Timescale 
The National Archives Information Management Assessment Programme Action Plan 
# 
Recommendation 
Actions 
Priority High/Low/ Medium 
Action 1.1: KIM team to undertake review, with input from IMC/Strategic Projects/Internal Audit, on the basis of agreed KPIs 
1 
The National Archives should conduct a review of the KIM programme by December 2011 to assess the impact and effectiveness in meeting its aims. 
High 
January 12 
SL 
KIM balanced scorecard for programme to date developed; agreement to present jointly to exec team with IA to show how the 
corporate risks across "confidentiality, integrity and availability" are being addressed.   
Balanced scorecard includes KIM corporate outputs (compliance and information sharing & exploitation) and KIM support for specific business plan projects and themes.    
Action 1.2: 
New metrics to assess KIM programme going forward.   To include more use of business data analysis in key corporate systems like Objective and Narnia.   
High 
January 12 
SL 
Objective statistical analysis developed and 
on Narnia; KIM team researching visualisation tools to help present big data, as part of sensitivity review project. KIM also discussing with ICT the potential need for additional data analysis software or development of sequel reporting services, to provide better business data analysis.  
High 
March 12 
All 
All retention schedules applied to 2003-2008 Objective file plan (18,500 files).  Analysis underway. (Retention plan for 2003-2008 file plan agreed with SIRO) 
Action 1.3: Statistical analysis of retentions schedules in Objective to give new 
business analysis insight 
Action 2.1: Agree with 
SIRO and schedule first 
report to Exec Team 
High 
January 12 
SL 
First progress report to Exec Team was postponed.  Still awaiting joint presentation with IA.  Will seek agreement from Exec team to frequency of updates when first report is given 
Action 2.2: Further integration of KIM with IA function 
High 
March 12 
SL 
KIM/IA jointly presenting to IAOs on risks; agreement on joint approach to risk management via directorate risk register   
format and frequency by which KIM and IA/IS progress is reported to organisational commitment and visibility of the programme. 
High 
December 11 
Action 2.3: KIM input into IA training programme across 
Whitehall 
| Owner                                      | Observations    | Delivered                                    |
|--------------------------------------------|-----------------|----------------------------------------------|
| Yes/No                                     |                 |                                              |
| Yes                                        |                 |                                              |
| Underway                                   |                 |                                              |
| Underway                                   |                 |                                              |
|                                            |                 |                                              |
| Yes                                        |                 |                                              |
| Yes                                        | SL              | KIM leading on IM aspects of training - e.g. |
| major input into CSL"s new  "Protecting    |                 |                                              |
| Information level 1" on-line training and  |                 |                                              |
| leading on scenario workshops with face to |                 |                                              |
| face SIRO training                         |                 |                                              |
| High                                       | September    |
|--------------------------------------------|--------------|
| 11                                         |              |
| Action 4.1:                                |              |
| Agreement that KIM is                      |              |
| represented on the IT                      |              |
| strategy group and has                     |              |
| ad hoc engagement with                     |              |
| the Board as necessary                     |              |
| 4                                          |              |
| The National Archives                      |              |
| should consider how and                    |              |
| when information                           |              |
| management is                              |              |
| represented at the IS/IT                   |              |
| Strategic Oversight                        |              |
| Board.                                     |              |
| High                                       | September    |
| 11                                         |              |
| Action 8.1:                                |              |
| KIM team to implement                      |              |
| monthly 'top tips'                         |              |
| including guidance on                      |              |
| corporate value                            |              |
| High                                       | Awaiting     |
| Narnia                                     |              |
| project                                    |              |
| 8                                          |              |
| The National Archives to                   |              |
| clarify appropriate use of                 |              |
| "corporate value" as well                  |              |
| as identify and introduce                  |              |
| a method, such as web                      |              |
| based tools and shared                     |              |
| workplaces, to publicise                   |              |
| short cuts and corporate                   |              |
| system key tips.                           |              |
| Action 8.2:                                |              |
| Narnia refresh to                          |              |
| incorporate better                         |              |
| integration with                           |              |
| Objective and Objective                    |              |
| guidance                                   |              |
| High                                       | February     |
| 12                                         |              |
| Action 10.1:                               |              |
| KIM team to consult ICT                    |              |
| about the best way of                      |              |
| doing this in the shared                   |              |
| drives and then launch                     |              |
| project; include DROID                     |              |
| use                                        |              |
| 10                                         |              |
