Department for Education (DfE) Information Management Assessment Programme Action Plan 
The following table sets out the recommendations from the TNA Information Management Assessment undertaken in July 2009 
and shows the Actions, Priority and Timescale in which DfE have already or plan to take the necessary actions as at July 2011 
 
# 
Recommendation 
Actions 
Priority High/Low/ Medium 
High 
2009-2011  
Senior Information Risk Owner (SIRO) 
Recognise need to manage all aspects of information risk and ensure representation at Board Level. 
R1 
In line with the Hannigan Review guidance, DfE should ensure that they have board representation covering all aspects of information 
risk, and not just information security. 
High 
2009-2011  
Chief Information Officers Group (CIOG) 
Bring Information Management Matters and Information Management Assessment and proposed response of the Information Workplace programme (IWP) before relevant Departmental Committees for scrutiny and adoption 
 
R2 
The Board should follow the guidance set out in the Information Matters report and consider information risk alongside, and as a contributory part of, other key risks, and give it priority accordingly. 
Report into corporate risk registers and monitor information risk 
High 
2009-2011  
SIRO, CIOG   
Risks monitored through updates to Departmental Risk Registers, IWP 
programme; Corporate 
Timescale 
Owner 
Observations 
Delivered? Yes/No 
Yes 
SIRO is Director General Corporate Services and is a Board Member. Assumed responsibility 2010. 
Yes.  IWP delivered 2010 
Audit and Risk Assurance scrutinised risks and considered Information Management Assessment report in February 2010; Board scrutinised and recommended acceptance by the Accounting Officer of the IWP programme as a proportionate and sensible way forward to manage information risk  
Yes 
Review current governance arrangements and consider whether there should be a single overall board for KIM 
R3 
DfE should consider the formation of an Information Management Board to oversee all aspects of knowledge and information management. 
Medium 
2009-2011 
CIOG 
Reviewed but concluded that the most appropriate "home" is overarching corporate transformation boards. Currently, Business Systems Programmes Board. 
Medium 
2009-2010 
CIOG CKO 
Review KIM function and how 
relates to the wider responsibilities of staff across the department Review policies and revise to enhance departmental capability 
R4 
DfE, in line with the KIM 
reporting structure, should develop and communicate clear responsibilities for all staff. 
Medium 
Apr 2010 and ongoing 
Communicate new processes and responsibilities through the Information Workplace Programme (Content Managers/Site Administrators; Site Owner; Account Managers (KRM Team) Review capacity and identify KIM professional roles 
Medium 
2009-2010 
CKO 
Clear roles and responsibilities defined and reorganisation of KIM 
Transformation and Business Systems 
Programmes. Changes to information risk management and governance to be ratified August 2011 
Yes Yes 
Clear communication 
of policies and staff responsibilities through IWP programme. Policies regularly reviewed and embedded at point of use in Workplaces and intranet 
Yes and ongoing 
CKO 
Policies embedded at point of use; content managers supported through forum and regular newsletter; playground; engagement from Knowledge and Records Management Team (KRMT) 
Yes 
| Medium                              | Apr 2010 and    |
|-------------------------------------|-----------------|
| ongoing                             |                 |
| Identify roles required and support |                 |
| needed for sustainability of the    |                 |
| solution.                           |                 |
| R5                                  |                 |
| DfE to ensure that the              |                 |
| IWP champion roles are              |                 |
| clearly defined and fully           |                 |
| supported.                          |                 |
| Review content of corporate         |                 |
| communications channels for         |                 |
| information management risk         |                 |
| R6                                  |                 |
| DfE to define,                      |                 |
| communicate and                     |                 |
| mitigate Information                |                 |
| Management risk within              |                 |
| its corporate and                   |                 |
| business reporting                  |                 |
| systems.                            |                 |
| Medium                              | 2010 - 2011     |
| management risk                     |                 |
| embedded in                         |                 |
| communications for                  |                 |
| expected corporate                  |                 |
| behaviours for                      |                 |
| Workplaces                          |                 |
| Review policies and identify what   |                 |
| information DfE needs to keep       |                 |
| R7                                  |                 |
| DfE should define what              |                 |
| information it needs to             |                 |
| keep, with the support of           |                 |
| The National Archives,              |                 |
| and ensure that all staff           |                 |
| are aware of this.                  |                 |
| Medium                              | 2009 - 2010     |
| in Workplaces at                    |                 |
| point of use including              |                 |
| content type to                     |                 |
| ensure retention.                   |                 |
| Worked with policy                  |                 |
| makers to identify                  |                 |
| what needs to be                    |                 |
| kept. Further work                  |                 |
| ongoing with The                    |                 |
| National Archives.                  |                 |
| Communicate policies to all staff   | Medium          |
| communicated at                     |                 |
professional resource into KRMT 
to support and drive forward improved information management via IWP. New IWP account manager role defined for KRM Team 
Yes and ongoing 
CKO 
Roles identified through change management stream of IWP programme. Engagement is ongoing but will take opportunity of upgrade in 2012 for 
re-focus and refresh of roles.  Support provided through guidance, training, KRMT. 
