## 1 Northern Ireland Office (Nio) Should Build On The Good Work It Has Already Done To Establish A Process For Information Asset Management By Fully Embedding This Across The Organisation.

[Commentary on progress against main recommendation heading] Commentary last updated: 
 

|  Enabling/supporting actions                  | Owner                                      |   Commentary on progress  |
|-----------------------------------------------|--------------------------------------------|---------------------------|
| due                                           |                                            |                           |
| Status                                        |                                            |                           |
|                                               |                                            |                           |
|                                               |                                            |                           |
| Provide IAOs with definition of Info. Asset   |                                            |                           |
|                                               |                                            |                           |
| Head of KIM                                   |                                            |                           |
|                                               |                                            |                           |
|                                               |                                            |                           |
| 3                                             |                                            |                           |
| rd                                            |                                            |                           |
| Quarter                                       |                                            |                           |
| 2016                                          |                                            |                           |
|                                               |                                            |                           |
| Head of KIM                                   |                                            |                           |
|                                               |                                            |                           |
|                                               |                                            |                           |
| 3                                             |                                            |                           |
| rd                                            |                                            |                           |
| Quarter                                       |                                            |                           |
| 2016                                          |                                            |                           |
| Create 'Profile' of IAO with list of role     |                                            |                           |
| responsibilities; circulate to IAOs and put a |                                            |                           |
| short note on the intranet                    |                                            |                           |
|                                               |                                            |                           |
| Head of KIM                                   |                                            |                           |
|                                               |                                            |                           |
|                                               |                                            |                           |
| Quarterly                                     |                                            |                           |
| (always)                                      |                                            |                           |
| Liaise with Corporate Governance to verify    |                                            |                           |
| completion of Information & Data Asset        |                                            |                           |
| Registers (IDARs) by business areas           |                                            |                           |
|                                               |                                            |                         1 |
| st                                            |                                            |                           |
| Quarter                                       |                                            |                           |
| 2017                                          |                                            |                           |
|                                               |                                            |                           |
| Head of KIM                                   |                                            |                           |
|                                               |                                            |                           |
| &                                             |                                            |                           |
| Records                                       |                                            |                           |
| Manager                                       |                                            |                           |
|                                               |                                            |                           |
| Study populated IDARs to gain understanding   |                                            |                           |
| are regarded by business areas as key         |                                            |                           |
| groupings of valuable information. These      |                                            |                           |
| findings should be assessed in comparison     |                                            |                           |
| with Records Retention/Disposal Schedules     |                                            |                           |
|                                               | Link up IAOs with TNA training. Invite TNA |                           |
| speaker to address Deputy Directors meeting   |                                            |                           |
|                                               |                                            |                           |
| Head of KIM                                   |                                            |                           |
|                                               |                                            |                           |
|                                               |                                            |                           |
| 4                                             |                                            |                           |
| th                                            |                                            |                           |
| Quarter                                       |                                            |                           |
| 2016                                          |                                            |                           |
|                                               |                                            |                           |
| Head of KIM                                   |                                            |                           |
|                                               |                                            |                           |
|                                               |                                            |                           |
| 1                                             |                                            |                           |
| st                                            |                                            |                           |
| Quarter                                       |                                            |                           |
| 2017                                          |                                            |                           |
| Recommend via note to Directors that IAO      |                                            |                           |
| responsibilities be recognised in Deputy      |                                            |                           |
| Directors Annual Objectives                   |                                            |                           |

## 2 Nio Should Take Steps To Ensure That It Continues To Provide A Supportive Environment For The Management Of Digital Information And Records As It Moves To A New It Platform.

