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					  RECORDS MANAGEMENT MANUAL (V6)
Table of Contents
Key Points
Good practice

Section 1    INTRODUCTION
Section 2    REGULATORY FRAMEWORK
Section 3    RECORDS MANAGEMENT
             3.1    Definition of a record
             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    CORPORATE 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    How you can help records management branch give you
                    the best possible service

Section 5    CORPORATE RECORDS – 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 Guidance on the Management of Personal Files



                                      1
Key Points
This section contains a summary of the key points in the MPS records
management regime. It is not a substitute for the detail contained in the other
sections of this manual, which should be consulted as required.


Remember
Records that refer to serious crime, policy matters and other organisational-
wide issues are retained in paper form on registered files (see Sec.4.1.8).
These are opened by Records Management Branch who index the names of
relevant people, organisations and subject matter contained in the record. In
this way these records are available to the entire organisation, subject to any
security restrictions.
Other records are held within branches and BOCUs who must ensure that
proper procedures exist for the creation, tracking and eventual disposal. They
must also ensure that storage facilities are adequate.



Electronic records
Whilst the MPS continues to move towards a more electronic environment for
documents and records, the primary format for the capture of important
information from office systems (e.g. Word) continues to be paper. Records
on these systems should be printed to paper and filed on the appropriate
registered or local file if they are likely to be required for future reference. (See
3.2.1)



Fundamentals
The following are essential for the successful and effective management of
recorded information:
Creation of record –

      At the right time and in the appropriate format (e.g. an entry on a
       database, a type of file or numbered book/form). Knowing what is
       recorded and in what format. Quality controlled, risk assessed and
       recorded correctly first time.
Access and Security –

      The right information to the right people. Application of the Protective
       Marking System/access controls to ensure information is available to
       those who have the necessary permissions to access it.




                                         2
Distribution –

      Accurate recording of the movement of physical records
Storage –

      Adequate back-up and archiving of information on structured
       databases

      Accommodation of adequate size, appropriately equipped, safe to work
       in and secure for keeping paper records
Retrieval –

      Systems to ensure records relating to individuals, events or
       administration can be located and retrieved at all times. There should
       be appropriate links between related information held in records on
       various systems in different business areas within the MPS to enable
       one central point for searching and retrieving information.
Disposal –

      Review and dispose of records as soon as possible after action is
       complete and there are no policing, legal or business reasons to retain
       them. Consistent application of disposal schedules.




Good practice
      All matters relating to MPS policy to be dealt with on General Registry
       files. Include the registered file number in any publication (e.g. Notices)
       or other document about the policy.

      Register other matters, such as crime cases, in accordance with the
       Crime File registration SOP

      Inform General Registry of changes to the location of registered files
       (use Form 7040) or e-mail 'Registry Mailbox'.

      Index local records electronically (e.g. Excel spreadsheet) so that they
       can be readily identified and found. Place a reference to the index in
       the Information Directory for corporate access.

      Maintain a system to track physical movement of non-registered
       records.

      Store records in conditions so that they are easily identifiable, readily
       accessible and safe from hazards and unauthorised access.

      Only use an unregistered cover (Form 7005) for matters that are to be
       attached to a registered file in due course. Otherwise use a
       Correspondence Cover (Form 7079).


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   Do not keep records longer than required. Comply with the relevant
    disposal schedules.

   Preserve important e-mail messages in hard copy and attach to the
    appropriate file.

   Use the appropriate protective marking.

   Obtain advice from Records Management Branch in cases of doubt.
    Helpline no: *** Section 40 (2)***.




                                   4
Section 1
INTRODUCTION
Definitions
1.1    Information: “Organised or manipulated data, which has theme and
meaning but that is not necessarily evidence of an event or decision.
Information includes published works, reference material, databases and
other structured or indexed collections of information as well as records and
archives”.*
       Record: “Recorded information, regardless of media or format, created
or received in the course of individual or organisational activity, which
provides reliable evidence of policy, actions and decisions”.*
       Records Management: “The function of creating, organising and
maintaining records to ensure they provide evidence of activity, decision-
making and policy. It includes the establishment of links between related
records, swift and accurate filing and accessibility when required and
scheduled destruction or transfer to an archives repository as appropriate in a
timely fashion. The term „recordkeeping‟ is often used interchangeably with
records management”.*
“Records are a subset of information: all records are information but not all
types of information are records”.*
*The National Archives Records Management Guide – What is Records
Management?

1.2    Within the MPS the Head of Records Management is responsible for
policy on records management, compliance with appropriate legislation, the
development of Electronic Document Records Management and
administration of the Records Management Branch.            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.
1.3   This manual provides guidance to the Metropolitan Police Service
(MPS) on the management of its records and follows the principles outlined in
ISO15489 and 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 Manual of Records Management.
1.4       MPS records fall into two categories:
         Records containing police information for policing purposes which are:



                                          5
        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.
1.5    Whilst most of the records managed by the MPS are in hard copy, such
as paper-based files, books and forms, this guidance is equally relevant to all
types of media in which records are kept.

Benefits
1.6      The benefits of good records and information management are:


        Provision of the right information to the right person at the right time
at the least possible cost to assist in decision-making and other business
activities using systems that ensure that the records are trusted, accessible
and usable.


      Application of quality control processes to ensure that records are
accurate from initial creation and are relevant and timely. The quality of
records management has a direct bearing on the MPS working together to
make London the safest major city in the world.


       Properly managed records provide authentic and reliable evidence of
the organisation's activities, thereby providing the MPS with an indispensable
element of its own accountability by showing whether and how the
organisation has met its obligations. This is particularly relevant with regard to
our responsibilities under the Human Rights Act 1998, and sharing information
with other police forces, partner agencies and the public, where we may have
to produce evidence to justify decisions and actions


       The MPS‟s obligations under the Freedom of Information Act 2000, the
Data Protection Act 1998 and the Public Records Acts of 1958 and 1967,
Criminal Procedure and Investigation Act 1996, Crime and Disorder Act 1998,
Regulation of Investigatory Powers Act 1996, Human Rights Act 1998 and
Every Child Matters and the Children Act 2004 and other legislation are met
for the effective care and management of all records arising from its activities


      The MPS‟s records management processes comply with the statutory
Code of Practice on the Management of Police Information, the Guidance on
the Management of Police Information, the National Intelligence Model and
the Lord Chancellor‟s Code of Practice on the Management of Records under
Sec.46 of Freedom of Information Act 2000.




                                        6
      Unnecessary bureaucracy and duplication of information within different
business areas is eliminated. By keeping records only on what we need, we
save time and effort in finding information, economising on storage space.
We provide „one version of the truth‟.

Readers' contribution
1.7    Please let us know of any way in which this
guide can be improved and made more relevant to your
needs. Send an e-mail to Registry Mailbox.

1.8      Throughout, references to BOCU include any
organisational unit of the MPS (boroughs, branches,                             .
units, business groups etc).



Return to Index




                                     7
Section 2
REGULATORY FRAMEWORK
2.1 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.

2.2 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.
It also applies to MPS records created before 1 April 2000 (subsequent
records will be covered by the Freedom of Information Act - see below). 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 periodical 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 and 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. Further information can be found on the Intranet site Freedom of
Information .




