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Records Management Manual
V8
(B)OCU or Unit, Directorate
Directorate of Information
Author
Records Management Branch
Review Date
Date Issued
July 2014
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.
October 2012
Title & Version
Author
Organisation
Summary/Purpose
Review Date
Records Management Manual v.8.0
c507148
DoI 1 Service Delivery Group, DoI 1(9) Records
Management Branch
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
October 2012
RECORDS MANAGEMENT
MANUAL
Version 8.0
31 August 2012
1
Table of Contents
Section 1
INTRODUCTION
Section 2
REGULATORY FRAMEWORK
Section 3
RECORDS MANAGEMENT
Section 4
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
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
2
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.
3
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.
4
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
5
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.
6
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.
7
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
8
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
9
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 nonregistered 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.
10
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.
11
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
12
be posted to Records Management Branch, 20th floor Empress State
Building, faxed (ext. ******), 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 online 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.
13
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.
14
•
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.
15
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.
16
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. *****.
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.
17
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 *****.
18
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 ******.
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
19
•
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.
20
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.
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:
This will ensure
¾
Registered File cover; in three sizes according to anticipated
thickness of file. These are issued by Records Management Branch
for each new file.
¾
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.
¾
Correspondences cover (Form 7079); for local records that will
not require registration.
21
•
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.
22
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;
23
•
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.
24
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.
25
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).
26
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
27
•
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.
28
Records Management Manual:
Section 6
REVIEW, RETENTION AND
DISPOSAL OF RECORDS
6.1. Review, Retention and Disposal Procedure
6.1.1. Introduction
6.1.1.1. The MPS approach to Review, Retention and Disposal (RRD) of
records (for all media and formats) has been agreed by Management Board.
The agreed procedure is deemed the best approach to ensure the MPS
shows due regard to the Management of Police Information (MoPI) Guidance
2010 (2nd edition).
6.1.1.2. This approach is for all records to have pre-set disposal dates, based
on the nature of the information. A MoPI Group will be applied to records.
Please see the Retention Schedule for a breakdown of the groups (sec 6.1.5).
6.1.1.3. Consultation with the Information Commissioner’s Office (ICO) has
led to an agreement that all person records’ retention periods will commence
from 2006. This means Group 1 - 3 records will not be disposed of until 2018,
at the earliest. All MoPI group 4 records that do not link to group 1-3 records
should be disposed of in accordance with the retention periods set on the
Retention Schedule.
6.1.1.4. MPS systems are not set to enable automated nominal based reviews.
The current position is that systems are being designed to enable capability in
good time for disposal to begin in 2018. Therefore no action is required by
information system owners and business group representatives for records in
MoPI groups 1 -3.
6.1.2. MoPI Group 1-3 Records
6.1.2.1. MoPI Group 1-3 records are person records detailing criminal offence
allegations.
6.1.2.2. When a person record is created, its MoPI group (group 1-3) will be
assigned to the individual record. From this, an automated disposal date will
be set (based on the MPS’ Retention Schedule - see sec. 6.1.5).
6.1.2.3. When an individual comes to notice (new information is recorded) and
a record collection is already held on the individual, this record will be
automatically linked to the record collection. All records will be kept until the
29
last disposal date is reached when the entire record collection will be disposed
of.
6.1.2.4. In cases where the retention period of a new record exceeds the
current retention period for the record collection, the retention period for that
record collection will be reset in line with this new record’s retention period.
6.1.2.5. Records within MoPI group 2-3 will be retained based on a ‘clear
period’. This means a period of time where the individual does not come to
notice.
6.1.2.6. For new records, a clear period will not commence until such time as
sentence has been completed - including any period not served through early
release. All instances of judicial fact e.g. convictions, acquittals, arrests,
charges, penalty notices and intelligence reports will reset a clear period for
existing records.
6.1.2.7. Intelligence products will form part of an individual’s record collection
and will reset any existing clear period. Where no record exists, the retention
period will be based on offence code and MoPI grouping;
6.1.2.8. A record that contains multiple nominal details will be retained for the
necessary period based on the individual’s record collection with the most
serious MoPI grouping.
