## Department For Transport Information Management Assessment Programme Action Plan The Following Table Sets Out The Recommendations From The Tna Information Management Assessment Undertaken In June 2009 And Shows The Actions, Priority And Timescale In Which Dft Have Already Or Plan To Take The Necessary Actions.

| #                               | Recommendation    |
|---------------------------------|-------------------|
|                                 |                   |
| 2010-11                         | Medium            |
| 1.1                             |                   |
| Develop outline matrix of       |                   |
| measures to use to assess       |                   |
| improved performance on KIM     |                   |
| activities.                     |                   |
|                                 |                   |
|                                 |                   |
| R1                              |                   |
| The Department                  |                   |
| should develop a                |                   |
| mechanism to measure            |                   |
| its KIM performance.            |                   |
| Guidance should be              |                   |
| sought from the                 |                   |
| Government"s                    |                   |
| Knowledge Council.              |                   |
| 1.2                             |                   |
| Consult the Knowledge           |                   |
| Council and others on best      |                   |
| practice and identify examples  |                   |
| used effectively in comparable  |                   |
| organisations                   |                   |
|                                 |                   |
|                                 |                   |
| 1.3                             |                   |
| Implement effective             |                   |
| performance measurement         |                   |
|                                 | High              |
|                                 |                   |
| Immediate                       |                   |
|                                 |                   |
| R2                              |                   |
| The Department should           |                   |
| formally identify a             |                   |
| records and information         |                   |
| management champion             |                   |
| and strategic lead at           |                   |
| Board level.                    |                   |
|                                 |                   |
| In 2010-11                      | Medium            |
|                                 |                   |
| 3.1                             |                   |
| Review both IM and ICT          |                   |
| strategies to identify and make |                   |
| explicit the linkages           |                   |
| R3                              |                   |
| The Department should           |                   |
| closely align its IT and        |                   |
| KIM strategies to ensure        |                   |
| cohesion and                    |                   |
| consistency                     |                   |
| High                            |                   |
|                                 |                   |
| 4.1                             |                   |
| Review the Corporate and        |                   |
| Information Management risk     |                   |
| registers                       |                   |
|                                 |                   |
| Immediate                       |                   |
|                                 |                   |
|                                 |                   |
| R4                              |                   |
| The Department should           |                   |
| identify and assess             |                   |
| information management          |                   |
| risks across the board,         |                   |
| including high risks on         |                   |
| the corporate risk register     |                   |
| as necessary                    |                   |
| .                               |                   |
|                                 |                   |
|                                 |                   |
| No                              |                   |
|                                 |                   |
|                                 |                   |
| Knowledge &                     |                   |
| Information                     |                   |
| Management                      |                   |
| Division                        |                   |
|                                 |                   |
| It will be essential            |                   |
| to measure our                  |                   |
| progress and                    |                   |
| effectiveness.                  |                   |
|                                 |                   |
|                                 |                   |
| Yes - fully                     |                   |
| implemented                     |                   |
| in 2009                         |                   |
|                                 |                   |
| Knowledge &                     |                   |
| Information                     |                   |
| Management                      |                   |
| Division                        |                   |
|                                 |                   |
| The DfT"s Senior                |                   |
| Information Risk                |                   |
| Owner has                       |                   |
| incorporated the                |                   |
| role within his                 |                   |
| overall responsibility          |                   |
| for Information.                |                   |
|                                 |                   |
| No                              |                   |
|                                 |                   |
| Information                     |                   |
| Management                      |                   |
| Directorate                     |                   |
| We will explore how             |                   |
| we can make more                |                   |
| explicit linkages in            |                   |
| future.                         |                   |
|                                 |                   |
|                                 |                   |
|                                 |                   |
| Yes                             |                   |
|                                 |                   |
|                                 |                   |
| Knowledge &                     |                   |
| Information                     |                   |
| Management                      |                   |
