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Information Workplace Programme Records Management Policy DfE Chief Information Officer Group Information Workplace Programme Records Management Policy Owner: John Quinn Version: 1.3 Status: Final Issue Date: 6 September 2010 Status: Final 1 Version: v1.3 Date: September 2010

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Page 1: Workplace Policy - whatdotheyknow.com viewInformation Workplace Programme. Records Management Policy . Information Workplace Programme. Records Management Policy. Information Workplace

Information Workplace ProgrammeRecords Management Policy

DfE Chief Information Officer Group

Information Workplace Programme

Records Management Policy

Owner: John Quinn

Version: 1.3

Status: Final

Issue Date: 6 September 2010

Status: Final 1 Version: v1.3Date: September 2010

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Information Workplace ProgrammeRecords Management Policy

Contents

1 Document Purpose 3

2 Document Structure 3

3 Audience 3

4 Introduction 3

5 Scope and Record Keeping Requirements 3

5.1 What exactly are records? 3

5.2 Records Formats 3

5.3 Why do we need to keep records? 3

5.4 When do we dispose of records? 3

5.5 Keeping good records 3

5.6 What are the legal requirements concerning records? 3

5.7 What should not be declared as a record? 36 Responsibilities 3

6.1 Personal Responsibility 3

6.2 CIOG Responsibilities 37 Access to Documents and Records in Legacy and IWP stores 3

7.1 Legacy EDRM 3

7.2 Shared Areas 3

7.3 IWP Records Centre 38 Relationship of Policy to Information Management Procedures 3

Status: Final 2 Version: v1.3Date: September 2010

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8.1 Major and minor document versions 3

8.2 Content Type Definition 3

8.3 Email Management 3

8.4 Record Declaration 3

8.4.1 Manual Declaration 3

8.4.2 Bulk Record Declaration 3

8.4.3 Automatic Record Declaration (Records Sweep) 3

8.5 Superseding a Record 3

8.6 Record Expiration and Review process 3

8.7 Data Cleansing 3

8.7.1 Workplaces 3

8.7.2 Shared areas 3

8.7.3 Personal areas 3

8.7.4 Outlook Mailboxes 39 Related Policies and Guidelines 3

10 Monitoring Compliance 3

11 Record Management Policy Review 3

Status: Final 3 Version: v1.3Date: September 2010

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1 Document PurposeThis document provides the framework for the DfE Records Management policy underpinning the continued and compliant use of DfE Workplaces. The document relates specifically to electronic files generated by DfE staff, which by default should be stored in a Workplace – the base layer of functionality provided to all departmental Groups and Divisions.

This Records Management Policy informs staff and management of the importance of records management to the organisation, both strategically and operationally.

It describes (in general terms) responsibilities for records and in particular refers to the role of the Departmental Records Officer and the Information and Records Management Team.

Provides a basis for accountability by ensuring relevant, evidential information and documentation is maintained in a retrievable form.

Ensures compliance with relevant legislation

Establishes how records are created, kept and disposed of.

The appropriate Workplace Owner must ensure effective dissemination of this document within their DfE group or division as part of agreeing to the associated Workplace Owners Agreement.

2 Document Structure The document is split into 8 core sections, as detailed below:

Introduction: Provides an overview of the Records Management policy, Senior Management endorsement and the rationale for compliance with the policy across the DfE estate

Scope and Record Keeping Requirements: Details the scope of records management activities under IWP and specifies the requirements that must be met to ensure reliable records of DfE’s activities.

Responsibilities: Details the key business and system responsibilities for each of the record management roles, as well as providing an overview of the core responsibilities of CIOG in managing the Workplace and Records Management Service

Access to records: Details who has the authority and right to access DfE records.

Relationship of Policy to Records Management Procedures: Overview of procedures relating to day to day records management operations within IWP.

Related policies and guidelines: Provides an overview of the key related Workplace and Records Management policies and guidelines available to the end user community.

