Records Management Policy

The Crown Office and Procurator Fiscal Service (COPFS) recognises that records are a valuable corporate asset and are essential to the delivery of our statutory functions, the administration of justice, and the preservation of public confidence in our organisation. COPFS is committed to the effective management of all records throughout their lifecycle, from creation and receipt through to retention, archiving and secure disposal, in accordance with legislative requirements and recognised best practice. The Public Records (Scotland) Act 2011 requires Scottish public authorities to maintain proper arrangements for the management of public records and to operate in accordance with an agreed Records Management Plan.

Effective records management enables COPFS to:

• Support operational efficiency and informed decision-making.
• Demonstrate accountability, transparency and integrity.
• Protect the rights and interests of victims, witnesses, staff and the public.
• Ensure compliance with legal, regulatory and business requirements.
• Preserve records of enduring administrative, evidential and historical value.

The purpose of this policy is to establish a framework for the creation, management, storage, retention and disposal of records held by COPFS and to ensure that records are managed consistently across the organisation.

This policy supports compliance with:

• Public Records (Scotland) Act 2011
• Freedom of Information (Scotland) Act 2002
• UK General Data Protection Regulation (UK GDPR)
• Data Protection Act 2018
• Environmental Information (Scotland) Regulations 2004
• Relevant Scottish Government and National Records of Scotland guidance.

All information received or generated by the COPFS will be subject to the conditions contained within this policy. For the purposes of this policy, data is classified as either case related or non-case related data.

COPFS will manage records in accordance with the following principles:

Records as corporate assets

Records created and received by COPFS are corporate assets that provide evidence of business activities, decisions, transactions and the exercise of statutory functions.

Information governance

Records will be managed in a manner that supports good governance, accountability, transparency and public trust.

Lifecycle management

Records will be managed throughout their lifecycle, including:

• Creation and capture
• Classification and storage
• Use and maintenance
• Retention and review
• Disposal or permanent preservation

Accessibility

Records will be maintained so that they remain accessible, usable and retrievable for as long as they are required for business, legal or historical purposes.

Security and protection

Records will be protected against unauthorised access, loss, destruction, alteration or disclosure through appropriate physical, technical and organisational controls.

Retention and disposal

Records will be retained only for as long as necessary and disposed of securely in accordance with approved retention schedules. Records identified as having permanent historical value will be preserved appropriately.

Relationship with National Records of Scotland

COPFS works closely with the National Records of Scotland (NRS) to ensure compliance with the Public Records (Scotland) Act 2011. As a named authority under the Act, COPFS is required to maintain and implement an agreed Records Management Plan (RMP), demonstrating that appropriate arrangements are in place for the creation, management, storage, retention, disposal and preservation of public records. NRS, through the Keeper of the Records of Scotland, has responsibility for reviewing and agreeing Records Management Plans and promoting good records management practice across Scotland's public sector.

COPFS values its ongoing relationship with NRS and is committed to working collaboratively to ensure that records management arrangements remain effective, proportionate and compliant with statutory requirements. This includes maintaining an up-to-date Records Management Plan, responding to recommendations and reviews, and identifying records of enduring historical value for transfer or preservation in accordance with agreed archival arrangements. Through this partnership, COPFS supports the long-term preservation of Scotland's public record and ensures that records remain accessible, authentic and reliable for future generations.

COPFS maintains approved retention and disposal schedules to ensure that records are retained for appropriate periods in line with operational, legal, regulatory and historical requirements. These schedules support the consistent management of records across the organisation and provide clear instructions on the retention, review, disposal and preservation of information.

COPFS currently maintains separate retention schedules for:

Case related records

Case related retention schedules govern records created in the course of COPFS's core prosecutorial and death investigation functions. These schedules cover records associated with criminal casework, deaths investigations, complaints against the police, specialist casework and other operational activities. Retention periods are determined based on legislative requirements, evidential needs, operational use, public interest considerations and historical value.

Case related records are reviewed and disposed of in accordance with approved retention rules, with selected records identified for long-term preservation where they are considered to have enduring historical, legal or research value.

Business related records

Business related retention schedules govern records that support the administration and management of COPFS. These include records relating to corporate governance, finance, human resources, procurement, estates, information technology, policy development, communications, audit and other business support functions.

Retention periods are established to ensure compliance with legal and regulatory requirements while supporting efficient business operations and minimising the unnecessary retention of information.

Disposal and preservation

All records will be disposed of securely and in accordance with approved retention schedules. Where records are identified as having historical or archival value, appropriate arrangements will be made for their preservation in accordance with COPFS records management procedures and archival requirements.

Access to retention schedules

The current Case Related Retention Schedule and Business Related Retention Schedule are available on the COPFS intranet and form part of the organisation's Records Management Framework.

COPFS Business Retention Schedules

COPFS Criminal and Investigative Retention Schedules

Staff must refer to the most recent published versions of the schedules when determining the retention, review or disposal requirements for records under their control.

Crown Agent and Chief Executive

The Chief Operating Officer has overall accountability for ensuring that COPFS maintains effective records management arrangements and complies with statutory obligations.

Records Management Manager

The Records Management Manager is responsible for:

• Developing and maintaining records management policies and procedures.
• Providing advice, guidance and training.
• Monitoring compliance with records management requirements.
• Maintaining retention and disposal schedules.
• Supporting Records Management Plan compliance.

The Records Review Team will also assist in supporting compliance with records management plan and principles.

Senior managers

Senior managers are responsible for ensuring that records management requirements are implemented within their areas of responsibility and that staff comply with this policy.

All staff

All staff are responsible for:

• Creating and maintaining accurate records.
• Managing records in accordance with approved procedures.
• Protecting information from loss, misuse or unauthorised disclosure.
• Applying retention and disposal requirements appropriately.
• Completing mandatory training where required.

COPFS will monitor compliance with this policy through governance arrangements, internal reviews, audits and management reporting.

Failure to comply with this policy may result in:

• Operational risks
• Legal or regulatory breaches
• Financial penalties
• Reputational damage to COPFS
• Disciplinary action where appropriate

COPFS will provide appropriate training, guidance and awareness activities to ensure that staff understand their responsibilities and are equipped to manage records effectively.

Records management responsibilities will form part of the organisation's wider information governance framework.

This policy will be reviewed every two years, or earlier where:

• Legislative requirements change.
• Organisational structures or business processes change significantly.
• Audit findings or lessons learned indicate that revision is necessary.

This policy should be read in conjunction with:

• Records management plan
• Record retention schedules
• Information Security Policy
• Data Protection Policy
• Information Asset Management Framework
• Freedom of Information procedures
• Business continuity and disaster recovery arrangements

COPFS is committed to ensuring that its records remain authentic, reliable, complete and accessible throughout their lifecycle. Through effective records management, COPFS will support the administration of justice, meet its statutory obligations and preserve the evidential and historical record of its activities for current and future generations.

COPFS is committed to maintaining a constructive and collaborative relationship with the National Records of Scotland and to fulfilling its obligations under the Public Records (Scotland)

Act 2011 through the implementation and continual improvement of its agreed Records Management Plan.