| Division                        |                   |
|                                 |                   |
| We fully recognise              |                   |
| that inadequate                 |                   |
| information                     |                   |
| management                      |                   |
| contributes to                  |                   |
| information risk and            |                   |
| that this needs to              |                   |
| be fully reflected in           |                   |
| the risk register.              |                   |
| #                                | Recommendation    | Actions     |
|----------------------------------|-------------------|-------------|
|                                  |                   |             |
| Medium                           | In 2010-11        | Knowledge & |
| Information                      |                   |             |
| Management                       |                   |             |
| Division                         |                   |             |
| 5.1                              |                   |             |
| Review existing RM guidance      |                   |             |
| and improve with specific        |                   |             |
| examples of material that needs  |                   |             |
| to be kept and of what ephemeral |                   |             |
| information we should discard.   |                   |             |
| R5                               |                   |             |
| The Department should            |                   |             |
| assess what information          |                   |             |
| has business value and           |                   |             |
| should be kept. This             |                   |             |
| guidance should then be          |                   |             |
| disseminated to staff.           |                   |             |
| High                             | Immediate         | Knowledge & |
| Information                      |                   |             |
| Management                       |                   |             |
| Division                         |                   |             |
| R6                               |                   |             |
| Records experts,                 |                   |             |
| including those in CLG,          |                   |             |
| should contribute to the         |                   |             |
| development of the new           |                   |             |
| KIM strategy.                    |                   |             |
| 6.1                              |                   |             |
| Establish a programme of         |                   |             |
| regular meetings with CLG        |                   |             |
| colleagues to share concerns and |                   |             |
| seek expert advice.              |                   |             |
|                                  |                   |             |
| 7.1                              |                   |             |
| As part of the KIM               |                   |             |
| responsibilities, establish good |                   |             |
| relations with TNA and channels  |                   |             |
| to use to obtain advice.         |                   |             |
| High                             | Medium            | Knowledge & |
| Information                      |                   |             |
| Management                       |                   |             |
| Division                         |                   |             |
| R7                               |                   |             |
| The Department should            |                   |             |
| work closely with The            |                   |             |
| National Archives in             |                   |             |
| developing Departmental          |                   |             |
| policy on what to keep.          |                   |             |
| High                             | Immediate         | Knowledge & |
| Information                      |                   |             |
| Management                       |                   |             |
| Division                         |                   |             |
| 8.1                              |                   |             |
| Set clear objectives for IMD     |                   |             |
| Deputy Director to develop KIM   |                   |             |
| strategy and lead on work-       |                   |             |
| streams                          |                   |             |
|                                  |                   |             |
| R8                               |                   |             |
| The Department should            |                   |             |
| identify a lead on               |                   |             |
| information management           |                   |             |
| to champion the strategy         |                   |             |
| on what to keep and              |                   |             |
| ensure successful                |                   |             |
| implement of the future          |                   |             |
| KIM strategy.                    |                   |             |

_________________________ 

| No                    | Although we have    |
|-----------------------|---------------------|
| generic examples of   |                     |
| what must be kept     |                     |
| as records e.g.       |                     |
| ministerial           |                     |
| submissions,          |                     |
| decision letters, and |                     |
| legal advice, it is   |                     |
| also for business     |                     |
| unit to consider if   |                     |
| other types           |                     |
| information that they |                     |
| handle should also    |                     |
| be within their       |                     |
| business records.     |                     |
| Yes                   | RM policy and       |
| guidance continues    |                     |
| to be a key element   |                     |
| of the SLA for        |                     |
| services from CLG     |                     |
| to DfT, and is now    |                     |
| directly managed by   |                     |
| KIM Division.         |                     |
|                       |                     |
| No                    | Related to Action 5 |
| above. A summary      |                     |
| of the DfT Records    |                     |
| Management Policy     |                     |
| was published on      |                     |
| the DfT website in    |                     |
| February.             |                     |
| Yes                   |                     |

The head of Knowledge and Information Management Division leads on the Better RM Project and wider KIM strategy work streams. 

