B21 Records Management

1. Security protective marking

1.1 Not protectively marked.

2. Summary of changes

2.1 The following changes have been made to this policy on 17th June 08:

• This policy was first introduced on 17th June 08

2.2 This policy is scheduled for full review in June 2011.

3. Introduction

 
3.1.  The purpose of this policy is to ensure that all Kent Police staff and other users of Kent Police records understand what they must do to protect and manage Kent Police records effectively, efficiently and economically.

3.2.  This policy is supported by a set of records management standards, which are mandatory across Kent Police. These standards will be used to:

• Specify requirements for common tools and processes for managing Kent Police records (implemented as part of the records management Programme).
• Measure compliance of existing and evolving Area/Departmental records management practices.
• Identify and promote best practice.
• Support the increased use of electronic records in order to obtain operational benefits without introducing additional risks.
• Comply with Kent Police’s Information Resource Strategy.

3.3.  Kent Police’s records management policy and standards are based on ISO/DIS 15489, the International Standard for records management. The development of working procedures for the day-to-day management of records remains the responsibility of each Area/Department.

3.4.  This document replaces existing Kent Police records management policy.

 

4. Scope 

 
4.1.  This Policy, together with the associated standards, applies to the management of records, in all technical or physical formats or media, created or received by Kent Police in the conduct of its business activities.

4.2.  Although not an exhaustive list, examples of items that can constitute records include:

• Documents (including written and typed documents and annotated copies)
• Computer files (including word processor files, databases, spreadsheets and presentations)
• Electronic mail messages
• Diary records
• Fax messages
• Brochures and reports
• Intranet and Internet Web pages
• Forms
• Seized evidence
• Audio and video tapes, including CCTV
• Microfiche and microfilm
• Maps and plans
• Photographs

 

5. Applicability 

5.1.  This policy and the associated standards apply to all permanent and temporary employees, contractors, consultants and secondees who have access to Kent Police records, wherever these records are located.

5.2.  Failure to comply with this policy may lead to disciplinary action being taken. It may also leave you liable to prosecution under applicable legislation.

 

6. Benefits of records management (not an exhaustive list)

 
6.1.  Adherence to efficient records management practices will enable Kent Police to meet its statutory objectives and overall business responsibilities as a leading police force. Whatever the record media, knowledge and information must be protected, accurate, ordered, complete, useful, up to date and accessible whenever it is needed to:

• Facilitate the business of Kent Police.
• Ensure compliance with relevant legislation (see section 7 below).
• Facilitate informed decision making at all levels and locations.
• Ensure that precedents are identified accurately.
• Support continuity and consistency in management and administration.
• Protect the rights of employees, stakeholders, clients, legal entities and the general public.
• Provide an audit trail to meet business, regulatory and legal requirements.
• Ensure that Kent Police operates effectively as a prosecuting authority and meets its lawful obligations with regards to the disclosure of evidence.
• Provide an historical perspective.

 

7. Kent Police Environment 

7.1.  The environment in which Kent Police operates consists of:

a) Statute and case laws, and regulations governing the business environment in which Kent Police operates. These include, but are not limited to:

• Data Protection Act 1998
• Freedom of Information Act 2000
• Criminal Justice Act 1988
• Civil Evidence Act 1995
• Regulation of Investigatory Powers Act 2000 (RIPA)
• Companies Acts 1985, 1989
• The Human Rights Act 1998

b) Mandatory standards of practice, for example Management of Police Information (MoPI) and Legislative requirements.

c) Voluntary codes of best practice, for example the Lord Chancellor’s Code of Practice on the Management of Records Under Freedom of Information.

d) Voluntary codes of conduct and ethics. These include, but are not limited to:

• Kent Police Vision and Values
• Kent Police Code of Conduct (Conflicts of Interest, Acceptance of Gifts and Hospitality)
• An expectation of the community about what constitutes acceptable behaviour for Kent Police.

 

8. Kent Police records management policy statements

 
8.1.  Kent Police will comply with all relevant legislation and aim to achieve standards of best practice, including adopted principles deriving from such recognised bodies as the British Standards Institute (BSI) and the International Organization for Standardization (ISO).

