File Management

Question 1

Who is the file manager appointed by and responsible to?

Answer 1

2IC investigation

Question 2

the main functions of the File Manager are to

Answer 2

• assist with establishing and maintaining the Investigation Headquarters
• operate the paper flow and associated structure in accordance with the Serious Crime Document Management System
• manage the electronic and physical files relating to the investigation
• support the 2IC by reading all documents for the purpose of highlighting important information to the 2IC
• assist the 2IC with the identification and recording of evidential material
• complete a synopsis of all documents received, excluding documents relating to covert policing activities
• ensure a flow of information throughout the investigation
• assist with the preparation of the prosecution file
• assist with management of the trial.

Question 3

The File Manager, where there is no logistics officer appointed, must liaise closely with the 2IC to establish the requirements for the Investigation Headquarters, including

Answer 3

• location
• office support staff
• transport
• equipment
• communications
• ICT () requirements.

Question 4

What must the file manager assist the 2ic to prepare daily?

Answer 4

bulletins/sitreps, Police and special notices, organisation charts and daily rosters and ensuring these are well-displayed within the Investigation Headquarters

Question 5

To ensure an effective communication flow within the investigation, the File Manager must:

Answer 5

-utilise the project code numbers established by the 2IC for the investigation
-establish a dedicated radio communications channel for the investigation
-set up and manage electronic staff folders
-ensure all operation staff are advised that all electronic work relating to the investigation must be stored within their own QID () folder in the ‘Staff’ subfolder,
-advise staff that file path names must be added to all documents
-advise staff to establish a folder within their own e-mail directory, where all e-mails relevant to the investigation are to be stored.
-prepare an operation organisation chart for display in the Investigation Headquarters.
-assist the 2IC to prepare a briefing document and photographs to be used for briefing staff that join the operation.
-arrange, under direction of the 2IC, display boards with relevant information to be displayed within the Investigation Headquarters
-arrange for the typist to print out a roster for the operation staff and make this available to the OC Investigation and the 2IC.
-establish the appropriate activity code (offence code), project code and cost centre.
-generate a NIA () file number for the investigation.
-display the Serious Crime Document Management System diagram and staff contact list within the Investigation Headquarters
-source necessary stationery
in order to ensure document flow systems are operating
-set up in-trays for the officers in charge of respective phases and for the Operations Headquarters staff
-provide investigative staff with new notebooks, for exclusive use in the investigation.
-The File Manager must also ensure notebooks are obtained from staff before they leave the investigation, and are securely stored.

Question 6

Information from the public is often a critical component in an investigation. Ho is the file manager involved with this process?

Answer 6

As File Manager one of the key responsibilities is to manage the process for the collection of this information and subsequent timely assessment and to ensure the information is followed up promptly.

Question 7

10000 series documents are those documents where

Answer 7

there is no justification to withhold the document from disclosure under sections 16, 17 or 18 of the Criminal Disclosure Act 2008

Question 8

Example of 10000 series documents?

Answer 8

• Formal Statements
• Job Sheets
• Video interview transcripts
• Specialists reports
• Notebook entries
• Briefs of Evidence

Question 9

50000 series documents are those documents which

Answer 9

may be fully or partially withheld pursuant to sections 16, 17 or 18 of the Criminal Disclosure Act 2008

Question 10

Examples of 50000 series documents

Answer 10

• Search warrant applications.
• Email messages.
• Covert Human Intelligence Source (CHIS) Information Reports.

Question 11

It can be reasonably anticipated that a minor amount of material stored in the 50000 series document category, may be disclosed. This may include

Answer 11

• Email messages that are assessed as being relevant to the investigation
• Search warrant applications that have been assessed and if necessary, redacted
• Material in respect of which a judicial direction has been given, directing Police to disclose the material in question.

Question 12

What are 70000 series documents?

Answer 12

Arising from a separate covert phase of the investigation.

Question 13

Outlined below are some issues the File Manager should consider when preparing the hard copy file

Answer 13

• Jobsheets may be easier to manage if they are all printed on white paper.
• The use of double sided documents should be avoided wherever possible.
• Staples, pins, file pins should not be used to attach documents together. Bulldog clips, paper clips and plastic sleeves are a better alternative.
• Documents should not be hole-punched or bound.
• Submitted documents should be uniform in size and not larger than A4 size, although A3 size may be acceptable in some circumstances.
• A4 notebooks are easier to disclose than A5 notebooks.

Question 14

Who completes a synopsis for every document that comes in?

Answer 14

The file manager

Question 15

The File Manager should liaise with other agencies and professional services to obtain

Answer 15

electronic copies of reports sent by them

Question 16

The File Manager is responsible for checking

Answer 16

the accuracy of all numbered documents submitted to them by the typist, which have been typed from handwritten original documents

Question 17

Throughout the investigation, the File Manager should regularly audit

Answer 17

staff folders to ensure all documents have been appropriately stored in the electronic file.

Question 18

What other folders are important for the file manager to manage?

Answer 18

• Media folder containing newspaper articles, website articles and recordings of television reports.
• Administration folder to store investigation administrative documents that are not processed through the document numbering process. Examples of such documents include; invoices, travel requests, meal claims etc.
• Staffing records to record the details of all employees who attend the daily briefings

Question 19

How should the file manager manage photographs?

Answer 19

1 Liaise with the OC () of the relevant Photography Section to arrange a suitable protocol for dealing with photographic material.
2 It is recommended all photograph books generated should be returned directly to the File Manager
3 On receipt of photographs from Photography Section, the File Manager should distribute copies of photographs relevant to a particular phase of the investigation, to the appropriate investigator.
4 Electronic copies of all photographs should be obtained
5 The File Manager should ensure electronic copies of photographs obtained from Photography Section have been saved as lower resolution ‘jpeg’ files.
6 If necessary, the File Manager or OC () Exhibits should maintain a photograph register.

Question 20

The File Manager, under the direction of the 2IC, must review the file in order to:

Answer 20

• establish if any enquiries remain outstanding
• conduct an assessment of the enquiries currently underway, to establish whether they are still relevant
• review sub-investigations and critical phases of the investigation
• prepare for any external reviews that may occur