| #                                   | Recommendation    | Actions     |
|-------------------------------------|-------------------|-------------|
|                                     |                   |             |
| Medium                              | In 2010-11        | Knowledge & |
| Information                         |                   |             |
| Management                          |                   |             |
| Division                            |                   |             |
| 9.1                                 |                   |             |
| Assess what additional              |                   |             |
| facilities are necessary to improve |                   |             |
| access and use and identify how     |                   |             |
| current/additional IT can be        |                   |             |
| provided to meet these needs        |                   |             |
| R9                                  |                   |             |
| Once the Department                 |                   |             |
| has identified what                 |                   |             |
| information has business            |                   |             |
| value, the Department               |                   |             |
| should review if file plans         |                   |             |
| are the most suitable               |                   |             |
| means of capture for this           |                   |             |
| information.                        |                   |             |
| Medium                              |                   |             |
|                                     |                   |             |
| R10                                 |                   |             |
| The Department should               |                   |             |
| review the risk of not              |                   |             |
| having size limits on staff         |                   |             |
| inboxes and investigate             |                   |             |
| alternative means of                |                   |             |
| capture for emails.                 |                   |             |
| 10.1                                |                   |             |
| Review the operational              |                   |             |
| efficiency of the Outlook Archive   |                   |             |
|                                     |                   |             |
| 10.2                                |                   |             |
| Assess whether additional           |                   |             |
| management is needed to weed        |                   |             |
| out ephemeral emails                |                   |             |
|                                     |                   |             |
|                                     |                   |             |
|                                     |                   |             |
|                                     |                   |             |
|                                     |                   |             |
|                                     |                   |             |
| R11                                 |                   |             |
| The Department should               |                   |             |
| review the role of BRO to           |                   |             |
| raise its profile and remit.        |                   |             |
| Medium                              | In 2010-11        | Knowledge & |
| Information                         |                   |             |
| Management                          |                   |             |
| Division                            |                   |             |
| 11.1                                |                   |             |
| Develop job role                    |                   |             |
| specification and objective for     |                   |             |
| BROs                                |                   |             |
|                                     |                   |             |
| 11.2                                |                   |             |
| Include in Better RM project        |                   |             |
| roll-out                            |                   |             |
|                                     |                   |             |
| Medium                              | In 2010-11        | Knowledge & |
| Information                         |                   |             |
| Management                          |                   |             |
| Division                            |                   |             |
| R12                                 |                   |             |
| The Department should               |                   |             |
| consider                            |                   |             |
| professionalising the role          |                   |             |
| of the BRO in                       |                   |             |
| conjunction with the                |                   |             |
| guidance provided by the            |                   |             |
| Government Knowledge                |                   |             |
| Council.                            |                   |             |
| 12.1                                |                   |             |
| Identify range of                   |                   |             |
| responsibilities that comprise the  |                   |             |
| BRO and potentially wider           |                   |             |
| business information manager        |                   |             |
| role(s)                             |                   |             |
|                                     |                   |             |
| 12.2                                |                   |             |
| Assess the scope for                |                   |             |
| suitable professional training in   |                   |             |
| line with Knowledge Council         |                   |             |
| guidance                            |                   |             |

Signed: _________________________  
_________________________  
_________________________ 

| No                   | This action is         |
|----------------------|------------------------|
| Included in the      |                        |
| Better RM project.   |                        |
| No                   | In 2010-11             |
| Management           |                        |
| Directorate          |                        |
| Size limits on email |                        |
| accounts were        |                        |
| introduced in 2004   |                        |
| ahead of FOI and     |                        |
| led to fewer emails  |                        |
| being held by        |                        |
| individual members   |                        |
| of staff. This and   |                        |
| other options for    |                        |
| managing email will  |                        |
| be considered        |                        |
| following the Better |                        |
| RM project.          |                        |
|                      |                        |
| No                   | Raising the profile of |
| Business Records     |                        |
| Officers and         |                        |
| providing            |                        |
| training are key     |                        |
| elements of the      |                        |
| current Better RM    |                        |
| project              |                        |
|                      |                        |
| No                   | We will assess the     |
| need for relevant    |                        |
| training and         |                        |
| achievement of       |                        |
| professional         |                        |
| qualifications for   |                        |
| BROs in line with    |                        |
| the Knowledge        |                        |
| Council advice.      |                        |
| #                                   | Recommendation    | Actions     |
|-------------------------------------|-------------------|-------------|
|                                     |                   |             |