Information Commissioner


                                      8
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
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 murders of Jessica Chapman
and Holly Wells by Ian Huntley and came into effect 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). See Appendix 1 of the MoPI
Guidance


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
These five policing purposes provide the legal basis for collecting, recording,
evaluating, sharing and retaining police information.
MoPI Guidance


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



                                      9
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. The National Intelligence Model

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                                     10
Section 3

Records Management
3.1       Definition of a record
3.1.1 A record is any recorded piece of information produced or received in
the initiation, conduct or completion of an individual or organisational activity
of the MPS. It comprises sufficient content, context and structure to provide
evidence of the activity. It contains information that is worthy of preservation
in the short, medium or long term.
3.1.2 MPS records fall into two 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.
3.1.3 Information is collected in a number of ways such as routine collection,
      tasked information and volunteered information (see Guidance on the
      Management of Police Information Sec. 3).
3.1.4 Records can be held in a variety of formats and this policy applies to all
      types of medium, for example:

         Paper – e.g. reports, statements, books and forms;

         Electronic/digital – e.g.   e-mails,   word   processed   documents,
          spreadsheets, data sets;

         Audio and video tapes - including interviews under caution and CCTV
          recordings;

         Photographs;

         Documented evidential material;

         Maps; and

         Models.


3.2       Primary record
3.2.1 For the majority of its business, the MPS uses two types of records.
These are conventional paper based and electronic records. Until an


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electronic document records management system (EDRM) is generally
available within the MPS, the paper-based records are to be regarded as the
"primary (or master) record". The exception being where the electronic
records forms part of a database system (such as CRIS or PIMS) where the
system uses a records management facility approved by Records
Management Branch as complying with the minimum standards for effective
records management.
3.2.2 Unstructured records currently held on office systems such as AWARE
cannot yet be regarded as the master record. If they 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. In time, an electronic document
and records management facility (EDRM) will be made available on the MPS
information technology and systems infrastructure at which point this policy
will be reviewed.

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 Notwithstanding 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
obtained from the Information Assurance Unit. METSEC - MPS Security
Code


3.6   Integrity and management of records

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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
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 the duration for which 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.
3.7.2 Rooms used to store records must be maintained in a condition so as
to ensure the health and safety of staff depositing and retrieving records (e.g.
adequate lighting and means of access).
3.7.3 Security of records must comply with the Protective Marking System as
described in the `METSEC' MPS Security Code.
3.7.4 When not in use, registered files should be returned to Records
Management Branch for storage in the MPS repository.


3.8 Rights of access to information contained in
records


                                       13
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
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 on extension ***Section 40 (2)****.
Information Sharing Toolkit


3.10 Disposal of records
3.10.1 Records should be retained only for the minimum period required
commensurate with policing purpose, good business sense 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, who 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. These guidelines are due to be implemented by December 2010.
Until then, current schedules remain valid.

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 25 years of age for which the MPS has no further policing
or administrative use and which appear suitable for permanent preservation
are offered to The National Archives or other suitable archive. All other
records are destroyed.

Return to Index




                                       14
Section 4
CORPORATE RECORDS - REGISTERED FILES
Registered files: what records must be made up into Registered
files and why.
Records Management Branch: the services Records Management
Branch provides.
Major enquiries: procedures to be followed in making up
Registered files for major crime cases.
Helping us to help you: how you can help Records Management
Branch give you the best possible service


4.1 Registered Files (Corporate Records)
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 and a record is also kept of the current location of each.
4.1.3 Access to information about 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. Search line tel: *** Section 40 (2) ***

PURPOSE OF REGISTERED FILES
4.1.4 To keep together documents and other appropriate records dealing
with a particular aspect of MPS work (e.g. cases, projects, developments).
This is to ensure that the information contained in the file can be made
available for us 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;


                                       15
            Maintain a corporate memory and historical archive.

            Maintain important case files that can be reviewed and risk
             assessed.



BENEFITS OF REGISTERED FILES
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.
4.1.6 Consistent indexing standards are used and the files are stored in
secure purpose-built 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 By using the RMS, you help ensure important files are stored securely,
avoid duplication of effort, improve our decision-making, save money and
space, and provide 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 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
For a more detailed list of crime types that should be registered consult the
Spreadsheet of Offences in the Crime File Registration SOP.

HOW TO OPEN A NEW REGISTERED FILE
4.1.9 The Crime File registration SOP details the criteria for registering crime
files.


                                           16
4.1.10 CPTs use form 87X to request file in the GN 88 series
4.1.11 Others please use Form 911. This is available on the Forms section
of the Intranet. Post this form to Records Management Branch, 20th floor
Empress State Building, or fax it to ext. ***Section 40 (2)**** or, e-mail 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.



ALTERATIONS TO TITLES OF REGISTERED FILES
4.1.14 Alterations to file titles may only be done 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.
REGISTERED FILE CLASSIFICATION SYSTEM
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 - normally no more than 4 digits




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;


                                         17
      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.
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 Nothing can 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.



MINUTING AND DOCKETING FILES
4.1.23 Minute sheets are probably the most important part of any file. It is the
place where all-important decisions are recorded and where attachments are
listed. It should be possible for the reader to be able to pick up the gist of
what a file is about, decisions made and results achieved, simply by reading
through the minute sheets. This will 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.



                                       18
                          Simple rules for minuting
      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.
      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
       ***Section 40 (2)***
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 & ***Section 40
(2)***)
      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 file to whom copies have



                                        19
       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 ARE ONLY TO BE USED WHERE THE
       COVER WILL EVENTUALLY BE ATTACHED TO A REGISTERED
       FILE.
(Note: the word is 'Will', not 'Maybe' or 'If I get round to it'.)


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 To 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.

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.



                                          20
4.1.34 Where a Registered file is missing and all reasonable steps have been
taken to find it; a duplicate cover (known as a `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 - when they are lost the information is gone for ever!



MOVEMENT OF FILES
4.1.35 When a 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, by fax to***Section 40 (2)*** 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 must be `put away'. Please refer to the PA checklist.
4.1.40 When everything is ready and checked, the papers are to be sent to
Records Management Branch, 20th Floor, Empress State Building. Don't
forget to use the Protective Marking System based on the contents of the
material being sent. If you have a large consignment to return or wish to
deliver, please telephone in advance on *** Section 40 (2)****.


                                        21
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 However, 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. Information Sharing Toolkit




Crime case that should be placed
on a Registered File
GENERAL

      All crime cases listed in the Crime File registration SOP. 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.

      The safekeeping of Registered Files and other records when not in
       use.

      The issue of registered Files and other records from the Repository.

      The review and disposal of Registered Files

      The transfer of records of historical interest to The National Archives.




                                       22
      Provision of advice and information about records management,
       including record retention periods.

    The management of the outsourced repository 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 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. If you wish to know if there is a registered file on a
particular person or organisation, check with the RMS.



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 HQ units that do not have any trained staff. Searches should be
requested on extension ***Section 40 (2)***.



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 two 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 do this simply:
      minute the file with details of when and where it should be brought
       forward;

      using red ink 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 Records Management Branch, 20 th Floor, Empress
       State Building.
4.2.6 Files will be sent out automatically without the need for you to request
them. If needed earlier 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.




                                       23
4.3 Guidance on the handling of registered files
    in major enquiries
Introduction
4.3.1 This 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 *** Section 40
(2)***.

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

      Exhibit books

      Prisoners' Property Voucher

      CPS memos

      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 which are overfilled cannot be stored securely and will be
returned for splitting up and re-minuting, as will poorly minuted files.



