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Title & Version Records Management Manual v.7.2 Author c507148 Organisation DoI 1 Service Delivery Group, DoI 1(9) Records
Management Branch Summary/Purpose A Manual giving guidance on the management of physical records
containing unstructured information, including the use of Registered Files, local filing and the lifecycle of records
Review Date October 2012
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RECORDS MANAGEMENT MANUAL
Version 7.0
3 June 2011
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Table of Contents
Section 1 INTRODUCTION
Section 2 REGULATORY FRAMEWORK
Section 3 RECORDS MANAGEMENT
3.1 General principles
3.2 Primary record
3.3 Indexing and linking records
3.4 Ownership of records
3.5 Security of records
3.6 Integrity and management of records
3.7 Storage
3.8 Rights of access to records
3.9 Sharing Information contained in records
3.10 Disposal of records
Section 4 REGISTERED FILES
4.1 Registered Files (Corporate Records)
4.2 Services provided by Records Management Branch
4.3 Guidance on the handling of registered files in major enquiries
4.4 Best Practice Section 5 LOCAL RECORDS Section 6 DISPOSAL OF RECORDS Section 7 SECURITY OF RECORDED INFORMATION Appendix A Major Enquiry Documentation Form Appendix B Metadata Standards
Appendix C Review, Retention and Disposal – Process Definition Appendix D Glossary
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Section 1 INTRODUCTION
1.1 Purpose of the Manual 1.1.1 This manual provides guidance to the Metropolitan Police Service (MPS) on the management of its records and follows the principles outlined in ISO15489 and the Lord Chancellor’s Code of Practice on the Management of Records under Section 46 of the Freedom of Information Act 2000. It replaces previous versions of the Records Management Manual.
1.1.2 The most valuable assets of an organisation are its people and its information. Without either of these the organisation cannot perform its core business effectively. This is particularly true of a police service. Twenty-four hours a day, every day, information is generated, received or used for a wide variety of purposes. Whilst much of this information will be transitory, a proportion will become formal records. As ‘records’ they will provide evidence of the activities of the organisation ranging from common functions, such as the purchase of stores, personnel, pay and pension records, to crime case papers. To ensure that records are available as and when required for the purpose for which they were created they must be managed properly.
1.2 Definitions 1.2.1 A record is defined as recorded information, in any media or format, which is created or received in the course of an individual’s or organisation’s activity that provides reliable evidence of policy, actions and decisions (The National Archives Records Management Guide – What is Records Management?). Records management is the function of creating, organising and managing records to ensure they provide evidence of activity, decision-making and policy, that they are easily retrievable when required and are disposed of either by destruction or transfer to an archive at the appropriate time.
1.2.2 The Records Management Branch (RMB) comprises a number of sections, including the Registry, for the creation and maintenance of registered files using the Records Management System database (RMS), and the storage and review section, which maintains the MPS record repository and deep storage facility contract and which preserves or destroys registered files as part of an ongoing review programme.
1.2.3 Whilst most of the records managed by the MPS are in hard copy, such as paper-based files, books and forms, the guidance in this Manual is equally relevant to all types of media in which records are kept.
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Section 2
REGULATORY FRAMEWORK
2.1 The legislation 2.1.1 In common with records and information management throughout the public sector, the MPS is subject to a number of statutory regulations and controls. These derive principally from Acts of Parliament and associated Codes of Practice or powers vested in regulatory organisations such as the Office of the Information Commissioner. 2.1.2 These regulations and controls can be summarised as follows:
Public Records Acts of 1958 and 1967
These Acts govern the way that records are managed in central government. They also apply to MPS records created before 1 April 2000. It places a statutory duty on organisations whose records are covered by the Act to maintain records about their business activities. It also requires effective review and disposal policies to be applied to non-current records and for the transfer of relevant records to the National Archives for permanent preservation.
The Acts also give The National Archives a supervisory role in the management of government records. Organisations covered by the Act are subject to periodic inspections by The National Archives.
Data Protection Act 1998
This Act concerns the management of personal data in both IT based and manual filing systems. It provides rights of subject access and privacy safeguards. Further information can be obtained from METSEC - MPS Security Code
Freedom of Information Act 2000 (FOIA)
This Act provides the public with a right of access to records and information held by public authorities. Some types of information are exempt such as those dealing with national security or personal information. A Code of Practice about the management of records and information accompanies the Act. The requirements of the Act are embodied into the advice contained in this manual.
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Information Commissioner
The Information Commissioner is an office created under the Freedom of Information Act 2000. The Commissioner has the following roles:
Promote observance of the statutory Code of Practice that accompanies the Act;
Enforce the Code of Practice and issue recommendations for improvements or enforcement notices where appropriate;
Investigate alleged breaches of the Act and enforce disclosure where necessary.
Code of Practice on the Management of Police Information (MoPI) The code was developed by the Home Office under the Police Act 1996 and 1997 following recommendations made by the Bichard Inquiry which looked at information availability failures leading to the Soham murders in July 2005. The purpose of the Code is to ensure that there is broad consistency between police forces in the way information is managed within the law, to ensure effective use of available information within and between individual police forces and other agencies, and to provide fair treatment to members of the public. The Code of Practice describes policing purposes relating to information management at a high level and sets out the principles governing the management of information (including personal information).
Guidance on the Management of Police Information (MoPI) This guidance describes the processes that support the principles set out in the Code of Practice on the Management of Police Information. It sets out a national framework based on the principle that effective policing is dependent on efficient information management, thereby meeting key recommendations of the Bichard Inquiry. The Guidance states that police information is information required for policing purposes. Policing purposes are:
Protecting life and property Preserving order Preventing the commission of offences Bringing offenders to justice Any duty or responsibility arising from common or statute
law
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These five policing purposes provide the legal basis for collecting, recording, evaluating, sharing and retaining police information.