8.2.  Kent Police will ensure that proper records management training, equipment and facilities are provided, as well as recruiting and training good quality staff (such as by establishing professional development and induction training programmes).

8.3.  Kent Police will review criteria for record management on a regular basis, to ensure applicability and that it complies with best practice and is amended to maintain relevance

8.4.  The Kent Police will provide a framework for supporting standards, procedures and guidelines and indicate the way in which compliance with the policy and its supporting standards, procedures and guidelines will be monitored.

 

9. Roles and responsibilities 

9.1.  Kent Police is the owner of all records created by employees in the course of carrying out Kent Police business related activities. This also applies to contractors/consultants/agents working on behalf of Kent Police on Kent Police business unless ownership is retained by the originator (e.g. seized evidence), records received by Kent Police employees are also owned by Kent Police. Individual employees do not own records but they do have responsibilities for managing records as an integral part of their jobs.

9.2.  This policy describes the roles and responsibilities for managing records within Kent Police.

 

10. Executive responsibility 

10.1.  Chief Officers have overall executive responsibility for Kent Police’s records management policy and standards and for supporting the application of the policy and standards throughout the organisation.

 

11. Records management team responsibilities 

 
11.1.  The Records Management Team (RMT) has the following responsibilities.

11.2.  The RMT is responsible for ensuring that the records management policy and standards are kept up-to-date and relevant to the needs and obligations of the organisation, through a process of consultation across the organisation.

11.3.  Changes to policies and standards will be agreed at the appropriate level.

11.4.  The RMT is responsible for communicating the records management policy and standards within the organisation and for ensuring that all staff are aware of their responsibilities for managing records.

11.5.  The RMT is responsible for providing records management advice and guidance to line managers, or their delegated records management staff.

 
11.6.  The RMT is responsible for ensuring that all Kent Police functions are aware of their records management responsibilities under Data Protection and Freedom of Information legislation and monitoring compliance with these obligations.

11.7.  The RMT is responsible for managing the contract for the offsite storage of hard copy records and the associated processes and infrastructure.

11.8.  The RMT is responsible for obtaining decisions regarding the management of records for which there is no clear Divisional responsibility.

 

12. Line management responsibility 

 
12.1.  Business Managers/Chief Officers are responsible for the development and operation of records management procedures, covering both electronic and hard copy media, that:

• Are efficient / fit for purpose; and
• Comply with Kent Police’s records management policy and standards
• Ensuring that appropriate resources exist within Areas/Departments for fulfilling the responsibilities for managing records;
• Communication of Area/Departmental records management procedures;
• Quality assurance of Area/Departmental records management processes and procedures;
• Ensuring that procedures for the offsite storage of hard copy records are followed.

12.2.  These responsibilities may be devolved to Departments where appropriate and/or to Area/ Departmental Records Management Teams where these exist.

 

13. Responsibility for project records 

13.1.  Records relating to projects, which involve two or more Areas (‘horizontal projects’) are the responsibility of the project manager. Project managers are responsible for:

• Identification of project related records and liaison with relevant Areas/Departments to ensure that project records are managed efficiently and comply with Kent Police’s records management policy and standards
• Ensuring that appropriate resources exist within the project for fulfilling the responsibilities for managing records;
• Quality assurance of records management processes and procedures within the project;
• Ensuring the appropriate disposition of project records.

 

14. Responsibilities of individuals 

14.1.  Everyone who creates or receives records has a responsibility to follow Kent Police and Area records management procedures.

14.2.  This responsibility may be delegated, for example to administrative staff or Area/Departmental Records Management Teams, where these exist.

 

15. Monitoring and auditing 

15.1.  Where it is relevant to an Internal Audit or Quality Assurance review compliance with Kent Police records management policy and standards should be included in the review.

16. Standards 

16.1.  View the standards for record management.

17. Retention and disposal of records

17.1. Documents mentioned in the above policy will be retained for the period specified in the disposal schedule.

18. Equality impact assessment

18.1. This policy has been assessed with regard to its relevance to race and diversity equality. As a result of this assessment the policy has been graded as having a low potential impact.

 

18.2. Attached is the latest equality impact assessment that forms part of the policy review process