                                       24
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, in red.
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.

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 here.

Seized Documents and Other Exhibits
4.3.11 These should be sent to the Central Property Services (DOR CS-
CenPS) on a Crime Related Property Voucher (CRPV - form 613). This
includes audio, videocassettes, 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. It must
include the reference number allocated by Central Property Services.
4.3.13 Microfiche must be disposed of locally as per METSEC - MPS
Security Code (Phy.6 para 6.1.5).


4.4 How you can help records management
branch give you the best possible service
Observation of the few simple points shown below will help Records
Management Branch provide good quality services to everyone.

1.     Make sure that all suitable material gets registered. By
doing this, others will be able to find the papers in the future. If in
doubt telephone us first. Helpline no: *** Section 40 (2) ***




                                        25
2. To speed things up please submit a separate request for each
file required.


3. Inform Records Management Branch when a Registered file is
passed from one location to another. Use form 7040, telephone ***
Section 40 (2)*** , fax to *** Section 40 (2)*** or e-mail to
Registry Mailbox.

4. If a file title needs to be changed or additional names or subject
matter arise, send the file to us and we will include the additional
material in the indexes and update the label on the front of the file.

5. Don't keep registered files for longer than they are needed.
This takes up space and denies access to others. Let us store
them.

6. Use the correct file cover. They are:
      Registered cover; in three sizes according to anticipated
       thickness of file. 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.
      Correspondence cover (form 7079). For local records that
       will not require registration.

7. Do not overfill files. Once the maximum capacity has been
reached, please return the Registered File to Records
Management Branch to be closed and a subsequent part opened.


Return to Index




                                       26
Section 5

CORPORATE RECORDS - LOCAL RECORDS
5.1 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
registering a file).

Why do it?
5.2 Records contain information that is a corporate resource. People need
information to do their work - it is the lifeblood of any organisation. In the MPS
information is required for many reasons. These include to:

      Satisfy a policing purpose (link to Sec 1, para 1.2 of this Manual).
      Support decision-making;
      Provide accountability for actions;
      Provide a record of what has happened.
5.3 Good records management is about being able to make the right
information available to:
      The right person;
      At the right time;
      At the least possible cost.
5.4 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).



What is a record?
5.5 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;


                                       27
      Retrieval;
      Disposal.

Principle No 1: Creation
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.
You must ensure

      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 GPMS marking is applied

      Information is evaluated in terms of risk, actioned accordingly and a
       record kept of the action.
Records must then be created on the appropriate database or type of file or
form and assigned the relevant protective marking, if required. They must
also be included in the relevant indexing system, and a note of this index
placed in the Information Directory. Care must be taken to ensure accuracy,
adequacy, relevance and timeliness, and measures taken to prevent
duplication of information within records.
In the MPS many records are held on registered files, correspondence covers
or the information is entered into purpose designed books and forms. Other
records are held entirely on corporate IT systems, such as CRIS and
CRIMINT.
Such records must be created in accordance with the procedures for each
system. Documents and e-mail created locally on office packages, which
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.




                                      28
Principle No 2: Distribution
The accurate recording of movements of 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.
BOCUs and branches should use an electronic system (e.g. Excel
spreadsheet) to record the movement of records.
Records Management Branch must be informed whenever a registered file is
sent from one BOCU or branch to another. This can be done my means of
form 7040, fax to **Section 40 (2)** or e-mail to 'Registry Mailbox'.


Principal No 3: Storage
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).
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.
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.

Principle No 4: Retrieval
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.
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 we are unable to produce
evidence to justify why certain courses of action were taken. It will also affect
our ability to comply with statutory obligations to disclose information, such as
the Freedom of Information Act, and the Guidance to the Management of
Police Information. (See also Sec.2 Regulatory Framework of this Guide).

Principle No 5: Disposal
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 and other guidance.
Proper application of MPS disposal schedules will ensure that record stores
do not become overfilled with records for which there is no longer a need,


                                       29
thereby taking up valuable storage space. Records due for disposal that are
considered to be of particular historical interest should be drawn to the
attention of Records Management Branch so they may be considered for
longer retention.
Section 6 of this manual contains more information about the disposal of
records.

Standards for the storage of semi-current records
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.
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. In some cases non-registered material can be stored at
the repository.
Care must be taken that only appropriate records are stored locally. The
criteria for material that should be stored centrally through registered files is 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.

Security
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 . Information Compliance is able to give advice on physical
security measures and key control. METSEC - MPS Security Code



Protection against fire
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.

Protection against water
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.

Environment


                                        30
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.
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).
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.
Storage areas must be vermin free and regularly checked for signs of
infestation.

Shelving and boxing
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.
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.




                                      31
Preservation of Data Stored on CD-ROM

The preservation of digital data remains problematic for two main reasons.
Firstly, despite many predictions, 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). Until a Service-wide systems has been established for
the short, medium and long-term preservation of digital data, the following
procedures are suggested:

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
      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.



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.


                                      32
      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.
Any enquiries concerning these guidance notes should be addressed to the
Assistant Departmental Record Officer, Records Management Branch, on Ext.
*** Section 40 (2)***.


Return to Index




                                      33
Section 6

DISPOSAL OF RECORDS
General principles
6.1    Records are 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.
6.2    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.
6.3    Records that support the policing purpose should be reviewed, retained
and disposed of in accordance with the guidelines set out in Section 7 of the
Guidance on the Management of Police Information (illustrated by the
flowchart at appendix C of this manual). The implementation date is subject
to ongoing discussion with the Home Office. Until discussions are resolved,
current schedules remain valid. Retention & disposal of records
6.4    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.
6.5    In addition to the above all MPS registered files are subject to
scheduled reviews carried out by Records Management Branch, under the
Public Records Act 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 and an agreed
Operational Selection Policy.




MPS records held at The National Archives (formerly
the Public Record Office)
6.6    When a MPS record is transferred to The National Archives (TNA) it is
sent as either a `closed' or `open' record.

6.7    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


                                      34
records are open for public inspection and are included in the
TNA's catalogues which are available on the Internet.

6.8    An index of MPS records in TNA (both closed and open)
is held by Records Management Branch ***Section 40 (2)****
who can recall the record if access is required for official
purposes.
6.9 Information about TNA can be obtained from their website
on www.nationalarchives.gov.uk

Return to Index




                                     35
Section 7
SECURITY OF RECORDED INFORMATION
7.1    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
 7.2 In the case of registered files, buff covers will be used for files with a
protective marking or RESTRICTED and lower. Green covers are used for
files with a protective marking of CONFIDENTIAL and higher.
7.3   The criteria for protective markings is contained in Special Notice 4/99.
7.4 I In all cases where a need arises to change the protective marking of a
registered file, Records Management Branch must be informed, extension ***
Section 40 (2)***.
7.5    All personnel 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.