[Commentary on progress against main recommendation heading] Commentary last updated: 
 

|  Enabling/supporting actions                    | Owner    |
|-------------------------------------------------|----------|
| due                                             |          |
| Status                                          |          |
|                                                 |          |
|                                                 |          |
| Head of KIM                                     |          |
|                                                 |          |
|                                                 |          |
|                                                 |          |
| On-going                                        |          |
| Continue to remind staff of the need to save    |          |
| records to TRIM, through advice on intranet,    |          |
| requests to line managers & Deputy-Directors    |          |
| and messages linked to NIO activities/events    |          |
|                                                 |          |
| K&IM team                                       |          |
|                                                 |          |
|                                                 |          |
|                                                 |          |
| On-going                                        |          |
| Continue routine guidance (via intranet,        |          |
| through briefings to Business Areas and in      |          |
| training sessions) on records naming            |          |
| Ensure Systems Administrator has oversight      |          |
| of Google Drive to monitor staff use            |          |
|                                                 |          |
|                                                 |          |
|                                                 |          |
| COMPLETED                                       |          |
| Head of KIM &                                   |          |
| System                                          |          |
| Administrator                                   |          |
|                                                 |          |
| 2                                               |          |
| nd                                              |          |
| Quarter                                         |          |
| 2016                                            |          |
|                                                 |          |
|                                                 |          |
|                                                 |          |
| On-going                                        |          |
|                                                 |          |
| System                                          |          |
| Administrator                                   |          |
| Gather statistics on use of Google Drive (c.f.  |          |
| use of TRIM); provide Deputy-Directors and      |          |
| LIMs with stats on records creation by          |          |
| Business Area to underline their responsibility |          |
| for creating corporate records                  |          |
|                                                 |          |
|                                                 |          |
|                                                 |          |
| On-going                                        |          |
|                                                 |          |
| System                                          |          |
| Administrator                                   |          |
| Liaise with ITAssist to ensure awareness of     |          |
| any problems of staff access to TRIM, such      |          |
| as on mobile devices                            |          |
|                                                 |          |
 
 
Engage with Cabinet Office (and Head of Estates & Services) on IT Strategy On-going 
KIM Head & Deputy Head; System Administrator 
Liaise with ITAssist & HP on availability of TRIM compatible with Google products 
 
3rd Quarter  
2016 
Head of KIM; System 
Administrator 
Draft Note to Board on limiting shared mailboxes recommending 180 day deletion 
Head of KIM 
 
3rd Quarter  
2016 
Continue work on "flattening" Corporate File 
Plan by removing Level 2 and Level 3 Folders 
System Administrator 
Additional Classifications created; Level 3 Folders now closed; contents being moved 
4th Quarter  
2017 
Head of KIM & System 
Administrator 
Enable automatic disposal within TRIM, based on date triggers and in accordance with sanctioned Disposal Schedules 
 
3rd Quarter  
2016 System Administrator 
Review and refresh LIM training & guidance in light of new IT; re-activate LIM Forum; ensure LIMs act as first point of contact in providing information management assistance to staff 
Head of KIM  
 
4th Quarter  
2017 
All aspects of the implementation of the CFP re-structure will be progressed as per the KIM Strategy 
3rd Quarter  
2017 

## 3 Nio Should Take Steps To Ensure That Its Digital Information Remains Complete, Available And Usable For As Long As It Needs It To Be.

[Commentary on progress against main recommendation heading] Commentary last updated: 
 