| The National Archives                      |              |
| should adopt a clear                       |              |
| project with a set                         |              |
| deadline to identify those                 |              |
| documents that do not                      |              |
| have an owner or                           |              |
| responsible department                     |              |
| and ensure that such                       |              |
| documents are recorded                     |              |
| within the Information                     |              |
| Asset Profile.                             |              |
| High                                       | May 12       |
| commercial value of images held in TNA     |              |
| business systems; agreement to co-ordinate |              |
| with KIM team on 10:1, and to add the      |              |
| eventual information to the WTK schedules  |              |
| Action 10:2:                               |              |
| KIM team to co-ordinate                    |              |
| with project to identify                   |              |
| image ownership in                         |              |
| shared drives etc                          |              |
|                                            |              |
| High                                       | June 12      |
| risk review of incoming government data    |              |
| should require asset owners to catalogue   |              |
| these assets in the WTK schedules          |              |
| Action 10:3:                               |              |
| KIM team to co-ordinate                    |              |
| with IA project to identify                |              |
| risks to management of                     |              |
| incoming data from                         |              |
| government                                 |              |
| High                                       | September    |
| 11                                         |              |
| Action 18.1:                               |              |
| ICT to confirm this is                     |              |
| being done                                 |              |
| 18                                         |              |
| Capacity management                        |              |
| and planning should                        |              |
| form a significant part of                 |              |
| the IT Strategy                            |              |
| recommended by this                        |              |
| assessment report.                         |              |

 
Signed: _________________________  
_________________________  
_________________________ 

| Yes                                          | SL    | First IT strategy group meeting in December;    |
|----------------------------------------------|-------|-------------------------------------------------|
| Head of KIM now on IT Strategy Review panel  |       |                                                 |
| (and lead on user engagement and             |       |                                                 |
| information management themes)               |       |                                                 |
| Yes                                          | MA    |                                                 |
| "Top Tips" launched in September: series of  |       |                                                 |
| short, single-issue briefings on Narnia and  |       |                                                 |
| based on user feedback from KIM              |       |                                                 |
| consultations with business teams.  Includes |       |                                                 |
| guidance on corporate value.                 |       |                                                 |
|                                              | SL    | KIM team will ensure that Narnia refresh        |
| project includes better and more prominent   |       |                                                 |
| access to Objective and Objective corporate  |       |                                                 |
| guidance                                     |       |                                                 |
|                                              | KJ    | Planning started and initial discussions with   |
| ICT held; ICT producing mapping report in    |       |                                                 |
| April, following which KIM will go out to    |       |                                                 |
| business asking for ownership to be declared |       |                                                 |
|                                              |       |                                                 |
|                                              |       |                                                 |
| Yes                                          | MA    | Capacity management is now part of the ICT      |
| strategy and a key element of forward ICT    |       |                                                 |
| planning, where KIM is playing a role        |       |                                                 |
KIM team to agree and 
publish policy; consider enforcement via IAOs 
23 
The National Archives should provide clear 
policy and guidance on access to information in the personal areas of corporate systems for leavers. 
IA team and agree action with SIRO 
3 
The National Archives to review the benefits of wider input from across the whole business on assurance for information security and management. 
KIM team to devise follow-on training/guidance for 
IAOs post-September reports to DSC 
5 
The KIM team should ensure that ongoing communication is maintained to raise and 
sustain awareness of the KIM specific roles, responsibilities and the programme to all staff. 
| October 11                              |
|-----------------------------------------|
| strategic risk register, amended, and   |
| mitigating KIM actions are now properly |
| represented                             |
| Action 6.1:                             |
|                                         |
| KIM to include KIM risks                |
| in departmental register                |
| and amend strategic risk                |
| register                                |
| 6                                       |
| The National Archives                   |
| should revise its                       |
| corporate and                           |
| departmental risk                       |
| registers to include                    |
| appropriate KIM impacts                 |
| such as the Information                 |
| Asset Profile and revised               |
| responsibilities for IAOs.              |
7 
The KIM team should ensure that the WTK schedules are updated and maintained. 
