In order for knowledge to thrive, it requires appropriate behaviours and cultures, fostered and adopted by leaders and individuals alike, which encourage the free sharing of knowledge to the advantage of individuals, the organisation and citizens.

Leaders must allocate time, acknowledge contributions and ensure a no blame, no ridicule ethos prevails. Individuals must respond positively, using the opportunity to seek out and share knowledge.

In order to develop the environment, there are many tools and techniques available. Good tools, such as an organisation-wide collaborative environment, can facilitate knowledge sharing, provided their use is explained, promoted and encouraged, not coerced. Likewise, making the physical environment conducive to collaboration and the ‘chance encounter’, via breakout areas, soft seating, coffee points etc. is helpful, but leaders need to encourage use of these spaces and ensure everyone knows informal meetings, conversations and discussions are sanctioned. Organisations must avoid the temptation to view these tools as a solution in themselves.

Rationale

Establishing culture, policies and practices that encourage diverse knowledge sharing ensures that knowledge has the potential to be utilised as fully as possible across an organisation. It also enables the capture and re-use of knowledge.

Implications for Knowledge Management Strategy

• The management of knowledge is a combination of soft skills and effective resource management
• Knowledge sharing should be recognised and rewarded
• Expectations of a need to share knowledge are set at all levels
• Knowledge sharing across the organisation is monitored and reviewed
• Tools to support knowledge sharing are provided and promoted

Knowledge is an asset which is fundamental to the efficient and effective delivery of public services. This Principle emphasises the importance of an organisation recognising that the seeking and sharing of knowledge leads to better outcomes, including:

• Increased collaboration
• Improved quality of evidence-based decisions and continuous improvement
• Enhanced speed of decision making and provision of advice
• Reduced duplication of effort
• Increased business resilience

Organisations need to understand their need for knowledge and value that knowledge in business terms. They should appreciate that it is through knowledge that they deliver value and impact. In parallel with other assets (e.g. buildings, machinery, people, money), knowledge needs to be fully and appropriately exploited for maximum business benefit.

Rationale

Valuing knowledge as an asset is the basis on which all other knowledge principles depend. It is essential to establish a culture where knowledge is valued if people are to share and capture knowledge freely and if the leadership of organisations are to promote knowledge management and support staff in such activity.

Implications for Knowledge Management Strategy

• There is a declaration from the organisation clearly acknowledging and establishing the importance of knowledge to the business
• The importance of knowledge is reflected in organisational policies and practices
• Tacit and explicit knowledge assets need to be considered, and given equal weight

The application of technology-assisted review to born-digital records transfer, Inquiries and beyond: research report

Born-digital records pose many challenges for government departments. These include high volumes of records and a lack of structure of born-digital record collections. This affects not just the appraisal, selection and sensitivity review processes when transferring records to The National Archives but also poses challenges for departments responding to Inquiries and Freedom of Information requests. There are also broader information management and security concerns for born-digital record collections.

The National Archives conducted trials of technology-assisted review (this is sometimes referred to as TAR or computer-assisted review) to examine these challenges and explore the potential solutions. We also looked at additional research to test how these tools and processes could help meet the challenges of born-digital records. Technology-assisted review describes a process or processes involving expert document reviewers using a combination of computer software and tools to automatically classify records. This report summarises the key lessons learned from that work.

The report concludes that technology-assisted review using eDiscovery software can support government departments during appraisal, selection and sensitivity review as part of a born-digital records transfer to The National Archives. This support also extends to responding to Inquiries and Freedom of Information requests, as well as information management and information security. We summarised these findings into eight lessons learned:

1. Understanding born-digital collections at a high level
2. Reducing the amount of information to review
3. Extracting meaning
4. Identifying personal information
5. Procurement
6. User interface
7. Collaboration with other teams
8. Confidence in technology-assisted review

There is no completely automated solution; human input is still required at all stages. But technology-assisted review offers ways to understand, value, prioritise and reduce the volume of born-digital records needing to be manually reviewed.  The report ends by setting out further research The National Archives will conduct and the support it plans to give to government departments to help them manage their born-digital record collections. As such we will continue to work with Cabinet Office and the Government Digital Service to provide solutions that are tested with government departments. In addition, we will continue collaboration with other centres of expertise within government and beyond to enhance methods and tools.

The application of technology-assisted review to born-digital records transfer, Inquiries and beyond: research report

Contact us on GovernmentTransfers@nationalarchives.gov.uk if you have any questions about this report.

