Records Management Best Value Review (RMBVR) implementation update

Report: 4
Date: 22 April 2004
By: Commissioner

Summary

This report provides a summary of progress towards achieving the improvements in records and information management detailed in the Records Management Best Value Review (RMBVR). It details progress since the commencement of the Implementation Plan in September 2002 and provides a summary of benefits and costs against those predicted in the Improvement Plan. The report includes a review of work to progress electronic document and records management (EDRM) and proposes a revised approach and timetable in the light of the findings from a feasibility study.

A. Recommendations

That

1. the costs and realised benefits arising from the implementation of the recommendations be noted;
2. members approve the changes to the Implementation Plan detailed in this report in respect of the business case for technology to support the management of electronic records; and
3. members receive reports on the remaining activity to be delivered from the RMBVR Improvement Plan at six monthly intervals.

B. Supporting information

1. The Records Management Best Value Review presented a Final Report to the then Finance, Planning and Best Value Committee on 29 May 2002. The recommendations contained in that Improvement Plan were accepted and approved for implementation.

2. Implementation commenced in September 2002 and the Implementation Plan was managed under the Freedom of Information Act Compliance (FOIAC) Project, reflecting the fact that records management improvement is critical to ensuring compliance with the Freedom of Information Act from January 2005. From April 2004, the remaining activity arising from the recommendations of the RMBVR will be progressed under the Information Management Business Change Programme (IMBCP). This Programme will now drive the RMBVR Improvement Plan as one of several activity strands addressing wider information management issues, including data quality, information security and e-policing.

3. Continuity has been maintained between staff conducting the RMBVR and those charged with the implementation of its recommendations under the IMBCP.

Implementation plan

4. In May 2002, the RMBVR Final Report made seven recommendations to ensure improvement in MPS records management. It estimated the financial and non-financial benefits that could be achieved through the implementation of the recommended improvement activity. Whilst the general direction of improvement activity has not changed, the experience of implementation, further consultation and knowledge of significant MPS business change activity have required further review of the initial recommendations and Implementation Plan. Previous changes were reported to the PPRC meeting of 9 October 2003. A further change is proposed in relation to the delivery of a business case for EDRM technology. The high-level Implementation Plan is included at Appendix 1.

Relationship with Freedom of Information Act (FOIA) compliance

5. The Lord Chancellor’s Code of Practice for Records Management is issued under Section 46 of the Freedom of Information Act, 2000. Whilst not mandatory, the Information Commissioner is likely to examine adherence to this Code of Practice in the event of public complaint regarding MPS compliance with the FOIA. Whilst RMBVR implementation has continued, a wider range of information management improvement activity is now progressing under the Information Management Business Change Programme. Members are to receive a report on MPS FOIA compliance at the Full Authority meeting of 29 April 2004.

Implementation costs

6. The implementation of recommendations arising from the RMBVR continues to be delivered within existing resources. The improvements delivered to date arise from changes to records management processes both in Records Management Branch and the MPS OCUs and Branches.

7. The cost of staff time (opportunity cost) allocated to RMBVR improvement activity for 2004/05 is estimated at £55,000. This represents the time allocated to implementation activity by existing staff on the FOIAC Project Team.

Revised benefits summary

8. Appendix 2 provides a summary of realised and projected benefits arising from the implementation of recommendations against those predicted in the initial Improvement Plan (May 2002). Commentary on progress and benefits is provided under the relevant Activity Strand in the Progress Summary section of this report.

9. The RMBVR proposed a range of activity intended to deliver financial and non-financial benefits. The initial realisation of benefits has focused upon the reduction of unnecessary holdings of paper files. In 2004/05, and subsequent years the benefits focus moves towards savings in the cost of information retrieval and the improved ability to retrieve documents in response to civil litigation. Measures of staff time taken to retrieve information and compensation costs arising from failures to retrieve documents are being further developed to support the tracking of benefits.

10. Anticipated benefits have not been realised at the rate predicted owing to additional work required to establish the Information Manager role and review, update and extend the MPS Retention and Disposal Schedule. Anticipated benefits have been re-profiled to reflect this additional work. The work of staff in the Information Manager role and their support by the Directorate of Information are recognised as being critical to the ongoing delivery of savings in staff time, accommodation and compensation costs. The Information Manager role has provided a mechanism to implement best practice in information management and achieve benefits more rapidly.

Progress summary

Activity Strand 1 (Recommendation 1)

Information Management Professional Development

Activity

• To establish the role of Information Manager in the MPS;
• To establish an Information Management function in the Directorate of Information;
• To establish a Professional Development Programme for Information Managers;

This improvement recommendation has been implemented.

11. An Information Management function was established in the Directorate of Information in January 2003. This business area now encompasses work related to information governance, business change, the provision of services and compliance with information policy and legislation. It includes the functions and responsibilities of the MPS Departmental Records Officer (DRO), Data Protection Officer (DPO) and Information Security Officer (ISO). It provides the lead for MPS data protection policy and access, and will provide similar functions for Freedom of Information upon commencement of the general right of access on 1 January 2005.

