard on Records Management suggests the following benefits accrue from the use of a classification scheme (5): -
1) A scheme provides linkages between individual records that accumulate to provide a continuous record of activity;
2) A scheme ensures records are named in a consistent manner over time;
3) A scheme assists in the retrieval of all records relating to a particular function or activity;
4) A scheme can be used when determining security protection and access levels appropriate for sets of records;
5) A scheme can be used when determining appropriate retention periods and disposition actions for records.
2. Structure
2.1 Structure and use of the classification scheme
The structure works from a general description at the first level reducing to the most specific description at lower levels.
First level headings identified reflect key groupings of functions undertaken by local authorities and aspects of administrative matters common to all organisations.
Second level terms are activities.
The third level identifies transactions which typically occur when information is exchanged with another party as part of a business process, but are informative only. This third level can also be used by each authority to add in organisation-specific terms.
One of the major failings of classification schemes generally is the difficulty they have incorporating case files. In pervious versions this scheme has taken the pragmatic approach of making the second level a unique case identifier and moving the activities to the level below. The more theoretical approach would be to reverse these levels. This version of the scheme has separately identified the case files but retained the activity and transaction levels within the classification. An authority may then choose how they wish to implement these case files within a fileplan.
The record series should not be regarded as a fourth level and neither should examples of records be regarded as a fifth level. They are not part of the classification scheme but have been included to assist in the development of a fileplan and the process of identifying retention schedules and mappings to the IPSV.
Natural language has been used as much as possible.
Note: While some terms may sound like or match business unit titles they are not linked in any way to any organisational unit. Do not assume a file or document is incorrectly classified because the title appears to associate it with a unit irrelevant to it.
2.2 Abbreviations
Abbreviations are to be avoided as they may prove to be obscure or change (e.g. the names of organisations or committees). To ensure this classification system will be relevant and meaningful for a long period of time, full names should be used. If they have to be used, their details should be maintained within scope notes(or a thesaurus) so that the classification system will be relevant and meaningful for a long period of time.
2.3 Identifiers
Unique identifiers have been added to classes. They are present in the XML format of the LGCS.
2.4 Maintenance
A classification system is a dynamic tool. It needs to reflect changes in authority functions and be kept up to date. A review of the scheme (aside from occasional updates to terminology), its levels and cross-references should be conducted annually to ensure it retains relevance.
2.5 Retention Scheduling
This version of the LGCS has incorporated retention guidance. This can only be guidance and it is the responsibility of the authority to determine if the schedules are appropriate to its requirements and comply with legislation. There is, in fact, very little specific legislation that stipulates mandatory retention periods fordocuments in local government.
The main pieces of legislation which do, either directly or indirectly, impose minimum retentionperiods are as follows:
Tax Legislation: Minimum retention periods for certain financial records are imposed bystatutes such as the VAT Act 1994, and the Taxes Management Act 1970.
Statutory Registers: Various local government statutes require registers to be kept of certainevents, notifications, or transactions. It is implicit within such legislative requirement that theserecords be maintained on a permanent basis, unless the legislation concerned stipulatesotherwise.
The Audit Commission Act 1998: This provides auditors with a right of access to every document relating to the Council that appears necessary for the purposes of carrying out theauditor’s functions under the Act.
The Local Government Act 1972, s.225: Any document deposited with “the proper officer” ofthe Council in accordance with statute should be retained permanently. (This is analogous tothe position re Registers, above).
Local Government Act 1972, Part VA: This governs public access to certain documentsrelating to Council and Committee meetings. Certain documents that form part of the publicpart of the agenda are required to be available for inspection by members of the public.
It is also worth noting that it is a criminal offence to destroy information to prevent disclosure under the Freedom of Information Act 2000.
Other legislation such as the Data Protection Act 1998 may require information to be destroyed. Personal data must not be retained when it is no longer required.
Some retention is required to provide evidence of events in the case of dispute. The Limitations Act 1980 specifies time limits for commencing litigation. The majority (but not all) ofpotential legal claims are statute barred on the expiry of 6 years. For this reason manyorganisations consider it prudent to retain files or records for a period of 6 years form the datewhen the subject matter was completed. It is important, though, to keep in mind that in the course of the Council’s everyday businessmany documents are generated that serve no purpose after relatively shortperiods of time. Many documents will relate to completed matters where, realistically, the risk ofsubsequent litigation or other dispute is minimal, if not non-existent. Long-term retention ofsuch documents is counterproductive.