Requirement for IAOs to confirm biannually that their WTK schedules are up to date; support to IAMs; template for WTK schedule changes 
All WTK schedules confirmed up to date in November IAO reporting to SIRO; IAOs have 
| Yes                                            |
|------------------------------------------------|
| practice on helping to protect the personal    |
| information of others where this is discovered |
| unprotected)                                   |
| SL                                          |
|---------------------------------------------|
| where IA/IS is discussed with a wide input  |
| from across TNA including all directorates. |
| SL                               |
|----------------------------------|
| completed for all IAOs and IAMs. |
Mediumlow 
December 11 
Action 9.1:  
KIM team develop 
guidance to add to IM WTK policy page on Narnia 
9 
The KIM team should set out how and when 
documents should be added to Objective as part of the WTK guidance. 
Mediumlow 
February 12 
11 
The National Archives should assess the business case for improved search technology for use across the department. 
Action 11.1:  
KIM team to assess the case for Objective 8.1; to agree with ICT on case for upgrading Narnia search 
Mediumlow 
December 11 
Action 12.1:  
KIM team to provide guidance for IAM page on Narnia 
12 
The KIM team to ensure that the IAMs are able to monitor and control the naming of folders and files locally to promote best practice. 
Mediumlow 
March 12 
KJ 
IAMs briefed at March training session to close files.  Monitoring will be done via IAO compliance statements. 
Action 12.2: KIM team to require IAMs to close files in Objective so that disposal schedules can be activated 
Mediumlow 
December 11 
Action 13.1:  
KIM team to redraft appropriate KIM pages on Narnia 
Mediumlow 
13 
The KIM team should review the Information and Records Management policies to ensure they reference records irrespective of medium and reflects current practice. 
March 12 
KJ 
Over 5000 paper files identified in departments and management programmes agreed or files transferred to file store.  Over 3000 redundant files destroyed.  
Action 13.2: KIM team to prioritise proper management of corporate paper files still in departments 
Ongoing 
MA 
Total email volume is monitored monthly.   
Yes 
Mediumlow 
Action 14.1:  
KIM team to monitor Objective stats and produce regular reports 
14 
The National Archives should consider how it can monitor or be alerted to large-scale movement of emails into Objective. 
Mediumlow 
Ongoing 
MA 
KIM team providing help and guidance to top 20 email inbox owners; considering further inbox management quotas. 
Action 14.2: KIM team to manage down very large email inboxes 
|                                              | KJ    | New guidance added - awaiting shared drives    |
|----------------------------------------------|-------|------------------------------------------------|
| project to complete.  Recent comprehensive   |       |                                                |
| trawl of file plan suggests good practice is |       |                                                |
| being maintained                             |       |                                                |
|                                              | MA    | Objective 8.1 agreed and funded; Objective     |
| search investigated; 7.5 deemed best.        |       |                                                |
| Workshop with Objective Corp in April to     |       |                                                |
| explore future search requirements.  Narnia  |       |                                                |
| work not yet started.                        |       |                                                |
|                                              | KJ    | IAMs briefed at March training meeting and     |
| feedback sought.  Information on file naming |       |                                                |
| in corporate records keeping manual on       |       |                                                |
| Narnia. Recent comprehensive trawl of file   |       |                                                |
| plan suggests general good practice in file  |       |                                                |
| naming                                       |       |                                                |
|                                              |       |                                                |
| SL                                           | Done  | Yes                                            |
| Yes                                          |       |                                                |
|                                              |       |                                                |
Mediumlow 
December 11 
Action 15.1:  
KIM team to redraft IM 
resource page on Narnia and task IAOs 
15 
Managers should ensure that staff use corporate 
systems as appropriate and that core business information is stored and accessible. 
Mediumlow 
May 12 
SL 
KIM team to integrate CRM, Narnia and Outlook training into general KIM training for new entrants  
Action 15.2: KIM team to take over policy lead on CRM system from IPS business support, and to take over Narnia and Outlook training from Internal Comms  
Mediumlow 
September 11 
Action 16.1:  
KIM team to publish this on Narnia 
16 
The KIM team to provide an explicit statement that they are owners of Digital Continuity for The National Archives. 
Mediumlow 
Ongoing 
KJ 
Technical fields added to IAP; to be further populated by IAMs and as shared drives 
information assets are added; IAOs tasked 
Action 17.1:  
KIM team to populate 
WTK spreadsheets in IAP with technical details 
17 
The National Archives to use the Digital Continuity 
guidance to ensure its Information Asset Profile follows best practice and includes technical information. 