Monitoring Compliance: Details mechanisms being introduced to monitor compliance and reporting procedures.

Record Management Policy Review cycle: Details the planned IWP Records Management Review Cycle.

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If you have any comments or queries relating to the content of the document or would like further information please contact the DfE Information and Records Management Team via the Enquiries, Records mailbox.

3 AudienceThis document is targeted at all members of a standard DfE Workplace, who must consider and comply with the terms set out in this policy during their day to day working.

4 IntroductionThe Department has an obligation to deliver on our responsibilities with regard to Information Rights and Records Legislation. We should also manage information as a corporate asset, with as much rigour as we do human and financial resources.

In July 2009 the DfE underwent an Information Management Assessment (IMA) by The National Archives.  The IMA is an integral part of the Government’s policy to raise standards in information management across the civil service. The programme focuses on the governance, culture and information and knowledge management processes. The report showed that whilst we have demonstrated good progress on Information Assurance, it highlighted that we are not performing well in other aspects of information management, specifically electronic information.

Our response is to introduce Workplaces – online environments accessed through Our Intranet – which provides the primary store for the DfE’s documents and records, as well as collaborative features such as quick links and alerts. The Department seeks to promote and facilitate the proper and extensive use of Workplaces in the interests of knowledge sharing and collaborative working within and between departmental teams, this leading to improved information management compliance.

This policy statement addresses the ability of the Department for Education (DfE) to preserve those records which support the delivery of its programmes and services to meet accountability and archival obligations and is intended to provide a framework for Records Management within Workplaces.

It is intended to help enhance the uptake and continued exploitation of good record keeping practices and all members of a standard DfE Workplace must comply with this policy.

John Quinn, Chief Knowledge Officer

Status: Final 5 Version: v1.3Date: September 2010

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5 Scope and Record Keeping Requirements5.1 What exactly are records?

Records contain information and data from which decisions are made, plans developed and control exercised. They are used for recording, organising, planning, controlling and communicating.

5.2 Records Formats

Traditionally, records have been in paper form, such as files, reports, printouts which are the most familiar storage media to many people. Increasingly records are being created, used and stored electronically. The Modernisation Government White Paper 2005 imposed compliance in that all newly created records should be stored and managed in an Electronic Document and Records Management System (EDRMS). Workplaces are the department’s solution to ensure compliance with this white paper.

5.3 Why do we need to keep records?

We need reliable, complete and retrievable records to help the Department function effectively by enabling it to:

Pursue its policies

Meet its objectives

Meet the requirements of legislation and other obligations

Show it has used its resource well

Answer questions from Parliament

Leave to history an account of its work

Deal with court cases, reviews, audits, inquiries and other investigations

5.4 When do we dispose of records?

DfE have in place schedules for the timely disposal of records no longer required for administrative purposes.

Selection of records of enduring historical value for permanent preservation is carried out in accordance with criteria and policies agreed with The National Archives (TNA). Consideration of the historical value of records occurs once the record has reached its departmental disposal date.

The Department continues to implement well established policies and procedures for the review and disposal of files in accordance with its administrative needs and the Public Records Acts of 1958 and 1967 overseen by TNA.

The DfE has an agreed contract for the collection and destruction of confidential waste in a secure manner, using staff and procedures accredited to British Security Industry Association standards, British Standards and/or European Standards as appropriate.

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5.5 Keeping good records

1. Everyone is responsible for record keeping. Line managers are responsible for ensuring that record keeping in areas within their control is consistent and meets departmental standards.

2. We have legal obligations to keep good records, set out in the Public Records Act 1958, the Freedom of Information Act 2000, the Data Protection Act 1998 and the Environmental Information Regulations 2005.

3. Good records are a valuable resource, containing much of the information used in the Department's objectives. Well kept records help staff to work efficiently without wasting time looking for vital documents.