Some key documents and documents of either historic interest or intrinsic value should be kept permanently. The involvement of an archivist at an early stage is beneficial in these circumstances.
Regardless of how good a retention schedule is created, it is the implementation of that schedule that is most important. In general terms a simple schedule that is well implemented is to be preferred to a complicated schedule that is poorly implemented.
RGLA in the rationale refers to the Retention Guidelines for Local Authorities (6).
2.6 Contributors
This version of the LGCS was prepared by Richard Jeffrey-Cook, In-Form Consult Ltd.
An LGCS Review Group commented upon version 2 as it was designed and drafted.
Particular thanks are extended to Robert Chell and Cardiff County Council for permission to use some of his ideas in structuring this new version of the scheme. Thanks are also extended to Paul Dodgson as the Project Lead for the RMS and Bob Wiggins for his assistance in the final stages.
Notes
1. National Archives of Australia: Overview of classification tools for records management, (NAA 2003).
2. BS/ISO/TR 15489-2: Information and Documentation - Records Management - Part 2: Guidelines (BSI 2001).
3. The National Archives: Annex B.4 to Functional Requirements for Electronic Records Management Systems v1.0 (TNA January 2005).
4. The National Archives: Business classification scheme design, (TNA 2003).
5. BS/ISO 15489-1: Information and documentation - records management - part 1: general, (BSI 2001).
6. Retention Guidelines for Local Authorities (Records Management Society of Great Britain 2003).
Page 1 of 141
LGCS - Top Level Functions
Top Level Functions
Adult care services
Children and families services
Community safety and emergencies
Consumer affairs
Council property
Crematoria and cemeteries
Democracy
Economic development
Education and skills
Environmental protection
Finance
Health and safety
Housing
Human resources
Information and communication technology
Information management
Legal services
Leisure and culture
Management
Planning and building control
Procurement
Registration and coroners
Risk management and insurance
Transport and infrastructure
Waste management
Page 1 of 141
LGCS - Level Two Activities
Level Two Activities
Adult care services
.Asylum seekers
.Carers
.Community support
.Criminal justice
.Residential homes
.Social issues
.Supporting adults
.Supporting disabilities
Children and families services
.Adoption and fostering
.Child protection
.Childminding
.Children looked after in care
.Communications
.Programme management and development
.Residential homes
.Social issues
.Special education
.Supporting children
.Supporting disabilities
.Training
.Youth justice
.Youth services
Community safety and emergencies
.Advice
.Community safety
.Emergency planning
.Emergency service
.Enforcement
.Fire prevention
.Measures against vandalism
.Training
Consumer affairs
.Advice
.Enforcement
.Environmental health
.Investigation, inspections and monitoring
.Registration, certification and licensing
Council property
.Common land
.Maintenance of council property
.Property acquisition and disposal
.Property and land management
.Property use and development
Crematoria and cemeteries
.Burial identity and location
.Maintenance of burial grounds
Democracy
.Decision making
.Executive
.Governance
.Honours and awards
.Member support
.Planning
.Representation
Economic development
.Business intelligence
.Promotion
.Regeneration
.Sustainability
.Tourism
.Training
Education and skills
.Access and inclusion
.Admissions and exclusions
.Advice
.Arts services
.Curriculum development
.Education welfare
.Employment skills
.Life long learning
.Management of schools
.Teaching
Environmental protection
.Advice
.Conservation
.Monitoring
Finance
.Accounts and audit
.Asset management
.Financial provisions management
.Financial transactions management
.Local taxation
.National taxation
.Payroll and pensions
Health and safety
.Community safety
.Compliance
.Monitoring
.Risk management
Housing
.Advice
.Enforcement
.Estate management
.Housing provision
.Housing stock
.Managing tenancies
Human resources
.Administering employees
.Employee relations
.Equal opportunities
.Monitoring employees
.Occupational health
.Recruitment
.Terms and conditions of employment
.Training
