This instruction applies to:- / Reference:-
Providers of Probation Services / PI 59/2014
Issue Date / Effective Date
Implementation Date / Expiry Date
14 July 2016(Revised) / 24 October 2014
Issued on the authority of / NOMS Agency Board
For action by / All staff responsible for the development and publication of policy and instructions
NOMS HQ
Public Sector Prisons
Contracted Prisons*
NOMS Immigration Removal Centres (IRCs)
National Probation Service (NPS)
Community Rehabilitation Companies (CRCs)
Other Providers of Probation and Community Services
Governors
Heads of Groups
NOMS Rehabilitation Contract Services Team
* If this box is marked, then in this document the term Governor also applies to Directors of Contracted Prisons
Instruction type / Service improvement/ Legal compliance
For information / All NPS and CRC staff
Provide a summary of the policy aim and the reason for its development / revision / Update July 2016:The purpose of this revised instruction is introduce two exceptions where information should not be held on nDelius. It also pulls together relevant processes that were originally released as stand-alone documents into Annexes of the instruction. Lastly, it provides clarity within the wording of the main body, particularly removing words or sentences that were either not necessary or not appropriate. Overall, this revision should support a greater level of compliance to the aims of the original PI 59/2014.
The aim of the original PI 59/2014 was to move towards one version of Offender Records, which would be held on nDelius. It mandated actions to be completed at key points in the management of offender records, particularly at Termination stage. It enabled NOMS to hold offender records in paperless archive.
Contact / Information Management & Security
Digital & Change Directorate, NOMS
0300 047 6590 /
Associated documents / PI 18/2014 Information Assurance Policy
PI 19/2014 IT Security Policy
PI 28/2014 Archiving, Retention and Disposal Policy
PI 07/2014 Case Transfers: for offenders subject to statutory supervision either pre-release from custody or whilst completing an order or licence
PI 05/2014 Case Allocation
PI 08/2014Process for Community Rehabilitation Companies to refer cases in the community to National Probation Service for Review Risk/Escalation Review
PI 18 2014 Information Assurance Policy
PI 61/2014 The Data Protection Act 1998, Freedom of Information Act 2000, Environmental Information Regulations 2004
Target Operating Model
nDelius Case Recording Instructions
Data Exchange Requirement
IT Strategic Partner Gateway
Replaces the following documents which are hereby cancelled:
Audit/monitoring:Mandatory elements of instructions must be subject to management checks (and may be subject to self or peer audit by operational line management), as judged to be appropriate by the managers with responsibility for delivery. In addition, NOMS will have a corporate audit programme that will audit against mandatory requirements to an extent and at a frequency determined from time to time through the appropriate governance.
Introduces amendments to the following documents: None
NOTES: All Mandatory Actions throughout this instruction are in italics and must be strictly adhered to.
PAGE 1
CONTENTS
Section / Subject / For reference by:1 / Executive Summary / All Staff
2 / Operating Instructions
3 / Policy and Strategic Context
Annex A / Inactive Offender Record Retrieval Process
Annex B / Record Retrieval Request Form
Annex C / Uploading Documents to National Delius
Annex D /
Record Retention and Disposition Schedule – Offender Records
Annex E / Terminated Case – Paper Record Weeding List1.Executive summary
Background
1.1Updates
The following updates have been introduced in this policy:
a)Sections 1 and 2 – Minor textual changes throughout to aid clarity
b)1.2 – Removal of reference to “re-conviction” as a purpose to provide neutrality for all situations. Removed opening sentence regarding NPS/CRC split as now well understood
c)1.5 – Inclusion of Local Information Managers as key audience
d)1.6 – Added titles as responsibility for mandatory actions
e)1.12 – This sentence was an Action in original PI 59, but not identified in this Mandatory Actions section – therefore not a new requirement, but a consistency correction in the document
f)2.2 – Addition of an effective date to acknowledge requirements introduced by PI 59/2014
g)2.3 – Removal of reference to timescales as this was inaccurate
h)2.5 – Removal of reference to timescales as this was inaccurate
i)2.6 – Removal of reference to the DER (Data Exchange Requirement) as this is irrelevant to this sentence
j)2.9 – New paragraph detailing an exemption to paragraph 2.7
k)2.14 – Sentence relating to CRC need for information post-termination removed as this is inaccurate and conflicts with future intended work
l)Annex A – Inclusion of the Record Retrieval Process – previously authorised and issued by the NPS Business Development Team alongside the original PI 59/2014.