6.1.2.9. At the end of the retention period a time-based disposal will
automatically take place on a nominal’s set of records. Time-based disposal of
paper files will be automatically undertaken as part of this process. At this
point records will be considered for transfer to The National Archives (see
Section 6.2).
6.1.3. MoPI Group 4 Records
6.1.3.1. MoPI Group 4 records are records that are created: • Primarily for a policing purpose - excluding person records detailing
criminal offence allegations (functional records)
• To evidence a decision / action to support the organisation in the
delivery of a policing purpose e.g. financial records, personnel files, etc.
(facilitative records)
6.1.3.2. These records are outlined below, on the Retention Schedule (Sec.
6.1.5).
6.1.3.3. Records have been categorised in subsets based on the function
undertaken when the record was created, e.g. finance.
6.1.3.4. Each subset lists the types of records and their retention periods.
30
The list of record types attached to each retention period is not exhaustive.
This is to provide staff with better understanding of the breakdown of
categories.
6.1.3.5. Group 4 records may form part of a Group 1-3 record and could be
required to be retained in line with the group 1-3 retention period. Retention of
these records should be extended for the life cycle of the Group 1-3 record
collection.
6.1.3.6. Records that are identified before their Group 4 retention periods are
completed as part of any Civil Proceeding or Inquiry should be retained for as
long as required until these proceedings have been completed and then for 7
years from the completion date of the Civil Proceeding or Inquiry.
6.1.4. Other information relevant to RRD
6.1.4.1. Individuals should contact Records Management Branch if: • They are unable to establish the retention period for their record
• For new record categories that are required to be added to the
Retention Schedule; this would require agreement at MoPI Board
• There is believed to be a need to override retention periods by a
manual risk assessment; this would require agreement at MoPI Board
6.1.4.2. For audit purposes a record should be maintained of any decisions to
retain or destroy records. This should exclude any personal information in the
case of records that are destroyed.
6.1.4.3. The RRD process does not impact on the process for crime file
registration. This procedure should continue to be actioned as per the Crime
File Registration SOP.
6.1.4.4. B/OCUs should work with Property Services to ensure that all
physical records that have the potential to be recalled for investigation
purposes are stored locally to facilitate timely retrieval. Thereafter, taking into
account the decrease in criticality, these records may be stored as appropriate
for the remainder of their retention period.
31
6.2 MPS Retention Schedule
MoPI Review Group
Offence/Record Type
Action
Group 1
‘Certain Public Protection
Matters’
1. MAPPA managed offenders
2. Serious Specified Offences (CJA 2003)
Retain for a period of 100 years, from date
of creation
3. Dangerous Offenders (as defined by CJA)
Group 2
Subset 1
Other Sexual offences
Sexual offences listed in Schedule 3 Sexual
Offences Act 2003
Retain for a clear period of 30 years and
carry out time-based disposal
Violent offences specified in the Home Office
counting rules for recorded crime/ National
Crime Recording Standard
Retain for a clear period of 12 years and
carry out time-based disposal
High-volume, low-level non-sexual, nonviolent
Retain for a clear period of 12 years and
carry out time-based disposal
Group 2
Subset 2
Other Violent offences
Group 3
All Other Offences
Group 4
Undetected Crime
32
MoPI Review Group
Offence/Record Type
Action
Subset 1:
Serious Specified Offences
(as defined in the CJA 2003)
Retained for 100 years from the date of creation
Other offences
Retained for 30 years from the date of creation
Group 4
Subset 2:
Functions of the Front
Counter
Day-to-Day Administration of
Operational Policing
Including: 1. Evidence & Action Books.
2. Administration of property seized; or
reported as lost / found (including pets)
