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desk instructions
TABLE OF CONTENTS
1.0GENERAL FEATURES
2.0 PART A: THE FILE PLAN......
3.0 PART B : CONTENT GUIDANCE
4.0 PART C : DISPOSAL SCHEDULE
5.0UPDATING STANDARDS AND DOCUMENTATION
1.0GENERAL FEATURES
1.1The file classification scheme comprises this introduction and three main parts:
Part A: The File Plan
The foundation stone of the file classification scheme is the file plan itself.The functions based file plan provides for the systematic framework within which the records themselves will be effectively managed. All records are created as the by products of the activities undertaken in pursuit of the fulfilment of NAS’ functions, each record providing evidence of the activity which generated it. It is logical therefore, that the records of a certain activity be filed together, so as to facilitate better management of that information.
The file plan, which forms the cornerstone of the file classification scheme sets out all the functions and activities which NAS has responsibility for, and arranges them in a logical system. It is this arrangement which set s out the structure of the filing system, predetermining the file series and reference codes.
Part B: Content Guidance
The second key part of the file classification scheme is the guidance for users of the system as to where in the filing structure a particular document is to be found or housed. The content guidance provides a mapping of all NAS record types, i.e. the types of documents created by NAS, into their appropriate section of the file plan. The aim of the content guidance is to enable users of the NAS filing system to locate and file information.
Part C: Disposal Schedule
The final feature of the File Classification scheme is the disposal schedule. For the large majority of NAS files the usefulness of the information they contain decreases over time, until eventually it is no longer required. However the rate of deterioration the information depends on the activity from which the record was generated. Records are required to be kept for varying lengths of time for business, legal, regulatory and fiscal reasons, and sometimes they need to be retained permanently. The disposal schedule attaches a disposal instruction to each series of records within the filing scheme, so as to ensure records are kept for as long as they are needed and no more, thus maximising space, resources and efficiency.
2.0 PART A: THE FILEPLAN
2.1Policy
2.1.1The file plan has been developed to comply with the NAS Records Management Policy.
2.1.2The NAS Records Management Policy required NAS to introduce an appropriate registration, classification and indexing scheme for all records.
2.1.3The new system is designed to: -
- be clear and easy to understand
- allow consistent application of rules
- control the circulation of files and addition of files to the system
2.2Goals
2.2.1The file plan has the following goals:
- to provide a systematic framework for the classification of all NAS records throughout the duration of their life cycle
- to assist staff in the orderly filing and retrieval of records
- to provide efficient access to reliable records
- to provide a clear and understandable filing system
- to facilitate transition to electronic records management
2.3Scope
2.3.1The File plan provides a classification scheme for all administrative records created in NAS, in accordance with the core functions and activities of the organisation.
2.3.2Additional functional activities can be added to the file plan as necessary.
2.3 The file plan is a process driven subject classification system
2.3.1Records created in the course of our business activities are classified by subject. Each major theme (e.g. Corporate Administration, Public Services, Record Creators) divides records into primary themes which relate to one of our core activities. These primary themes are further divided into secondary themes, and further divisions by tertiary themes or file identifiers are added if required.
2.4Coding
2.4.1File reference coding system is a hierarchical alphanumeric scheme which is designed to offer the greatest flexibility.
FILE CODINGLevel 1: / NAS1 / Major Theme
Level 2: / NAS1/A / Primary Theme
Level2.1: / NAS1/A1 / Secondary Theme
Level3: / NAS1/A1/1 / File Identifier
Level 3.1: / NAS1/A1/1.1 / Tertiary Theme
Level 4 / NAS1/A1/1.1
part1 / Part Number
2.4.2The purpose of the file reference is to provide a unique identifier for the file within the system.
2.4.3The alphanumeric system will allow the greatest flexibility in the addition of functions and themes within the system.
2.4.4The letters and numbers in the system have no literal connection to the particular function which they represent. This system affords greatest flexibility and avoids confusion:
- with the references used for archival collections
- as time passes and the original reasons for choosing particular letters are forgotten
2.5The File Plan is flexible
2.5.1The file plan reflects the functions and activities of NAS. It anticipates organisational change and does not restrict filing practice to the structure of the organisation. By reflecting function it will make unnecessary the duplication of files across branches dealing with the same subject.
2.5.2Tertiary subjects can be added to existing parts of the file plan without alteration to the core structure.
2.5.3Additional major themes, primary and secondary subjects can be added to the file plan without alteration to the core structure.
2.6The File Plan is both compulsory and permissive.
2.6.1All corporate information must be placed on a registered file within the structure of this file plan. However, the file plan itself is designed to be as flexible as possible. Each major theme consists of a number of primary subject themes, and within the subject themes, five secondary themes are available for use. Although the file plan structure sets out each available theme it is not compulsory to use all of them. Individual elements of the file plan should be selected for use as and when they are required.
2.7Records Disposition
2.7.1The disposal schedule (part C) has been developed to comply with the NAS Records Management Policy, which the retention of records for as long as they are needed through the use of predetermined disposal instructions. The disposal schedule is based on the NAS file plan.