National Intelligence Model (NIM) NIM is an information-based deployment system and cornerstone for the management of law enforcement operations in England and Wales. NIM identifies patterns of crime and is dependent on a clear framework of analysis of information and intelligence allowing a problem solving approach to law enforcement and crime prevention techniques. NIM also promotes a cooperative approach to policing with other agencies and bodies. The expected outcomes are improved community safety, reduced crime and the control of criminality and disorder leading to greater public reassurance and confidence.
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Section 3
RECORDS MANAGEMENT
3.1 General Principles
3.1.1 MPS records fall into two broad categories:
Records containing police information for policing purposes which are: Protecting life and property, preserving order, preventing the commission of offences, bringing offenders to justice and any duty or responsibility arising from common or statute law
Records containing other information such as staff personal files, contract, finance, policy files and other support functions.
3.1.2 Information is collected in a number of ways such as routine collection, tasked information and volunteered information (as set out in the Guidance on the Management of Police Information Sec. 3).
3.1.3 Records may either be in the form of structured records, such as those held in corporate systems (e.g. CRIS, CRIMINT etc.) or other databases, or they may be unstructured. Examples of unstructured records include:
Paper – e.g. reports, statements, books and forms;
Electronic/digital – e.g. e-mails, word processed documents;;
Audio and video tapes - including interviews under caution and CCTV recordings;
Photographs;
Documented evidential material;
Maps; and
Models. The same principles should apply equally to both structured and unstructured records and all corporate systems should incorporate a module approved by Records Management Branch that complies with the minimum standards for effective records management.
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3.2 Primary record
3.2.1 Unstructured records currently held on office systems such as AWARE/Foundation cannot yet be regarded as the master record as there is no effective method of managing them though their lifecycle. If the records are required for future reference or meet the criteria for registration, they must be printed to hard copy and placed on the relevant registered file, correspondence cover or other record assembly. This includes e-mails, which are records of the MPS in the same way as letters and memoranda etc.
3.3 Indexing and Linking of records 3.3.1 Records must be indexed in such a way as to facilitate the linking and searching of information across the various business areas to be found in the police service ensuring compliance with The Guidance on the Management of Police Information. Guidelines to the basic metadata requirements for nominal records can be found at Appendix B.
3.4 Ownership of records
3.4.1 With the exception of any necessary security considerations concerning access, information contained in MPS records should be freely available to those who need it for their work. As such it is corporate property of the MPS; neither the physical record nor the intellectual information contained in MPS records belongs to any group, team or individual. The ownership of MPS records cannot be transferred to any other person or organisation without the prior approval of Records Management Branch.
3.5 Security of records 3.5.1 The Government's protective marking system - as described in `METSEC' - MPS Security Code - applies to all MPS records and information and must be complied with at all times. All personnel have a responsibility to ensure that records are marked and handled in accordance with these procedures and to protect them from unauthorised disclosure. The protection afforded to individual records must be reviewed periodically to ensure it remains commensurate with the implications of the information being compromised. Advice on protection of records and other assets can be found in the METSEC Code.
3.6 Integrity and management of records
3.6.1 All records must be managed throughout their lifecycle (i.e. creation, use, storage, review and disposal) in such a way as to ensure they remain reliable and authentic and provide an adequate audit trail of events. It is the
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responsibility of any person who creates, amends or handles a record to do so in such a way as to ensure this requirement is met at all times. This includes the assignment of the appropriate protective marking.
3.6.2 Where there is a need for a degree of consistency in the gathering and management of information arising from activities undertaken across the MPS (e.g. recording allegations of crime) a lead branch or other appointed person (known as the 'information owner') will specify the criteria that governs the management of particular types of information (i.e. criteria for the creation, format, content, retention and disposal of the record). The information owner will also take responsibility for corporate decisions relating to the use of the information and disclosure to external agencies. 3.6.3 The role of information owners described above does not remove the requirement from any person creating or amending any record to ensure the integrity of the information it contains nor for the correct handling, storage or disposal of the record.
3.6.4 It is essential that records created in a medium that may be subject to obsolescence during the period for which the records need to be retained (e.g. computer applications) are migrated or up-graded to an appropriate sustainable medium before obsolescence occurs and that the migration is documented adequately.
3.7 Storage 3.7.1 Records must be stored in conditions to ensure their safekeeping and accessibility for as long as they are required. Storage conditions must meet adequate standards for security, protection against fire, flooding and other hazards and provide an appropriate environment relevant to the medium on which the records are held. Rooms used to store records must be maintained in a condition to ensure the health and safety of staff depositing and retrieving records (e.g. adequate lighting and means of access).
3.7.2 Security of records must comply with the Protective Marking System as described in the `METSEC' MPS Security Code. 3.7.3 When not in use, registered files should be returned to Records Management Branch for storage in the MPS repository. 3.7.4 More detailed guidance for the storage, access and disposal of records can be found in the Lord Chancellor’s Code of Practice on the management of records issued under section 46 of the Freedom of Information Act 2000
3.8 Rights of access to information contained in records 3.8.1 Current legislation provides the public with a statutory right of access to information held by public authorities, including the MPS. Additionally, other
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organisations have a right of access to MPS information (e.g. Criminal Cases Review Commission) and information may be disclosed in both criminal and civil litigation. These rights cover information held in all formats, including electronically. It is essential that the management of MPS records is sufficiently robust to comply with both the letter and spirit of the access requirements in terms of both timeliness and integrity of the record content. 3.9 Sharing information 3.9.1 There are circumstances when information held in records needs to be shared with other police forces, partner agencies and the public. Before sharing information contained in records, reference must be made to the Information Sharing SOP and Toolkit. Advice can also be sought from the Information Sharing Support Unit.
