Records Management Best Value Review (RMBVR) implementation update

Report: 11
Date: 4 November 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. It proposes changes to two areas of activity forming part of the original RMBVR recommendations.

A. Recommendations

That

1. the costs and realised benefits arising from the implementation of the recommendations be noted;
2. members approve the revisions to recommendations 5 and 7 of the RMBVR as detailed in this report; and
3. receive reports on the remaining benefits arising 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. 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. Continuity has been maintained between staff conducting the RMBVR and those charged with the implementation of its recommendations under the IMBCP.

Implementation plan

2. In May 2002, the RMBVR Final Report made seven recommendations to improve MPS records management. The financial and non-financial benefits sought from these improvements were outlined in the initial Improvement Plan (Appendix 1).

3. Whilst the general direction of improvement activity has not changed, the experience of implementation, coupled with further international research and significant MPS business change activity have required ongoing review of the recommendations and target benefits.

4. This is particularly the case with the MPS approach to developing a capability for the electronic management of records. This revised approach is detailed in this paper.

5. Whilst the majority of the activity planned within the RMBVR recommendations is now complete, a wider range of information management improvement activity is progressing under the IMBCP. This change is increasingly reliant upon the information management professional specialism developed as a result of the RMBVR.

Implementation costs

6. Activity to implement the recommendations arising from the RMBVR has been undertaken 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. 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. 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.

10. In 2003/04 the realisation of benefits has focused upon the reduction of unnecessary holdings of paper files and process improvements in file registration. 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.

11. Central to the realisation of cashable benefits was the impact that paper record archiving and improved retrieval would have upon the response to damage claims. A 10% reduction in the payments arising from civil claims was sought given the research into the impact of document retrieval upon case defence by legal services and the Civil Actions Investigation Unit. The current report shows an improved position in that 4% of the 305 litigation cases handled between May 2003 and October 2004 have document retrieval issues.

12. Several indicators show significant improvement in the local archiving and central registration of files. However, it is recognised that the time lag inherent in civil actions will result in the delivery of benefits in timescales beyond those originally estimated. This benefit has now been re-profiled to reflect this revised assessment.

13. 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. Data from this activity analysis will thereafter form a key indicator of benefits realised under the RMBVR and related information management improvement activity.

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.

14. 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.

15. The Information Manager role has now been firmly established within the MPS. Some 80 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. This benefit amounts to some £720K p.a. in non-cashable savings.

16. 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. Training has been delivered in four phases between April and October 2004. Networks and supporting events have been established and work is current to develop links with relevant external professional bodies.

17. 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

18. 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 a reduction of £25,000 p.a. (cashable) 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.

19. 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. Internal Consultancy Group has evaluated these process changes and their associated benefits.

20. The existing MPS Retention and Disposal Schedule has now been reviewed and extended. Three versions have been published between March and October 2004 with a final version scheduled for December 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 has prompted further disposal of unnecessary material. The current MPS Information Survey is acting to further refine this Schedule. Both the Survey and the Schedule are being pursued as part of the IMBCP.

21. Activity to increase awareness of the registered file registration system and enforce compliance with existing policy has resulted in an increase in the number of files being centrally registered and stored. This is increasing the amount of information available to staff and reducing the risk that critical records for vetting remain beyond corporate retrieval and/or at risk of loss or damage.

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.

22. 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.

23. 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.

24. Activity under this recommendation is now complete and monitoring will continue within Records Management Branch to realise predicted benefits 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
• A business case for technology to enable electronic records management in the MPS

RMS roll-out – This recommendation has been implemented

25. The Records Management System (RMS) has now been rolled out to all Borough OCUs together with Child Protection Teams. Some 800 staff now have the capability to conduct searches on the database of registered files, and to order files when required locally.

26. This search and order function was previously undertaken by staff employed in the registration section of the Records Management Branch (RMB). 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.

27. In October 2004, some 80% 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. Staff time saved in RMB amounts to non-cashable savings of £75K p.a.

Business Case – This recommendation has not been implemented

28. The RMBVR recommended the development of a business case for technology to enable electronic records management in the MPS. A feasibility study was conducted between July and October 2003. This study examined industry experience of implementing appropriate technology. 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;
• The implementation of a corporate File Plan and associated records management disciplines will bring substantial benefits in the absence of substantial investment in technology;
• 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 technology to support the electronic management of records;
• The costs of such technology are substantial and require a long-term view.

29. The MPS File Plan has now been developed and is under pilot in several areas of the MPS. It is being applied in the AWARE desktop environment where staff are weeding and re-organising files in shared areas. Early results from these pilots show some 75% reduction in file storage. With growth rates of 125% p.a. in electronic storage requirements, this activity has the potential to produce cashable savings of £250K p.a. in the purchase of electronic storage capacity for the MPS.

30. The MPS is facing significant business change between April 2004 and April 2006 arising from the implementation of C3i, NSPIS Case and Custody, the National Intelligence Model (NIM), Safer Neighbourhoods and CJ Improvements under Operation Emerald.

31. In view of the issues raised to date, it is proposed that the original approach recommended to the authority be revised and activity pursued within the IMBCP 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.

32. The MPS File Plan will be developed by December 2004 in line with national work. Recommendations on its implementation and any supporting technology will be available by January 2005.

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 recommendation has been implemented

33. The archive inspection programme undertaken previously by Records Management Branch has now ceased. This results in staff savings estimated at £30,000 per annum from 2004/05 (non-cashable). This activity now forms part of the corporate High Risk Self Review Programme of inspections, supported by the Information Manager role. The savings in staff time are utilised in record review and disposal activity in RMB.

34. Performance information on the registration of files is now available and is being used to support improvement activity by staff in OCUs, including Information Managers. The original recommendation required consideration of a costing model to allocate the cost of paper records storage to OCUs and Branches. This proposal has now been examined using charges available through the out-sourced storage contract. It is viewed to be both unnecessary and a potential disincentive to the retention of valuable records. Adequate mechanisms for support and compliance with policy are now available through the Information Managers.

Information Management Business Change Programme (IMBCP)

35. 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 Private Finance Initiative (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
• RMBVR Implementation Plan, September 2002
• Information Management Business Change Programme
• MPS File Plan

F. Contact details

Report authors: Superintendent David Chinchen

For more information contact:

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

Appendix 1: Revised high level implementation plan

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