PSO 0905 Operation of the Police National Computer (1)

8/12/2019 PSO 0905 Operation of the Police National Computer (1)

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PrisonServiceOrder

ORDERNUMBER

0905

Operation of the Police

National Computer

Date of Issue/Amendment

!ic" on Num#er for !in" to reference

01/03/1999

Amendments can be tracked in the Numerical Index.PSI Amendments should be read before and in conjunction ith PS!

01/03/99 PSI 19/1999 !"eration of Police National #om"uter $ex"ired %9/0%/%000

PRISON SER$IE ORDER % 0905

PO&IE NA'IONA& OMPU'ER (PN)

*a+ter ontents

1 Introduction% !"eratin& Procedures3 Audit Arran&ements

' Pa"er (ransactions


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) *ana&in& PN# +ork

Anne,es

A ,ist of "rison establishments ith a PN# terminal- PN# (ransaction Securit ,o PN# (ransaction Audit ,o& PN# *onthl (rackin& #ertificate PN# ser Identification Allocation ,o&2 PN# ser 2orm

Pa"er transaction arran&ements for establishments

ithout a terminal4 ,ist of staff authorised to re5uest Pre6#on7ictions from a

PN# "rison8 e5uest for Pre7ious #on7ictions 2orm


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*a+ter - IN'RODU'ION

:; P!IN(S

(he installation of PN# terminals enables establishments to &ain mores"eed access to "risoners< Pre6#on7ictions.

-etter access to Pre6#on7ictions= allos local "risons to cate&oriseand allocate "risoners= ser7in& short sentences= ho sometimesremain = because Pre6#on7ictions are not easilobtainable.

(hose establishments that do not ha7e a PN# terminal= can ask anearb establishment ith one= to "rint and send them a "risoner>sSchedule of Pre6#on7ictions= 7ia a set "rocedure.

1.1.1. Police "ermission to use PN# ithin "risons is &i7en on theunderstandin& that ? @a= onl trained staff ha7e access to the terminals@see *a+ter 5 for trainin& arran&ementsB @b= the adhere strictl tothe !"eratin& Procedures and ata Protection Arran&ements set out in*a+ter .B and @c= the carr out sstematic audit to ensure

a""ro"riate use of the information on the sstem @see *a+ter .1.1.%. (hose establishments that ha7e no PN# terminal can obtain "re6

con7ictions= b "ost= from those establishments ith the facilit. 7er"rison ithout a terminal has been allocated a PN# "rison to deal ith.etails of these arran&ements and the securit "rocedures hicha""l to these "a"er transactions can be found in *a+ter .

1.1.3. -ecause of the com"lex o"eratin& and securit "rocedures= PN#

establishments need su""ort and &uidance from 4ead5uarters.#ontact "oints and a ste"6b ste" &uide on ho to o7ercome some

common "roblems can be found in *a+ter 51

1.1.'. The installation of PNC terminals is negotiated centrally with thePolice. Governors of establishments without terminals must notattempt to obtain one through their local Constabulary, regardlessof whether it is intended for use by prison staff or secondedpolice officers, unless they have first sought authorisation fromSecurity Group.


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*a+ter . OPERA'IN2 PROEDURES

:; P!IN(S

o7ernors of establishments ith PN# must ensure that their staffcom"l full ith the rules set out in this cha"ter.

PN# "risons ha7e access to the PN#. n5uiries arealloed solel for the "ur"ose of obtainin& a list of "re7ious con7ictions@(he Prison e"ort on nel6sentenced or remand "risoners.= or forthe "ur"oses of 4# risk assessments. A lo& must be ke"t to recordthe details of e7er transaction

Access to the PN# is aarded to named indi7idual users throu&h asin&le irectl #onnected (erminal @#(. (he terminal must not ha7ean external or internal communication interfaces a"art from thosere5uired to access the PN#.

ach ne user ill be allocated a ser I and Initial Passord=thereafter users are res"onsible for re&ularl chan&in& their "assords.

Passords must not be shared ith= or disclosed to= an other "erson.

ser identities and "assords ill be disabled if not used in an threemonth "eriod.