Return to Index




                                      36
                                                                       APPENDIX A


MAJOR ENQUIRY                                                       Box No.
DOCUMENTATION FORM
For help completing this form telephone ***Section 40 (2)***


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 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
        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
                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                     Summary of Review & Retention Rules
                                                                                                                                                                                                                                                                                                                          REVIEW, RETENTION AND DISPOSAL PROCESS OVERVIEW                                                                                                                                            Gp1 - Certain Public Protection Matters
                                                                                                   RRD Process Definition                                                                                                                                                                                                                                                                                                                                                                                             o
                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                      o
                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                 Retain until Person is 100 yrs old
                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                 Review every 10 yrs clear period
                                                                                                Visual representation of the                                                                                                                                                                                                                                                                                                                                                                                         Gp2 - other sexual or violent offences
                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                      o          Review after 10 yr Clear Period
                                                                                          Review, Retention and Disposal process                                                                                                                                                                                   If revised                                                                                                                                                                                         o          If retained, review after further 10
                                                                                                                                                                                                                                                                                                                                                                                                                                  Wait for due date
                                                                                          based on Section 7 of the MoPI Guidance                                                                                                                                                                                  Clear Period                                                                                                                                                                                         yr Clear Period
                                                                                                                                                                                                                                                                Event affecting                                                               Set the due date                                                                                                                                                       Gp3 - all other offences
                                                                                                    22 November 2006                                                                                                                                            Clear Period                                                                   (for Review or                                                                                                    If Time-based Disposal                               o           Retain for 6 yr Clear Period then
                                                                                                                                                                                                                                                                                                                                            Time-based Disposal)                                                          If scheduled                           is due (Exception from                                 review or Time-based Disposal.
                                                                                                                                                                                                                                                                                                                        If no immediate                                                    REVIEW /                       review is due                          Review)                                              o           If retained, review after further 5
Scope                                                                                                                                       Principles                                                                                                                                                                  Review                                                            RETENTION                                                                                                                     yrs
    Records on MoPI-related business areas that are new or additional                                                                      The RRD process is the application of 3 key principles:                                                             Event                                                   triggerred                                                          CYCLE
                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                     Gp4 - miscellaneous
  from 1 April 2006 (also where an update is significant – risk based)                                                                      1)         Retain records for a period determined by the
                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                      Undetected crime
  together with any earlier records specifically linked to the above                                                                            risk of harm to the public                                                                                       New/additional
                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                       o          Serious specified offences -
    Excludes records covered by a specific national retention                                                                              2)         Dispose of records where:                                                                                  record (or significant                                                                            For retained                                                                                                                                         retain for 50 yrs
  framework                                                                                                                                      not necessary for a legitimate police purpose                                                                   update - risk-based)                                                                              records
                                                                                                                                                                                                                                                                                                                                                                                                                                                     DISPOSAL
                                                                                                                                                                                                                                                                                                                                                                                                                                                                                 Dispose of                            o          Other offences – retain for 6 yrs
                                                                                                                                                                                                                                                                 Disclosure or request                                   Create/ link
Purpose of Document                                                                                                                              not amendable to comply with legal requirements                                                                 for disclosure                                           records
                                                                                                                                                                                                                                                                                                                                                                                                                                                                                  records                             Missing person report
                                                                                                                                                 retention is no longer necessary (risk-based)                                                                                                                                                                                                                                                                                                                        o          Resolved – retain for 6 yrs
    Practical interpretation of the MoPI Guidance by the IMPACT                                                                                                                                                                                                 DPA/FoIA request
                                                                                                                                                                                                                                                                                                                                                                                                 Review                                                                                                                o          Unresolved – retain indefinitely
  programme                                                                                                                                 3)         Assist the Force to achieve and maintain a                                                                Take-on
                                                                                                                                                                                                                                                                                                                                          If immediate Review                                    records
                                                                                                                                                                                                                                                                                                                                                                                                                                For records identified
                                                                                                                                                                                                                                                                                                                                                                                                                                for Disposal                                                                          Intelligence product
    Identifies considerations for Force Policy and IMS– see FP                                                                                 workable approach to the management of                                                                            initiative
                                                                                                                                                                                                                                                                                                                                          is triggered                                                                                                                                                                 o          As crime type: Gp1/Gp2/Gp3
                                                                                                                                                information                                                                                                                                                                                                                                                                                                                                                           Victim/witness details
Responsibility Forces have the responsibility within RRD to assess risk, prioritise higher risk offenders and protect the public                                                                                                                                                                                                                                                                                                                                                                                       o          As crime type: Gp1/Gp2/Gp3
                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                      CRB disclosure – excluded (as QAF)

