82.1.1 A written directive establishes privacy and security precautions for the agency’s records and, at a minimum, includes the following:

Commentary: The privacy and security precautions for the central records function should be in accord with agency policy, local ordinance, and/or state or provincial statutes. The privacy and security of criminal history record information (CHRI) should be in accord with appropriate national regulations in regard to dissemination, completeness and accuracy, audits, security requirements, access, and review.

The agency specifically identifies juvenile criminal and identification records and adult criminal records to prevent unauthorized access and release. This identification may include specially marked index cards, computer files that are marked and/or access restricted, or separate files. Dissemination should meet the legal requirements that apply in some jurisdictions. The procedures should also provide guidelines for the disposition of juvenile records when the juvenile reaches adult age and for the expungement of records when ordered by the court. The agency should determine the physical security requirements for the facility and decide who is authorized to access agency files. Facility and file security ensure the integrity of the system and the information it contains.

82.1.2 The agency has a records retention schedule.

Commentary: The schedule for retaining records should be consistent with legal requirements

(see 82.1.8).

82.1.3 A written directive establishes procedures for collecting and submitting crime data to a national uniform crime reporting program or national incident-based reporting system, or state system if one exists.

Commentary: Participation in a national UCR or NIBRS program helps promote the development of good record-keeping and aids in the effort to establish a national data base of crime statistics. The standard should be satisfied if the agency reports data to a state or provincial system for subsequent inclusion in the national system.

82.1.4 Central records information is accessible by physical availability or technology to operations personnel at all times.

Commentary: In some agencies the accessibility of records during evening and early morning hours becomes problematic. In these instances, specific persons working or available through call-in should be given authority to access central records information (see 74.1.1).

82.1.5 The agency establishes a procedure to account for the status of reports, to include the complaint control recording and field-reporting systems.

Commentary: The procedure should ensure that the original report copy is maintained in the records component and that follow-up reports are prepared on a specified schedule, usually ten days. The procedure should also ensure that the correct control number is assigned and accounted for.

82.1.6 A written directive requires an annual audit of the central records computer system for verification of all passwords, access codes, or access violations.

Commentary: The integrity of a computer system is only as good as the security systems in place. A regular check of passwords, access codes and other security devices will maintain the integrity of the system and security of records contained in the system.

82.1.7 A written directive establishes a policy for the introduction of outside computer software and disks into agency owned computer systems or workstations.

Commentary: The introduction of outside disk or software could result in virus infection of the host system. All disks or software should be inspected for virus infection prior to introduction in to the agency system or stand-alone computers or laptops. The agency should ensure that all programs are properly licensed.

82.1.8 A written directive establishes procedures for central records computer files, back-up, and storage.

Commentary: Computer files should be backed up according to a regular schedule and comply with record retention laws or regulations as they exist. The media, tapes, disks or drives should be stored off-site in a secure facility or area. If used media is not recycled, methods of destruction should be determined to ensure that data is not retrievable from the discarded media (see 82.1.2).

82.1.9 If criminal history records are computerized a written directive establishes security protocol for access and release of records.

Commentary: None

82.2.1 A written directive establishes a field-reporting system to include:

Commentary: This directive may be in the form of a field-reporting manual that describes and illustrates the information to be included on report forms. The document should be all inclusive and serve as the complete user’s guide, as well as a resource guide in all field-reporting situations.

A suggested set of field-reporting forms would include the following: offense report; supplemental report; traffic accident report; arrest report; property report; prosecution report; and complaint control and miscellaneous incident report. The forms may be more specialized than those listed, e.g., crimes against persons, crimes against property. The forms may also be consolidated to serve the purposes identified in the standard. The complaint control and miscellaneous incident report can be initiated by dispatchers and may serve as a control document and/or as the full report of a miscellaneous incident.

The agency should adopt a set of forms to standardize field reporting and structure them to ensure that basic information is captured for all crimes and incidents. Samples of the forms should be included, with clear instructions for filling out and submitting the field reports.

If the agency is using a computerized system, the guide should address procedures for use.

82.2.2 A written directive requires the reporting of every incident in one or more of the following categories if the incident is alleged to have occurred in the agency’s service area:

Commentary: The purpose of this standard is to require a comprehensive reporting system. A record should be made of actions taken by law enforcement personnel whether in response to a request for service or for self-initiated actions. If two or more persons report the same incident, only one case report should be required.

The directive should establish procedures to ensure that proper action is taken to investigate complaints, evaluate suggestions, and correct deficiencies or refer them to proper authorities for correction. The person making the complaint or suggestion should be notified of the action taken. This may be contained in the agency’s general field-reporting document.

82.2.3 A written directive establishes a case-numbering system, with provisions for the assignment of a unique number to every case.