(he location in hich PN# terminals are housed in establishments=has been a&reed ith PI(!= and must not be altered ithout "rior"ermission bein& &i7en b them throu&h Securit rou".

An breach of securit must be re"orted to the nominatedestablishment I( Securit !fficer.

.1- References%.1.1 It is mandatory that establishments comply fully with the

regulations detailed in this Chapter. Governors, of prisons with

PNC, must also ensure that staff comply with the terms andconditions stated in the following documents


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PN# ata Access A&reementA#P! #ode of Practice for ata ProtectionA#P! *anual for ata Protection *ana&ementPN# #ode of #onnection Colume %

(hese documents are sent se"aratel to all establishments ith PN#

terminals.

.1. &ocation of 'ermina!

%.%.1 -efore PN# terminals are installed in "risons= there are 7isits b stafffrom Securit rou" and the Police Information (echnolo&!r&aniDation @PI(!= to ensure that the "ro"osed location for theterminal is a""ro"riate. The PNC terminal must not be removedfrom this agreed location.

%.%.% Governors must ensure that only authorised prison staff have

access to the area in which the terminal is held. !t no time andunder no circumstances will prisoners be allowed in the room.

.1 Users and Pass3ords%.3.1 !nl authorised users are alloed access to the PN# terminal.

stablishments should ha7e no more than nine users. ach user is"ro7ided ith a uni5ue user identit. sers are accountable for alltransactions "erformed under their user identit. ser identities areallocated b the Police National #om"uter irectorate at 4endon= andcannot be reallocated to another indi7idual.

.1 De!etin4 or Disa#!in4 User Identities%.'.1 (he ata Protection !fficer @see #ha"ter 3 ill re&ularl monitor the

establishment user identities and must disable or delete a user identitif the user has not used PN# for three months. A user identit must bedeleted if the oner lea7es or transfers to a ne "ost. A user identit

must be disabled if the oner is on lon&6term lea7e or is sus"ended.%.'.% Ne user identities ill be disabled if not used after se7en das..151- Pass3ords%.).1 (he PN# automaticall authenticates users lo&&in& into an

establishment terminal 7ia the "assord associated ith that identit.!nl those users ith a 7alid "assord are able to &ain access to thesstem. 2or users of PN# transactions "assords must be at leastse7en characters lon& and chan&ed at defined inter7als not exceedin&

three months. Passords ill be al"ha/numeric.


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%.).% All forms of authentication= hether the are "assords= machinereadable cards= authorisation codes or an other de7ice= are uni5ue toan indi7idual and must not be shared ith= or disclosed to= an otherindi7idual. (he user of a "articular "assord= card or other means ofauthentication is res"onsible for its safekee"in&.

%.).3 sers are res"onsible for chan&in& their "assords. Ne users ill be

&i7en initial "assords b the sstem administrator at 4endon. "ntheir first login to the system,new users must change this initialpassword to something #nown only to themselves. (he sstemitself ill "rom"t this.

%.).' In the event that a user forgets their password, they must contactSecurity Group who will arrange for another $initial password% tobe issued from &endon. As far as is "ossible= such instances shouldbe ke"t to a minimum.

.1 Desi4nated Use%.E.1 esi&nated users are authorised to ha7e access to PN# to obtain the


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(he ata Protection !fficer is res"onsible for carrin& out eeklaudit of transactions made b PN# users= and must com"lete eeklthe PN# (ransaction Audit ,o&.

(he I( Securit !fficer is a more senior member of staff ithres"onsibilit for the o7erall inte&rit of PN# and the informationobtained. (he I( Securit !fficer must com"lete the PN# *onthl(rackin& #ertificate.

(he I( Securit !fficer must also ensure that the PN# terminal is usedto best effect. (here must be effecti7e mana&ement to ensure the dailo"eration of the terminal.

(he a""ro"riate o"eration and su"er7ision of PN# is also subject toexternal audit b the Standards Audit nit.