Create / link records                                                                                                                          Set due date                                                                                                                                                                                Review records                                                                                                                                                                                    Dispose
                                                 CREATE / LINK RECORDS                                                                                                                                                    SET DUE DATE                                                                                                                                                                               REVIEW RECORDS                                             HISTORIC RECORDS
                                                                                                                                                                                                                                                            Event affecting
                                                                                                                                                                                                                                                             Clear Period
                                                                                                                                                                                                                                                                                                                                                                           From                   From               The review is carried out for one or more of:             Records collected before 01.04.2006 where linked.                      DISPOSE
                                                                                                  Other event                                                                                                                                                                                                                                                             Create/                 Due                 Review all records for the Offender/Suspect              Forces must review historical records when the
                     New/additional record                                                                                                                                                                 Due Date applies to
                                                                                                                                                                                                                                                                                                                                                                           Link                   Date                Review linked records for intelligence product             subject of those records comes to police attention
                                                                                                                                                      From                           From                  the whole set of linked                       Suspect is acquitted /                                                                                                                                                                                                 Resources dedicated to reviewing historical records                                   From
                                                                                                                              E.g. add/                                                                    records for the Person
                                                                                                                                                                                                                                                                                                                                                                                                                      Review linked missing person reports                                                                                    From
                         New/additional record                                                                                                       Review                         Create/                                                                  proceedings                                                                                                                                              Review undetected crime record                             should focus on information relating to certain public
                          being created and                                                 Record update that is             remove                                                                                                                                                                                                                                                                                                                                              protection matters                                          Review                  Set due
                              evaluated                                                     significant (risk-based)          Person
                                                                                                                                                     Records                         Link                                                                   discontinued                                                                                                                                                                                                       During review forces will convert any related
                                                                                                                                                                                                                                                                                                                                                                                                                                                                               unstructured or paper records into a searchable and
                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                              records                  date
      When a record is                       1) Must be necessary for                                                         identity                                                                                                                     Offender sentence
      being input onto                          a police purpose                             Disclosure to DfES or                                                                                                                                                                                                                                          Repeat for each linked record                                                                                      accessible format and ensure marked in accordance
                                                                                                                                                                                                                                                              is set/revised                                                                                                                                                                                                   with GPMS.
      a MoPI-related                         2) Must comply with data                          CRB request for                                                                              Need to set date
      business area                             quality principles -                                                                                 Review                                                                                                 Police inquiry is
                                                                                                   disclosure                                                                               for Scheduled
                                                accurate, adequate,                                                                                 completed                                                                                                 concluded                                                                                                                                                                 Review each record for
                                                relevant, timely                                                                                                                            Review
                                             3) Must check to avoid                         Request from other Law                                                                          or Time-based                                                                                                                                                                                                                               necessity and compliance
                                                unnecessary                                  Enforcement agency                                                                             Disposal                                                                                                                                                        Is record
                            Is information      duplication                                                                                           Gp1/Gp2                                                                   Are records                                                                                                            relevant for a police                                                                            No
            No              necessary and                                                     DPA subject access                                    and >= 10yrs                                                            for Person already                      No (if choose not to                                                                    purpose?                                     Must comply with data quality
                              compliant?                                                      request from Person                                since Clear Period
                                                                                                                                                                               No                    Yes
                                                                                                                                                                                                                              Linked re MoPI                         Link at this stage)
                                                                                                                                                                                                                                                                                                             End                                                                                         principles - accurate, adequate,                                                                                                   Decision to
                                                                                                                                                                                                                                                  FP                                                                                                                                                     relevant, timely                                                                                                                                           Time-based
          Do not                                                                                                                                     start date?                                                                Guidance?                                    (do not set due date,                                                                  Yes
                                                                                                                                                                                                                                                                                                                                                                                     Is record DPA
                                                                                                                                                                                                                                                                                                                                                                                                                             No
                                                                                                                                                                                                                                                                                                                                                                                                                                                          Can record be
                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                    Yes
                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                            dispose of
                                                                                                                                                                                                                                                                                                             No                                                                        compliant?                                                          amended?                                                                                                   Disposal
          create                                                                                  FoIA request                                                                                                                                                               never review/dispose)                                                                                                                                                                                                                                           records
          record                 Yes                                                               by Person
                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                 Amend record
                                                                                                                                                                                                                       Gp4                                                                                                                                                                                                                                                     No
                                             Store date captured,
                                                                                              Take-on initiative for   FP                                                        Which risk                                                                                     Missing                                                                                                                                                                                                                         (retain original)
                                Create       and source (where
                                                                                                                                                                                                                (undetected crime/                     Record type?                                     Resolved?                                                                                               Is record
                                                                                               identified Persons                                                                 group?                                                                                        Person
                                record       appropriate to                                                                                                                                                       missing person)                                                                                                                  Optional for disposal:                                     an ancilliary,                      Assess record for                        Mark record
           End                                                                                                                                                                                                                                                                                                                                                                           Yes                                              Yes                              Dispose
                                             indicate accuracy)                                                                                                                                                                                                                                                                                     Ancillary/administrative records                        duplicate,copy,                      optional disposal                        for Disposal
                                                                                                                                                                                                                                                                                                                                                    Duplicate records                                            etc.?
                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                     Dispose of
                                                                                                                                                                               Gp1/Gp2/Gp3                                                                                                                   Yes                                    Paper records where searchable electronic records exist                                                                                                                                           records
                                     Repeat the following                      Repeat the following
                                   process for each Person                   process for each Person                                                                                                                                                                                                                                                Original exhibits where photographic/ video/digital records
                                                                                                                                                                                                                                                                                                                                                     are held                                                                                            Retain                                                                                 (including audit log)
                                                                                                                                                                                                                                                                                                           Further                                                                                             No (retain)
               Link records                                                                                                                                                        Are                           Establish Clear Period
                                                                                                                                                                            due date and Clear                                                                                        No                indicators of
                                                                                                                                                                                                                                                         Undetected
                                      Establish and store                                                                                                                     Period already                                                                                                                risk?                                                                                                                                                                                                                                 Create disposal
                                                                                                                                                                                                                                                           crime
                                   links for records where                                                                                                                       defined?                                                                                                                                                                                                                                                                                                                                                         schedule (as per
 Include linking to earlier                                        If none of the records identified for this                                                                                                                                                                                                                                                     Are there                                          Establish and store the
                                         Person is the
  missing person reports
                                       offender/suspect             Person are as an offender/ suspect then                                                                                                                                                            Determine review type                                                                   records marked
                                                                                                                                                                                                                                                                                                                                                                                            If some records
                                                                                                                                                                                                                                                                                                                                                                                                                       revised risk group for                                                                                                          IMS) F
 For undetected crime                                              determine whether formal linking and
                                                                                                                                                                                                                 Clear Period start date is the latest
                                                                                                                                                                                                                                                                                                             Yes
                                                                                                                                                                                                                                                                                                                                                                                               for disposal                                                                                                                                                           P
                                                                                                               FP                                                                    Yes                         of any of the following dates that                     and retention period                                                                     for disposal?                                             linked records
  (where the Person is not                                          Review is needed for this Person                                                                                                             indicate continuance of risk and/or                       (set due date)                                                                                                                                                            Missing Person reports or Undetected Crime
  identified) cannot link.
 Intelligence product should         Establish and store                                                                                               Yes                                                      continued regular offending by the                                              FP                                                                                                                                                  records may exceptionally be reviewed     Is there                                                     End
                                                                                For a Request,                                                                                                                   Person:                                                                                                                                                                   If no records
  be linked to other products      links for records where                                                                                                                            Do                         1) Previously derived Clear Period                                                                                                                                                                                                            Gp4                             continued
                                                                         if no links then no Review                   End                                                                                                                                       Minimum 50 yrs                                                             Yes                                              for disposal
  and source records                     Person is the                                                                                                                         records/events                        start date                                                             (use date of                                                                                                                                                                                         risk? FP
                                                                                for this Person                                                                                                                  2) Date record created re offence/             for serious                 latest Missing                                                                                                                  Gp1/Gp2/Gp3
                                        victim/witness                                                                                                                     indicate continued risk         No        suspected offence by Person                specified offence,          Person report)
                                                                                                                                                                                  or regular                     3) Date record created re Person as            otherwise 6 yrs                                                               If all records
                                                                                                                                                                                                                     a victim of crime
                                                                                                                                                                                                                                                                                                                                                                                                         Gp1                                                 Gp3                                                                                     Key to symbols
                                                                                                                                                                                 offending?                                                                                                                                                  (where Person
                                        Ensure all linked                                                                                                                                                        4) For Gp1/Gp2, date of last Review
                                                                                                                                                                                                                     following end of Clear Period                                                                                             is offender/                                                                       Gp2
                                       records are in an
                                                                                                                                                                                                                 5) Date of missing person report                                                                                                suspect)                                                                                                                       >= 6yrs
                                         accessible and                                                                                                                             Yes                          6) Date of disclosure to DfES                                                                                                                                      Person over                                                                                                                                                  Off-page     Decision to