3.10 Disposal of records 3.10.1 Records should be retained only for the minimum period required commensurate with policing purpose, administrative purposes and any relevant legal provisions. There are no circumstances where records may be retained on an indefinite basis. 3.10.2 Retention periods for administrative records will normally be set by the relevant portfolio holder or lead branch after consultation with Records Management Branch, which retains a database of retention/disposal periods. The setting of sensible retention periods may involve accepting a degree of risk about the effect of destruction at a particular time. 3.10.3 Records that support the policing purpose as set out in the Guidance on the Management of Police Information should be reviewed, retained and disposed of in accordance with the guidelines set out in Sec.7 of that document or any corporate MPS Retention and Disposal Schedule that may be published. 3.10.4 Registered files are reviewed and, where appropriate, destroyed by Records Management Branch. The responsibility for the disposal of non-registered records rests with local management. 3.10.5 Records over 20 years of age for which the MPS has no further policing or administrative use and which appear suitable for permanent preservation may be transferred to The National Archives or other suitable place of deposit. All other records should be destroyed.
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Section 4 REGISTERED FILES
4.1 Purpose and use of Registered Files 4.1.1 The Registered file system provides service-wide access to records and information that have the potential to be of value to others in the MPS, beyond the BOCU or unit that raised them. Details of registered files are entered into the Records Management System (RMS). This includes file location and storage details (when the file is not in use).
4.1.2 Registered files are created by Records Management Branch where the content and names of the principal people and organisations appearing on the file are indexed in the RMS. Registered files are given individual reference numbers. A record is also kept of the current location of each file (or Part/Box relating to that file). Some units within the MPS now have access to the creation facility of the RMS allowing them to register case papers locally.
4.1.3 Access to information about individual registered files can be obtained from the Records Management System. All BOCUs, CPTs and many HQ units have staff trained in the use of the RMS. Others (i.e. units that do not have staff on the RMS) may contact Records Management Branch for searches of the RMS.
4.1.4 The purpose of registered files is to keep together documents and other appropriate records dealing with a particular aspect of MPS work (e.g. cases, projects, developments, etc.) to ensure that the information contained in the file can be made available to those who need it to:
Learn from the experience and knowledge gained;
Access information that is likely to be of benefit in the future;
Account for decisions, expenditure etc;
Obtain an accurate account of actions and justification for them;
Maintain a corporate memory and historical archive.
Maintain important case files that can be reviewed and risk assessed.
4.1.5 The registered file system enables users to obtain information about a wide range of MPS business. It provides a corporate index of what is contained in registered files and also gives users access to file content, subject to any security restrictions attached.
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4.1.6 Consistent indexing standards are used and the files are stored in secure accommodation when not in use. They are also subject to a systematic review and disposal programme that complies with all statutory and regulatory requirements.
4.1.7 Use of the Registered File system ensures that important files are stored securely, avoiding duplication of effort, improving decision-making, saving money and space, and providing the basis for linking information about registered files across the business groups in accordance with the Guidance on the Management of Police Information.
Criteria for Registration
4.1.8 The criteria for registration are:
Serious crime cases ( as set out in the Crime File registration SOP)
Significant operational matters
Significant matters of an organisational-wide nature
Major projects
Strategic plans
Development of corporate policy
Major change programmes
Major expenditure
Issues where there is a significant risk to the MPS
A more detailed list of crime types that should be registered are contained in the Spreadsheet of Offences that accompanies the Crime File Registration SOP.
Opening a new registered file
4.1.9 Crime case papers that meet the criteria set out in the Crime File registration SOP are normally registered at the completion of the case and are submitted to Records Management Branch with a completed Form 913. This form is available on the Forms section of the Intranet.
4.1.10 Child Protection Teams should use Form 87X to request file in the GN 88 series
4.1.11 Other requests for registered files should be made using Form 911. This is available on the Forms section of the Intranet. The form should be posted to Records Management Branch, 20th floor Empress State
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Building, faxed (Sec 40 Personal Information), or e-mailed it to 'Registry Mailbox'
4.1.12 Existing registered files can be located by carrying out a search on the Records Management System (RMS). The search can be made on the basis of the file number (if known), the name of a person or organisation or the general subject matter. If a relevant file is identified the RMS will show its last known location. If it is available at the Repository it can be ordered on-line and will normally be delivered within 2-4 working days.
4.1.13 All BOCUs, CPTs and many HQ units have staff trained in the use of the system. Records Management Branch will only carry out searches for units that do not have staff trained in RMS use.
4.1.14 Alterations to file titles may only be carried out by Records Management Branch. The file and details of the request should be sent to Records Management Branch, 20th floor Empress State Building. Any additional information to be indexed should be included with the request.
4.1.15 The classification system used for Registered files is made up as follows:
Class - 2 alpha characters
Classification - up to 3 digits
Year - 2 digits
Sequence within year
This classification system allows for the subject matter and the year of creation of the file to be determined from the reference number. In the case of crime case papers with multiple offences, the classification will reflect the most serious offence.
Registered file - size of covers
4.1.16 Three types of file cover are available:
Single - for containing papers expected to be of no more than 3 cm in thickness;
Double - for up to 5 cm in thickness;
Bulk - for up to 10 cm in thickness.