1- '*e Need for Audit3.1.1 (he information held on PN# is sensiti7e. Audit "rocedures ensure that

"re6con7ictions are obtained onl for "risoners. Audit also ensures thatonl authorised users ha7e access to the sstem. (he audit

arran&ements set out in this cha"ter ha7e been a&reed ith the PN#Securit *ana&er at PI(! and must be com"lied ith.

3.1.% Governors of establishments with PNC terminals must ensurethat staff of appropriate ran#s are nominated to fill the roles of(ata Protection "fficer )(P"* and IT Security +anager.

1. '*e Data Protection Officer3.%.1. 7er time a user makes an en5uir on PN#= the must com"lete the

PN# (ransaction Securit ,o&. (hese entries must then be scrutiniDed

eekl b the P!. (his !fficer must be a member of staff not belothe rank of xecuti7e/Senior !fficer @or e5ui7alent. As the ataProtection !fficer is actin& as auditor of PN# use= he or she ill not be&i7en access as a user. (he ill be authorised to carr out onleekl transaction checks.= and monitor use of user identities. (hes"ecific res"onsibilities of the P! are?

i. carr out random checks on 10F of en5uiries made on the PN# each

eek to ensure that each en5uir is made solel for the "ur"ose ofobtainin& a list of "re7ious con7ictions on ser7in& "risonersB

ii. here a discre"anc is found= i.e. the transaction as not made b anauthorised user= or if the en5uir as not made for the "ur"ose of


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obtainin& "re6con7ictions of a ser7in& "risoner= he/she mustimmediatel re"ort this as a breach of securitB

iii. the breach of securit must be re"orted to the I( Securit !fficerimmediatel it is disco7ered. In the e7ent that the I( Securit !fficer is

not a7ailable the o7ernor must be told of the breachinsteadB

i7. recordin& the details of each check in the PN# (ransactions Audit ,o&@see Anne, B

7 ensurin& that all Prison e"orts obtained from the PN# are ke"t ith

the "risoner>s ecord @2%0)0B7i re7iein& user access ri&hts and remo7in& user status from those staff

ho no lon&er re&ularl use the terminalB

7ii ensurin& that users com"lete the PN# (ransaction Securit ,o&= and

that this and the PN# (ransaction Audit ,o&= are ke"t for three earsfor ins"ectionB

7iii ensurin& that the PN# terminal is not remo7ed from the location a&reed

ith PI(!= ithout "rior a""ro7al.ix monitorin& site user identities to make sure the are bein& used 6 if a

user identit has not been used for three months it must be deleted anddisabled @see section %.)

1 '*e I' Securit6 Officer3.3.1. So that there is another mana&er in an establishment ith more

&eneral o7ersi&ht of PN# use and routine eekl auditin&= a seniormana&er= a""ointed b the &o7ernor= must assume the duties of I(Securit !fficer. !nce a&ain the I( Securit !fficer ill not be able toaccess PN# as a user= but rather ill be authorised onl to reset"assords.

3.3.% (he res"onsibilities of the I( Securit !fficer are?i. to ha7e o7ersi&ht of the o7erall inte&rit of the PN# terminal and all

information obtained from itB

ii. liaise ith Securit rou" and PN# Securit *ana&er at PI(!= hennecessarB

iii. in7esti&ate full an alle&ed breaches of securit and inform Securitrou" of them ithout delaB

i7. ensure that e7er authorised PN# ser si&ns the PN# ser 2orm@see Anne, 7B


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7. com"lete= on the last da of e7er month= the PN# *onthl (rackin&

#ertificate @see Anne, D and forard it to Securit rou"= oom E3G=Abell 4ouse= 8ohn Isli" Street= ,ondon= S+1P ',4. (he #ertificate illsho that the PN# (ransaction Securit ,o&= PN# ser 2orm and

ser Allocation ,o&= @see Anne, E and the PN# (ransaction Audit,o& ha7e all been correctl com"leted and are u" to date.

3.3.3 (he I( Securit !fficer= as the most senior mana&er ith an

in7ol7ement ith PN#= must also ensure that the terminal is used to itsbest effect. (here must be effecti7e mana&ement to ensure the dailo"eration of the PN# terminal.