| Medium                              | In 2010-11        | Knowledge & |
| Information                         |                   |             |
| Management                          |                   |             |
| Division                            |                   |             |
| 13.1                                |                   |             |
| Build on the initial steps          |                   |             |
| taken in the Better RM project to   |                   |             |
| engage and enthuse the BRO          |                   |             |
| network                             |                   |             |
|                                     |                   |             |
| R13                                 |                   |             |
| The Department should               |                   |             |
| take ownership of the               |                   |             |
| BRO network to                      |                   |             |
| demonstrate its                     |                   |             |
| commitment to effective             |                   |             |
| information management.             |                   |             |
| Medium                              |                   |             |
|                                     |                   |             |
| R14                                 |                   |             |
| The Department should               |                   |             |
| increase the frequency of           |                   |             |
| BRO seminars and their              |                   |             |
| scope to reinforce                  |                   |             |
| corporate information               |                   |             |
| management messages                 |                   |             |
| across the network.                 |                   |             |
| 14.1                                |                   |             |
| Organise series of BRO              |                   |             |
| seminars to engage with post        |                   |             |
| holders and share best practice     |                   |             |
|                                     |                   |             |
| 14.2                                |                   |             |
| Explore use of intranets etc        |                   |             |
| to use as communication tools       |                   |             |
| between seminars                    |                   |             |
| Medium                              | In 2010-11        | Knowledge & |
| Information                         |                   |             |
| Management                          |                   |             |
| Division                            |                   |             |
| R15                                 |                   |             |
| The Department should               |                   |             |
| review its retention                |                   |             |
| periods and investigate             |                   |             |
| an automated process for            |                   |             |
| their application.                  |                   |             |
| 15.1                                |                   |             |
| Assess current policies and         |                   |             |
| practice for both paper and         |                   |             |
| electronic records                  |                   |             |
|                                     |                   |             |
| 15.2                                |                   |             |
| Identify whether there is           |                   |             |
| scope to rationalise the range of   |                   |             |
| retention periods                   |                   |             |
|                                     |                   |             |
| 15.3                                |                   |             |
| Explore how current IT can          |                   |             |
| automate deletion of sets of        |                   |             |
| electronic records at the           |                   |             |
| appropriate time                    |                   |             |
| Medium                              | In 2010-11        | Knowledge & |
| Information                         |                   |             |
| Management                          |                   |             |
| Division                            |                   |             |
| R16                                 |                   |             |
| Department should                   |                   |             |
| review the methods for              |                   |             |
| protecting information              |                   |             |
| held on AFPs to ensure              |                   |             |
| that unauthorised access            |                   |             |
| is not possible.                    |                   |             |
| 16.1                                |                   |             |
| Review and improve existing         |                   |             |
| instructions for BROs to set AFP    |                   |             |
| access rights                       |                   |             |
|                                     |                   |             |
| 16.2                                |                   |             |
| Include step by step                |                   |             |
| guidance in BRO Toolkit             |                   |             |
|                                     |                   |             |
| 16.3                                |                   |             |
| Include in BRO training             |                   |             |
| course                              |                   |             |
| Medium                              |                   |             |
|                                     |                   |             |
| R17                                 |                   |             |
| Private Office to                   |                   |             |
| undertake an annual                 |                   |             |
| assessment of                       |                   |             |
| procedures to fully                 |                   |             |
| comply with Cabinet                 |                   |             |
| Office and The National             |                   |             |
| 17.1                                |                   |             |
| Agree necessary steps with          |                   |             |
| senior Private Office management    |                   |             |
|                                     |                   |             |
| 17.2                                |                   |             |
| Include in the Better RM            |                   |             |
| project so that all Directors fully |                   |             |
| recognise their responsibility to   |                   |             |

 
Signed: _________________________  
_________________________  
_________________________ 
 
 
Department 

| Yes                  | KIM has assumed      |
|----------------------|----------------------|
| management of the    |                      |
| BRO network          |                      |
| No                   | In 2010-11           |
| Information          |                      |
| Management           |                      |
| Division             |                      |
| The Better RM        |                      |
| Project will provide |                      |
| an opportunity to    |                      |
| engage with all      |                      |
| BROs and seminars    |                      |
| will be arranged     |                      |
| quarterly in future. |                      |
|                      |                      |
| No                   | The Better RM        |
| project will include |                      |
| reviews of current   |                      |
| AFPs and policies    |                      |
| and procedures on    |                      |
| retention.           |                      |
| No                   | This is an important |
| part of the          |                      |
| improvements to the  |                      |