|  Enabling/supporting actions                    | Owner                                      | Commentary on progress    | Completion    |
|-------------------------------------------------|--------------------------------------------|---------------------------|---------------|
| due                                             |                                            |                           |               |
| Status                                          |                                            |                           |               |
|                                                 |                                            |                           |               |
|                                                 |                                            |                           |               |
| Head of KIM                                     |                                            |                           |               |
|                                                 | 4                                          |                           |               |
| th                                              |                                            |                           |               |
| Quarter                                         |                                            |                           |               |
| 2016                                            |                                            |                           |               |
| Review Information Management Policy to         |                                            |                           |               |
| ensure it includes statement of requirements    |                                            |                           |               |
| for information capture and retention in        |                                            |                           |               |
| EDRMS (that information must remain             |                                            |                           |               |
| complete, available and usable)                 |                                            |                           |               |
|                                                 |                                            |                           |               |
|                                                 | Complete Corporate File Plan re-structure, |                           |               |
| enabling open access to most of the File Plan   |                                            |                           |               |
| System                                          |                                            |                           |               |
| Administrator                                   |                                            |                           |               |
|                                                 | 4                                          |                           |               |
| th                                              |                                            |                           |               |
| Quarter                                         |                                            |                           |               |
| 2017                                            |                                            |                           |               |
|                                                 |                                            |                           |               |
|                                                 |                                            |                           |               |
|                                                 |                                            |                           |               |
| 1                                               |                                            |                           |               |
| st                                              |                                            |                           |               |
| Quarter                                         |                                            |                           |               |
| 2017                                            |                                            |                           |               |
| Head of KIM &                                   |                                            |                           |               |
| System                                          |                                            |                           |               |
| Administrator                                   |                                            |                           |               |
|                                                 |                                            |                           |               |
| Negotiate with ITAC to gain detailed profile of |                                            |                           |               |
| shared drives; include use of DROID software    |                                            |                           |               |
|                                                 |                                            |                           |               |
|                                                 |                                            |                           |               |
|                                                 |                                            |                           |               |
| 1                                               |                                            |                           |               |
| st                                              |                                            |                           |               |
| Quarter                                         |                                            |                           |               |
| 2017                                            |                                            |                           |               |
| Head of KIM &                                   |                                            |                           |               |
| System                                          |                                            |                           |               |
| Administrator                                   |                                            |                           |               |
|                                                 |                                            |                           |               |
| Devise plan for appraisal and disposal of       |                                            |                           |               |
| information in retained shared drives           |                                            |                           |               |
|                                                 |                                            |                           |               |
| On-going                                        |                                            |                           |               |
|                                                 |                                            |                           |               |
| Head of KIM &                                   |                                            |                           |               |
| System                                          |                                            |                           |               |
| Administrator                                   |                                            |                           |               |
|                                                 |                                            |                           |               |
| Ensure TRIM is regularly upgraded by IT         |                                            |                           |               |
| Assist (in-line with their NICS clients);       |                                            |                           |               |
| continue to monitor currency, availability and  |                                            |                           |               |
| accessibility of all NIO information            |                                            |                           |               |
|                                                 |                                            |                           |               |
|                                                 |                                            |                           |               |
 

## Nio Needs To Ensure That Information Risks Are Properly Understood Across The Organisation Especially At Board Level And Are Recorded, Monitored And Mitigated As Part Of The Risk Management Framework. 4

[Commentary on progress against main recommendation heading] Commentary last updated: 
 

|  Enabling/supporting actions                   | Owner                                   |
|------------------------------------------------|-----------------------------------------|
| due                                            |                                         |
|                                                |                                         |
| Head of KIM                                    |                                         |
|                                                |                                         |
|                                                |                                         |
| Provide Board with Brief on information risks  |                                         |
| both generally and in association with the     |                                         |
| shift to new IT and flexible working           |                                         |
| Head of KIM  Scheduled                         | Arrange TNA speaker to Board to discuss |
| information risk                               |                                         |
| Review Risk Management Policies to ensure      |                                         |
| information risk is adequately covered         |                                         |
| In progress                                    | 4                                       |
| th                                             |                                         |
| Quarter                                        |                                         |
| 2016                                           |                                         |
| Head of KIM                                    |                                         |
| with Head of                                   |                                         |
| Corporate                                      |                                         |
| Governance                                     |                                         |
|                                                |                                         |
|                                                |                                         |
| Head of KIM                                    |                                         |
| with Head of                                   |                                         |
| Corporate                                      |                                         |
| Governance                                     |                                         |
|                                                |                                         |
| Work with Corporate Governance to assess       |                                         |
| how well information risk is identified and    |                                         |
| addressed in Risk Registers; consider how      |                                         |
| best to approach business areas to assist      |                                         |
| them with completing Risk Registers            |                                         |
|                                                |                                         |
|                                                |                                         |
|                                                |                                         |
| Head of KIM                                    |                                         |
| & IMC                                          |                                         |
| (TNA)                                          |                                         |
|                                                |                                         |
| Review how information risk has been           |                                         |
| managed in other departments - ask IMC to      |                                         |
| provide introductions to 'opposite numbers' in |                                         |
| MOD, Home Office, DfE and others               |                                         |
|                                                |                                         |
|                                                |                                         |
|                                                |                                         |
|                                                |                                         |
 