1 E,terna! Audit #6 SAU3.'.1 urin& Standards Audit nit ins"ections of a PN# establishment= an

auditor ill examine all as"ects of PN# o"eration.


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*a+ter PAPER 'RANSA'IONS

8E POIN'S

It is im"ortant that establishments ithout a PN# terminal= can obtainSchedules of Pre6#on7ictions 5uickl for an "risoners the recei7eho do not arri7e ith them. (he "a"er transaction sstem describedin detail here= is intended to "ro7ide 5uick access.

7er establishment ithout a terminal has been allocated anestablishment ith one. Should the recei7e a "risoner ithout aSchedule of Pre6#on7ictions= the must re5uest them from the PN#"rison. A list of PN# "risons and their is set out

at Anne, 2

(rainin& establishments ill seldom need to make use of this facilitas the o7erhelmin& majorit of the "risoners recei7ed b them illcome ith "re6con7ictions obtained hile the ere held in local"risons.

In client "risons= onl a small number of staff can re5uest "re6con7ictions from establishments ith PN#.

(he arran&ements detailed belo are necessar to ensure that "re6con7ictions are onl re5uested for bona fide "risoners. (he must bestrictl adhered to.

1- Res+onsi#i!ities of t*e !ient Esta#!is*ment'.1.1 Governors of establishments without PNC terminals must arrange

for the completion of !nne. &, that lists those staff eligible tore-uest preconvictions, and those staff authorised tocountersign the re-uest. This form must be sent to theappropriate PNC establishment. !ny change to the list must beimmediately communicated to the PNC establishment.

'.1.%. +hen the client "rison recei7e "risoners for hom "re6con7ictions arere5uired= a member of staff @listed in Section 1 of Annex 4 ill obtain a,IS "rintout &i7in& the folloin& information?

@a. the "risoners> full namesB

@b. their "rison numbersB@c. their "laces of abodeB


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@d. their date s of birthB and@e. their dates of rece"tion.

'.1.3. The member of staff must then complete two copies of !nne /

$0e-uest for Previous Convictions% up to and including Section 1.

The forms and the print out must then be passed to a member ofstaff authorised to countersign the re-uest. The Countersigning"fficer must satisfy himself that the re-uests are being made forbona fide prisoners, and then complete Section 2 on both copiesof the form.

'.1.'. "ne copy of the form and a copy of the 3I(S printout, must be

retained by the client establishment and stored in the $PreviousConvictions Pending% 3og. The other copy and the original 3I(Sprintout must be sent to $The Phoeni "fficer% at the PNCestablishment.

'.1.) In the event of any re-uest for previous convictions not being

returned within seven days, the PNC prison must be contacted toen-uire )a*, whether the re-uest has been received4 and )b*,whether preconvictions have been sent.

'.1.E "n receipt of the previous convictions, Section 56 of the returned!nne / must be completed. This completed form, and a list ofthe names of the prisoners for whom preconvictions werere-uested, must then be retained in a log entitled $ PreviousConvictions 0eceived%. The forms must be #ept for audit for atleast three )7* years.

1. Res+onsi#i!ities of t*e PN Esta#!is*ment'.%.1 "n receipt of !nne / from the client prison, the PNC terminal

officer must

@a. check that the e5uest for Pre7ious #on7ictions is from amember of staff listed in Annex 4B@b. check that the re5uest has been countersi&ned b a member of

staff listed in Section % of Annex 4B and@c. make the re5uired en5uiries of PN# in accordance ith the PN#!"eratin& Procedures set out in #ha"ter %.

'.%.% A PN# en5uir must not be made if?

@a. the members of staff makin& and authorisin& the re5uest are notlisted on the co" of Annex 4 bein& retained b the PN# "risonBor if

@b. an item of information about a "risoner is missin&.

'.%.3 !ll incomplete re-uests must be returned to the clientestablishment without delay.


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'.%.' ! Senior or 8ecutive "fficer must then chec# the lists of

Previous Convictions against the 3I(S printout to ensure thatthey tally. If a Schedule of PreConvictions has been printedunder an alias, this must be clearly shown in red in# at the top of

the list. 'nder no circumstances should previous convictions ona prisoner, not listed in the 3I(S printout, be sent to the clientprison.