| BRO responsibilities |                      |
| and skill set.       |                      |
In 2010-11 as part of Better RM project 
For review in July 2011 and 
business unit rather than the Private Offices hold all 
business records in line with approved 
| #                                   | Recommendation    | Actions        |
|-------------------------------------|-------------------|----------------|
|                                     |                   |                |
| Archives Guidance on                |                   |                |
| Private Office records.             |                   |                |
| maintain full records on            |                   |                |
| engagements with private office     |                   |                |
| 18.1                                |                   |                |
| Rationalise remaining third         |                   |                |
| party hosted websites               |                   |                |
| Medium                              | 2009-10           | Communications |
| Directorate                         |                   |                |
| R18                                 |                   |                |
| The Department should               |                   |                |
| assess the risks                    |                   |                |
| relating to the hosting             |                   |                |
| of DfT websites by third            |                   |                |
| parties to ensure that              |                   |                |
| they are managed                    |                   |                |
| effectively.                        |                   |                |
| Medium                              | 2009-10           |                |
| 19.1                                |                   |                |
| Maintain ban on new websites        |                   |                |
| and domains unless expressly        |                   |                |
| permitted by Cabinet Office         |                   |                |
|                                     |                   |                |
| R19                                 |                   |                |
| The Department should               |                   |                |
| develop a policy                    |                   |                |
| around                              |                   |                |
| the creation of websites            |                   |                |
| to ensure the DfT Web               |                   |                |
| team are involved from              |                   |                |
| the outset.                         |                   |                |
| Medium                              | 2009-10           | Communications |
| Directorate                         |                   |                |
| 20.1                                |                   |                |
| Develop clear guidance to           |                   |                |
| highlight the risks through         |                   |                |
| inadvertently infringing Copyright  |                   |                |
| when publishing 3rd party material  |                   |                |
| on websites                         |                   |                |
| R20                                 |                   |                |
| The Department should               |                   |                |
| assess the risks                    |                   |                |
| relating to the                     |                   |                |
| publication of third                |                   |                |
| party material on                   |                   |                |
| external websites in                |                   |                |
| order to reassure DfT               |                   |                |
| that it is not                      |                   |                |
| infringing intellectual             |                   |                |
| property rights.                    |                   |                |
| Medium                              | In 2010-11        | Knowledge &    |
| Information                         |                   |                |
| Management                          |                   |                |
| Division                            |                   |                |
| 21.1                                |                   |                |
| Develop clear guidance to           |                   |                |
| highlight the need to consider      |                   |                |
| information disclosed via Twitter   |                   |                |
| and similar channels as potentially |                   |                |
| part of the official DfT record     |                   |                |
| websites                            |                   |                |
| R21                                 |                   |                |
| The Department should               |                   |                |
| consider whether                    |                   |                |
| material produced on                |                   |                |
| Twitter is                          |                   |                |
| critical to keep for the            |                   |                |
| public and policy record            |                   |                |
| and, if so, how it should           |                   |                |
| be captured.                        |                   |                |
 
_________________________ 
| Cabinet Office rules.     | annually              |
|---------------------------|-----------------------|
| thereafter                |                       |
| Partially                 | The corporate         |
| website platform is       |                       |
| currently going           |                       |
| through the               |                       |
| technical/security        |                       |
| accreditation             |                       |
| process. On               |                       |
| completion several        |                       |
| campaign and micro        |                       |
| sites will be moved       |                       |
| to the central            |                       |
| hosting platform.         |                       |
| Yes                       |                       |
|                           |                       |
| Communications            |                       |
| Directorate               |                       |
| The Service               |                       |
| transformation and        |                       |
| web rationalisation       |                       |
| programme within          |                       |
| DfT has helped to         |                       |
| identify and              |                       |
| subsequently              |                       |
| reduce the number         |                       |
| of DfT websites.          |                       |
| No                        | This is will be       |
| included in the           |                       |
| Social Media Use          |                       |
| Policy                    |                       |
| No                        | This will be included |
| in the Social Media       |                       |
| Use Policy and            |                       |
| guidance.                 |                       |
| #                                     | Recommendation            | Actions                   | Priority    |
|---------------------------------------|---------------------------|---------------------------|-------------|
|                                       |                           |                           |             |
| Medium                                | 2009-10                   | Communications            |             |
| Directorate                           |                           |                           |             |
| 22.1                                  |                           |                           |             |
| Complete development of               |                           |                           |             |
| revised website home page and top     |                           |                           |             |