Yes and ongoing Yes and ongoing Yes 
Review policies to ensure that electronic records are included as well as paper. 
R8 
DfE should revise the records and information management policies to ensure that they include fully the use of digital media. 
Medium 
2010 
CKO 
Revised records management policy including electronic records  published in all Workplaces and intranet 
R9 
DfE should review the current resource levels to ensure that it will continue to meet future statutory requirements. 
Review operating model for KIM 
Medium 
2010 
CKO 
Review led to merging of library and information and records management teams to become the Knowledge and Records 
Management team. 
Review ongoing demand for KIM services 
Medium 
2010 
CKO 
Service capacity doubled as result of extending roles of existing team and defining new Account Manager role. 
Migrate legacy records from Meridio into Legacy Records Centre 
R10 
DfE should develop a migration policy to manage legacy information. 
Medium 
2009 - 2010 
CKO 
Information reviewed and migrated from Meridio into Legacy Records Centre 
Review and migrate content from shared areas into IWP Records Centre 
Long term 
2010 - 
CKO 
In progress. Users encouraged to migrate content, but no overall project instigated. The shared area lockdown tool has now been developed and will be implemented alongside the 
implementation of 
the new Desktop 
point of use in Workplaces and via 
IWP programme; Making Policy on intranet 
Yes and ongoing Yes 
Yes Yes No.  
Improve records declaration and email management in Workplaces 
Medium 
2010 
 CKO 
Third party tool implemented for this 
purpose 
R11 
DfE should review its email policy given the 
potential long term risks to the organisation. 
Review and update existing guidance  
Medium 
Medium 
CKO 
Done, Also the move to Exchange 2010 will provide the opportunity to update the guidance and embed new practice, scheduled for Q3/4 2011/12. 
Implement Service Level Appraisal Questionnaires  
Medium 
Medium 
DRO 
Reduced need for physical review; aided bulk destruction process and reduced storage 
R12 
DfE should review its guidance on use of offsite storage to ensure that only information that needs to be retained is retained. 
Constantly review storage requirements 
Medium 
Medium 
DRO 
Core function of RMT; greater VFM 
achieved in contract with external supplier FY 2010 onwards 
Review guidance on intranet 
Medium 
2010 
DRO 
Reviewed and published on the intranet. 
Review FOI and DP training provision 
Medium 
Medium 
Information Rights Team (IRT) 
R13 
FOI and DP training should be included in all corporate induction programmes, in the overall context of the importance of managing 
DFE"s information 
effectively and securely. 
Yes, September 
2010 Yes and ongoing Yes Yes 
Yes No - consider delivery of online guidance and targeted advice across Department as best way forward. 
Considered but as recruitment much reduced induction training not seen as appropriate or effective.  Will continue with intranet guidance (revised early 2011); awareness sessions and training on demand; in-depth briefings on ad hoc basis. IRT delivered 25 sessions on FOI 2010. Joint sessions (FOI and DP) are 
planned to support 
new Executive 
| Medium                               | Medium      | Digital     |
|--------------------------------------|-------------|-------------|
| Communication                        |             |             |
| s Unit                               |             |             |
| Aiming to provide all our data       |             |             |
| (statistics) in one place on our     |             |             |
| website and integrate this into      |             |             |
| data.gov.uk.  Data will be available |             |             |
| in xml and csv formats.              |             |             |
|                                      |             |             |
| R14                                  |             |             |
| The department should                |             |             |
| review the material it               |             |             |
| makes available for re-              |             |             |
| use to determine if there            |             |             |
| are further information              |             |             |
| assets that could be                 |             |             |
| surfaced and released                |             |             |
| proactively, in line with            |             |             |
| the Government"s                     |             |             |
| "Making Public Data                  |             |             |
| Public" initiative (2009).           |             |             |
| From 2010 Public Data                |             |             |
| Transparency Principles              |             |             |
| KPIs for IWP and benefits tracking   | Medium      | 2010 - 2011 |
| Providing evidence                   |             |             |
| of improved                          |             |             |
| information                          |             |             |
| management                           |             |             |
| Baseline IWP benefits before         |             |             |
| upgrade to SP2010                    |             |             |
| Medium                               | 2011 - 2012 | CKO         |
| accounting for                       |             |             |
| benefits realisation                 |             |             |
| R15                                  |             |             |
| DfE should assess the                |             |             |
| utility of key                       |             |             |
| performance measures                 |             |             |
| for information                      |             |             |
| management, in line with             |             |             |
| the assessment of                    |             |             |
| information risk, and with           |             |             |
| the goals of DfE, to                 |             |             |
| ensure that it is clear on           |             |             |
| the goals of the team in             |             |             |