4.1.17 Bulk file covers are issued only when requested. Covers for CR201 files (murder cases) are issued with bulk size covers as a matter of course.
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4.1.18 When a file reaches the maximum thickness it was created to hold, a new part must be requested from Records Management Branch (see below). Files returned to Records Management Branch to be `put away' that exceed the capacity of their cover will be returned for remedial action.
Registered files – new parts
4.1.19 For ease of reference and handling, when a Registered file has reached its maximum capacity, a new part must be requested. The existing file must be sent to Records Management Branch requesting closure of the file or part and opening of a new part. New parts cannot be opened until Records Management Branch has closed the previous part - to do so will contravene the Freedom of Information Act Code of Practice on records management. Work should not be allowed to accumulate so that several parts are required at the same time.
4.1.20 The closed part is still available for reference and can travel with the new file where necessary.
Registered file - life
4.1.21 In general, no further business should be carried out on a registered file once the file becomes ten years old. A new file should be opened and the original file closed.
4.1.22 No papers or minutes should be added to a closed file without authority of Records Management Branch. All action must take place on the new file. The closed file is still available for reference and can travel with the new file when necessary.
Minutes and minute sheets
4.1.23 Minute sheets are an important part of any file. It is where important decisions are often recorded and where attachments are listed. It should be possible for the reader of the file to extract important information about, decisions made and results achieved, simply by reading through the minutes. This can save considerable time and effort.
4.1.24 In addition, minutes can be used to refer the file to another person, BOCU or branch, for example, to seek advice, suggest a course of action or give instructions. The following general rules should be applied:
Enter the file number and minute sheet number at the top of every minute sheet in the space provided.
Number each minute consecutively and write the number in the centre of the page where it is clearly visible.
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Write each minute across the page leaving a 2.5cm margin on either side.
All enclosures on a file, such as letters, reports, plans, lists, minutes of meetings must be placed on the right hand side of the file. These must be noted on the minute sheet. They must be numbered with the corresponding minute number and distinguishing letter. For example, 1A, 3B and so on.
Lengthy minutes should be avoided. Ideally they should be no more than half a page. If something longer is required it should be written up as a report and referred to with a simple minute.
4.1.25 Minutes addressed to another person or BOCU etc. must be numbered and commence with the addressee underlined. Avoid using only forenames. For example:
Director of Information; or BOCU Commander, Havering; or Marion Wright, DoI 3
4.1.26 All minutes must be concluded with the date written and the writer's signature, name, branch / BOCU / unit and telephone number.
Multiple addressees
4.1.27 Where a minute requires the attention of more than one addressee the following should be considered.
For up to three addressees: address the minute to pass along a line of addressees. For example:
Director of Information (thro' BOCU Commander, Havering & Marion Wright, DoI 3)
This is useful where only the final addressee is required to provide a substantive response with the others seeing the papers for information and to add comment. However, the papers will take time to move along the line.
For more than three addressees or where the matter is urgent, copy the relevant section of the file to everyone simultaneously on unregistered covers (Form 7005). Note the files as to who copies have been sent and place responses on the main file as they are received. Action can then continue on the main file.
Unregistered cover (Form 7005)
4.1.27 Unregistered covers must only to be used where the cover will eventually be attached to a registered file.
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They may be used, for example, for the transit or circulation of records which:
Require urgent action whilst the Registered file is being created;
Will require attachment to an existing Registered file;
Where extracts are being circulated simultaneously to a number of recipients.
Correspondence covers (Form 7079)
4.1.29 In general, Correspondence Covers should be used for records that are not appropriate for Registration. These covers are suitable for any local filing and circulation purposes. It is advisable for a review/destruction date to be entered on this type of file at the time it is created so that it can be destroyed as soon as possible after action is complete.
4.1.30 If a matter being dealt with on a correspondence Cover subsequently becomes appropriate to convert to a Registered file, the cover and contents should be sent to Records Management Branch.
Physical condition of registered files
4.1.31 When a file cover becomes torn or otherwise damaged it must be sent to Records Management Branch for re-covering.
Missing files
4.1.32 If a file is reported in the Records Management Branch location index as being with a particular BOCU, branch or unit, it is the responsibility of that BOCU, branch or unit to take all reasonable steps to find it.
4.1.33 Local index registers are not always a reliable guide to a file's movements and physical searches must be made in all likely and unlikely places to locate the file. A substitute file is never a satisfactory solution to the loss of original records.
4.1.34 Where a Registered file is missing and all reasonable steps have been taken to find it; a duplicate cover (known as an `A' docket) may be opened. Requests for `A' dockets must be addressed to Records Management Branch with details of the circumstances of the loss of the original file and the steps taken to find it.
Records Management Branch does not keep a copy of the contents of files: it is the responsibility of the originating unit to recreate the original contents as far as possible.
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Movement of files
4.1.35 When a registered file is sent from one branch or BOCU to another (not back to Records Management Branch to be `put away'), Records Management Branch must be informed of the new location. This can be done by completion of Form 7040 or e-mail to Registry Mailbox. The information required is:
Branch/BOCU sending file;
File number;
The file's destination;
Date sent.
4.1.36 Failure to notify Records Management Branch of the change to the location of a file means the forwarding branch/BOCU remains responsible for it and will have to track it down if it cannot be found when required.
Retention of files 4.1.37 Registered files should only be kept by users while they are in action. If they are not likely to be required for three months or more they should `put away' with Records Management Branch (see below).
4.1.38 If it is known that a Registered file will be required again at a later date, a ‘bring forward’ can be requested when the file is `put away'. Details of this service are given in Records Management Branch Services (section 4.2).