Status 
 
 
3rd Quarter  
2016 July 2016 
1st Quarter  
2017 
 
4th Quarter  
2016 
 

## 5 As It Moves Towards A New It Environment And More Open And Flexible Working, Nio Needs To Update Its Information And Records Management Policies, Guidance And Training Accordingly And Ensure That It Has The Right Staff In Place To Support This. It Would Also Benefit From Exploring Ways Of Measuring Compliance With Policy And Guidance.

 
[Commentary on progress against main recommendation heading] Commentary last updated: 
 

|  Enabling/supporting actions                   | Owner    |   Commentary on progress  |
|------------------------------------------------|----------|---------------------------|
| due                                            |          |                           |
| Status                                         |          |                           |
|                                                |          |                           |
|                                                |          |                           |
| Head of KIM                                    |          |                           |
|                                                |          |                           |
|                                                |          |                           |
|                                                |          |                           |
| 4                                              |          |                           |
| th                                             |          |                           |
| Quarter                                        |          |                           |
| 2016                                           |          |                           |
| Review Information Management Policy in the    |          |                           |
| context of the changes to IT and work          |          |                           |
| practice, to ensure it contains clear guidance |          |                           |
| relating to flexible/remote working and to the |          |                           |
| use on multiple applications; issue reminders  |          |                           |
| to staff via intranet (with link to guidance)  |          |                           |
|                                                |          |                         2 |
| nd                                             |          |                           |
| Quarter                                        |          |                           |
| 2017                                           |          |                           |
|                                                |          |                           |
| Head of KIM &                                  |          |                           |
| System                                         |          |                           |
| Administrator                                  |          |                           |
|                                                |          |                           |
| Ensure Local Information Manager (LIM)         |          |                           |
| responsibilities are incorporated in their     |          |                           |
| annual performance objectives; enlist support  |          |                           |
| of HR; promote this to line managers and by    |          |                           |
| direct reminders to LIMs                       |          |                           |
|                                                |          |                           |
|                                                |          |                           |
| 4                                              |          |                           |
| th                                             |          |                           |
| Quarter                                        |          |                           |
| 2016                                           |          |                           |
| Head of KIM &                                  |          |                           |
| System                                         |          |                           |
| Administrator                                  |          |                           |
|                                                |          |                           |
| Use targeted training to ensure LIMs are       |          |                           |
| competent Google users as well as being        |          |                           |
| proficient in TRIM                             |          |                           |
|                                                |          |                           |
|                                                |          |                           |
| 3                                              |          |                           |
| rd                                             |          |                           |
| Quarter                                        |          |                           |
| 2016                                           |          |                           |
| Head of KIM &                                  |          |                           |
| System                                         |          |                           |
| Administrator                                  |          |                           |
|                                                |          |                           |
| Review LIM role description; ensure LIMs       |          |                           |
| promote saving to TRIM in their business       |          |                           |
| areas                                          |          |                           |
 