| relation to the business.            |             |             |
| Medium                               | Medium      | CKI         |
| carried forward                      |             |             |
| Review and develop simple            |             |             |
| indicators for paper records         |             |             |
| management                           |             |             |
| Investigate viability of integrating |             |             |
| Intranet Champions and               |             |             |
| Workplace Content Managers  in       |             |             |
| next phase of IWP                    |             |             |
| R16                                  |             |             |
| DfE should develop an                |             |             |
| integrated IWP                       |             |             |
| Champion and                         |             |             |
| Information Manager                  |             |             |
| support programme to                 |             |             |
| run concurrently with the            |             |             |
| implementation project.              |             |             |
| Medium                               | 2010        | CKO         |
| an opportunity to re-                |             |             |
| engage with                          |             |             |
| Workplace owners                     |             |             |
| and champions.                       |             |             |
| Support mechanisms                   |             |             |
| include fortnightly                  |             |             |
| newsletter to Content                |             |             |
| Managers and                         |             |             |
| Content Managers                     |             |             |
| Forum                                |             |             |
| Review provision of training in      |             |             |
| induction programmes                 |             |             |
| R17                                  |             |             |
| DfE should introduce                 |             |             |
| training on information              |             |             |
| and record keeping as                |             |             |
| part of all its induction            |             |             |
| programmes that                      |             |             |
| emphasises how critical              |             |             |
| Medium                               | Medium      | CKO         |
| much reduced now.                    |             |             |
| Basics covered in                    |             |             |
| HR led induction                     |             |             |
| programmes for                       |             |             |
| former GO and ALB                    |             |             |
Agencies 
Yes 
Launch aimed for 
July 2011 on DfE web site 
Yes Sept 2010 and ongoing 
No - date of upgrade in 2012 not yet known. No No Yes -under further review 
good information management is as a 
business activity that every team 'owns". 
Review and promote other training channels including support provided by KRMT in driving up usage of Workplaces 
Medium 
Medium 
CKO 
Guidance on intranet and Workplaces; training; content managers newsletter and forum; team training days focused on good practice using Workplaces 
Basics communicated in IWP training 
Medium 
Medium 
CKO 
More context given to basics in hands on Workplace training 
Review IWP training programmes to include knowledge and information management 
Medium 
Medium 
CKO 
Classroom based Workplaces training expanded to include 
knowledge and information management 
R18 
DfE should ensure that IRMT, HR and others develop an appropriate 
training programme that includes knowledge and information management for all staff. 
Incorporate broader context into customer engagement activities of KRM Team 
Medium 
Medium 
CKO 
Focus of engagement and training is knowledge and information management 
See also R17 


Review take up of IWP training programme 
Medium 
Medium 
CKO 
75% (March 2011) departmental staff received classroom training on Information Workplaces.   
R19 
DfE to review training methods and assess ongoing support to ensure that maximum benefit is derived from the training for individual staff and the department. 
Review training channels including online guidance/classroom/ activities of KRM Team in account manager role for IWP 
Medium 
Medium 
CKO 
Informal anecdote and feedback firmly suggests satisfaction with mix of training channels. Post training surveys implemented and feedback acted 
upon. Formal review 
pending 
staff coming into DfE; introduction to 
and training courses on IWP 
Yes. Ongoing Yes. Ongoing Yes  
Yes Yes No 
standards and ensue that new 
websites are set up appropriately 
Continuity Team to ensure web content is captured. 
Information Management maturity 
must be managed, and mandated set of processes, systems and principles be established 
and governed. 
on IM principles and drive up their usage as this means improved information and knowledge management sharing information and knowledge assets  
implementing a formal repository of Knowledge and Information assets memory. 
implemented July 2010.  Comprises briefings and user generated content in the form of insights and experience of 
policy makers.  It is 
been and continues 
to be captured for ALBs closure as part of ALB Reform Programme 
| CKO                  |
|----------------------|
| model has been       |
| developed covers     |
| technology features  |
| against KM practice. |
| It is deployed when  |
| considering what     |
| level of Workplaces  |
| an organisational    |
| unit requires.       |
| CKO                   |
|-----------------------|
| new ways of           |
| managing              |
| documents and         |
| records based on      |
| sound information     |
| management            |
| principles.  Although |
| organisational        |
| culture does not      |
| permit "mandation".   |
| IWP usage continues   |
| to increase; 12,000   |
| records declared by   |
| June 2011.            |

 
intended to be shared across the education sector.