3. Crime related Exhibit Vouchers
If the record supports the investigation /
prosecution of a crime, retain in line with
the offence’s MoPI grouping
If not, retain for 7 years
4. Administration of Warrants /
Summonses
5. Records of civil proceedings and
injunctions
6. Administration of Custody.
7. Administration of Prisoner transports
(SERCO)
Firearm / Explosives
Applications
Including: -
Retain for 12 years from date of request
Applications for authorised firearms dealers
/ licenses; Explosives certificates
Records of issued of CS
Aerosol and other defensive
Retain for 7 years
33
MoPI Review Group
Offence/Record Type
Action
equipment
Stop and Search records
Person and vehicle
If the record supports the investigation /
prosecution of a crime, retain in line with
the offence’s MoPI grouping
If not, retain for 3 years
Licensed premises
Administration records of licenses for: pubs,
clubs, off-licenses
Retain for the lifetime of the premises,
Or;
7 years from the closure of the premises
Group 4
Operational Planning
Subset 3:
Event Planning and
Responses to Major
Incidents
All Pre / Post – Op records (including risk
assessments) for: 1. Armed operations
2. Pre-Planned strategic and tactical
deployment of Firearms
3. Armed Operations
4. Aid to other Borough / Police Agencies
5. Operational / Public Order records
6. Responses to Major Incidents
7. Hostage Negotiations
8. Diplomatic and Specialist Protection
34
7 years from event / incident
MoPI Review Group
Offence/Record Type
Group 4
Strategic / Policy / Procedures /
Quality Assurance
Subset 4:
Corporate Policies / SOPs
This includes all: -
Action
Retain for 12 years from expiry of the policy
or SoP
1. Policies
2. SoPs
3. Equality Impact Assessments (EIA)
4. Corporate Notices
Local Work Instructions
All directives (including training manuals,
lesson plans and email reminders) that
evidence how members of staff are directed
to undertake their work
Retain for 3 years from expiry of the
guidance
MPS SMT Meeting Minutes
This includes (for example): -
7 years from creation
1. Management Board Minutes
2. All Directorate Level Board Minutes
3. Gold Group Minutes
3. Any minutes that evidence decisionmaking that may impact on the overall
delivery of corporate services
Risk Management
Including: -
7 years from creation
1. Risk Registers / Risk Bowties
2. Business Continuity Plans / Disaster
Recovery Plans
35
MoPI Review Group
Offence/Record Type
Group 4
Managing Information
Action
Subset 5:
Administrative Information
Management Records
Including: -
Retain for 3 years from date of creation
1. Compliance Audits
2. Quality Reviews
3. Information Security Records
Publication Scheme
Any information published as part of the
Publication Scheme
Retain each publication in line with specific
guidance issued within this schedule for
record types
Information Sharing
Schemes
Retain for 2 years from termination of
agreement
MAPPA Disclosures
As per MoPI Group 1 Retention Guidance
Group 4
Traffic / Vehicles / Marine
Subset 6:
POLACCs Investigations
Management of Police
Vehicles
Retain for 1 year from completion of
investigation
Including: -
Retain for 3 years from final log
1. Fleet vehicles
2. Hire or Loan of Vehicles
Testing of Road Traffic
Offence Equipment
Including the testing of: -
Retain 1 year of test result data (until end
of life)
1. Alcometers.
2. Evidential Breath Testing Instruments
36
Retain for 1 year from end of life of
MoPI Review Group
Lost or Stolen Vehicle
Records
Offence/Record Type
Action
3. Calibration
equipment
Administrative records for: -
If the record supports the investigation /
prosecution of a crime, Review according to
crime type as outlined in MoPI Groups 1-3
Lost, found or stolen vehicles; management
and disposal of vehicles in police custody
If not, retain for 7 years.
Group 4
Subset 7:
Intelligence Products
Information Arising from Management
of Crime
Including: -
Review according to crime type as outlined
in MoPI Groups 1-3
1. Target Profiles
2. Association Diagrams
CTN’s, PAC’s
Forms 78’s & 72’s.
Children coming to the Notice of Police or
not achieving one of the 5 Key Outcomes
Whichever is longest: Retain until the youngest child in the family
attains the age of 18 years,
Or;
6 Years from the last report
CCC
Retain for 2 years from date of creation
Group 4
Witness / Victim Information
Subset 8:
Victim/Witness Details
Retain until the end of any period of sentence,
Or;
37
MoPI Review Group
Offence/Record Type
Action
In line with undetected crime files.