Records Manager 
 
2nd Quarter  
2017 
Continue to promote Head Start Scheme (for joiners/movers/leavers) - promoting it via intranet; reinforcing it with line managers. Review effectiveness of existing scheme. 
Head of KIM & Records 
Manager 
Complete review of Retention Schedules; publish Schedules on NIO internet site, as well as the intranet 
Head of KIM & Information Assurance Coordinator  
Re-circulate guidance on Secure Remote Working to remind staff and to inform new staff of their responsibilities to handle information appropriately Ensure new staff have completed the mandatory training in information handling 
Information Assurance Coordinator 
 
 
Head of KIM & System 
Administrator 
Review TRIM training modules; refresh TRIM 
guidance; run TRIM "train the trainer" sessions for all R&IM staff to create a greater TRIM training resource Provide targeted records & information handling and TRIM training to new staff 
 
Ongoing (focus on 2016) 
KIM Head & Deputy Head; System Administrator 
Head of KIM 
Continue to look/press for suitable IT training venues 
Undertake TRIM audits to monitor volumes of records created, finalised and closed 
System Administrator 
 
Ongoing (biannually) Head of KIM  
Explore ways of monitoring business area compliance with information management policy 
 
 
2nd Quarter 
2017 
 
3rd Quarter 
2016 KIM Head & Deputy Head    
Begin discussions with colleagues in other government departments in order to devise a process for benchmarking NIO information management processes and compliance 


2nd Quarter  
2017 
 
3rd Quarter 
2016 
 
3rd Quarter 
2016 
 
1st Quarter 
2017 
Ongoing (focus on 2016) 

## 6 Nio Should Review Its Current Approach To Appraisal, Selection, Sensitivity Review And Transfer Of Its Paper Files To Ensure That It Can Keep Pace With The Transition To The 20 Year Rule.

 
[Commentary on progress against main recommendation heading] Commentary last updated: 
 

|  Enabling/supporting actions                     | Owner                                       | Commentary on progress    | Completion    |
|--------------------------------------------------|---------------------------------------------|---------------------------|---------------|
| due                                              |                                             |                           |               |
| Status                                           |                                             |                           |               |
|                                                  |                                             |                           |               |
|                                                  | Work commenced with "A Guide to Sensitivity |                           |               |
| Review in the Northern Ireland Office"           |                                             |                           |               |
| 4                                                |                                             |                           |               |
| th                                               |                                             |                           |               |
| Quarter                                          |                                             |                           |               |
| 2016                                             |                                             |                           |               |
| Devise process to document the knowledge         |                                             |                           |               |
| of the sensitivity reviewers: particularly       |                                             |                           |               |
| selection criteria for records retention         |                                             |                           |               |
|                                                  |                                             |                           |               |
| Reviewers                                        |                                             |                           |               |
|                                                  |                                             |                           |               |
|                                                  |                                             |                           |               |
|                                                  |                                             |                           |               |
| 4                                                |                                             |                           |               |
| th                                               |                                             |                           |               |
| Quarter                                          |                                             |                           |               |
| 2016                                             |                                             |                           |               |
|                                                  |                                             |                           |               |
| KIM Deputy                                       |                                             |                           |               |
| Head;                                            |                                             |                           |               |
| Reviewers;                                       |                                             |                           |               |
| IMC                                              |                                             |                           |               |
| Develop more 'streamlined' approach to           |                                             |                           |               |
| records appraisal: classing records to           |                                             |                           |               |
| facilitate two-speed appraisals & review of      |                                             |                           |               |
| certain groups of records by Records staff,      |                                             |                           |               |
| enabling reviewer time to be focused on          |                                             |                           |               |
| records of greater sensitivity                   |                                             |                           |               |
|                                                  |                                             |                           |               |
|                                                  |                                             |                           |               |
| 1                                                |                                             |                           |               |
| st                                               |                                             |                           |               |
| Quarter                                          |                                             |                           |               |
| 2017                                             |                                             |                           |               |
| Develop out-sourced or partnered solutions       |                                             |                           |               |
| for basic file preparation work in order to free |                                             |                           |               |
| Records staff for more skilled review work       |                                             |                           |               |
| KIM Deputy                                       |                                             |                           |               |
| Head;                                            |                                             |                           |               |
| Records                                          |                                             |                           |               |
| Manager                                          |                                             |                           |               |
|                                                  |                                             |                           |               |
|                                                  | Increase reviewer resource                  | KIM Deputy                |               |
| Head                                             |                                             |                           |               |
|                                                  | 2                                           |                           |               |
| nd                                               |                                             |                           |               |
| Quarter                                          |                                             |                           |               |
| 2017                                             |                                             |                           |               |
|                                                  |                                             |                           |               |
|                                                  |                                             |                           |               |
|                                                  |                                             |                           |               |
 