| level structure                       |                           |                           |             |
| R22                                   |                           |                           |             |
| The Department should                 |                           |                           |             |
| consider design                       |                           |                           |             |
| improvements for their                |                           |                           |             |
| website to ensure                     |                           |                           |             |
| joined-up content and                 |                           |                           |             |
| interlinking between                  |                           |                           |             |
| policy areas.                         |                           |                           |             |
| 23.1                                  |                           |                           |             |
| Complete log of owners of             |                           |                           |             |
| material published on website         |                           |                           |             |
| Medium                                | 2009-10                   | Communications            |             |
| Directorate                           |                           |                           |             |
| R23                                   |                           |                           |             |
| The Department should                 |                           |                           |             |
| identify content owners               |                           |                           |             |
| for all material on the               |                           |                           |             |
| corporate website.                    |                           |                           |             |
| Medium                                | 2009-10                   | Communications            |             |
| Directorate                           |                           |                           |             |
| 24.1                                  |                           |                           |             |
| Include compliance with COI           |                           |                           |             |
| guidelines in annual management       |                           |                           |             |
| review                                |                           |                           |             |
| R24                                   |                           |                           |             |
| The Department should                 |                           |                           |             |
| ensure that it is                     |                           |                           |             |
| adhering to the COI                   |                           |                           |             |
| guidelines on                         |                           |                           |             |
| "Managing URLs" and                   |                           |                           |             |
| "Archiving Websites" to               |                           |                           |             |
| ensure compliance.                    |                           |                           |             |
|                                       |                           |                           | Information |
| Management                            |                           |                           |             |
| Directorate                           |                           |                           |             |
| R25                                   |                           |                           |             |
| The Department should                 |                           |                           |             |
| investigate the                       |                           |                           |             |
| possibility of a                      |                           |                           |             |
| protective marking                    |                           |                           |             |
| prompt when saving                    |                           |                           |             |
| documents to reinforce                |                           |                           |             |
| good practice.                        |                           |                           |             |
|                                       |                           | Information               |             |
| Management                            |                           |                           |             |
| Directorate                           |                           |                           |             |
| 26.1                                  |                           |                           |             |
| Include specific explanations of      |                           |                           |             |
| protect marking procedures in the     |                           |                           |             |
| mandatory Protecting Information      |                           |                           |             |
| refresher course for delivery in 2010 |                           |                           |             |
| R26                                   |                           |                           |             |
| The Department should                 |                           |                           |             |
| increase awareness of                 |                           |                           |             |
| protective marking                    |                           |                           |             |
| procedures through                    |                           |                           |             |
| training and the                      |                           |                           |             |
| provision of clear and                |                           |                           |             |
| usable guidance.                      |                           |                           |             |
|                                       |                           |                           |             |
|                                       |                           |                           |             |
|                                       |                           |                           |             |
| Signed: _________________________     | _________________________ | _________________________ |             |
| No                     | There is ongoing      |
|------------------------|-----------------------|
| work with policy and   |                       |
| strategic              |                       |
| communication          |                       |
| colleagues to          |                       |
| develop a revised      |                       |
| home page and top      |                       |
| level modal and        |                       |
| pan-transport          |                       |
| pages.                 |                       |
| Yes                    | The current ongoing   |
| content review has     |                       |
| helped to establish    |                       |
| content owners         |                       |
| across the             |                       |
| Department.            |                       |
| Yes                    | COI guidelines to     |
| ensure web             |                       |
| continuity are being   |                       |
| followed for the       |                       |
| corporate site and     |                       |
| centrally managed      |                       |
| DfT sites.             |                       |
| No                     | This will be included |
| in the Better RM       |                       |
| project to identify    |                       |
| areas where this       |                       |
| facility would be an   |                       |
| advantage.             |                       |