4. Accurate and well-kept records are needed for understanding:

what decisions were made or actions taken

why those decisions or actions, and not others

who made them, when and in what circumstances, and

how decisions and actions were implemented

5. Letters, drafts, e-mails, meetings and phone calls may become records or need to be recorded if they provide evidence of work carried out on behalf of the Department. The use of IT systems creates a wide range of records, including hypertext, video and audio records.

6. Apart from everyday business, the DfE, like other public authorities, needs good records:

to keep track of information required to meet objectives

for accountability to citizens and parliament

to meet legal obligations for retention of financial and personal records, data protection, and freedom of information

as evidence of precedent (for both policies and procedures)

as a contribution to the historical record of public administration (through selecting certain records for permanent preservation under the Public Records Act).

5.6 What are the legal requirements concerning records?

All government departments and most public bodies are subject to the provisions of the Public Records Acts of 1958 and 1967, overseen by the National Archives (TNA). The Acts place a legal requirement on departments so that:

Material of historical significance is identified and transferred to TNA;

Material no longer required for business purposes is destroyed as soon as possible.

The records management policy also recognises the links to legislation, such as:

Data Protection Act 1998

Freedom of Information Act 2000

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Departmental Security

5.7 What should not be declared as a record?

Items with a short life span or items which duplicate what someone else has already recorded, as well as such things as:

External and internal circulars, notices, publications, newsletters, guidance material etc.

Invitations to exhibitions, presentations and social events or junk mail (sales literature etc)

Correspondence about arrangements for meetings, conferences and similar events

Copies of documents, including email messages, which have been sent for information only

Administrative communications with internal suppliers (requests for photocopying, typing etc)

Minutes of section meetings or team briefs and local statistics relating to section or team work which would only be needed short term

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6 Responsibilities 6.1 Personal Responsibility

All DfE staff are expected to play a central role in following guidance and the day to day implementation of good information management practices within IWP.

Key Business Responsibilities:

Effectively manage documents and utilise collaboration features within Workplaces Comply with all information and records management responsibilities (most specifically ensuring

appropriate documents are declared as records) Raise business usage issues/ queries with relevant Workplace Content Manager Raise training requirements with Workplace Content Manager

Key System Responsibilities:

Assign appropriate content metadata tags to all uploaded content Send links or alerts to fellow team members for review / approval of documents Create/ edit/ publish as major version/ delete documents Create/ edit/ delete folders Keep an orderly file structure within Workplaces Ensure that documents are saved into the relevant document libraries and that document libraries

are house kept to remove obsolete when necessary Ensure documents and folders are named in line with departmental standards / information

management conventions. Advice on folder structure and naming conventions Utilise document libraries Declare documents as records at timely intervals

6.2 CIOG Responsibilities

Workplace Content Managers can provide the core day to day administration and monitoring of DfE Workplaces, as well as first level support in best practice usage queries (‘how do I?’ questions).

Wider records management operational and advisory services are provided by DfE’s Knowledge Management and Information & Records Management teams within CIOG as detailed below.

All support and service requests can be made via the DfE Helpdesk through the appropriate Web Form on the IT Guidance section of ‘Our Intranet’ (Help>IS Helpdesk).

Key Business Responsibilities

Provide guidance of best practice knowledge and records management

Manage requests for access to legacy data/ content

Advise on appropriate use of Content Types

Manage requests for new Content Types

Manage the records capture and registration service

Manage the records review, disposition and export/ archive service

Manage ad hoc requests for bulk imports

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Ensure Workplace member communities declare documents as records at timely intervals

Authorise requests for new/modified permissions for IRM / Records Centre Team Site Members

Authorise requests for updates to retention periods/policy (some policies will need to be approved at a higher Board level)

Authorise requests from business representatives to place a legal hold on a refined records set

Monitor and manage electronic record declaration by members

Security and access management – agree or reject external or third party permissions to access records