Mediumlow 
19 
The National Archives should ensure that there is a clear process to cover receipt of digital information until placed within the archive. 
Action 19.1:  
KIM team to map current processes and data owners, then apply IAO responsibility for agreed procedures.  Related to recommendation 10 
April 12 
SL 
Underway; included in IAO briefing and specialist training for Digital Preservation; agreement with IA team that their data risk review recommendations on incoming digital information from government will include requirement for clear cataloguing and ownership via the WTK schedules  
Mediumlow 
February 12 
20 
The National Archives to ensure responsibility for material within the Tape Archive is defined, assigned and publicised within the relevant teams. 
| Yes                                           | KJ    | done (ongoing monitoring via IAO reporting:    |
|-----------------------------------------------|-------|------------------------------------------------|
| risks being managed)                          |       |                                                |
|                                               |       |                                                |
| SL                                            | Done  | Yes                                            |
|                                               |       |                                                |
|                                               |       |                                                |
|                                               | SL    | Underway; included in IAO briefing and         |
| specialist training for Digital Preservation; |       |                                                |
| agreement with IA team that their data risk   |       |                                                |
| review recommendations on pre-ingest  digital |       |                                                |
| information from government will include      |       |                                                |
| requirement for clear cataloguing and         |       |                                                |
| ownership via the WTK schedules               |       |                                                |
Mediumlow 
Action 21.1:  
discuss with ICT and 
agree way forward 
October 11 
MA 
Head of KIM participates in weekly ICT senior staff meetings; Information Manager 
participates in Technical Governance Board. 
21 
The National Archives should ensure KIM staff 
and appropriate information management specialists are included in risk and impact assessments when assessing changes. 
Mediumlow 
December 11 
Action 22.1:  
this has been subsumed into GSI refresher training 
22 
The National Archives should consider the provision of data protection refresher training. 
April 12 
SL 
Not yet started 
 
Mediumlow 
Action 22.2: KIM team to review FOI/DPA/IM training structure with DPA and FOIA leads 
Mediumlow 
Action 24.1:  
discuss with data lead and web team to agree way forward 
October 
SL 
There are several opportunities for users to comment on our web-based information products.  Web team currently doing further analysis of customer feedback requirements.   
24 
The National Archives to consult available stakeholder groups to assess the validity and relevance of the information available for re-use, to better inform future releases. 
Mediumlow 
February 12 
25 
The National Archives to develop an audit process for monitoring access to corporate systems. 
Action 25.1:  
implement access audit for shared drives after implementing recommendation 10.                 
Mediumlow 
February 12 
Action 25.2: review group access in Objective and revise guidance to IAOs 
Mediumlow 
February 12 
Action 26.1: To take forward under 
Yes 
Yes 
KJ 
GSI on-line refresher training launched and completed by all staff by end-march.  New 
CSL "protecting information level 1" training 
package, which includes DPA aspects, substantially contributed to by KIM team.    
 
MA 
Not yet started Yes 
MA 
Objective groups rationalised and tidied Dec 2011 
 
MA 
New Narnia project to start in April 2012: KIM team to ensure this aspect is covered  
Mediumlow 
February 12 
27 
The KIM team to coordinate a project to 
review Narnia long-term. 
Action 27.1: To take forward under 
new Narnia project  
Mediumlow 
February 12 
Action 28.1:  
implement further IAO and IAM training/guidance round after September reporting to DSC 
28 
The National Archives should prioritise IAM and IAO training to enable the post holders to fulfil their responsibilities and act as advocates to support the KIM programme. 
Mediumlow 
ongoing 
MA 
Next major internal communications planned around Objective upgrade 
Action 29.1:  
review communications effort with M&C 
29 
KIM communications should be developed with the internal communications team, utilising the available 
communication and information channels, such as Narnia news stories and the digital Talk magazine. 
Mediumlow 
February 
SL 
Knowledge centre to be developed as part of Narnia upgrade project, including knowledge transfer good practice 
Action 30.1:  
review leavers programme and reissue revised guidance; consider also as part of Narnia project 
30 
The KIM team should review how knowledge transfer has developed within The National Archives and provide access to good practice examples within the department so it can be shared. 
 
| MA    | New Narnia project to start in April 2012     |     |
|-------|-----------------------------------------------|-----|
| SL    | Done.                                         |     |
|       |                                               |     |
|       |                                               |     |