.Workforce planning
Information and communication technology
.Infrastructure
.System support
Information management
.Access to information
.Archives
.Knowledge management
.Records management
.Registration
Legal services
.Advice
.Bylaws
.Land registration
.Land and highways
.Litigation
.Management of legal activities
.Planning controls
Leisure and culture
.Allotments
.Archives
.Arts
.Community facilities
.Leisure promotion
.Libraries
.Museums
.Parks and open spaces
.Sports facilities
.Sports
.Tourism
Management
.Ceremonial
.Communication support
.Corporate communication
.Enquiries and complaints
.External audits
.Preparing business
.Project management
.Quality and performance
.Statutory returns
.Strategic planning
Planning and building control
.Building control
.Covenant control
.Development control
.Forward planning
Procurement
.Contracting
.Market information
.Tendering
Registration and coroners
.Inquiries into deaths
.Marriage services
.Registration of births, marriages and deaths
.Treasure trove
Risk management and insurance
.Claims
.Insuring against loss
.Risk management
Transport and infrastructure
.Design and construction
.Harbours and waterways
.Highway development control
.Highway enforcement
.Infrastructure management
.Public transport
.Rights of way
.Road maintenance
.Road safety
.School transport
.Traffic management
.Transport planning
Waste management
.Fly tipping
.Street cleaning
.Waste collection
.Waste disposal
.Waste reduction
Page 1 of 141
LGCS - Level Three Transactions
Level Three Transactions
Adult care services
.Asylum seekers
..Advice and support
..Nationality checking
.Carers
..Agency provided services
..Assessment
..Financial support
..Legal
..Licensing
..Review
.Community support
..Day centres
..Groups
.Criminal justice
..Court orders
..People on bail
.Residential homes
..Operation of homes
..Registration
.Social issues
..Substance misuse
.Supporting adults
..Assessment
..Catering services
..Finance and commissioning
..Grants
..Health
..Legal
..Licensing
..Looked after in care
..Mental health
..Occupational therapy
..Referral
..Review
..Transport services
.Supporting disabilities
..Deaf
..Employment
..Equipment advice
..Independence at home
..Personal transport
Children and families services
.Adoption and fostering
..Adoptive parent
..Assessment
..Financial support
..Foster carer
..Legal
..Licensing
..Review
.Child protection
..Case assessment
..Registration
..Schedule 1 offenders
.Childminding
..Registration
..Support for childminders
.Children looked after in care
..Registration
.Communications
..Complaints
.Programme management and development
..Services for children
..Supporting children
..Supporting young persons
..Supporting adults
.Residential homes
..Operation of homes
..Registration
.Social issues
..Substance misuse
.Special education
..Learning support
.Supporting children
..Admission appeals
..Adoption process
..Advice
..Assessment
..Attendance and truancy
..Child protection
..Children’s rights
..Continuing care
..Educational achievement assessments
..Educational psychology
..Educational welfare
..Finance and commissioning
..Financial support
..Fostering Process
..Grants
..Health
..Hospital and home tuition
..Legal
..Licensing
..Looked after in care
..Referral
..Review
..School exclusions
..Special educational needs
.Supporting disabilities
..Deaf
.Training
..Support training
.Youth justice
..Case management
.Youth services
..Youth service provision
Community safety and emergencies
.Advice
..Contingency planning
..Fire safety planning
..Home security
.Community safety
..CCTV surveillance
..Community wardens
..Crime reduction
..Neighbourhood Watch
.Emergency planning
..Emergency agencies
..Emergency call-outs
..Emergency calls - 999
..Emergency plan
..Emergency warnings
.Emergency service
..Notifications
..Special service provision
.Enforcement
..Fire safety legislation
.Fire prevention
..Fire certification
..Fire hydrants inspections
..Fire safety
..Fire safety inspections
..Incident monitoring
..Inspections
..Investigations
.Measures against vandalism
..Flyposting
..Removal of graffiti
.Training
..Training exercises
Consumer affairs
.Advice
..Campaigns
.Enforcement
..Prosecution of offences
.Environmental health
..Animal control
..Repatriation of deceased persons
.Investigation, inspections and monitoring
..Inspections