Key System responsibilities

Monitor and manage electronic records within the solution

Bulk declare records from Workplaces

Bulk import records from other sources

Manage and monitor the records declaration process

Conduct ad-hoc records sweeps on Workplaces to “harvest” undeclared records

Manage and administer the MOSS records centre environment in a manner that meets regulatory and business requirements

Define classification scheme and routing rule configuration, ensuring both are kept updated

Define and manage the retention period for specific record types through careful retention management according to the defined retention policies

Analyse records management reports and identify any required corrective actions

Review records and issue notifications of set of records reaching retention period

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7 Access to Documents and Records in Legacy and IWP storesAs Workplaces and the Records Management Service are deployed they will become the primary location for storage of the department’s documents and records. For a period of time, electronic documents and records will also exist in Shared Areas and in the Legacy EDRM store.

7.1 Legacy EDRM

The Legacy EDRM record centre contains the documents and records moved from the Meridio fileplan. These are available on a read only basis to anyone who could access the files in the Meridio system and are under the control of the IRM team. Any documents which are frequently referenced or need to be updated should be saved into a Workplace.

The retention periods from Meridio have been preserved in Legacy EDRM.

The DRO (Departmental Records Officer) will produce a quarterly report on the Legacy EDRM system, this report will make a recommendation for the proposed point that access to Legacy EDRM will be removed based on volumes, usage and business consultation.

Once access to Legacy EDRM has been removed access to any remaining documents and records will be via a request the IRM team.

7.2 Shared Areas

The intention remains to make shared areas ‘read only’ for some file types in 2010. This means it will not be possible to save Word, PowerPoint and text files into shared areas from a date that is agreed with each business unit. This does not apply to Excel files, Databases or ‘exotic’ file types which can be saved into shared areas for the foreseeable future. The intention is not to delete the contents, but to maintain shared areas as a read only repository for a further 18 months. During this time owners should consider what to keep, and what should be discarded in line with our FOI and Data Protection commitments. If you require help and guidance in deciding what to keep, contact the IRM team via the Enquiries records mailbox.

This means there is no need to move all shared area documents into a Workplace with the focus instead on identifying key information still needed, or wanted for amendment.

Documents which have been moved into Workplaces should be deleted from the shared area.

7.3 IWP Records Centre

When a document is declared as a record it is moved into the Records Centre and a link to the record is created in the Workplace. The document’s access permissions are replicated from the Workplace into the record centre.

Therefore only the people who could see the document in the Workplace can see the record in the records Centre. Once in the record Centre the file is under the control of the IRM team. It is possible to search the records Centre; the results will only include those records a user has permission to view.

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8 Relationship of Policy to Information Management ProceduresFollowing the procedures below will help ensure the IWP records management policy is adhered to.

8.1 Major and minor document versions

Workplaces help manage document versions a new minor version is created automatically each time a document is checked out.

A ‘minor’ version is a document that is still a work in progress and regularly undergoing updates and review. Minor documents are indicated by decimal numbers (e.g. 0.1, 0.2, 1.1, 1.2)

A ‘major’ version is a complete document that is not being worked on regularly. Major documents are indicated by whole numbers (1, 2, 3)

When authors are happy a document is complete, the latest minor version should be promoted into a major version. It’s useful to record a comment at the same time for the version history.

After a period, an existing major version might also need updating. If there is only one change, then the document should be saved as another major version. If there are lots of changes and reviews required, this should go back to being a minor version, until such point that it’s complete and is again promoted to the next major version.

A document must be a major version before it can be declared as a record or captured during the record sweep.

8.2 Content Type Definition

Content Types perform a dual role – aiding discovery and defining how long a document should be kept in a workplace or how long a record should be kept in the Record Centre.

All of the work of the department should apply to one of the defined Content Types and a Content Type must be selected in order to check in and share a document with colleagues.

The Unmanaged Document type should not be used as documents and records with this Content Type could be disposed of earlier than appropriate.

In the situation where no content type appears appropriate, requests for new Content Types should be discussed with Workplace Content Managers and the IRM team.