Commentary: A single numbering series (case or incident number) should be employed for all incidents of law enforcement service, including traffic collision investigations, criminal investigations, and miscellaneous calls for law enforcement service. Some activities, such as the issuance of traffic citations, need not be recorded as numbered cases; the citation form itself serves as the report. The numbering system should be designed to ensure that all cases receive a number, that no numbers are omitted, and that no numbers are duplicated.

82.2.4 A written directive requires supervisory review of reports to ensure specific procedures are being followed as outlined in the field-reporting system required in standard 82.2.1.

Commentary: Supervisory review should be required as the first step in the submission process, and the form should be designed for the signature or initials of the reviewing supervisor. Typically, supervisory review is a function of the first line supervisor and is intended to ensure that the assignment has been satisfactorily completed and reported consistent with the field-reporting system.

(M M M M)

82.2.5 A written directive establishes procedures for the distribution of reports and records.

Commentary: The directive should specify which reports should be routed to the various specialized functions or organizational components for follow-up, and those to be distributed outside the agency.

82.3.1 The agency maintains an alphabetical master name index.

Commentary: A master name index is a file that includes the names of persons identified in field reports. The index may be manual or automated and should serve as a cross-reference to all documents in which a person has been named. Criteria for including names in the index should be developed based on legal requirements and needs. Typically, agencies include names of victims, complainants, suspects, persons arrested, and in some cases, witnesses. Consideration should be given to persons involved in traffic accidents.

82.3.2 The agency maintains records to include at a minimum:

Commentary: records provide information on experience relative to categories of activity. The agency should identify those activities constituting the prevalent activity for categorization, usually UCR Part I offenses and principal offenses in the Part II category or National Incident Based Reporting System classifications (NIBRS).

Records facilitate measuring case loads relative to geographic distribution.

Common practice is to maintain one property file by the type of property involved and a separate property file using serial numbers. It is highly desirable to have serial numbers of stolen and recovered property sequenced to facilitate comparison.

These records may be manual and/or automated.

82.3.3 The agency has a traffic records system or access to a comparable system containing:

Commentary: The traffic records system should provide accurate information to field personnel who are performing primary traffic functions. It should also provide compilations of data upon which management decisions may be based. Some of the required data may be collected and disseminated by other state, provincial, or local agencies.

The directive should govern how the records are processed, maintained, and distributed. Procedures for the release of records should also be provided.

The records file should contain the locations of all traffic collisions and citations to provide a ready reference for collision/enforcement data related to specific intersections or segments of highways.

Ancillary information, such as traffic safety reports, traffic volume data, and traffic distribution reports, may also be kept in the records system.

82.3.4 A written directive establishes procedures for maintaining records of traffic citations, to include:

Commentary: Issuing and accounting for traffic citations should be rigidly controlled. Copies of citations issued by officers should be filed in agency records.

82.3.5 A written directive specifies those records to be maintained in agency operational components.

Commentary: It is not the intent of this standard to require dual record-keeping so long as data are readily available to personnel in the agency. The central records function may decentralize some of its record-keeping responsibility.

The directive should specify the types of records and the retention schedule for records maintained in operational units. For example, criminal investigators should maintain case files on active cases being investigated, to be transferred to the records center when inactivated. Similarly, traffic records may be maintained by patrol or a specialized traffic component. Intelligence, vice, drug and organized crime control units may be permitted to maintain records independently for additional security and control.

82.3.6 The agency has a system for assigning an identification number and maintaining a criminal history file for each person custodially arrested.

Commentary: An identification number is a person oriented number and is assigned to a specific person. Once a person has been assigned an identification number, all subsequent arrests and information concerning that person should be referenced to his or her identification number. Each person who has been arrested should have only one identification number, although the individual may have been arrested on a number of different occasions and thus have different case and arrest numbers relating to them. The system should include a procedure ensuring that identification numbers are not duplicated or skipped.

The criminal history file is often referred to as an identification file and should include the following documents: fingerprint card, criminal history transcripts (state and federal), photograph (if available), and copy of arrest report. The file may be sequenced by identification number. The criminal history transcripts may be excluded from agency files if they are immediately accessible through state or federal information systems. It is not necessary to have all the documents in one file so long as cross-references point to the location of each document.

82.3.7 A written directive establishes criteria for recording arrest information, to include:

Commentary: The written directive should specify those offenses for which fingerprints and photographs are required. Additionally, the directive should provide guidance in keeping existing file information current for persons subsequently arrested, e.g., address, photograph, etc.

82.3.8 A written directive establishes procedures for maintaining a warrant and wanted persons file, to include:

Commentary: The procedure should include the mechanics of initiating a case report, assigning the case, and filing warrants in a way that ensures immediate accessibility. Warrants and the master name index should be cross-referenced.

Some agencies may place this responsibility with central records; others may have specialized functions, such as warrant and fugitive or civil process units. If the agency is accomplishing the requirements in any fashion, it is sufficient for compliance with all applicable standards.