Returning a registered file to be `put away' 4.1.39 Where action on a Registered file has been completed, or has been for the time being, the file should be `put away'.
4.1.40 Completed files should be sent to the Record Repository, Peel Centre, Hendon, for storage. Where the file contains a large number of Parts or Boxes (more than about 20), prior arrangements should be made with the Repository Manager on Ext. (Sec 40 Personal Information)
Sending registered files outside the MPS
4.1.41 Registered files MUST NOT be sent outside the MPS (including the Crown Prosecution Service) without the prior approval of Records Management Branch. 4.1.42 Information contained in registered files may be shared with other police forces, partner agencies and the public if appropriate, meeting legislative requirements, and complying with the Information Sharing SOP and Toolkit.
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Crime cases that should be placed on Registered Files
4.1.43 All crime cases listed in the Crime File registration SOP and Spreadsheet of Offences. All cases where the identity of any person concerned or the venue are of special significance or where undue publicity is likely to arise or cases considered to be serious or contentious.
4.2 Services provided by Records Management Branch 4.2.1 The principle services provided by Records Management Branch (RMB) are:
Creating new Registered Files and entering details onto the Records Management System (RMS)
Maintaining and updating the RMS
Searching the RMS on behalf of HQ units that do not have staff trained to do this
Safekeeping (storage) of Registered Files and other records when not in use
Issue of Registered Files and other records from the Repository
Review and disposal of Registered Files
Transfer of records of historical value to The National Archives
Provision of advice and information about records management, including record retention periods
Management of the outsourced record storage services contract.
Records Management System
4.2.2 The Records Management System (RMS) contains over one million names of individuals and organisations mentioned on registered files that are indexed in the Registry Index. To assist identification these are supplemented by dates of birth, CRO numbers etc. Each name is indexed to one or more sets of registered papers.
4.2.3 Searches of the RMS should be made by local staff who have been trained in its use. Records Management Branch is only able to carry out searches for units that do not have any trained staff. Searches should be requested on extension (Sec 40 Personal Information).
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Location of Registered files
4.2.4 The RMS provides information about the location and availability of Registered Files. Files held at the Repository can be ordered on-line and are normally delivered within 2-4 working days of the request being made.
Bring forward service 4.2.5 Records Management Branch can bring forward on any future date files that do not need to be retained locally in the meantime. To request a Bring Forward:
Minute the file with details of when and where it should be brought forward;
Use red ink to note the grid on the front of the file with the branch/BOCU that it is to go to and the date it is required; and
Send the file to The Record Repository to be Put Away.
4.2.6. Files will be sent out automatically without the need to request them. If required before that date they can be requested in the normal way.
4.2.7 This service cannot be used for periods of less than six weeks, in which case files should be retained locally.
4.3 Guidance on the handling of registered files in major enquiries
Introduction
4.3.1 The following section explains how the papers relating to major incidents should be compiled before the Registered File is returned to Records Management Branch to be put away.
4.3.2 Further information can be obtained from extension (Sec 40 Personal Information).
The Working File
4.3.3 Records Management Branch will issue a numbered registered file on receipt of Form 911. The file should be used to contain the following, as appropriate.
Reports
Master index of documents on subsequent file parts and in boxes
Forms 56A
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Exhibit books
Prisoners' Property Voucher
CPS memoranda
Administration paperwork
Original statements
Typed statements
Interview notes
Documentary exhibits
4.3.4 Files should not exceed 10 cm in thickness. Where documents cannot conveniently be attached to the working file, Records Management Branch should be contacted to open further parts. 4.3.5 All items must be fully minuted onto the file (or part if more than one part is used) so they can be easily identified at a later date. 4.3.6 Files that are overfilled cannot be stored securely and will be returned to the originating unit for remedial action.
Other Documents
4.3.7 Documents which are unsuitable for attachment to the Registered file should be sorted into bundles, tagged together and placed in A4 size boxes, which are available from the Stationery Catalogue (reference 040 0357). This will include, for example:
o Card indexes
o House to house enquiry forms
o Message books 4.3.8 The spines of these boxes must show the registered file number and the number of the box in the sequence. The contents must also be indicated on the box. 4.3.9 A schedule of the box numbers and the description of the contents must be included in the working file. All boxes must be treated as part of the registered file and should not normally be separated.
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4.3.10 As an additional measure, a Major Enquiry Documentation Form must be included in each box with a copy placed on the working file. An example of the form is at Appendix A.
Seized Documents and Other Exhibits
4.3.11 Documentary exhibits should be sent to the Criminal Exhibits Service on a Crime Related Property Voucher (CRPV - Form 613). This type of material may include audio and video recordings, CD-ROMS and floppy discs of evidential value. The registered file number must be shown on the CRPV.
4.3.12 A copy of the CRPV must also be placed on the working file and must include the reference number allocated by Central Property Services.
4.3.13 Microfiche must be disposed of locally as described in the METSEC - MPS Security Code (Phy.6 para 6.1.5).
4.4 Best Practice Observation of the principles below will help Records Management Branch provide good quality services to the organisation:
Ensure that all appropriate records are registered. This will ensure that they can be accessed n the future
Submit a separate request (Form 911, Form 913 etc.) for each
Registered File required or each set of case papers
Inform Records Management Branch when a Registered File is passed from one location to another using Form 7040 or an email to the Registry Mailbox
Inform Records Management Branch if a file title needs to be amended
or additional names or subject matter arises
Return files to Records Management Branch if they are no longer required
Use the correct file. These are:
Registered File cover; in three sizes according to anticipated thickness of file. These are issued by Records Management Branch for each new file.