8.3 Email Management

E-mail messages frequently provide significant evidence of reasons behind decisions. Deleting e-mail messages without some thought may mean that important material is effectively lost to the departmental record forever, however this does not mean every email ever sent or received should be retained – best practice requires a continuous process of reviewing and weeding.

Copies of email messages sent for information only should not be stored is Workplaces as these are likely to be a copy of something someone else has recorded.

Emails that need to be shared with team members should be stored in a Workplace, where they can be declared as a record if deemed within the interests of the Department.

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8.4 Record Declaration

Any material concerning the core business of the organisation or which has a continuing value should be retained as a record.

Typically records will be submissions, contract documents, minutes and agendas of important meetings, letters, email, working papers, discussion documents and reports which together provide an audit trail of decision making and activity in pursuit of the Department’s business objectives.

Records should be declared throughout the lifecycle of a project, campaign, policy development; record declaration should not be left to the end of an activity of work.

An example profile of what should be declared at each stage of Policy Development is included in Appendix A.

Once a record is declared it transfers from a Workplace into the Record Centre where the IRM team can ensure it is properly maintained. The record will still be visible in the Workplace and is indicated by a blue “R”.

8.4.1 Manual Declaration

Once a document has reached a significant stage of its development it should be captured as a record.

Workplaces allow a quick and easy two click process to declare records, no further metadata is required and the record is still only visible to those who could see the Workplace document.

8.4.2 Bulk Record Declaration

At significant milestones or the end of a project or programme of work key documents should be declared as records. Workplaces allow for the declaration of many records at the same time

8.4.3 Automatic Record Declaration (Records Sweep)

The Record Sweep is way of ensuring the Department fulfils its obligation of declaring records even if staff fail to meet their personal responsibilities in this area. An automatic record sweep of all Workplaces will run on a weekly basis and will declare records that meet the following criteria:

a) Any documents that have been published as a major version but not modified for three months

b) Emails (major or minor versions) that have not been modified for one month

The record will still be visible in the workplace and is indicated by a blue “R”.

8.5 Superseding a Record

A record cannot be un-declared. To supersede a record (create a new version) open the record and save back into the Workplace making any necessary changes and the declaring the new version from here.

8.6 Record Expiration and Review process

The purpose of a retention and disposal schedule is to

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Make sure records are kept for as long as necessary, and no longer

Identify records of long-term or historical value

Provide standards and consistency across the Department

Identify unnecessary duplication

Promote efficient management, storage and control of records

The Record Centre includes features to support the handling of records which have reached the end of their retention period.

For each record that expires the IRM team are sent a notification, each record is then reviewed by the IRM team and a decision is made whether to

a) delete the record

b) keep the record for a further period of time

c) transfer the record to The National Archives for long term preservation.

In the majority of cases the knowledge and experience of the IRM team allow them to make the appropriate review decisions, however where this is not possible the business owner will be contacted.

8.7 Data Cleansing

Many people tend to accumulate unnecessary quantities of information "just to be on the safe side". The over-retention, of electronic files ties up valuable storage space and can contribute to considerable technical and retrieval problems.

By definition documents are deemed to be transient and should be disposed of routinely not hoarded. Everyone should develop good data management habits not hanging on to items “just in case”!

If there are strong reasons for not deleting a document then it should be designated as a record.

8.7.1 Workplaces

Everyone has a responsibility to manage their documents in the Workplace. If there is no business or legislative requirement to declare a document as a record then the document should be deleted when no longer needed.

Any document with a Content type of unmanaged document that has been left unmodified for two years will be automatically deleted. All other documents stay in workplaces until manually deleted or declared as a record.

8.7.2 Shared areas

The data cleansing policy for Shared Areas is currently under development and will be completed in Autumn 2010.This policy will be published once the plan for Shared Area Read Only access is decided. Until then staff should use discretion and not store documents for longer than required. Should a document need to be retained it should be declared as a record.