'.%.) Sections 9,:, and ; of the original !nne / must then becompleted and photocopied. The copy must be attached to theprevious convictions, and sent in double cover envelope to thePhoeni "fficer at the client establishment.

'.%.E The original copy of !nne / and the 3I(S printout must beretained by the PNC prison and filed in a log entitled $ Client

8stablishment Name PNC 0e-uests%. 0ecords must be #ept foraudit for at least three )7* years.

'.%.G


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de"letion of the number of PN#6 trained staff the ha7e. (rainin&should be arran&ed throu&h Securit rou".

).1.% stablishments must not train their on staff.

).1.3 8stablishments must train enough staff to cover PNC tas#s. =utthe number must be limited4 the training of too many staffconstitutes a security threat.

51. 7au!ts and ontact Points).%.1 etailed belo is a list of common faults and the names of the

com"anies or indi7iduals that must be contacted in each case.

Fault/ Query Contact PN# ser has for&otten "assord Securit rou" @01G1

%1G )HH9and needs anotherueries about the use to hich PN# As abo7ecan be "ute5uests for trainin& or ne ser Ids As abo7ePrinter not orkin& Sema 4el"desk @01%1 GHH

'019Personal com"uter failure Sema 4el"desk @01%1 GHH

'019Problem ith data line to PN# #able and +irelessProblem ith the softare "acka&e Sanderson Insi&htfor accessin& PN#ueries about the PN# and Phoenix 4endon ata #entre. @01H1

%00 3%00a""lication @

Anne, A

&IS' O7 ES'AB&IS;MEN'S :I'; A PN 'ERMINA&

1. Altcourse


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%. -edford3. -elmarsh'. -lakenhurst). -irmin&hamE. -rinsfordG. -ristolH. -rixton9. #ardiff10. #helmsford11. urham1%. oncaster13. lmle1'. xeter1). 2eltham1E. len Par7a1G. 4i&h on1H. 4indle19. 4olloa%0. 4olme 4ouse%1. 4ull%%. ,ancaster 2arms%3. ,eeds%'. ,eicester%). ,ees%E. ,incoln%G. ,i7er"ool%H. *anchester%9. Norich30. Parc31. Penton7ille3%. Preston33. isle3'. Sansea3). +andsorth3E. +inchester3G. +oodhill3H. +ormood Scrubs


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Anne, BPN 'ransaction Securit6 &o4

etails of each transaction must be com"letedb the "erson makin& the en5uir

- Name of PN user

. 'ic" to confirm t*at PN record oft*e date and time t*at 6ou !astaccessed t*e s6stem matc*es t*eactua! dateand time

Prisoners Name

Prisoners Num#er

5 Date of en


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>:as a PN +rintout o#tained(ES or NO)


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Anne,

PN 'ransaction Audit &o4

(he data "rotection officer must check the records of 10F of the PN#

en5uiries each eek.

DatePNen


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(he en5uiries must be traced back to the ori&inator and checked that theere for nel sentenced or remand "risoners.

Anne, D

;MP????????????????????

PN Mont*!6 'rac"in4 ertificate

I *ave e,amined t*e fo!!o3in4 PN !o4s and confirm t*at I am satisfiedt*at t*e securit6 +rocedures are #ein4 fo!!o3ed in accordance3it* t*e PN Securit6 Po!ic6 for t*is Esta#!is*ment1

PN# (ransaction Securit ,o&sPN# (ransaction Audit ,o&s

PN# ser Identification Allocation (a&s

PN# ser 2orm

Si&natureLLLLLLLLLLLLLLLLLL

NameLLLLLLLLLLLLLLLLLLL...ateLLLLLLLLLLLLLLLLLLLL.

(his form must be com"leted b the I( Securit !fficer on the last da of eachmonth and returned to?