The digital landscape in government 2014-2015: business intelligence review

The Digital Transfer Project launched in September 2013, to prepare The National Archives and government departments for large scale born-digital record transfers, starting in 2016 under The Public Records Act. The aim of the project was to develop a scalable process for the transfer, preservation and presentation of born-digital records with long-term value; enabling them to be held securely while closed, and be accessible to the public when open.

As part of the project, we undertook a business intelligence review to understand the current digital landscape and digital challenges of government departments in the UK. In particular to understand:

• the volumes and types of digital information being created and managed in government
• the capabilities and capacity of government departments to manage digital records, both current and legacy (those records not currently in business use)
• the ability of government departments to prepare for the transfer of digital records to The National Archives

This snapshot of the digital landscape in government helps The National Archives and government departments to plan resources and prepare for the future transfers of born-digital records. The findings will also assist in determining areas where government departments may need support during the transfer process enabling potential challenges to be identified and addressed at an early stage.

An expert team at The National Archives experienced in digital records management undertook the research and writing of this report. It was undertaken prior to the publication of Sir Alex Allan’s review of government digital records and seeks to complement the review’s work.

The digital landscape in government 2014-15: business intelligence review

Contact us on GovernmentTransfers@nationalarchives.gov.uk if you have any questions about this report.

Sir Alex Allan is a senior civil servant who is currently the Prime Minister’s independent adviser on ministerial standards. In 2014 Sir Alex Allan reported on how government departments were managing their process for releasing records. The Cabinet Secretary also commissioned him to conduct a review into the government’s strategy for managing digital records and archives.

The review aimed to identify how to ensure the long term integrity of government records and to review:

• policies for capturing and managing digital information
• policies for selecting, retaining and disposing of digital records and how sensitivity checks are handled
• whether these policies are complied with
• whether government has the right tools, including technology, and resources
• whether government has the right skills and capacity

It covered records from UK government departments but not from the Scottish, Welsh or Northern Ireland governments or the intelligence agencies.

Read Sir Alex Allan’s Review of government digital records

Under The Public Records Act, public bodies are required to select records for permanent preservation, under the guidance and supervision of the Keeper of Public Records and transfer these records to The National Archives (or an approved place of deposit) no later than 20 years after their creation. Under the Act, records are defined to include not only written material but records conveying information by any other means whatsoever.

From 2016, public bodies will begin to transfer born-digital records, which are those records created originally in digital formats such as emails, documents and spreadsheets. Born-digital information should not be confused with digitised information which consists of analogue material (e.g. paper, film, photographs) that has been rendered in digital form.

Preserving digital records is a major challenge for archives across the world. The National Archives is leading the archive sector in embracing the challenges of storing digital information for future generations and making it accessible to the public.

Sir Alex Allan is a senior civil servant and has reported on born-digital records management in the UK Government. The National Archives has done research on the current digital landscape as well as looked at possible solutions to help departments with the challenges of managing born-digital records.

The National Archives manages the licensing of Crown copyright and Crown database rights. The Open Government Licence (OGL) is the default licence for the re-use of most Crown copyright material, but the Keeper can grant a Delegation of Authority to government departments to license the re-use of Crown copyright and database right material they produce outside of OGL terms.

During a machinery of government change, a transferring department that has previously exercised a Delegation of Authority should notify The National Archives about the material being transferred. If the receiving department does not already hold a Delegation of Authority, it may apply for one from the Keeper in order to continue licensing the Crown copyright material on non-OGL terms. Where the receiving department is an existing Delegation holder, they must contact The National Archives about updating the schedule of material licensed under the Delegation.

Find out more about Crown copyright and its licensing

Complaints under the Re-use Regulations

Live complaints or appeals under the Re-Use of Public Sector Information Regulations will become the responsibility of the receiving department.

The transferring organisation should:

• alert the receiving organisation to all active complaints and appeals and provide relevant paperwork
• if it is a complaint to Information Commissioner’s Office or an appeal to the First-tier Tribunal, notify the applicable body of the transfer of functions and which organisation is now responsible for responding to the complaint
• inform the complainant or appellant

The receiving organisation should:

• respond to the complaint or appeal
• refer to the Information Commissioner’s Office Guide to RPSI
• contact The National Archives for further guidance on the Re-use Regulations

Find out more information on re-using public sector information.

Guidance on general principles of the data protection act can be found on the Information Commissioner’s Office website.

Transfer of functions may require revision of either organisation’s notification of personal data to the Information Commissioners Office (ICO) so current notifications should be checked with this in mind. When a function has been transferred but the records have not, the transferring organisation becomes the data processor and the receiving organisation becomes the data controller.