2.8 The Zero File
2.8.1Information about the records is required to promote consistency in appraisal and to meet demands of freedom of information.
2.8.2Each major theme has one file specifically assigned to contain this information. This file is the “zero file” as it is assigned the figure zero in the file reference system.
2.8.3The “Zero File” will record information about the records in the series including: subject matter, creators, users, disposal, retention and access. The zero file will be created and retained by the Records Management team.
2.9Subject Hierarchy
2.9.1The file plan arranges file subjects in a logical, hierarchical manner, i.e. from main high level concepts to specific information.
2.9.2Each main subject theme is comprised of a number of primary themes i.e. the main areas of business within each major functional group, for example:
MAJOR THEME / PRIMARY THEMEPublic and Advisory Services / Search Room Administration
Corporate Administration / Accommodation Services
.
2.9.3These in turn are divided into secondary themes that reflect the type of record which should be placed on the file:
MAJOR THEME / PRIMARY THEME / SECONDARY THEMEPublic and Advisory Services / Search Room Administration / Policy and Procedures
2.9.4Finally, if it is appropriate, a tertiary themes level is available to subject files only, each Primary theme has the option of the secondary theme of subject specific files, i.e. files which are arranged together because they reflect our dealings in one specific area or with one specific group. Within the subject file, there may be a need to further separate functions in order to facilitate efficient management and disposal of records, therefore a tertiary level of classification is introduced, for example:
MAJOR THEME / PRIMARY THEME / SECONDARY THEME / TERTIARY THEME / ACTIONRecord Creators / Private Owners / Duke of Hamilton / Correspondence / Destroy +2
Record Creators / Private Owners / Duke of Hamilton / Policy and Procedures / Preserve
2.9.5The final element of the file reference is either a number or a date/ date range and is often the only totally unique element of the reference, distinguishing the specific file. Many files will have the same reference stem, e.g.
NAS4/G1 =Record Creators/ Sheriff Court/ Policy and Procedures
But no file will have the same final element, e.g.
NAS4/G1/1 =Sheriff Court/ Policy and Procedures/ Transmission Procedures
NAS4/G1/2 =Sheriff Court/ Policy and Procedures/
Selection Policy.
2.10 Major Themes
2.10.1The file plan includes the following main subject groups which reflect the core functions of NAS
REFERENCE /MAJOR THEMES
NAS1 / Private Office PapersInformational records created by KRS and Deputies
NAS2 / Finance
Documents the financial support function of NAS
NAS3 / Corporate Administration
Documents the central support function to NAS
NAS4 / Records Creators
Documents the liaison between NAS and record creators
NAS5 / Projects
Documents NAS’ involvement in projects
NAS6 / Public and Advisory Services
Documents the interface between NAS and the public
2.11Primary Themes
2.11.1All primary themes are grouped into one of the major themes and reflect the main activities in each of our core functions.
2.11.2The file plan provides a definition of all primary themes, explaining the types or records to be filed under each primary heading.
2.11.3 Example of primary themes:
NAS3 CORPORATE ADMINISTRATION
PRIMARY CODES AND PRIMARY SUBJECTSA / General
B / Corporate Management
C / Central Services
D / Human Resources
E / Information Services
F / Preservation Services
G / Accommodation Services
2.11.4 Each major theme has a “General” primary theme attached to it to deal with the general administrative issues arising from the major theme.
2.12Secondary Themes
2.12.1The major theme and primary theme constitute only the first element of the file classification; in order to classify a file more specifically a secondary theme is always added.
2.12.2The primary classification letter is always followed by a secondary number that represents the specific file subject.
2.12.3Example of secondary themes:
NAS2 / FINANCENAS2/A / General
NAS2/A1 / General: Policies and Procedures
2.13Application of Secondary Themes
2.13.1Five secondary themes have been identified for use in the file scheme and are available to all primary themes.
SECONDARY CODES AND SECONDARY THEMES1 / Policy and Procedures
To include records associated with the specific primary theme that relate to policy and procedures
2 / Administration
To include records associated with a specific primary theme that are of a general administrative nature, i.e. records that are created in the course of the operation of our duties that do not affect policy.
3 / Subject Files
To include records associated with the specific primary theme that relate to a particular subject, event, body, project, person or product and are arranged according to the particular subject.
4 / Committees
To include records associated with the specific primary theme that are generated or received by committees, working parties etc.
5 / Reports and Statistics
To include records associated with a specific primary theme that consist of reports and statistics.
2.13.2The secondary subjects need not be used if they are not necessary, but they will always be available, and should always have the same reference number. Each file reference must include a secondary theme element, but files should only be opened if they are needed. For example: a major theme might produce records which should go on a “policy and procedures” file, but nothing relevant to a “committees” file. Therefore a “committees” file would not be opened.
2.14Tertiary Themes
2.14.1Tertiary themes are available for use if required, but must follow on from a secondary theme subject file.