m)Annex B – Inclusion of the Record Retrieval Request Form (same reason as previous)
n)Annex E – Inclusion of the Paper Record Weeding List (same reason as previous)
1.2The NPS will have responsibility for storing offender records in archive, and retrieving records from its archives. This Instruction sets out new procedures for the management of offender records. It specifically mandates actions to be completed at the point of transfer and/or termination of an offender record; the latter of which is defined as the completion of all elements of a sentence, including the period of licence and/or post-sentence supervision
1.3This Instruction outlines the process by which all offender records will be digitised over a period of time. This aligns with the wider Criminal Justice System Efficiency Programme of which the Ministry of Justice and the National Offender Management Service are part. The Efficiency Programme aims to improve the efficiency of criminal proceedings, reduce duplication between CJS agencies and remove the need for inefficient paper processes. The move towards paperless offender records directly supports this work.
Desired outcomes
1.4This instruction aims to ensure that:
- Common procedures are used to manage offender records at the point of transfer or at the point of termination
- Offender records contain only relevant and accurate information.
- The NPS moves towards paperless archives of offender records
Application
1.5This Instruction applies to all staff in the NPS and the CRCs, and in particular Offender Managers and Case Administrators and Local Information Managers who are required to read this Instruction so that they are familiar with and follow the correct processes and mandatory actions relating to the management of offender records.
Mandatory actions
1.6Information Asset Owners (as appointed in the NPS and CRC’s) or their delegated authority in the role of Information Asset Custodians must ensure the following Mandatory Actions:
1.7All offender records must be initiated and, at the appropriate time, terminated on nDelius
1.8An accurate offender record must be maintained at all times whilst a case is active.
1.9Hard and electronic copies of relevant documents must be uploaded to nDelius.
1.10Medical in confidence information must be stored in line with the Health Service Providers’ guidelines
1.11All offender records must be terminated on nDelius by the relevant case administrator when each element of the sentence, including periods of licence and/or post-sentence supervision has been delivered.
1.12All offender records are subject to the Data Protection Act 1998 (DPA), the Freedom of Information Act 2000 (FOIA) and the Public Records Act 1958 (PRA), and must therefore be processed in such a way to facilitate access in an accurate and timely manner.
Resource Impact
1.13The resource impact for this Instruction is contained within resource estimation for the changes of implementing the Rehabilitation Programme. The NPS and CRCs will have to manage offender records as part of their day-to-business. This Instruction mandates procedures at two key stages of managing offender records, i.e. at point of case transfer, and/or at point of termination.
1.14There will be some additional resources required for the NPS in order to digitise offender records as part of the retrieval process until such time that all offender records become electronic.
(Approved for Publication)
pp. Dean Osborn
Programme Director for Live Services & Information Security
Bryan Clark,
Director of Digital & Change, NOMS
2.Operational instructions
2.1This instruction will refer to active and inactive offender records.
- An active offender record is one in which there is a current ongoing activity, i.e. sentence, licence, and/or supervision period. An active offender record will be on the caseload of the NPS or a CRC.
- An inactive offender record is one in which all elements of the sentence, licence and/or supervision have been completed, and the event has been terminated by the Offender Manager or Case Administrator. All inactive offender records will be archived by and be the responsibility of the NPS.
2.2This Instruction does not apply to offender records terminated prior to 24 October 2014. Any offender records terminated prior to the implementation of the original Instruction – PI59/2014 - will be retrieved by the NPS from their archiveswhen the business need arise. Any paper documentation will be digitised and uploaded to nDelius by the NPS, within 5 working days of the case being allocated. Instructions for the retrieval of inactive records are at Annex A.