12. The Information Manager role has now been firmly established within the MPS. Some 70 posts have been created and staffed within existing resources. Through the migration of many existing staff from the System Administrator role, this activity has contributed to the realisation of benefits from centralised system administration under AWARE and minimised growth required to support FOIA compliance.

13. A formal Information Management Development Unit (IMDU) became operational in January 2004 and supports the ongoing professional development of Information Managers. Information Managers are managed locally, but professional development, policy and standards are provided through the IMDU in the Directorate of Information. A Training Needs Analysis is current, leading to a full Professional Development Programme for staff in this role during April 2004.

14. This activity reflects the original RMBVR vision of a new information management specialism in the MPS. It provides professional expertise in all OCUs and Branches across the fields of records management, information security and relevant legislation including the Freedom of Information and Data Protection Acts.

Activity Strand 2 (Recommendations 2, 3 and 6)

Paper Record Management

Activity

• To reduce the volume of paper records held in local and central archives;
• To reduce the volume of paper records entering local and central archives;
• To align MPS records retention policy with business requirements;
• To align corporate record registration policy with business requirements;

These improvement recommendations have been implemented

15. Activity to reduce the volume of paper records held in storage has been focused on the central repository. This has reduced storage costs resulting from charges now imposed by the external provider for the storage and movement of files. Between September 2002 and February 2004, this activity has resulted in a reduction of 10% in the volume of records held in the repository. This results in an estimated reduction of £24,000 (cashable) per annum from the commencement of the external storage on 9 February 2004. Following the transfer of records, further reviews of holdings against usage are being undertaken. It is estimated that this work will deliver a further 5% reduction against the baseline archive level at September 2002.

16. A new process for registering and weeding archived crime files was implemented across all Criminal Justice Units in May 2003. This has resulted in a reduction of some 33% in the volume of paper being retained centrally as part of crime case files. This revised process also reduces the volume of archived material in local storage at the BOCUs, and achieves savings in staff time in CJUs and the Records Management Branch. These process changes and their associated benefits have been evaluated by Internal Consultancy Group.

17. A review by Records Management Branch of existing record retention policy has resulted in the publication of the MPS Corporate Schedule for Record Retention and Disposal during March 2004. The implementation of this Schedule results in better alignment between record retention and business requirements. This provides a clear policy on record retention for MPS staff and the public, and will prompt further disposal of unnecessary material. The Schedule will now be developed prior to 1 January 2005 through the MPS Information Survey now taking place. Both the Survey and the Schedule are being pursued as part of the Information management Business Change Programme.

18. Activity to increase awareness of the registered file registration system has resulted in an increase in the number of files being centrally registered in accordance with existing policy. This is increasing the amount of information available to staff and reducing the risk that critical records for vetting remain beyond retrieval.

Activity Strand 3 (Recommendation 4)

Paper Record Storage

Activity

• Provision of an external storage capacity for the storage of low-use paper record categories;
• The provision of a central MPS archive for higher-use, paper record categories

This improvement recommendation has been implemented.

19. This recommendation has been progressed as part of the Hayes PFI Project to determine the future storage arrangements for paper records held at the MPS Repository at Hayes in Middlesex. The Review recommended that external storage be considered for low-use record categories.

20. Work to transfer low-use records to an external provider has now been completed. High-use record categories have been transferred to the new MPS record repository at Hendon. The external provider took over responsibility for the storage of MPS records in February 2004.

21. Activity under this recommendation is now complete and monitoring will continue within Records Management Branch to ensure that predicted benefits are realised and ensure that the high-use file categories remain in MPS storage.

Activity Strand 4 (Recommendation 5)

Technology Support

Activity

• Extension of the Records Management System (RMS) to OCUs and Branches;
• The development of a business case and strategy for EDRM implementation in the MPS;

RMS Roll-Out – This recommendation has been implemented

22. The Records Management System (RMS) has now been rolled out to all Borough OCUs together with Child Protection Teams. Further training is being provided at the request of OCU and Branch based staff up to the end of April 2004. This roll-out allows staff to conduct searches on the database of registered files, and to order files when required locally.

23. This search and order function was previously undertaken by staff employed in the registration section of the Records Management Branch (RMB) based at Wellington House. It involved the receipt of phone, facsimile and more recently, e-mail requests that were then searched on the RMS database. Handwritten faxes and phone calls required ongoing and costly quality assurance to minimise errors. The service was also only available during office hours.

24. In March 2004 some 60% of searches conducted on the RMS were undertaken by staff in OCUs and Branches compared with only 16.5% in October 2003. This activity has increased access to information held on registered files and is resulting in increased knowledge, and use, of the registered file system as a key preparation for FOIA compliance. Whilst full analysis of staff time saved in RMB is not available, based on the experience of the Haringey pilot, it is estimated that the non-cashable savings are in the region of at least £75K per annum.