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8.7.3 Personal areas

The data cleansing policy for Personal Areas is currently under development. Until then staff should use discretion and not store documents for longer than required. Should a document need to be retained it should be declared as a record.

8.7.4 Outlook Mailboxes

The data cleansing policy for Outlook Mailboxes is currently under development. Until then staff should use discretion and not store documents for longer than required. Should a document / email  need to be retained it should be declared as a record. It is possible to easily move emails into Workplaces using Colligo. Colligo is a tool that once installed on your  computer allows documents to be dragged from your Outlook mailbox to your Workplace. Guidance on how to use it is available from the Workplace Help & Guidance portal

9 Related Policies and Guidelines The following related policies and guidelines are aimed to support the continued effective and compliant use of Workplace technology. Please direct any queries relating to these documents to the DfE Knowledge Management Team.

Workplace Owner Agreement (Standard Workplace): A formal agreement on the division of responsibility between the business and CIOG in maintaining and supporting standard DfE Workplaces. The primary audience of this document is the group/ divisional level Workplace Owner, who is required to sign off the agreement prior deployment of a standard Workplace

Workplace Policy_Standard Workplace: the framework for the continued and compliant use of DFE Workplaces.

Workplace User Guidance: Screen-shot based guide detailing key business usage scenarios as well an overview of core Workplace functionality

All of these policies and guidelines can be accessed within Workplace Help & Guidance.

10 Monitoring ComplianceThe IWP Workplace solution includes reporting capability across a number of usage aspects.

The KM and IRM teams will on a regular basis monitor the usage of Workplaces as a means of understanding information management practices across departmental groups and divisions to ensure the Workplace and Records Management policies are being followed.

11 Record Management Policy Review The DfE reserves the right to revise, amend, or modify this policy, or other relevant policies and agreements at

any time and in any manner. Notice of any revision, amendment, or modification will be posted and available from the Workplace Owner or Workplace Content Manager.

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Appendix A: Policy Making Process and Records creation

Guidance on what records to create and keep at each stage of the policy making process, Policy records are currently reviewed 10 years after creation date

Policy Stage Record Created (all records) i.e these are the sorts of records that would be created at this policy stage

What to Keep

1. Establishing Rationale

Identifies the precise issue to be addressed and considers whether or not the Government should act to address it.

Policy is triggered by a White Paper sent to the policy maker.

Emails seeking buy-in , meeting notes, agreed actions , notes, reports; Submissions to Minister with replies, agreement (via email);

Mandate, Directive Email, Note from Private Office;

Emails, correspondence, consultations, Define who the customer is

Document mandating the policy - Mandate, directive Email or Note from Private Office;

Submission to Minister with Reply;

Commence Decisions Log;

Commence Risk and Issues Log

Meeting papers, Programme Board minutes, Informal risk log , Select Committee Report , Green Paper, programme brief.

All of the above leading to ‘Statement of rationale’.

Statement of Rationale

Research, formal statements / White Paper, submissions to Ministers + replies

Submissions to Ministers and replies;

Evidence base - both pros and cons

Notes, communications, emails between senior officials, evaluation evidence, raw data

Regulatory Impact Assessment v.1, notes of meetings and discussions;

Regulatory Impact Assessment v.1 to include Sustainable Development Impact Assessment

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Sustainable development impact assessment may form part of RIA or be separate.

Opportunity Cost analysis – records of discussions with finance colleagues, analysts, economists, lawyers via email;

Opportunity Cost Analysis

Email, meeting notes, notes, reports, further Submissions with changes

Admin, Research notes, results, copies of existing research used for context

Notes, emails, final reports, meeting notes, Workforce Agreement Monitoring Group.

Stakeholder meeting notes where decisions have been made

Cost of carbon emissions Assessment of cost of carbon emissions

Equalities Impact Assessment Equalities Impact Assessment. Stage 1

Research and final answers;

Mandate to move forward from Minister (key auditable document)

Submission to Minister with Mandate to proceed

2. Testing Options

Consider advantages and risks of the Government taking no immediate action.