Phoenix

Prison Securit rou"oom E3G


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Abell 4ouse8ohn Isli" Street,ondonS+1P ',4


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Anne, EPN User Identification A!!ocation &o4

(he I( Securit !fficer must record details belo of all PN# user

Identifications= includin& those hich ha7e been allocated to neusers.

Name of

PN UserPN User

IdentificationReason for

*an4eDate Si4nature of PN

Securit6 officer


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Anne, 7

PN User 7ormI understand and acce"t that= in order to lo& onto the PN#= I must be anauthorised user= be in "ossession of a PN# user id that is uni5ue to me= and

ha7e a reason &o7erned in m current job function. I also understand andacce"t that I ma onl access those PN# transactions to hich I ha7e beenauthorised= use the transactions for a le&itimate= business/"olicin& "ur"ose=and use an knoled&e obtained for authorised business/"olicin& "ur"osesonl.

I ha7e read and a&ree to abide b the 4*P PN# !"eratin& Procedures.

Name Si4nature Date

Anne, 2

PAPER 'RANSA'ION ARRAN2EMEN'S 7OR ES'AB&IS;MEN'S:I';OU' A 'ERMINA&1


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PN PRISON &IEN'ES'AB&IS;MEN'S

Altcourse 6

-edford ,ittlehe=

+ellin&borou&h=!nle-elmarsh 6-lakenhurst

6-irmin&ham -ullin&don-rinsford 2eatherstone=

Strafford=Shresbur-ristol artmoor= loucester= She"ton

*allet= ,ehill-rixton *aidstone =ochester #ardiffastood Park= #hannin&s +ood=

Pucklechurch#helmsford -ullood 4all=4ollesle

-a= 4i&h"ointurham 2rankland= Acklin&ton=

#astin&ton=,o Neton.

oncaster 6lmle #anterbur=

Saleside=Stanford 4ill=#ookham +ood= ast Sutton Park.

xeter+eare= Portland= the Cerne= rlestoke

2eltham #oldin&le= Send= o7er len Par7a artree= 4eell ran&e=

-rockhill4i&h on on7ie= ,atchmere

4ouse4indle A&ecroft= rake 4all=

Askham ran&e

4olloa -lantre 4ouse


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4olme 4ouse Northallerton= eerbolt=:irkle7in&ton

4ull +olds= 7erthor"e= +ealstun

,ancaster 2arms ,ancaster= 4a7eri&&,eeds Ne 4all= +akefield= 2ull Sutton,eicester Stocken= Ashell= Sinfen

4all= Nottinham,ees Parkhurst= Alban #am"hill,incoln anb= +hatton= *orton

4all= ,odham,i7er"ool M :irkham= 2oston= 4all=

4atfield

*anchester Stal= +etherb=

,indholme= *oorlandNorich +aland= +hitemoor=

-ludeston= NS#Parc 6Penton7ille (he *ount= 4untercombe=

eadin&Preston arth= -uckle 4all=

+mottisle (horne #ross= Stoke 4eath= Sudbur=

isleSansea sk/Prescoed= ,on& ,artin+andsorth :in&ston= 4aslar= Aldin&ton

+inchester orchester= us *arsh=2ord+oodhill rendon= S"rin& 4ill=

Alesbur+ormood Scrubbs 6


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Anne, ;

Section - ,ist of staff authorised to re5uest Pre7ious #on7ictions

Date 7u!! Name Si4nature Date removed

from !ist

Section . ,ist of staff authorised to countersi&n re5uests for Pre7ious#on7ictions

Date 7u!! Name Si4nature Date removedfrom !ist


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Anne, @

Re


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Print nameLLLLLLLLLLLLLLLLLLLLL

Si&nature

LLLLLLLLLLLLLLLLLLLL...

ate Pre6cons des"atched b Phoenix (erminal Prison

LLLLLLLL..10. O ate Pre6cons recei7ed b re5uestin& "rison

LLLLLLLLLLLLL

To be completed on copy retained by Phoenix Terminal Prison* To be completed on copy retained by receiving prison

(A copy o this orm is to be attached to each batch o re!uests or pre"cons#1.

Documents

PSO 0905 Operation of the Police National Computer (1)