Unregistered cover (Form 7005); to be used only where the papers within the cover will be attached to a Registered File. The Registered File number must be quoted on the cover.
Correspondences cover (Form 7079); for local records that will not require registration.
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Do not overfill files. Once the maximum capacity has been reached, return the Registered File to Records Management Branch to be closed and a subsequent part opened.
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Section 5
LOCAL RECORDS 5.1 Local Records 5.1.1 This section provides advice on the management of records that are not registered and are the responsibility of heads of branches and BOCUs to manage effectively. It sets out the main principles behind organising a good records management system. (See Section 4 of this Manual for the criteria for the registration of records).
5.1.2 Records contain information that is a corporate resource. Both Police Officers and Police Staff need information to do their work and can be required for a wide variety of purposes that may include:
Satisfying a policing purpose (see Sec 1, paragraph 1.2)
Supporting decision-making;
Providing accountability for actions;
Providing a history of what has happened.
5.1.3 An important element of good records management is to be able to make the right information available to:
The right person;
At the right time;
At the least possible cost.
5.1.4 In addition to making good business sense, the MPS has an obligation under various pieces of legislation to ensure that all of our records are subject to effective management systems (See Sec.2 of this Manual).
5.1.5 A record is any recorded information received or created by an organisation. It can be on paper, microfilm, computer disks, databases, photographs, plans etc. Regardless of type, all records go through the same life cycle. This comprises:
Creation;
Distribution;
Storage;
Retrieval;
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Disposal.
5.2 Creation 5.2.1 Information is collected in various ways, either for the administration of the organisation or for policing purposes when information is acquired through routine collection, tasked information or volunteered information. When recording such information the following principles must be applied:
The source is recorded (where known)
Information is recorded for a policing purpose
Information is recorded in the appropriate format for the business area in which it is held
Information is recorded according to the data quality principles – accurate, adequate, relevant and timely
Checks are made to avoid creating duplicate records
Links are made to existing records
Correct Protective Marking are applied
Information is evaluated in terms of risk, actioned accordingly and a record kept of the action.
5.2.2 Records must then be created on the appropriate database or type of file or form and included in the relevant indexing system in order that they can be identified. Records may be held on registered files, correspondence covers or the information may be entered into purpose designed books and forms. Other records are held entirely on corporate IT systems, such as CRIS and CRIMINT. 5.2.3 Such records must be created in accordance with the procedures for each system. Documents and e-mails that need to be preserved, even for a short period of time, must be printed out and attached to the appropriate registered file or correspondence cover.
5.3 Distribution 5.3.1 The accurate recording of movements of physical records is essential if information is to be located quickly and efficiently. Systems used must be capable of establishing the whereabouts of all records at any time.
5.3.2 BOCUs and branches should use an electronic system (e.g. Excel spreadsheet) to record the movement of records.
5.3.3 Records Management Branch must be informed whenever a registered file is sent from one BOCU or branch to another.
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5.4 Storage 5.4.1 Storage facilities must be of an adequate size and fitted with the necessary racking to accommodate records to appropriate security and safety standards. Record stores should not be located in areas where damage to their contents is likely to occur (e.g. flooding).
5.4.2 Records stores must provide a safe environment for staff to obtain access to all records retained. They must be laid out so as to enable individual records to be located and withdrawn/replaced promptly. Records stores must not mix records with other items such as discarded equipment etc.
5.4.3 Most MPS material will need to be stored in a locked container, cabinet or cupboard when not in use. Advice on security is contained in the METSEC - MPS Security Code.
5.5 Retrieval 5.5.1 Electronic indexing systems must exist to ensure that the location of all forms of records can be readily identified and individual records located quickly. A reference to the local index of records should be placed in the corporate Information Directory.
5.5.2 The inability to find a record is an indication of poor efficiency and can lay the MPS open to criticism about the way it conducts its business. The MPS may also be liable to pay substantial damages if it is unable to produce evidence to justify why certain courses of action were taken. It will also affect the organisation’s ability to comply with statutory obligations to disclose information, such as the Freedom of Information Act, and the Guidance on the Management of Police Information. (See also Sec.2 Regulatory Framework of this Guide).
5.6 Disposal 5.6.1 Systems must be in place to ensure that records are disposed of in accordance with the MPS disposal schedules, which are accessible from the Records management homepage, or other guidance.
5.6.2 Proper application of MPS disposal schedules will ensure that record stores do not become overfilled with records that are no longer required. Records due for disposal that are considered to be of particular historical value should be drawn to the attention of Records Management Branch so they may be considered for longer retention.
5.6.3 Section 6 of this manual contains more information about the disposal of records.
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5.7 Standards for the storage of semi-current records 5.7.1 Semi-current records are those that are no longer required for the conduct of current business and are being retained prior to disposal at the end of the relevant retention or review period.
5.7.2 BOCUs, branches, business groups and portfolios are responsible for the provision of adequate storage of all non-registered records. Registered records are stored at the MPS repository, which is managed by Records Management Branch. Care must be taken that only appropriate records are stored locally. The criteria for material that should be stored centrally through registered files are at Sec. 4.1.8 of this guide. The Crime File registration SOP gives instructions on which crime records that must be stored centrally on registered files.
5.8 Security 5.8.1 Records must be protected from unauthorised access and security should be in accordance with the protective marking scheme. Details are contained in the METSEC Code.