| Partially              | The Protecting        |
| Information e-         |                       |
| Learning courses       |                       |
| and associated         |                       |
| guidance recently      |                       |
| delivered to all staff |                       |
| highlighted the        |                       |
| importance of          |                       |
| properly assigning     |                       |
| security markings,     |                       |
| and will be repeated   |                       |
| #                                    | Recommendation    | Actions     |
|--------------------------------------|-------------------|-------------|
|                                      |                   |             |
|                                      |                   | Information |
| Management                           |                   |             |
| Directorate                          |                   |             |
| 27.1                                 |                   |             |
| Include as best practice in the      |                   |             |
| Better RM project                    |                   |             |
|                                      |                   |             |
| 27.2                                 |                   |             |
| Investigate scope for                |                   |             |
| implementing as an automatic         |                   |             |
| prompt at document creation          |                   |             |
| R27                                  |                   |             |
| The classification of a              |                   |             |
| document should be                   |                   |             |
| included in the                      |                   |             |
| document"s title so it is            |                   |             |
| visible to users. This               |                   |             |
| could be achieved                    |                   |             |
| through an automated                 |                   |             |
| process.                             |                   |             |
|                                      |                   | Information |
| Management                           |                   |             |
| Directorate                          |                   |             |
| 28.1                                 |                   |             |
| Assess whether the Better RM         |                   |             |
| project delivers effective induction |                   |             |
| training by BROs for each new        |                   |             |
| joiner in business areas             |                   |             |
| R28                                  |                   |             |
| Information                          |                   |             |
| management training,                 |                   |             |
| in conjunction with                  |                   |             |
| information assurance,               |                   |             |
| should become                        |                   |             |
| mandatory as part of                 |                   |             |
| the induction process.               |                   |             |
| 29.1                                 |                   |             |
| Assess scope for additional          |                   |             |
| training following completion of the |                   |             |
| Better RM project.                   |                   |             |
|                                      |                   | Information |
| Management                           |                   |             |
| Directorate                          |                   |             |
| R29                                  |                   |             |
| The Department should                |                   |             |
| assess the need for                  |                   |             |
| information                          |                   |             |
| management training to               |                   |             |
| be included in                       |                   |             |
| information assurance                |                   |             |
| training for general                 |                   |             |
| staff.                               |                   |             |
|                                      |                   |             |
|                                      |                   |             |
in the annual refresher and course and other communications/ training for staff.  
No  
This is potentially an alternative to including the marking prominently at the top of each page of a document.  
Partially  
The e-Learning Level 1 course is mandatory for all 
new staff within 1 month of joining (and sooner for posts regularly handling sensitive material). The BRO role is being enhanced to include providing IA/IM training for new joiners locally in a similar timescale.  
 
We will be analysing feedback from during the roll-out of the Better RM project to assess the need for and scope of a general IM training course to supplement the role of BROs to support their colleagues and 
encourage best IM practices.  
| #                                  | Recommendation    | Actions        |
|------------------------------------|-------------------|----------------|
|                                    |                   |                |
| 30.1                               |                   |                |
| Complete review of intranet        |                   |                |
| content.                           |                   |                |
| Medium                             |                   |                |
|                                    |                   |                |
| R30                                |                   |                |
| The Department should              |                   |                |
| devise a process for               |                   |                |
| reviewing intranet                 |                   |                |
| content to ensure that it          |                   |                |
| is up to date.                     |                   |                |
| Medium                             | In 2010-11        | Communications |
| Directorate                        |                   |                |
| 31.1                               |                   |                |
| Include reminder of line           |                   |                |
| sponsor responsibility for records |                   |                |
| management in communications at    |                   |                |
| launch of new Transnet and in      |                   |                |
| content publishing process         |                   |                |
| documentation.                     |                   |                |
| R31                                |                   |                |
| The Department should              |                   |                |
| review what other                  |                   |                |
| intranet content needs             |                   |                |
| to be captured for the             |                   |                |
| formal record to ensure            |                   |                |
| critical business                  |                   |                |
| information is not lost.           |                   |                |
| 32.1                               |                   |                |
| Promote facility for Localnets     |                   |                |
| in launch of new Transnet.         |                   |                |
| Medium                             | In 2010-11        |                |
|                                    |                   |                |
| R32                                |                   |                |
| The Department should              |                   |                |
| review the number of               |                   |                |
| Localnets to ensure                |                   |                |
| that there is more local           |                   |                |
| access to allow the                |                   |                |