Use evidence to create imaginative solutions. Document this process.

Research, communications;

Formal / informal consultations with internal / external key stakeholders; Feasibility study ;

Commissioning of research ; board papers, panels; consultation responses

Feasibility Study;

Consultation document;

Consultation report;

Consultation Results / Next Steps document;

Further evidence base

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Regulatory Impact Assessment (RAA) v.2; Business Case, PIDs / Project Briefs; Informal risk assessments

Regulatory Impact Assessment v.2; Commence drafting of Project Brief (to be kept under change control);

Commence drafting of lessons learned report

Consulting experts, research;

Testing options, Emails, research evidence;

Privacy Impact Assessment;

Risk Potential Assessment

Equalities Impact Assessment of each option;

Privacy Impact Assessment;

Risk Potential Assessment;

Research Notes, communications, Case studies, qualitative evidence of 1st stages / early adopters of the policy;

Research Approval Committee with associated paper work

Draw up Delivery proposals Commence drafting of Project Plan and Delivery Proposals;

Remit letters / PPI if used at this stage

Submission to Minister Submission to Minister with reply;

Updated decisions log;

Updated risk and issues log;

3. Securing Delivery

This occurs once the Minister has decided policy objectives and nature of their intervention.

Agree plans for delivery with internal

Regulatory Impact Assessment v.3;

Formal mandates to delivery bodies;

Equalities Impact Assessment;

Sustainable Impact Assessment of Minister's planned intervention

Regulatory Impact Assessment v.3;

Equalities Impact Assessment;

Sustainable Impact Assessment of Minister's

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colleagues and relevant sector partners.

Devise plans to communicate the Minister’s ambitions.

planned intervention

Finalisation of Project Plan;

Programme Board papers / minutes;

Risk / Issue Registers;

Project and progress status reports; Finalisation of project brief;

Finalisation of Case for Business change

Formal mandates to delivery bodies; Project plan / Brief (to be kept under change control);

Final case for Business Change;

Project and progress status reports; Programme Board papers / minutes; Updates to rationale;

Updates to lessons learned report

Board reports and checkpoint meeting minutes;

Gateway review documentation / checklists and reports

Delivery Strategy; Project Board Reports; Gateway Review Documentation;

Core management information

Contracts and tendering;

Admin;

Project management documentation; Grants documentation;

Procurement documentation

Contracts and Tenders;

Procurement documentation

Implementation Plan;

Steering Group minutes

Implementation plan;

Minutes of focus groups, steering groups, working groups, monitoring groups where decisions are taken

Research notes, correspondence; Communications plan

Communications plan;

Updated decisions log; updated risk and issues

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log;

Updated lessons learned report; Submissions to Minister

4. Evaluating Impact

Establishes whether the intervention policy delivered the intended improvement in outcomes.

Evaluate whether the intervention has been successful, whether it can be closed, whether it needs to continue or be adapted.

Identify whether any elements form part of a rationale for new policy intervention.

Contract tendering (large projects);

Tender Specification for the Evaluation

Regulatory Impact Assessment v.4

Regulatory Impact Asessment v.4;

Evaluation Brief

Evaluation Report, draft and final Evaluation report

Post Implementation Review Report;

Lessons learned report;

Programme Board Minutes;

Continuous review;

Gate 5 Benefits Realisation Review by independents; Post Occupancy Evaluation for buildings; (This report might not come to the DFE) Feedback - press / stakeholder comments

Post Implementation Review Report;

Finalised Lessons learned report;

Programme Board Minutes;

Gate 5 Benefits Realisation Review by Independents;

Post Occupancy Evaluation for Buildings (if sent to DFE);

Submission of outcomes and final decisions to Minister.

Final decisions log;

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Final risk and issues log

Status: Final 22 Version: v1.3Date: September 2010