MANAGING NAS
RECORDS
desk instructions
standards and documentation
File
Classification
Scheme:
Introduction
2
TABLE OF CONTENTS
1.0
GENERAL FEATURES ....................................................................... 3
2.0
PART A: THE FILE PLAN .................................................................. 4
3.0
PART B : CONTENT GUIDANCE ................................................. 16
4.0
PART C : DISPOSAL SCHEDULE ................................................ 17
5.0
UPDATING STANDARDS AND DOCUMENTATION................ 19
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1.0
GENERAL FEATURES
1.1
The 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.
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2.0
PART A: THE FILE PLAN
2.1
Policy
2.1.1 The file plan has been developed to comply with the NAS Records
Management Policy.
2.1.2 The NAS Records Management Policy required NAS to introduce an
appropriate registration, classification and indexing scheme for all records.
2.1.3 The new system is designed to: -
2.2

be clear and easy to understand

allow consistent application of rules

control the circulation of files and addition of files to the system
Goals
2.2.1 The file plan has the following goals:
2.3

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
Scope
2.3.1 The File plan provides a classification scheme for all administrative
records created in NAS, in accordance with the core functions and
activities of the organisation.
2.3.2 Additional functional activities can be added to the file plan as necessary.
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2.3
The file plan is a process driven subject classification system
2.3.1 Records 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.
2.4
Coding
2.4.1 File reference coding system is a hierarchical alphanumeric scheme which
is designed to offer the greatest flexibility.
FILE CODING
Level 1:
Level 2:
Level2.1:
NAS1
Major Theme
NAS1/A
NAS1/A1
Primary Theme
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
2.4.2 The purpose of the file reference is to provide a unique identifier for the file
within the system.
2.4.3 The alphanumeric system will allow the greatest flexibility in the addition of
functions and themes within the system.
2.4.4 The 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
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2.5
The File Plan is flexible
2.5.1 The 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.
2.5.2 Tertiary subjects can be added to existing parts of the file plan without
alteration to the core structure.
2.5.3 Additional major themes, primary and secondary subjects can be added to
the file plan without alteration to the core structure.
2.6
The File Plan is both compulsory and permissive.
2.6.1 All 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.
2.7
Records Disposition
2.7.1 The 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
2.8.1 Information about the records is required to promote consistency in
appraisal and to meet demands of freedom of information.
2.8.2 Each 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.
2.8.3 The “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.
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2.9
Subject Hierarchy
2.9.1 The file plan arranges file subjects in a logical, hierarchical manner, i.e.
from main high level concepts to specific information.
2.9.2 Each 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 THEME
Public and Advisory Services
Search Room Administration
Corporate Administration
Accommodation Services
.
2.9.3 These 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
THEME
Public and Advisory
Services
Search Room
Administration
Policy and
Procedures
2.9.4 Finally, 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:
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MAJOR
THEME
PRIMARY
THEME
SECONDARY
THEME
TERTIARY
THEME
ACTION
Record
Creators
Record
Creators
Private
Owners
Private
Owners
Duke of
Hamilton
Duke of
Hamilton
Correspondence Destroy
+2
Policy and
Preserve
Procedures
2.9.5 The 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 =
NAS4/G1/2
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Sheriff Court/ Policy and Procedures/
Transmission Procedures
Sheriff Court/ Policy and Procedures/
Selection Policy.
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2.10
Major Themes
2.10.1 The file plan includes the following main subject groups which reflect the
core functions of NAS
REFERENCE
MAJOR THEMES
NAS1
Private Office Papers
NAS2
Finance
NAS3
Corporate Administration
NAS4
Records Creators
NAS5
Projects
NAS6
Public and Advisory Services
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Informational records created by KRS and Deputies
Documents the financial support function of NAS
Documents the central support function to NAS
Documents the liaison between NAS and record creators
Documents NAS’ involvement in projects
Documents the interface between NAS and the public
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2.11
Primary Themes
2.11.1 All primary themes are grouped into one of the major themes and reflect
the main activities in each of our core functions.
2.11.2 The 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 SUBJECTS
A 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.
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2.12
Secondary Themes
2.12.1 The 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.
2.12.2 The primary classification letter is always followed by a secondary number
that represents the specific file subject.
Major theme
2.12.3 Example of secondary themes:
NAS2
Primary theme
FINANCE
NAS2/A
General
NAS2/A1
General: Policies and Procedures
Secondary theme
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2.13
Application of Secondary Themes
2.13.1 Five secondary themes have been identified for use in the file scheme and
are available to all primary themes.
SECONDARY CODES AND SECONDARY THEMES
1 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.
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2.13.2 The 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.
2.14
Tertiary Themes
2.14.1 Tertiary themes are available for use if required, but must follow on from a
secondary theme subject file.
For example:
Major Theme
Record Creators
Primary Theme
Sheriff Courts
Secondary Theme
Subject Files: Aberdeen Sheriff Court
Tertiary Theme
Policy and Procedures
Full title and Reference:
NAS4/G3/1.1
Record Creators: Sheriff Courts: Aberdeen Sheriff
Court: Policy and Procedures
2.14.2 As 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.
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TERTIARY CODES AND TERTIARY THEMES
1 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
2.15
Tertiary Subject Files
2.15.1 There 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
1
See NAS1/D for further explanation on the use of the Employees tertiary theme This additional tertiary
subject theme is not available anywhere else in the file plan.
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2.16
File Identifiers
2.16.1 File 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.
2.15.2 File identifiers are placed at the end of the complete subject classification
code after a backslash (“/”).
2.15.3 For example:
NAS4/G3/1.3/2002
2.17
Record Creators: Sheriff Courts: Aberdeen
Sheriff Court: Correspondence: 2002
File Parts
2.17.1 Files 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.
2.17.2 The addition of a new part to the file should be added with a part number
following the file code number
2.17.3 For example:
NAS7/G3/1.3/2002 part 2
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Record Creators: Sheriff Courts: Aberdeen
Sheriff Court: Correspondence: 2002 part
2
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3.0
3.1
PART B : CONTENT GUIDANCE
Policy
3.1.1 The File Classification Scheme content guidance has been developed to
comply with the NAS Records Management Policy
3.1.2 The 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’.
3.2
Goals
3.2.1 The 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
3.3.1 The content guidance applies to all paper based records.
3.3.2 The content guidance is based on the NAS file classification plan, it is the
bottom of fusion of NAS’ records into that plan.
3.4
Explanation of content guidance structure
3.4.1 The 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.
3.4.2 All record types within NAS have been identified and allocated an
appropriate file series in the plan.
3.4.3 The content guidance also indicates the security and access classification
of the record types and series, in line with the security and access
classification scheme.
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4.0
PART C : DISPOSAL SCHEDULE
4.1
Policy
4.1.1 The records retention and disposal schedule has been developed to
comply with the NAS Records Management Policy.
4.1.2 The 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
4.2
Goals
4.2.1 The 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.
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4.3
Explanation 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
V
I
U
NE




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Definition
Vital
Important
Useful
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 Definition
Action
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.
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5.0
UPDATING STANDARDS AND DOCUMENTATION
5.1
The Records Manager maintains, edits and revises the file plan in
consultation with NAS branches.
5.2
The file classification scheme is reviewed annually to ensure relevance.
Gillian Mapstone
Records Manager
April 2003
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