Data processor duties and obligations should be specified in an agreement on storage and should cover secure storage under Principle 7. Protocols should cover action required of the data processor in response to subject access requests. Any records that are being transferred to The National Archives should undergo a sensitivity review for personal data, to determine if an application for closure under s 40 of the FOI Act should be made.

For Freedom of Information (FOI) purposes, once a function has been transferred, records still held by the transferring organisation are considered to be held on behalf of the receiving organisation. Responsibility for compliance rests with the receiving organisation, which will need information about access issues surrounding series of records – what FOI exemptions have been applied and what complaints have been made to the Information Commissioner.

The position with the Environmental Information Regulations (EIR) is slightly different in that the organisation holding the records is responsible for compliance. Arrangements must be made to involve the Department with the policy lead – the receiving organisation – in any decisions to disclose or withhold information until the records have been transferred to it.

Particular issues arise in respect of records originating from third party organisations, for example international bodies, or where policy issues concern a number of departments or agencies. The organisation handling the request will need to ensure that all necessary consultations take place in the event of an FOI or EIR request. The transferring organisation will need to share information about contacts that they consult about these issues.

Some things will be essential whatever happens to the records. Responsibilities must be clearly defined so that staff in both organisations know what action they will be expected to take in any of the circumstances set out below.

Handover or guidance notes prepared by the transferring body should include:

• staff directory details indicating who is responsible for particular functions
• contact points for help during the transition period and, if applicable, subsequently
• an alert to when and for which records third parties might need to be consulted about disclosure decisions, with contact details
• details of previous requests that seem relevant, of exemptions and of the records likely to contain exempt information
• guidance on likely future request areas

FOI publication schemes

The transfer of functions may mean revising the Publication Scheme of either organisation. Schemes should be reviewed and revised as necessary.

FOI requests received before the transfer of functions

FOI requests received before the transfer of functions but which are not yet completed are known as ‘live FOI requests’ and they become the responsibility of the receiving organisation.

The transferring organisation should:

• provide details of live requests, including who is handling them, to the FOI officer of the receiving organisation.

The receiving organisation should:

• enter the case details in its FOI tracking system
• make sure policy officers handling requests are made aware of their new organisation’s guidelines, procedures and pro forma, and in particular whether draft replies must be sent to the FOI officer for clearance before despatch
• ensure that the applicant is told why the reply is being sent from a different organisation
• if there will be a delay in completing the public interest test, ensure the applicant knows who to contact for updates

Both organisations should:

• develop protocols to advise and exchange information and knowledge in relation to requests for a transitional period, designating staff to liaise on this

FOI requests received after the transfer of functions

These requests are the responsibility of the receiving organisation. The FOI Officer of the receiving organisation will need details of policy staff so that requests can be allocated appropriately or advice sought on allocation. Policy staff must be made aware of the guidelines, procedures and pro forma they are expected to use.

If any records have remained with the transferring organisation, protocols will be needed to provide for:

• advice as to the likely whereabouts of records relevant to the new FOI request
• searches of the records for relevance to new FOI requests by staff of the transferring organisation or provision of access to them to staff of the receiving organisation

Current FOI complaints and appeals

Complaints to the Information Commissioner’s Office (ICO) should be handled by the receiving organisation, even though it was not the body that handled the original FOI request.

The transferring organisation should:

• alert the receiving organisation to all active complaints and appeals and provide relevant paperwork
• provide details of the original case, including copies of correspondence and of the information provided or refused
• explain to the ICO that it has transferred responsibility for the complaint because of the transfer of function
• provide advice on request

The receiving organisation should:

• deal with the complaint
• consult the transferring organisation

With appeals to the Information Tribunal, the appeal is against the ICO, not the body involved in the original requests. An organisation can apply to be joined with the ICO if necessary and the receiving organisation should consider whether the issues are such that it should apply to be joined. Details of the original request and the ICO complaint will be required from the transferring organisation.

Past FOI requests, complaints and appeals

The transferring organisation should provide details of what has been disclosed or refused previously, and what exemptions have been used. This will be needed by the receiving organisation if similar requests are likely to be received.

Current and new EIR requests

The organisation holding the records is responsible for compliance. Until the records have been transferred the transferring organisation should complete all necessary action but should consult the receiving organisation to ensure that disclosure decisions take account of its policy concerns.