## 7 Nio Needs To Start Developing An Approach For The Appraisal, Selection, Sensitivity Review And Transfer Of Its Digital Information.

[Commentary on progress against main recommendation heading] Commentary last updated: 
 

|  Enabling/supporting actions                   | Owner                                     | Commentary on progress                     |
|------------------------------------------------|-------------------------------------------|--------------------------------------------|
| due                                            |                                           |                                            |
| Status                                         |                                           |                                            |
|                                                |                                           |                                            |
|                                                |                                           | 4                                          |
| th                                             |                                           |                                            |
| Quarter                                        |                                           |                                            |
| 2016                                           |                                           |                                            |
|                                                |                                           |                                            |
| Head of KIM                                    |                                           |                                            |
| & IMC                                          |                                           |                                            |
| Liaise with IMC to acquire knowledge on        |                                           |                                            |
| digital continuity; include TNA training and   |                                           |                                            |
| guidance, engagement with other govt.          |                                           |                                            |
| departments and discussions with those who     |                                           |                                            |
| have tested new tools for digital transfers    |                                           |                                            |
|                                                |                                           |                                            |
| Head of KIM                                    |                                           |                                            |
|                                                |                                           |                                            |
|                                                |                                           |                                            |
| 1                                              |                                           |                                            |
| st                                             |                                           |                                            |
| Quarter                                        |                                           |                                            |
| 2017                                           |                                           |                                            |
| Identify issues around managing transfers of   |                                           |                                            |
| sensitive digital records, including tools and |                                           |                                            |
| methods for sensitivity review                 |                                           |                                            |
|                                                | Re-structure R&IM team to deploy greater  |                                            |
| resources in electronic records management     |                                           |                                            |
|                                                | 3                                         |                                            |
| rd                                             |                                           |                                            |
| Quarter                                        |                                           |                                            |
| 2017                                           |                                           |                                            |
| Head of KIM                                    |                                           |                                            |
| & System                                       |                                           |                                            |
| Administrator                                  |                                           |                                            |
|                                                |                                           |                                            |
| Develop roadmap for digital transfers          | Head of KIM                               |                                            |
|                                                |                                           |                                            |
| 1                                              |                                           |                                            |
| st                                             |                                           |                                            |
| Quarter                                        |                                           |                                            |
| 2017                                           |                                           |                                            |
|                                                | Negotiate with ITAC to use DROID software |                                            |
| on NIO records holdings                        |                                           |                                            |
|                                                |                                           |                                            |
|                                                |                                           |                                            |
| 3                                              |                                           |                                            |
| rd                                             |                                           |                                            |
| Quarter                                        |                                           |                                            |
| 2017                                           |                                           |                                            |
| Head of KIM                                    |                                           |                                            |
| & System                                       |                                           |                                            |
| Administrator                                  |                                           |                                            |
|                                                |                                           |                                            |
| Head of KIM                                    |                                           | Engage with TNA to access digital transfer |
| training for R&IM staff                        |                                           |                                            |
| 3                                              |                                           |                                            |
| rd                                             |                                           |                                            |
| Quarter                                        |                                           |                                            |
| 2017                                           |                                           |                                            |
|                                                |                                           |                                            |
|                                                |                                           |                                            |
|                                                |                                           |                                            |