Business case for EDRM – This recommendation has not been implemented

25. The RMBVR recommended the development of a business case for an Electronic Document and Records Management System (EDRMS) as part of a strategy to move the MPS away from paper archives and towards the electronic primary record. A feasibility study was conducted between July and October 2003. This study examined industry experience of implementing EDRM. Related work has examined systems for records management in jurisdictions that have had FOI legislation for many years, including Australia and the United States. The findings of these studies indicate that:

• The development of a corporate File Plan and associated record management disciplines must be in place before any implementation of technology for EDRM;
• The implementation of a corporate File Plan covering all record types will require significant business change
• There are few organisations of the scale and complexity of the MPS that have successfully implemented EDRM systems;
• The costs of EDRM are substantial and require a long-term view.

26. The current MPS File Plan is restricted to a limited range of record types based mainly upon the system of registered files administered by Records Management Branch. Work is in progress to develop and pilot an MPS File Plan that has the potential to capture all record types produced in the organisation. This work is being managed through the Information Management Business Change Programme.

27. The FOIA is a significant driver for the development of standard File Plans across the police service. PITO is now directing work to achieve common standards for record classification. This work is scheduled to complete in December 2004.

28. The MPS is facing significant business change between April 2004 and April 2006 arising from the implementation of C3i, NSPIS Case and Custody and the National Intelligence Model (NIM).

29. In view of the issues raised to date, it is proposed that the development of an electronic document and records management capability be pursued as follows:

• The development and implementation of an MPS corporate File Plan to cover all record types across a range of formats;
• The procurement of appropriate technology to support the staged implementation and use of the corporate MPS File Plan.

30. The MPS File Plan will be developed by December 2004 in line with national work. Recommendations of its implementation and any supporting technology will be available through work in the same timescale.

Activity Strand 5 (Recommendation 7)

Performance Management

Activity

• Provision of performance information for records management (including cost);
• The design and implementation of information management inspection regime;

This improvement recommendation awaits full implementation

31. The archive inspection programme undertaken previously by Records Management Branch has now ceased. This will result in staff savings estimated at £30,000 per annum from 2004/05 (non-cashable). This activity now forms part of a corporate self-inspection process to be supported by the Information Manager role. The savings in staff time are being realised in increased record review and disposal activity in the Records Management Branch.

32. Baseline data on the costs of information retrieval have now been obtained following activity analysis conducted in OCUs and Branches. This data is being developed as a primary indicator of improvements in record/information retrieval and consequent savings in staff time. Activity analysis now conducted at four BOCU sites indicates that some 7.5% of staff time in support roles is concerned with the filing and/or retrieval of information. This baseline will be checked using data from a larger sample of OCUs, available in May 2004. Data from this activity analysis will thereafter form a key indicator of benefits realised under the RMBVR and related information management improvement activity.

33. Progress on a costing model for the allocation of record storage costs to OCUs and Branches will now commence following the agreement of charges under the PFI contract. Work to allocate the costs of information storage requires a clear framework for information ownership. This work is therefore now linked with that on information ownership under the Information Management Business Change Programme.

Information Management Business Change Programme

34. This MPS programme of business change includes all activity currently being pursued to achieve business benefits and reduce strategic risk through the improved management of recorded information. It includes current activity to review retention policy, document and maintain an inventory of all information holdings (Information Survey and Directory) and ensure compliance with the FOIA.

C. Race and equality impact

1. A Performance Needs Analysis (PNA) is currently being undertaken to assess the training and development needs of staff in the Information Manager role. This is a new community of staff and early action is being taken to monitor its diversity and assess which elements of the role have equality and/or diversity implications, for example, protocols for information sharing and public access to information under FOIA. Related work under the FOIA Compliance Project is ensuring that new processes result in equality of access to information across all communities.

2. Work is ongoing to equip staff in the Information Management Development Unit (IMDU) with the necessary skills and awareness to monitor and escalate issues of equality and diversity that arise in the composition or work of the Information Manager group.

3. The equality issues that arise from the re-deployment of staff under the Hayes PFI have been separately addressed under that Project.

D. Financial implications

The implementation of recommendations arising from the RMBVR is being progressed by staff allocated from within existing resources.

E. Background papers

• RMBVR Final Report and Improvement Plan, May 2002 (not circulated)
• RMBVR Implementation Plan, September 2002 (not circulated)
• Information Management Business Change Programme (not circulated)

F. Contact details

Report author: Superintendent David Chinchen, MPS.

For more information contact:

MPA general: 020 7202 0202
Media enquiries: 020 7202 0217/18

Appendix 1

Revised high level implementation plan

Activity Strand 1 (Recommendation 1)Information Management Professional Development

Information Management Professional Development

Activity Strand 2 (Recommendations 2, 3 and 6)

Paper Record Management

Activity Strand 3 (Recommendation 4)

Paper Record Storage

Activity Strand 4 (Recommendation 5)

Technology Support

Activity Strand 5 (Recommendation 7)

Performance Management

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