                                                                                                                                                                                                                                                                                                                                                  are for                                                                                                                 since Clear Period
                                       searchable format                                                                                                      No           (revise Clear Period)                 7) Date of request for CRB
                                                                                                                                                                                                                                                                                                                                                                                    100yrs old?                                                                                                                                                 reference      be made
                                                                                                                                                                                                                     disclosure                                                                                                                  disposal                                                                      >= 10yrs                                       start date?
           Establish risk group                                                                                                                                                                                  8) Date of request from other Law
                                                                                                                                                                                                                     Enforcement Agency                                                                                                                                                                                   since Clear Period
                                                                                                                                                                            Establish and store                  9) Date of acquittal/discontinuance                                                                                                                                                                          start date?                                                                                                        Activity         Finish
Gp1 Certain Public                                                                                                                                                             Clear Period                          of proceeds                                                                                                                                                                            No (retain)                                                          Yes
    Protection Matters             Establish and store the                 Is Event a                      Yes              Review                                                                               10) Date of expiry of sentence                                      Wait
                                                                                                                                                                                start date                                                                                                                                                                                          No (retain)                                                                                                   No                         Yes                            XXX
Gp2 Other Sexual or                 risk group for linked                  Disclosure/                (do triggered         records                                                                              11) Date police inquiry concluded                                                                                                                                                                                                       Yes                                                                                            Connector
                                                                                                                                                                                                                                                                                                                                                                                                                                                                                               (consider                   (Retain)
    Violent Offences                       records                         Request?                      review)
                                                                                                                                                                                                                                                                                                                                                                                                                                                                                               disposal)
Gp3 other offences (or                                                                                                                                                                                                                                                                                                                                                                                                                               No (retain)
    suspected offences)                                                                                                                                                                                    Gp3                                                                                                                                                                                                                                                            Assess risk using
Gp4 undetected crime and                         No (Event is new/additional/updated record or take-on)                                                                                                                                                                                                                                                                                                               If decide to retain                                 NRAC and decide
    missing person reports                                                                                                                                                       Gp1/Gp2                                                                                                                                                                                                                                                                                    on retention                                                   National Risk Assessment
 Intelligence products              Gp1, Gp2                                                              Gp4 (set due date)                                                                                                                                                                                                                                           Retain records where Person                           Yes
 where Person is
                                           Determine review type
                                                                                                                                                                             Set due date for                       Is last Review                                                                                                                                          is offender/suspect                                                                          If decide to dispose
                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                        i.e. records must                  Criteria
 unidentified should                                                           Gp3                                                                                         Scheduled Review to                   date later than Clear                                                                                                                                                                                                                                                                  have been held for
 also be assessed as                                                                                                                                                                                             Period start date + 6
                                                                                                                                                                                                                                                  Yes
                                                                                                                                                                                                                                                                                                                                                                                                           If the victim/witness is not themselves                                                      entire clear period                1 Is there evidence of a
                                                                                                   Is there precursor                                                      be Clear Period start                                                                                                                                                                             Assess whether to
 Gp1/Gp2/Gp3
                                             Yes
                                                                        Assess whether             behaviour for higher                                                      date + 10 years                             years?                                                                                                                                           dispose of linked records        an offender/suspect then assess for                             Mark for disposal
                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                        or (if low risk)
                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                        minimum 6 yrs
                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                             capacity to inflict serious
                                                                          higher-risk                                                                                                                                                         Set due date for                                                                                                                                             disposal case by case based on, e.g.
                                     (higher risk, Gp3+)                                           risk re NRAC, or                                                                                                                                                                                                                                                       where another Person is          risk factors and where MO not
                                                                                                                                                                                                                                                                                                                                                                                                                                                                         records already held           retention period).                   harm?
                                                                       behaviour (Gp3+)            continued offending?                                                                                                                     Scheduled Review to                                                                                                                victim/witness                                                                                 for >= 6yrs               But retain records
                                                                                                                               Set due                              Wait                                                   No                be last Review date
                                                                                                                                                                                                                                                                                                                                                                                                           described elsewhere.
                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                        where another
                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                           2            Are there concerns
                                                                                                                                date
                                                                                No                                                                                                                                                                + 5 years                                                                                                                  Mark any records              Create audit log containing: Person reviewed, reason for review                              Person is offender/                  in relation to children or
                                                                                                                                                                                                                                                                                                                                                                                                           (scheduled/triggered), reviewing officer, review date, outcome (retain/                      suspect, since
                                                                                                                                                                           Initiated from
                                                                                                                                                                                                                   Set due date to                                                                                                                                          selected for disposal
                                                                                                                                                                                                                                                                                                                                                                                                           dispose) and identify any records amended as a result of the review.                         subject to that                      vulnerable adults?
                         Ensure that any existing                     Assess whether                           Mark records                                   Yes                                                be Clear Period start                                                                                                                                                                                                                                                                  Person’s review/
                          records are not marked         No           meets criteria for           Yes        for Time-based                                               Create/Link?                                                        Is Time-based Disposal used
                                                                                                                                                                                                                                                                                                                                                                                                           If Gp2 or Gp3: also the rationale for retention, e.g. NRAC criteria.
                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                        retention cycle
                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                           3            Did the behaviour
                                                                                                                                                               Already                                              date + 6 years                                                                                                                                                                         Once authorised, also log the authoriser.
                         for Time-based Disposal                    Time-based Disposal                           Disposal                                                                                                                     by default for the business                                                                                                            Create                                                                                                                                                 involve a breach of trust?
                                                                                                                                                               assessed for                                                                    area or record type?                                                                                                                  audit log
                                                                Is Time-based Disposal used                                                                    Time-based                                                                                                FP
                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                           4            Is there evidence
                                                                by default for the business                                                                    disposal                     Assess whether                                      Assess whether
                                                                area or record type?      FP
                                                                                                                                                                                No
                                                                                                                                                                                              higher-risk                    No                meets criteria for                                                                                                                                                                       Does                                                                                                 of established links or
                                                                                                                                                                                                                                                                                                                                                                           Obtain authorisation for
                                                                                                                                                                                           behaviour (Gp3+)       Is there precursor         time-based disposal                     Wait                                                                                 review/disposal from line         Authorised
                                                                                                                                                                                                                                                                                                                                                                                                                                   outcome include                                                                                           associations which might
                                                                                                                                                                    Re-assess for                                                                                                                                                                                                                                               disposal of records for
                            Person previously
                                                                                Now                                               No                                 Time-based                                   behaviour for higher                                                                 Wait until Due Date                                                        manager
                                                                                                                                                                                                                                                                                                                                                                                                                                      Gp1/Gp2?
                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                             increase the risk of harm?
                                                                          necessary to                                      (set due date                             Disposal                    Yes             risk re NRAC, or        No             Yes
                          reviewed (since MoPI          Yes
                                                                          trigger further
                                                                                            FP
                                                                                                                            for scheduled                                                                         continued offending?                                                                                                              Is authorisation
                                                                                                                                                                                                                                                                                                                                                                                                                                                                No                                                                         5            Are there concerns
                                                                                                                                                                                                                                                                                                                                                 refused due to non-              Not                                     Yes
                            implementation)?                                                                                                                                                                                                                                                  Time-based                  Dispose                                                                                                                                                                                                            in relation to substance
                                                                              review?                                           review)                                               Ensure that any existing                                   Mark records                                                                                      compliance with             authorised
                                                                                                                                                                                                                                                                                             Disposal is due                                                                                                                                                                                     Set due
                                                                                         Triggered reviews should not become                                                         records are not marked for                                 for Time-based                                                                                     review process?                                                                                                         If there are
                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                  date
                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                             misuse?
                                                                                         burdensome, so may be skipped where                                                            Time-based Disposal                                         Disposal                                                                                                                                        Obtain authorisation for
                         No (do triggered review)                                        there are repeated events for a Person, but
                                                                                                                                                                                                                                                                                                                                                                           Not
                                                                                                                                                                                                                                                                                                                                                                                                     disposal from senior                   Re-authorised
                                                                                                                                                                                                                                                                                                                                                                                                                                                                        records retained                                                   6            Are there concerns
                                                                                                                                                                                                                                                                                                                                                                        authorised                                                                                                                               Dispose
                                                                                         should be conducted periodically to ensure
                                                                                                                                                                                                  Wait                                                   Wait                                                                                                                                        manager as per IMS P
                                                                                                                                                                                                                                                                                                                                                                                                                            F
                                                                                                                                                                                                                                                                                                                                                                                                                                                                             If there are
                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                of records
                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                             that the individual‟s mental
                                                                                         records are still necessary and adequate                     Wait                                                                                                                                                                                                                                                                                                               records for disposal
                                 Review                                                                                                                                                                                                                                                                      Scheduled     Review                                                                                                                                                                                                            state might exacerbate risk?
                                 records              Yes (do triggered review)                                                                                                                                             Wait                                         Wait until due date                  Review       records
                                                                                                                                                                                                                                                                                                               is due                                                                                                                                                                                                                      7            Any other reason?
                                                                                                                                                                                                                                                                                                                                                                                                                                     No