While it continues to hold the records the transferring organisation should:

• consult the receiving organisation about disclosure or non-disclosure of information

The receiving organisation should:

• provide views on disclosure or non-disclosure within statutory deadlines

If the records are transferred before action is complete, the transferring organisation should:

• provide details of live requests to the FOI officer (or the EIR officer if different) of the receiving organisation
• provide advice on the likely whereabouts of relevant records

The receiving organisation should:

• enter the case details in its tracking system
• make sure policy officers handling requests are made aware of their new organisation’s guidelines, procedures and pro forma, and in particular whether draft replies must be sent to the FOI/EIR officer for clearance before despatch
• ensure that the applicant is told why the reply is being sent from a different organisation

Current EIR complaints and appeals

Complaints and appeals should be handled by the body holding the records, even if it is not the body that handled the original request.

While it continues to hold the records the transferring organisation should:

• consult the receiving organisation about disclosure or non-disclosure of information

The receiving organisation should:

• provide the Department’s views on disclosure or non-disclosure within statutory deadlines
• if it believes significant issues are involved in an appeal to the Information Tribunal, consider applying to be joined with the ICO

If the records are transferred before action is complete, the transferring organisation should:

• inform the ICO that responsibility for compliance has been transferred
• provide details of the case to the receiving organisation

The receiving organisation should:

• respond to the ICO or the Information Tribunal as necessary
• if it believes significant issues are involved in an appeal to the Information Tribunal, consider applying to be joined with the ICO

Transferring organisation

A major change of function will have a significant impact on the transferring organisation, and even a minor transfer will mean some upheaval for the staff immediately involved – they may be required to move to a new location and learn new systems and methods. Some jobs may be changed or even abolished. Knowledge networks may need to be rebuilt to enable remaining staff to function effectively.
As part of the transferring organisation’s responsibility to ensure the information required for a smooth transition is identified and prepared for transfer, they will need to consider capturing knowledge which is not written down or held in a formal way. This includes knowledge about the history of the function which is at risk of being lost if staff do not move with the function.

Useful tools for capturing this information include:

A function statement

This should be drawn up by the existing staff and should explain who they are and what they do. It should cover:

• the public task of an organisation
• purpose
• goals
• recent achievements
• introduction of collective knowledge/expertise
• risk register for current and planned activities with management strategies and contingency plans

Handover notes

These should include information about the way business is conducted and a list of key contacts. This is especially important if staff are not moving with the function.

Questionnaires

These should be given to transferring staff where necessary with the purpose of gaining knowledge of records, processes and contacts. Suggested questions include:

• What key skills do you have that enable you to do your job?

• What are the key resources you need to do your job?

• Is there anything that would help you function more effectively?

• If your job didn’t exist what would happen?

• Who are your key contacts internally/externally?

• Who are your customers internally/externally?

• What service do you provide to them?

Risk register

This should include current and planned activities with management strategies and contingency plans.

Maximum use should be made of existing knowledge management tools such as corporate directories and intranets to ensure that all those affected are fully informed of the changes. Explore the possibility of using social media tools (such as Wikis, blogs, instant messaging, podcasts, social bookmarking, knowledge networks) to maintain existing knowledge networks.

Receiving organisation

The receiving organisation will need to provide accommodation, equipment and training for incoming staff, and inform existing staff of the new arrangements.

When staff are moving with the function, it is important that they receive full training in the new organisation’s records management systems and procedures.

 Communications plan

This should be devised to keep staff informed of changes. This could include:

• a launch session
• briefing on the machinery of government change
• publication of the function statement
• welcome packs for new colleagues
• a welcome email introducing key figures in the organisation, explaining aims and objectives and advertising corporate services
• inductions for all new staff (including senior staff)

Corporate directories should be updated before the date of transfer.

Both organisations should undertake a joint appraisal of storage costs once records have been identified for transfer. The aim of this should be to find the most cost-effective option.

The appraisal exercise should identify the costs of the current storage arrangements, which may take a number of forms:

• one or both organisations store files on their own premises
• both use the same third party contractor to store files
• they use different third party contractors

The appraisal should look at a range of solutions, for example:

• moving documents to the storage used by the receiving organisation
• leaving documents in their existing location
• the possibility of continuing with existing contracts, for example the transferring organisation passing parts of its contract to the receiving organisation
• any cross-governmental savings that can be made by sharing storage services

Costs to consider:

• removal from storage – as well as the costs of the physical move, most storage contractors impose a charge to remove boxes from storage
• indexing – removal of a file to a new location will involve updating location indexes