2.3All offender records must be initiated and terminated on nDelius. This does not preclude the development of other case management systems by CRCs. Any such developments should be made in line with the IT Strategic Partner Gateway, which will ensure that future IT case management systems will be able to populate the relevant fields within nDelius. Delius Case Recording Instructions and the Data Exchange Requirement list the mandatory fields in nDelius.
2.4An accurate offender record must be maintained at all times whilst a case is active. This will aid good communication and the timely transfer of information between the NPS and CRCs, and between CRCs. This in turn will facilitate effective decision making.
2.5The Authority need access to active offender records on the CRCs caseloads in order to meet their own statutory requirements relating to providing advice to sentencers at court, parole and risk management processes. The DER outlines which specific data is required by the NPS.
2.6There are legal requirements to retain information relating to the delivery of an offender’s sentence. Some of this is held in other IT systems such as OASys and IAPS.
2.7Allcopies of relevant documents must be uploaded to nDelius. This can be done by using the Integrated Word Processing(IWP)or Document Upload function in nDelius orby uploading a pdf file which can be stored in the relevant section of nDelius or as an appropriately named event, i.e. part of sentence or event and date such as “Approved Premise Residence July 2014” or “Complaint July 2014”. Any relevant offender information from a custodial part of a sentence, such as a pdf copy of the Basic Custody Screening Tool can also be uploaded to nDelius if necessary. Instructions for uploading documents can be found at Annex C. Documents that must be retained are listed in Annex E. Process maps for managing Offender records are published on the EQuiP system or available on request (contact details on covering page).
2.8The Offender Manager is responsible for ensuring that all relevant information is stored on nDelius for each part of a sentence, or event that occurs, including documentation relating to residence in an Approved Premise where applicable.
2.9MAPPA and Victim related documents are not to be uploaded or stored on nDelius, but instead stored as files in the electronic folder structure (shared drive).
2.10Medical in confidence information must be stored in line with the Health Service Providers’ guidelines.
2.11All offender records must be terminated on nDeliusby the relevant case administratorwhen each element of the sentence, including periods of licence and/or post-sentence supervisionhas been delivered.The record must be transferred to inactive at the end of Serious Further Offence Window, which is 28 days after the completion of the sentence.
2.12It is vital that the offender record is up-to-date at the point at which responsibility for the record transfers between organisations. This may occur when:
- a case transfers between CRCs in line with PI 07/2014 Case Transfers
- a case is transferred between the NPS and the CRC relating to risk escalation/de-escalation in line with PI 08/2014 Process for Community Rehabilitation Companies to refer cases in the community to National Probation Service for Review Risk/Escalation Review
- a case is terminated when all elements of the sentence, licence and supervision has been delivered.
2.13The NPS will have full access to all active and inactive offender records within their retention period (see Annex D). The CRCs will have full access to the active offender records on their own caseloads, restricted access to the NPS cases in which they are delivering an element of the sentence, and read-only access to these records when they become inactive. This will be managed by the implementation of Role Based Access Controls (RBAC) in nDelius.
2.14After completion of the Termination process, the NPS has sole responsibility for the archiving, retention and disposal of offender records. Management of such information should be undertaken in line with the procedures outlined in PI 28/2014 Archiving, Retention and Disposal Policy and Annex Dof this PI.
2.15If a reconviction takes place resulting in a sentence to be delivered by the provider of probation services, the case will be allocated by the NPS in line with PI 05/2014 Case Allocation. The new offender record will contain all the relevant archived documentation from previous sentences where this had been stored in hard copy.
3.Policy and strategic context
3.1All offender records are subject to the Data Protection Act 1998 (DPA), the Freedom of Information Act 2000 (FOIA) and the Public Records Act 1958 (PRA), and must therefore be processed in such a way to facilitate access in an accurate and timely manner. A consistent approach to the management of offender records will enhance legal compliance and business effectiveness.