                                                                                                                                                                                                                                                  NOT PROTECTIVELY MARKED
                                                                         APPENDIX D


                     Personal File Guidance

1.    Creating a Personal File

1.1   This section is covered by the HR Recruitment Directorate Standard Operating
      Procedure 43/2004, which can be accessed from the hyperlink below:

      HR Recruitment Directorate Standard Operating Procedure




2.    File Index and Content Retention Periods

2.1   The personal file is divided into five sections (A to E), which are:

              A – Personal Data (permanent);
              B – Health (permanent);
              C - Personnel (as long as relevant);
              D – Personal Development (7 years);
              E – Major Contract Documents (permanent);

2.2   The contents page - Form 6630 (available via the Forms website) should be
      placed at the front of the file. Each section lists those documents should be
      attached.

2.3   While the list is long, it is not exhaustive and there may be other documents that
      it may be pertinent to keep.

2.4   It also provides the retention status of the documents and the regularity at which
      they should be weeded.

2.5   Any papers that are weeded from the file should be given to the individual, who
      may retain/dispose of them as desired.


3.    Storage
3.1   All personal files must be kept securely in a lockable filing cabinet, the keys of
      which will be held within the HR Unit. The cabinet should be situated in a
      lockable room.

3.2   A file must not be left out or unattended. It should always be returned to the filing
      cabinet immediately after it has been finished with.



                           NOT PROTECTIVELY MARKED
                                                                       APPENDIX D
4.    Rights of Access
4.1   Access must be restricted to:

              B/OCU Commanders/Head of Branch;
              Business Group Business Managers;
              Senior Human Resource Managers (HRMs);
              HRMs;
              Authorised HR Staff;
              Line Management (who have responsibility for a police officer/member of
               police staff, i.e. PDRs);
              Pay & Pensions Contract Management Team;
              DPS Investigating staff (with authority from an Investigating Officer, who
               holds the rank of Detective Inspector or above – please refer to
               paragraph 4.6);
              Special Branch and MOD Vetting Officers (with authority from a
               Superintendent);
              DLS lawyers;
              DLS Accident Claims Unit:
              HR Evaluation Unit

4.2   The HRM must approve all such requests.

4.3   Police officers/members of police staff are permitted to have access to their
      personal file. However, the file must not be removed from the HR Unit.

4.4   Staff are not permitted to remove any papers from the file. However, the copying
      of documents is permitted with the agreement of the HR Unit. This is, however,
      only permitted where there is a need for this and it is in compliance with the
      provisions of the Data Protection Act, for instance where the individual has
      consented to the release; it is required for a personnel function such as to review
      pension details or for the purpose of legal proceedings. If in doubt, advice should
      be sought from the Public Access Office on 783500.

4.5   Line management are also permitted to have access to a personal file for those
      they have responsibility for, again the file must not be removed from the HR Unit.

4.6   When an authorised request is received from DPS, the investigating officers will
      attend the HR Unit to view the file. However, it may only be necessary for the
      HR Unit to photocopy the relevant section required and forward it to DPS in a
      sealable maroon pouch (see Paragraph 5.2).

4.7   There may be occasions where in exceptional circumstances it may be
      necessary for a member of the Senior Management Team (SMT) to have access
      to the file and they may need to remove it from the HR Unit.

4.8   Again, the HRM must approve all such requests.

4.9   If authorisation is granted the file must be booked out by the HR Unit to the SMT
      Member.

                           NOT PROTECTIVELY MARKED
                                                                         APPENDIX D

4.10   When removed from the HR Unit the SMT member responsible for the file must
       ensure that the file is returned to the HR Unit for safe storage prior to the HR Unit
       closing for business each day.


5.     Transportation of Personal Files within the MPS
5.1    Personal files are highly confidential and must only be made available to
       authorised staff. They must not be sent outside the MPS.

5.2    When sending a file to another location within the MPS, the following must take
       place:

             Complete Personal File Transit Form – Form 969 (available via the Forms
              website);
             Attach the Form to the front of the personal file;
             Use a sealable maroon pouch;
             Record the security seal number and place the personal file in the pouch;
             Secure the pouch with the security seal; and
             A record should be kept of all files being despatched internally including
              date, destination and security seal number.

5.3    When receiving a file the following must take place:

             Ensure the recorded security seal number on Form 969 is identical with
              the seal on the pouch;
             Fill out the acknowledgement of receipt and return to the HR Unit; and
             Once the issuing HR Unit receives the acknowledgement receipt it should
              be stored with the file marker card.

5.4    If a maroon bag is not available then the personal file must be sent in the
       valuables bag.


6.     Disclosure of a Personal File for Civil Proceedings
6.1    Any letter received from solicitors external to the organisation requesting details
       from a personal file must be sent, together with the personal file, to the HRM.
       Where solicitors acting on behalf of either party request a copy of the personal
       file, the copy will only be sent if:

             There is evidence that civil proceedings have been started;
             The individual has given authority in writing through their solicitor;
             The reason for production is clearly indicated in the letter (for example to
              confirm/deny a point in issue); and
             The HRM agrees.




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                                                                        APPENDIX D
6.2    When the request is supported by a court order or subpoena, a member of the
       Service must produce the file at the court – failure to do so could, of course, lead
       to contempt of court proceedings.

6.3    The current cost for photocopies is 25 pence per A4 copy and 50 pence per A3
       copy.


7.     Local Retention of Personal Files
             Career breaks:
              The local HR Unit is responsible for retaining the personal file until the
              individual resumes.

             Leaving the service:
              The personal file is to be kept by the local HR Unit for 12 months, after
              which they should be forwarded to the Repository at Hendon for storage.

             Transfer to another home/non-home force:
              The personal file is to be kept by the local HR Unit for 12 months, after
              which they should be forwarded to the Repository at Hendon for storage.

             Suspension:
              The personal file needs to be retained within the local HR Unit until the
              conclusion of the investigation.


8.     Sending Personal Files to be Archived
8.1    When forwarding a personal file to the Repository at Hendon all loose papers,
       unregistered covers and the Sickness Management File must be attached
       securely in the Personal File.

8.2    The front cover must be stamped with „Destroy at 72‟, writing the date the police
       officer/member of police staff would reach 72 years of age in the relevant boxes,
       on this date the file will be destroyed.



9.     Disposal of Personal Files
9.1    The disposal of personal files is the responsibility of the Repository at Hendon.


10.    Retention of Discipline Records
10.1   Refer to the Discipline Policy, which can be accessed from the hyperlink below:
       Police Staff Discipline - Managers Guidance


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                                                                         APPENDIX D

11.    Medical/Welfare Records
11.1   All medical documents should be retained on the Sickness Management File. For
       further details refer to Annex 1 of the Attendance Management Policy, which can
       be accessed from the following hyperlink:
       Attendance Management Police - Annex 1


12.    Death in Service/on Duty
12.1   When a police officer/member of police staff dies in service then the Death in
       Service/on Duty pro-forma (see Appendix 3) must be completed and then placed
       at the front of the Contents Sheet at the front of the personal file.