For example:
Major Theme / Record CreatorsPrimary Theme / Sheriff Courts
Secondary Theme / Subject Files: Aberdeen Sheriff Court
Tertiary Theme / Policy and Procedures
Full title and Reference:
NAS4/G3/1.1Record Creators: Sheriff Courts: Aberdeen Sheriff Court: Policy and Procedures
2.14.2As with secondary themes, the tertiary themes will not always be required, however to make the filing system as adaptable as possible the tertiary number will remain consistent even when not used. For example a policy file might not be required, but the administration file will not then take on the tertiary code ‘1’ as this is reserved in case that a policy fie is required at some time in the future.
TERTIARY CODES AND TERTIARY THEMES1 / Policy and Procedures
To include records associated with the specific secondary subject that relate to policy and procedure.
2 / Administration
To include records associated with a specific secondary subject that are of a general administrative nature.
3 / Correspondence
To include communications, not affecting policy, which are generated or received in the course of the administration of duties
4 / Committees
To include records associated with the specific secondary subject that are generated or received by committees
5 / Reports and Statistics
To include records associated with the specific secondary subject that consist of reports and statistics
2.15Tertiary Subject Files
2.15.1There is one additional tertiary theme which is available in only one area of the file plan. In the primary theme “Human Resources” there is a secondary subject theme called “staffing”, which in turn has the standard tertiary themes available to it. In addition to the standard tertiary themes, an additional tertiary theme, “Employees”, is available. This file series is available to all line managers and will be arranged according to the individual members of staff who form the subject of the file.[1]
2.16File Identifiers
2.16.1File identifiers are consecutive numbers, or time periods, allotted at secondary or tertiary level to distinguish a specific file and to facilitate the classification, filing and retrieval of records.
2.15.2File identifiers are placed at the end of the complete subject classification code after a backslash (“/”).
2.15.3For example:
NAS4/G3/1.3/2002 / Record Creators: Sheriff Courts: Aberdeen Sheriff Court: Correspondence: 20022.17File Parts
2.17.1Files should be closed in accordance with the rules for file closure, however the subject on the file may continue. In such instances a subsequent part to the file should be opened to reflect the continuing activity.
2.17.2The addition of a new part to the file should be added with a part number following the file code number
2.17.3For example:
NAS7/G3/1.3/2002 part 2 / Record Creators: Sheriff Courts: Aberdeen Sheriff Court: Correspondence: 2002 part 23.0 PART B : CONTENT GUIDANCE
3.1Policy
3.1.1The File Classification Scheme content guidance has been developed to comply with the NAS Records Management Policy
3.1.2The NAS Records Management Policy requires the implementation of business processes and records management systems which ‘manage the content, context and structure of records securely and reliably’.
3.2Goals
3.2.1The content guidance has the following goals:
- to manage the content, context and structure of records securely and reliably
- to capture evidence of all activities as required
- protect records from inappropriate access and usage
- to provide instruction to users to help efficient management of NAS information.
3.3 Scope
3.3.1The content guidance applies to all paper based records.
3.3.2The content guidance is based on the NAS file classification plan, it is the bottom of fusion of NAS’ records into that plan.
3.4Explanation of content guidance structure
3.4.1The content guidance provides a summary of all series of the NAS file plan, and indicates the type of records to be filed in that area.
3.4.2All record types within NAS have been identified and allocated an appropriate file series in the plan.
3.4.3The content guidance also indicates the security and access classification of the record types and series, in line with the security and access classification scheme.
4.0 PART C : DISPOSAL SCHEDULE
4.1Policy
4.1.1The records retention and disposal schedule has been developed to comply with the NAS Records Management Policy.
4.1.2The NAS Records Management Policy requires NAS to retain records for as long as they are needed through the use of predetermined retention and disposal instructions
4.2Goals
4.2.1The disposal schedule has the following goals:
- to provide a systematic framework for the retention and disposition of NAS records
- to facilitate the destruction of records which are no longer useful to NAS
- to ensure that records that may be required by NAS for operational or legal purposes are retained for the appropriate period of time
- to identify and preserve records which may be of historical importance
- to support the vital records protection program
- to minimise retention costs and improve operational efficiency.
4.3Explanation of Schedule Terms
4.3.1 The disposal schedule provides disposal instructions for all NAS record series.
4.3.2 For each record series the following information is provided
- Reference: the unique identifier of the file series (either primary: secondary or tertiary). For example: NAS4/B1 UK Government Departments: Policy and Procedures
- Status: indication of the status of the file series as set out in the vital records program.
Status Code / Definition
V / Vital
I / Important
U / Useful
NE / Non Essential
- Description: description of the file series. For example: UK Government Departments: Policy and Procedures
- Disposal action: the predetermined disposal action to be applied to the series, as set out in arrangements for review and disposal.
Disposal Action / Definition
P / Preserve
CR / Closure Review
D + x / Destroy x years after closure
- Qualification: For the file series identified for closure review, further information is provided to help the reviewer determine disposal arrangements. The qualification will give an indication of the value of the record series over time, for example: Keep until superseded. It cannot be predetermined when indeed the file will be superseded therefore the series is subject to closure review, at which point the reviewer can make a decision based on the need to keep the information until it has been superseded.
- Reason: The final piece of information explains the reason for the disposal action, this can be either a legal, fiscal, business or historical reason, or a best practice decision.
5.0UPDATING STANDARDS AND DOCUMENTATION