Victim / Witness Support
Including: -
Retain for whichever is longest: -
1. Witness full-needs assessment
1 year from completion of support,
2. Total victim care
Or;
3. Quality Call back
1 year from completion of offence
investigation
Group 4
Missing Persons
Subset 9:
Resolved
Retain as MoPI Group3 (12 year clear
period) unless a risk assessment suggests
otherwise
Unresolved
Retain for 100 years from the date of report
to the police
Group 4
Complaints Against Police
Subset 10:
Complaints investigations
externally
Including: -
Retain for 7 year from completion date of
investigation / proceedings
1. Civil Proceedings.
2. IPCC investigations.
3. Death in Custody records.
Complaints investigated
internally
Including: -
Retain for 6 years after last action
1. Disciplinary investigations.
2. Fairness at Work
38
MoPI Review Group
Offence/Record Type
Action
2. Right-Line (anonymous reporting of
wrongdoing)
Group 4
Management of Resources
Subset 11:
Staff Career History
For Police Officers and Police Staff.
Including: -
Retain until subject is 100 years old
1. Personal file
2. Staff Recruitment
3. Sickness history and OH
recommendations
4. Probationary period reports / PDRs
5. Training records
Staff Pension records
For Police Officers and Police Staff
Whichever is longer:
5 Years from the death of employee,
Or;
5 years for death of nominated beneficiary
Day to Day Working History
Including: -
Retain for 2 years from the date of creation,
1. Annual Leave card
Or;
2. Flexi sheets
6 years if part of disciplinary case papers
3. Application forms
39
MoPI Review Group
Offence/Record Type
Action
4. Shift Rosters
5. Registers
6. Audit logs
Dog and Horse Career
History
Including: -
Retain for 6 years from end of animal’s
operational service
1. Selection process
2. Training history
3. Deployment history
4. Welfare history
Group 4
Finance and Procurement
Subset 12:
Financial Records
Including: -
Retain for 6 years from end of financial year
1. Exchequer Services (incl. payroll &
pensions)
2. Budget control
3. Account Management (general ledgers,
etc)
4. Payment and income management
5. Allowances, expenses and overtime
6. Costings
7. Banking
Procurement Records
Including:
Retain Sealed Contracts for 13 years
40
MoPI Review Group
Offence/Record Type
Action
1. ICT
Otherwise;
2. Corporate Operational Policing (incl.
transport, catering, travel, uniforms,
Olympics, etc)
Retain for 6 years from end of financial year
3. Supply chain management
4. Evidence of fair and open tendering and
purchasing
Group 4
Property / Estate
Subset 13:
Asset Management and
Estate Management
Including: -
Retain for 6 years from end of financial year
1. Acquisitions and disposals
2. Capital budget
3. Property valuation
4. Estate Management (Operational /
Residential)
5. Property income generation
Facilities Management
Including: -
Retain for 5 years after facility has been
disposed
1. MPIC
2. Architectural plans
3. Maintenance
4. Furniture
5. Cleaning
41
MoPI Review Group
Offence/Record Type
Action
6. Security guarding
Programme / Project
Delivery
Including: -
Retain for 16 years records relating to
construction,
1. Construction
Or;
2. Modernisation
Retain for 13 years all Deeds completed
under seal of MPS/MoPAC and associated
documents.