5.9 Protection against fire 5.9.1 Rooms used must comply with building regulations and the resistance of fire doors and other materials should provide protection for two hours. Fire extinguishers should be provided at various conspicuous points within the store. Staff should be instructed in the location of fire-fighting equipment and fire drills should be undertaken regularly. Smoking must be prohibited in storage areas.
5.10 Protection against water 5.10.1 Basement areas and attics are particularly susceptible to ingress of water and should be avoided if at all possible. Ideally water pipes should not run through storage areas, where they do they should be lagged. Regular checks for ingress of water should be made, as should checks for leaks from pipes.
5.11 Environment 5.11.1 Environmental conditions must be appropriate for the material to be stored. For paper records, temperatures in the range of 13C - 18C and relative humidity in the range 45% - 65% are recommended. Fluctuations should be avoided and conditions should be monitored weekly. Recommended conditions for other mediums can be obtained from Records Management Branch.
5.11.2 Lighting should provide a minimum illumination of 100 lux at floor level to meet health and safety requirements. A secondary lighting system for use emergencies should be available (e.g. generator supply, torches etc).
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5.11.3 High levels of light should be avoided to minimise the fading of paper and ink and where records are exposed to daylight, windows fitted with tinted film to eliminate harmful ultra-violet rays.
5.11.4 Storage areas must be vermin free and regularly checked for signs of infestation.
5.12 Shelving and boxing 5.12.1 Shelving and boxing should be provided in order to facilitate storage and retrieval. Boxing of records is recommended in all cases but is not essential except where required to avoid damage (e.g. excessive light) or where there is a high probability that certain records will be selected for permanent preservation.
5.12.2 Records should be stored off the floor to provide protection against flood and vermin. The width of aisles and the general layout of storage areas must conform to fire, health and safety regulations.
5.13 Preservation of Data Stored on CD-ROM/DVD 5.13.1 The preservation of digital data remains problematic for two main reasons. Firstly, it is not known with any certainty the longevity of CD-ROMs as a storage medium. Media deterioration will, if not properly managed, lead to a total loss of data. Secondly, technical obsolescence may mean that digital data stored for any length of time may become unreadable because the technology has moved on and no software exists to read the original data. In the short term, steps can be taken to minimise the risk of loss of data by optimising the storage conditions in line with BS 4783 (Part 7). In the absence of a corporate process for the short, medium and long-term preservation of digital data, the following procedures are recommended:
5.13.2 Physical storage of disks
Maintain a consistent temperature of (ideally) between 18 and 22°C
Maintain a relative humidity of between 35 and 45%
Avoid sudden changes of temperature and relative humidity
Keep disks away from strong sources of light
Keep disks away from strong magnetic fields
Protect disks from dust
Do not place adhesive labels on the disks, BUT if labels have already been attached, do not attempt to peel them off
Avoid bending the disks or subjecting them to any undue physical pressure
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Avoid storage on metal shelves or in metal filing cabinets if possible. Obtain (ideally) custom-made CD storage containers. CD Jewel Cases provide good protection against humidity changes and dust but the poor quality plastic can produce chemicals that can damage the CD. In addition, the method by which the CDs are secured within the Jewel Cases means that they are subject to stresses each time they are extracted or replaced.
The most suitable storage areas would be in wooden drawers or pedestals.
5.13.3 Maintenance of the data
Test the disk(s) periodically to ensure that the data remains readable by establishing a mechanism whereby they can be regularly reviewed
Create a second (back-up) copy of the disk.
Refresh that data onto a new CD-ROM after 5 years
Migrate the data to new versions of software as necessary, e.g. if there is a corporate change to operating systems/office applications etc. to ensure that the data can be read.
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Section 6 DISPOSAL OF RECORDS
6.1 General principles 6.1.1 Records must be retained only for the minimum period required commensurate for policing purposes, with good business sense and any relevant legal provisions. All other records should be destroyed as soon as possible.
6.1.2 Retention periods for administration records will normally be set by the relevant portfolio holder after consultation with Records Management Branch, which retains a database of all retention periods.
6.1.3 Records that support the policing purpose should be reviewed, retained and disposed of in accordance with the current MPS Retention and Disposal Schedule.
6.1.4 A record should be maintained of any decisions to retain or destroy records (excluding any personal information in the case of records that are destroyed) for audit purposes.
6.1.5 In addition to the above all MPS registered files are subject to scheduled reviews carried out by Records Management Branch, which, in addition to determining any continued value for policing purposes also identifies any long-term historical value of the records. A small proportion of these records will be selected for permanent preservation at The National Archives in accordance with an agreed Operational Selection Policy.
6.2 Historical records 6.2.1 Records over 20 years old that are of historical value may be selected and transferred to The National Archives (TNA). These records may be sent as either closed' or `open' records. 6.2.2 Closed records are those records where the content is of continuing sensitivity and cannot be made available for public inspection. Closed records are accompanied by a date by which all sensitivity concerns will have passed and the record is opened by the TNA on that date. Where no sensitivity exists records are open for public inspection and are included in the TNA's catalogues which are available on the Internet.
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6.2.3 An index of MPS records in TNA (both closed and open) is held by Records Management Branch (Sec 40 Personal Information) who can recall the record if access is required for official purposes.
6.2.4 Information about TNA can be obtained from their website on www.nationalarchives.gov.uk
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Section 7
SECURITY OF RECORDED INFORMATION
7.1 Security of recorded information 7.1.1 The Government's protective marking system applies to all MPS records and information and must be complied with at all times. Details are contained in the METSEC - MPS Security Code.
7.1.2 In the case of registered files, buff covers will be used for files with a protective marking of RESTRICTED and lower. Green covers are used for files with a protective marking of CONFIDENTIAL and higher.