12.2   This pro-forma applies to police officers/special constables and police staff.

12.3   The front cover of the Personal File must also be marked ‘DECEASED’.

12.4   The file will then need to be retained by the local HR Unit for a period of 12
       months, after which it is to be forwarded to the Repository at Hendon.


13.    Requesting Personal Files of Former MPS Officers/Staff
13.1   All requests must be sent in writing, via the HRM at the (B)OCU where the police
       officer/member of staff last served, to the Director or Deputy Director of HR.

13.2   The written request must provide an explanation as to why the file is required.

13.3   The request must only be made by those listed at Paragraph 4.1.

13.4   The Director of Deputy Director of HR must approve and sign all such requests,
       which will then be returned to the HRM.

13.5   Paragraphs 4.3 to 4.6 are also applicable, however the file must now be viewed
       within the HR Unit, under the supervision of the HRM.

13.6   The HRM will then request the file from the Repository at Hendon on a memo
       direct to:

       The Repository,
       Peel Centre,
       Hendon.

13.7   Once the task has been completed the file must be returned to the Repository.

13.8   On no account should MPS staff attend the repository at Hendon or the
       Archive centre in Derbyshire and request a personal file in person.


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                                                                          APPENDIX D
13.9   Repository staff will only release a file once they have received signed
       authorisation by the Director or Deputy Director of HR.


14.    Exceptions to the above

14.1   Due to the business needs of the functions listed below, the Director of HR has
       given authority for these functions only to request files of former MPS
       Officers/Staff direct from the Repository at Hendon:

              Directorate of Legal Services (DLS)
              DLS Accident Claims Unit
              Pay and Pensions Contract Management Team, Resources Directorate
              HR2(1) Recruitment, HR Directorate
              Public Access Office (PAO).

       Requests must be in writing, including Fax/e-mail, from a clearly identified source.

       These functions must retain a full record of requests including full explanations
       as to who has requested the file and why.


15.     Additional Documents
15.1 If, after the personal file has been archived, the HR Unit receives any further
documents for the police officer/member of police staff, then it is the responsibility of the
HR Unit to recall the file and attach them accordingly and return the file to the Repository


16.    This Guidance Replaces:
16.1   Police Personnel Manual:

              Chapter 7.1, paragraphs 68-69 & 96-103;
              Chapter 7.2, paragraphs 59-60;

16.2   Civil Staff Personnel Manual:

              Chapter 1.2, paragraphs 2.9 – 2.11;
              Chapter 9.1, all paragraphs & Annex A;

16.3   As a result these chapters and paragraphs from the Manuals have now been
       decommissioned.




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                                                                      APPENDIX D
  CONTENTS SHEET        Form 6630                                       (Appendix 1)



A
                           Personal Data (regularity of weeding - permanent)
                           Photograph


(Inside front cover)



B
                           Health (permanent)
                           Record of recuperative duties
                           Injuries on duty (civil staff only) (permanent)
                           Skills loss
(Orange/Pink)



C
                            Personnel (as long as relevant)
                            Temporary changes to pay, i.e. expenses (retain for 7 years)
                            Allowances (retain for 7 years)
                            Requests to cohabit
                            Request to live outside authorised area
(Yellow/Green)              Private activities
                            Commendation
                            Letters of appreciation




D
                            Personal development (7 years)
                            Probation and induction (Confirmation of appointment letter)
                            Training reports
                            Transfers
(Green/Red)                 Appraisals and objectives
                            Applications for posts
                            Promotion and regrading (including temporary promotions)




E
                            Major contract documents (permanent)
                            Permanent changes to pay, i.e. promotion/demotion/regrading
                            Recruitment papers, including references & qualifications
                            Contract of employment
(Blue/Yellow)               Cyberliabilities Declaration Form
                            CTC Form
                            Extensions of service
                            Retirement / resignation
                            Death benefit nomination
                            Superannuation papers Special leave
                            Maternity leave
                            Marriage/Birth Certificates (copies)
                            Academic Qualification (copies)
                            Passport (copy) if applicable
                            References
                            Special leave
                            Maternity leave




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                                                                                         APPENDIX D
                                                                                             (Appendix 2)

                                              Not Protectively Marked                      Form 969


                   PERSONAL FILE TRANSIT FORM - POLICE OFFICERS/STAFF

TO: HR MANAGER…………………….B/OCU                                        FROM: ……………………….B/OCU


DATE: (enter year in full)……………………………………………
_______________________________________________________________________________

DETAILS OF POLICE OFFICER/MEMBER of POLICE STAFF;                             Security Seal No.

Surname:……………………………………..                                      Forename(s):………………………………


Rank/Band:……………………………………                                      Warrant/Pay No…………………………

ATTACHMENTS and ENCLOSURES (please tick box as applicable);

Sickness Management File:                              Annual Leave Card/CARMs Printout:

PDR (Current):                                        Rent Aid/Housing Allowance Form 720:

Driver Record Form 499B:                              Private Motor Vehicle Authorised User Form 497:

Others: (please specify).
_______________________________________________________________________________

THE ATTACHED PERSONAL FILE HAS BEEN SENT TO YOU DUE TO THE FOLLOWING: (A, B or C,
please tick as applicable)

A)                File Requested by: ………………………………………………………………………………


_______________________________________________________________________________

B)                Transferred to: ………………………….B/OCU on: (please enter date)……………………


_______________________________________________________________________________


C)                Service with the MPS ceased on: (please enter date) ……………………………due to:

                              Resignation;
                              Required to Resign;
                              Dismissal;
                              Retirement;
                              Transferred to a Home Force;
                              Died on Duty / In Service;
                               (Delete as applicable)




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                                                                                  APPENDIX D
Continue on next page:

                              PLEASE SIGN AND RETURN THE RECEIPT BELOW


TO: HR MANAGER…………………….B/OCU                                    FROM: ……………… B/OCU


I ACKNOWLEDGE RECEIPT of the PERSONAL FILE for:
(Add details of police officer/member of police staff)


                           Surname:……………………………………..
                                 Forename(s):…………………………


Rank/Band:……………………………………                                 Warrant/Pay No…………………………

______________________________________________________________



Signed:……………………………………….                                  B/OCU: ………………………………



Print Name:…………………………………                                 Date: (enter year in full) ………………




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                                                                                 APPENDIX D
                                                                                   (Appendix 3)
                              *Death On Duty / In Service Pro-forma
                                            (*Delete as necessary)
 Name:


 Rank/Band:                            Warrant No/Pay No:


 Length of                             Age:                           Date of
 Service:                                                             Death:

 Provide a brief summary
 of the circumstances
 surrounding the death.

 Reference Nos:
 (CAD, CRIS etc)

 Next of Kin:                                                 Tele.No:
 Relationship:                                                Address:
 Occupation:

 Contact Officer:                                             Contact
 (Family Liaison                                              Details:
 Officer)

 Line Manager:                                                Contact
                                                              Details:

This pro-forma applies to police officers/special constables and police staff.

Once completed this pro-forma must be placed at the beginning of the Personal File.

The front cover of the Personal File must also be marked ‘DECEASED’.

To Note:
Death On Duty:
    Where a police officer/special constable/member of police staff dies or is killed whilst in
      the execution of their duty.
    Where a police officer/special constable dies or is killed whilst travelling to and from their
      place of work.

Death in Service:

      Where a police officer/special constable/member of police staff dies or is killed whilst not
       in the execution of their duty.




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