3. Capital works
Group 4
Disclosure / Vetting
Subset 14:
CRB Disclosures
Information disclosed under Part 5 of the
Police Act 1997
Retain for 12 years from date of request
ISA Disclosures
Retain for 12 years from date of request
Vetting Disclosures /
Decisions
Retain for 11 years from date of request
Disclosures to Insurance
Industry
Retain for 2 years from date of request
FoI and DPA Requests
Including: -
Retain for 2 years from date of request
1. Freedom of Information (FoI) requests
2. Subject Access requests
Group 4
CCTV
42
MoPI Review Group
Offence/Record Type
Action
Subset 15:
Operational CCTV
Including: -
If information supports a criminal
investigation review according to crime type
as outlined in MoPI Groups 1-3
1. Front counter
2. Custody suit
3. Public order
If not, retain for 1 year from date of
creation
4. Interview
5. Evidential
Security / Estate CCTV
6. Public space (incl. TFL, Motorway, street
CCTV, etc)
If identified (within 1 year retention period)
as being required as part of Civil
Proceedings, retain as long as required until
all proceedings are completed
Internal and External Building CCTV (that is
not specified in Operational CCTV subset)
If information supports a criminal
investigation review according to crime type
as outlined in MoPI Groups 1-3
If not, retain for 30 days from date of
creation
Group 4
Sex Offenders
Subset 16:
Sex Offender Records
Including: -
Retain for 100 years from date of creation
1. Civil orders / Sexual Prevention Orders
(SOPO)
2. Violent and Sexual Offenders register
43
MoPI Review Group
Offence/Record Type
Action
(ViSOR)
3. Wanted / Missing Sex Offenders
Group 4
Private Office Functions
Subset 17:
Correspondence that
supports a policing purpose
Including: 1. Supporting evidence for the protection or
detection of crime
Or;
2. FoI / DPA requests
Retain in line with specific guidance issued
within this schedule for record types
3. Complaints against police
Correspondence that does
not support a policing
purpose
If information supports a criminal
investigation review according to crime type
as outlined in MoPI Groups 1-3,
Including: -
Retain for 1 year from date of creation /
receipt
1. Thanks you letters
2. Invitations to events
3. Personal communications (including
emails), etc
4. Diary / schedules for staff up to
Management Board level
Diary / Schedules
(Management Board
level)
Group 4
Retain for 7 years from date of creation
Legal Documents
Subset 18:
44
MoPI Review Group
Legal Reports
Offence/Record Type
Including: -
Action
Retain for 7 years from date of creation
1. Results of civil proceedings
2. Inquiry reports / recommendations
3. IPCC reports
45
6.2 Transfer of Records to The National Archives
6.2.1 The Public Records Act 1958 requires records over 20 years old that
are of historical value, to be selected and transferred to The National Archives
(TNA). This review is carried out by Records Management Branch, in
accordance with the agreed Operational Selection Policy.
6.2.2 Where records are required to be retained beyond 20 years of creation
an application to do so must be submitted to the Lord Chancellor’s Advisory
Council on National Records and Archives. This will be completed by RMB
6.2.3 These records may be sent as either ‘closed' or ‘open' records.
6.2.4 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 TNA's catalogues
which are available on the Internet.
6.2.5 Information about MPS records in TNA (both closed and open) is
available from Records Management Branch (ext ******) who can recall the
record if access is required for official purposes.
6.2.6 Information about TNA can be obtained from their website on
www.nationalarchives.gov.uk
46
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.
47
APPENDIX A
MAJOR ENQUIRY
DOCUMENTATION FORM
Box No.
For help completing this form telephone 78 3636
References
AMIP reference
Registered file
________________________________
____________/_________/__________
SIO
Office Manager
________________________________
________________________________
Contents
Messages
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
Statements
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
Index cards
____________________________________________________________________
Other documents
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
Name __________________________________ Date ____________________
Place original in box on top of contents and a copy on registered file
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 elements 1 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
RRD Process Definition
Summary of Review & Retention Rules
Visual representation of the
Review, Retention and Disposal process
based on Section 7 of the MoPI Guidance
22 November 2006
REVIEW, RETENTION AND DISPOSAL PROCESS OVERVIEW
If revised
Clear Period
Event affecting
Clear Period
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
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
f
Event
New/additional
record (or significant
update - risk-based)
Disclosure or request
for disclosure
DPA/FoIA request
Take-on
initiative
If no immediate
Review
triggerred
Create/ link
records
REVIEW /
RETENTION
CYCLE
For retained
records
If immediate Review
is triggered
Review records
Set due date
Gp2 - other sexual or violent offences
o
Review after 10 yr Clear Period
o
If retained, review after further 10
yr Clear Period
Wait for due date
Set the due date
(for Review or
Time-based Disposal)
Responsibility Forces have the responsibility within RRD to assess risk, prioritise higher risk offenders and protect the public
Create / link records
Gp1 - Certain Public Protection Matters
o
Retain until Person is 100 yrs old
o
Review every 10 yrs clear period
If scheduled
review is due
If Time-based Disposal
is due (Exception from
Review)
DISPOSAL
Review
records
For records identified
for Disposal
Dispose of
records
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)
Dispose
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?
NOT PROTECTIVELY MARKED
APPENDIX D
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
Metadata
Forms for requesting the creation of a Registered
File
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
NOT PROTECTIVELY MARKED