| easier dissemination of            |                   |                |
| content and sharing of             |                   |                |
| information.                       |                   |                |
| 33.1                               |                   |                |
| Plan for undertaking a digital     |                   |                |
| continuity risk assessment in line |                   |                |
| with TNA guidance.                 |                   |                |
| Medium                             | In 2010-11        | Information    |
| Management                         |                   |                |
| Directorate                        |                   |                |
| R33                                |                   |                |
| The Department should              |                   |                |
| undertake a digital                |                   |                |
| continuity risk                    |                   |                |
| assessment                         |                   |                |
| within twelve months of            |                   |                |
| the publication of this            |                   |                |
| report in conjunction              |                   |                |
| with The National                  |                   |                |
| Archives                           |                   |                |
| R34                                |                   |                |
| The Department should              |                   |                |
| develop a programme                |                   |                |
| to increase awareness              |                   |                |
| of effective information           |                   |                |
| 34.1                               |                   |                |
| Include specific                   |                   |                |
| communications for middle          |                   |                |
| management grades in Better RM     |                   |                |
| roll-out.                          |                   |                |
| Medium                             | In 2010-11        | Knowledge &    |
| Information                        |                   |                |
| Management                         |                   |                |
| Division                           |                   |                |
| Partially             | In 2010-11           |
|-----------------------|----------------------|
| Directorate           |                      |
| There is a            |                      |
| comprehensive         |                      |
| review underway in    |                      |
| preparation for the   |                      |
| new content           |                      |
| management            |                      |
| system                |                      |
|                       | Any intranet content |
| that is required as   |                      |
| critical business     |                      |
| information is the    |                      |
| responsibility of the |                      |
| policy unit           |                      |
| originating the       |                      |
| material and should   |                      |
| be kept as part of    |                      |
| their records within  |                      |
| their AFP.            |                      |
|                       | Communications       |
| Directorate           |                      |
| The Transnet          |                      |
| managers train        |                      |
| colleagues as         |                      |
| "devolved             |                      |
| publishers" as long   |                      |
| as they are           |                      |
| prepared to maintain  |                      |
| Transnet editorial    |                      |
| standards.            |                      |
|                       | IMD are working      |
| with TNA and other    |                      |
| departments on        |                      |
| developing guidance   |                      |
| on assessing the      |                      |
| risks of digital      |                      |
| obsolescence and      |                      |
| the steps necessary   |                      |
| to maintain access    |                      |
| to and use of data.   |                      |
|                       | The Better RM        |
| project will include  |                      |
| communications and    |                      |
| guidance for all      |                      |
| #                                   | Recommendation    | Actions     |
|-------------------------------------|-------------------|-------------|
|                                     |                   |             |
| management amongst                  |                   |             |
| middle management.                  |                   |             |
| 34.2                                |                   |             |
| Consult BROs on what has            |                   |             |
| worked/not worked for them in their |                   |             |
| areas when providing guidance to    |                   |             |
| managers.                           |                   |             |
| High                                |                   |             |
|                                     |                   |             |
| 35.1                                |                   |             |
| Develop process and guidance        |                   |             |
| for managers to use to capture      |                   |             |
| knowledge from departees            |                   |             |
| R35                                 |                   |             |
| The Department should               |                   |             |
| develop a knowledge                 |                   |             |
| capture policy to                   |                   |             |
| ensure                              |                   |             |
| knowledge is not lost               |                   |             |
| when staff leave the                |                   |             |
| organisation.                       |                   |             |
| High                                | In 2010-11        | Knowledge & |
| Information                         |                   |             |
| Management                          |                   |             |
| Division                            |                   |             |
| 36.1                                |                   |             |
| Include clear Messages on           |                   |             |
| risks in Better RM project and      |                   |             |
| subsequent steps in the Data        |                   |             |
| handling Culture Change work        |                   |             |
| stream.                             |                   |             |
| R36                                 |                   |             |
| The Department should               |                   |             |
| develop a programme                 |                   |             |
| to raise awareness of               |                   |             |
| the risks of poor                   |                   |             |
| information                         |                   |             |
| management, to                      |                   |             |
| reinforce and embed                 |                   |             |
| good practice.                      |                   |             |
|                                     |                   |             |
|                                     |                   |             |
managers and staff on our responsibilities as individuals for saving records we create and as managers for directing how and where records are to be kept on each work stream/policy area.  
 
In 2010-11  
Knowledge & Information Management Division  
This is a key area of concern to be addressed in implementation of 
the KIM strategy recently approved.  
 
The Better RM project is our initial vehicle and complementary messages will be included in the mandatory Protecting Information refresher training in 2010 and as part of our wider KIM programme over the next two years.