7.1.3 The criteria for protective markings are contained in Special Notice 4/99.
7.1.4 Where a need arises to change the protective marking of a registered file, Records Management Branch must be informed. 7.1.5 All members of staff have a responsibility to ensure that records are classified and handled in accordance with these procedures and to protect them from unauthorised disclosure. The protection afforded to individual records must be reviewed periodically to ensure it remains commensurate with the implications of the information being compromised. Advice on protection of records and other assets can be obtained from Information Compliance.
APPENDIX A
Place original in box on top of contents and a copy on registered file
MAJOR ENQUIRY DOCUMENTATION FORM For help completing this form telephone (Sec 40 Personal Information)
Box No.
References
AMIP reference
________________________________
Registered file
____________/_________/__________
SIO
________________________________
Office Manager
________________________________
Contents Messages
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
Statements
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
Index cards
____________________________________________________________________
Other documents ____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
Name __________________________________ Date ____________________
APPENDIX B
METADATA STANDARDS
Metadata is, essentially, information about records or information. It comprises descriptive elements that can be used to identify the author or title of records, how they can be accessed and other information relating to the content and context of the records. The summary of metatdata elements1 is given below: The following generic information applies to all records. Items marked with an asterisk are mandatory:
Author * Owner * (e.g. organisational unit) Date of record creation * Title* Unique reference number of record * Description Protective marking * Access restrictions Review date (whether the document/record remains current, accurate and up-to-date) Disposal date Publication Scheme Yes/No Related documents (including other formats, e.g. photographs) Location (physical location of paper records, file path etc.)
The recording of metadata relating to people may depend upon the purpose of the record and in some cases this information will also form part of the content of the record. However, for policing purposes, as much information as possible should be included, where available, and records should be updated as information becomes available. Metadata elements may include the following:
Name Alias Date of birth Gender Title Address Ethnic code Reason for police interest (e.g. victim, witness offender etc.) CRO/PNC/CPS reference numbers etc.
1 ISO 15489 Information and documentation – Records management (4.3.3)
NOT PROTECTIVELY MARKED
NOT PROTECTIVELY MARKED
Scope Records on MoPI-related business areas that are new or additional
from 1 April 2006 (also where an update is significant – risk based) together with any earlier records specifically linked to the above
Excludes records covered by a specific national retention framework
Purpose of Document Practical interpretation of the MoPI Guidance by the IMPACT
programme Identifies considerations for Force Policy and IMS– see FP
Principles The RRD process is the application of 3 key principles: 1) Retain records for a period determined by the
risk of harm to the public 2) Dispose of records where:
not necessary for a legitimate police purpose not amendable to comply with legal requirements retention is no longer necessary (risk-based)
3) Assist the Force to achieve and maintain a workable approach to the management of information
Set the due date(for Review or
Time-based Disposal)
Reviewrecords
Dispose ofrecords
If Time-based Disposalis due (Exception fromReview)
For records identifiedfor Disposal
If scheduledreview is due
For retainedrecords
If immediate Reviewis triggered
If no immediateReviewtriggerred
REVIEW /RETENTION
CYCLE
Create/ linkrecords
REVIEW, RETENTION AND DISPOSAL PROCESS OVERVIEW
If revisedClear Period
DISPOSAL
Wait for due date
Event
New/additionalrecord (or significantupdate - risk-based)Disclosure or requestfor disclosureDPA/FoIA requestTake-oninitiative
Event affectingClear Period
Create / link records Set due date Review records Dispose
Summary of Review & Retention Rules Gp1 - Certain Public Protection Matters o Retain until Person is 100 yrs old o Review every 10 yrs clear period
Gp2 - other sexual or violent offences o Review after 10 yr Clear Period o If retained, review after further 10
yr Clear Period Gp3 - all other offences o Retain for 6 yr Clear Period then
review or Time-based Disposal. o If retained, review after further 5
yrs Gp4 - miscellaneous Undetected crime o Serious specified offences -
retain for 50 yrs o Other offences – retain for 6 yrs
Missing person report o Resolved – retain for 6 yrs o Unresolved – retain indefinitely
Intelligence product o As crime type: Gp1/Gp2/Gp3
Victim/witness details o As crime type: Gp1/Gp2/Gp3
CRB disclosure – excluded (as QAF)
National Risk Assessment Criteria 1 Is there evidence of a
capacity to inflict serious harm?
2 Are there concerns in relation to children or vulnerable adults?
3 Did the behaviour involve a breach of trust?
4 Is there evidence of established links or associations which might increase the risk of harm?
5 Are there concerns in relation to substance misuse?
6 Are there concerns that the individual’s mental state might exacerbate risk?
7 Any other reason?
Responsibility Forces have the responsibility within RRD to assess risk, prioritise higher risk offenders and protect the public
RRRRDD PPrroocceessss DDeeffiinniittiioonn
Visual representation of the Review, Retention and Disposal process based on Section 7 of the MoPI Guidance
22 November 2006
APPENDIX D
NOT PROTECTIVELY MARKED
GLOSSARY BOCU Borough Operational Command Unit
CPT Child Protection Team
CRIS Crime Report Information System
CRIMINT Criminal Intelligence System
CRPV Crime Related Property Voucher
FOIA Freedom of Information Act 2000
Form 911/ Form 913 Forms for requesting the creation of a Registered File
Metadata Descriptive elements used to identify records
METSEC MPS Security Code
MOPI Management of Police Information
NIM National Intelligence Model
RMB Records Management Branch
RMS Records Management System
TNA The National Archives