3.2The Lord Chancellor’s Code of Practice on the management of records issued under s.46 of the Freedom of Information Act 2000 states that authorities should have in place a records management policy endorsed by senior management and made readily available to staff at all levels.
3.3This Instruction reinforces roles and responsibilities to support records management policy across the NPS, on behalf of the National Offender Management Service and the Ministry of Justice.It will facilitate compliance with NOMS’ obligations under the FOIA 2000, DPA 1998 and Public Records Act 1958 (PRA) by ensuring that the retention of records is carried out in line with a clearly established policy that has been formally adopted by the organisation.
3.4CRCsare their own data controllers and are individually accountable directly to the Information Commissioner under the provisions of the DPA. In relation to nDelius and other national ICT systems, the CRCs are joint data controllers with the NPS. This Instruction will support their obligations outlined in Schedule 19 of the contract between each of the CRCs and the Secretary of State.
3.5Retention of specific documents is necessary to support various business requirements and to comply with legislation. To destroy the offender records, or parts thereof, prematurely could have a significant impact on MoJ, NOMS, NPS and the CRCs. Equally to keep these records permanently or longer than is necessary could mean that MoJ, NOMS, NPS and/or the CRCs are acting unlawfully or in breach of their statutory duties, as well as creating unnecessary storage costs.
Annex A
INACTIVE OFFENDER RECORD RETRIEVAL PROCESS
This annex provides guidance on the retrieval and storage of offender and other archived NPS records. It provides the process to be followed for requesting archived records and covers requests made for both electronic and paper data. An Archive and Retrieval Process Map is included below.
Requests from the Data Access Compliance Unit (DACU) in relation to information requests made under the Data Protection Act (DPA), Freedom of Information Act (FOIA) or Environmental Information Regulations (EIR) to MoJ should be dealt with in line with DACU Probation Instruction PI 61/2014 The Data Protection Act 1998, Freedom of Information Act 2000, Environmental Information Regulations 2004.
This procedure has been developed to facilitate a retrieval and storage practice that will:
1. Enable a timely response to requests.
2. Ensure record indices are maintained and updated centrally.
3. Remove the inefficient reliance on the use of paper.
The guidance should be implemented in conjunction with this Probation Instruction on Management of Offender Records.
This guidance should also be read in conjunction with PI 18/2014 Information Assurance, PI 19/2014 IT Security, PI 28/2014 Archiving, Retention and Disposal Policyand PI 61/2014 The Data Protection Act 1998, Freedom of Information Act 2000, Environmental Information Regulations 2004.
1. Principle
A named Record Retrieval Requestor (RRR) will be identified in each NPS Division. A deputy will also be appointed and their contact information emailed to:
1.
2. The relevant central archive team:
- NPS Electronic Archive Requests/NorthEast/NPS
- NPS Electronic Archive Requests/NorthWest/NPS
- NPS Electronic Archive Requests/Midlands/NPS
- NPS Electronic Archive Requests/London/NPS
- NPS Electronic Archive Requests/Wales/NPS
- NPS Electronic Archive Requests/SouthEast/NPS
- NPS Electronic Archive Requests/SWSC/NPS
The RRR and deputy will be the requestor for all records and will liaise with the archive teams.
Mailbox
Seven functional mailboxes have been created (email addresses above), one in each of the NPS Divisions. Each Division will make retrieval requests via their allocated functional mailbox.
Archive team
The end-goal for the central archive team is to have staff located in each of the seven NPS Divisions who will be responsible for the retrieval and storage of electronic data. As an interim measure, the archive team will be based in the North East to allow more direct management while processes are embedded.
The archive team at Branston is responsible for the storage and retrieval of paper records.
Making a Request
Operational staff requiring access to an offender or corporate record should complete the Retrieval Request Form (Annex B below).
Section B of the Retrieval Request Form should be completed for corporate and other non-offender related retrieval requests.
The completed form should be given to the RRR or deputy who will email it to the central archive team as well as the archive team at Branston.