Minutes
Title:
Executive Team Meeting
Date of Meeting:
5 February 2014
Location:
Blue Room, 1st Floor, Kew
Attendees:
Clem Brohier (CB)
Carol Tullo (CT)
David Thomas (DLT)
Caroline Ottaway-Searle (COS)
Mary Gledhill (MG)
TNA
TNA
TNA
TNA
Patrick Mallett (PJM)
Julia Stocken (JS)
Information Management Consultant
Head of Corporate Planning and Risk
Improvement Manager
TNA Amanda White (AW)
Alison Webster (AWe)
Jane Craigie-Payne (JCP)
TNA
TNA
TNA
TNA
TNA
TNA
TNA
Apologies: None
Action
1.0 Minutes and Matters Arising
The minutes of the previous meetings held on the 29th January 2014 were reviewed
and approved subject to a number of minor changes.
2.0 Records Decision Panel
2.1 JS and Information Management Consultant presented a paper on the selection and
transfer of 'case files' from Home Office. The files are from two series, HO 382
Aliens' personal files and HO 481 Operation 'Post Report' files.
2.2 JS advised that it had previously been agreed by the Executive Team that any
issues at Records Decision Panel that were difficult to resolve would be taken
before the Executive Team for discussion and decision.
2.3 JS stated the decision of the majority of the Records Decision Panel was not to
select the complete sets of case files because they don't meet our standard
selection criteria and are reviewed on a case by case basis; however, there was a
view that they may be of interest to family historians.
2.4 The Executive Team discussed the challenges of accessioning these collections
which included issues around format and potentially sensitive personal data, they
also discussed the merits of accepting these records as the timespan covered
important historical events
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2.5 CB stated that HO 382 could provide useful information on immigration into the
country and the Executive Team noted the potential interest in HO 481 and its
content relating to the Cold War.
2.6 The Executive Team agreed to accession all the selected records in HO 382
and HO 481 files. The Executive Team acknowledged potential future increase
in Freedom of Information burden and noted the need to maintain staff
resource in this area.
3.0 Clore
3.1 JCP informed the Executive Team of an application by a member of The National
Archives staff to the Clore Leadership Programme 2014/2015.
3.2 The Executive Team noted the application.
4.0 Staffing / Headcount – Long term plans
4.1 AW and JCP presented a paper that analysed headcount, payroll, contractor and
staff related costs from 2010 / 2011 to present.
4.2 CB advised that it was an opportune time to begin looking in detail at these issues
as we moved towards setting the budget for 2014 / 2015 and Investment Bid
decisions were being made. The organisation needed to project forward to a time
after the current spending settlement has ended.
4.3 CB advised that the current Investment Bid process should continue along with the
budgeting process and once complete new methodologies could be assessed.
AW /
JCP
4.4 AW and JCP to bring this topic back to the Executive Team.
4.5 The Executive Team noted the content of the report.
5.0 Stage 2 Investment Bids / Resource over commitment
5.1 The Executive Team reviewed the Stage 2 Investment Bids line by line and agreed
the priorities.
6.0 Review of draft business priorities
6.1 Head of Corporate Planning and Risk Improvement Manager presented the review
of business priorities 2014 / 2015.
6.2
'For the Record. For Good.' Lays out The National Archives ' strategy for 2011 /
2015. It highlights the need to innovate and transform the organisation so it can
embrace change and take on a more significant role for archives across the country.
6.3 Each year specific business priorities are included to ensure that we are open and
transparent in our plans, our progress, and most importantly how we are spending
public money.
6.4 Head of Corporate Planning and Risk Improvement Manager took the Executive
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Team through each of the 27 business priorities.
6.5 The Executive Team discussed and requested a number of changes.
6.6 Directors to send changes to Head of Corporate Planning and Risk Improvement
Manager and once incorporated to come back to the Executive Team ahead of
taking to Management Board.
Directors
7.0 Any Other Business
7.1 CB stated that work was now beginning on the annual report.
7.2 There being no further business, the meeting was closed.
Minutes
Title:
Executive Team Meeting
Date of Meeting:
12 February 2014
Location:
Blue Room, 1st Floor, Kew
Attendees:
Clem Brohier (CB)
Carol Tullo (CT)
David Thomas (DLT)
Caroline Ottaway-Searle (COS)
Mary Gledhill (MG)
TNA
TNA
TNA
TNA
TNA
Patrick Mallett (PJM)
Amanda Spencer (AS)
Amanda White (AW)
Alison Webster (AWe)
Jane Craigie-Payne (JCP)
TNA
TNA
TNA
TNA
TNA
Apologies: None
Action
1.0
Minutes and Matters Arising
The minutes of the previous meetings held on the 5th February were reviewed and
approved.
2.0
Review of the Executive Team terms of reference
2.1
PJM informed the Executive Team that the terms of reference were to be reviewed
in order to make sure they reflected the work done and the processes used by the
Executive Team. The terms of reference are to be reviewed annually.
2.2
The Executive Team reviewed the terms of reference and after discussion a small
number of changes were requested.
2.3
PJM to incorporate the agreed changes and distribute to the Executive Team for
final review ahead of publication.
Page 3 of 10
PJM
3.0
Risk Seminar – Follow Up
3.1
CB advised that as a follow up to the risk workshop held in January 2014 the
Executive Team sought to:
1. Review strategic risk appetites
2. Discuss redrafting of risk descriptions
3. Discuss and enhance the process by which controls mitigate risk and impact
on those risks
4. Discuss how we engage with the wider organisation
3.2
Controls and engagement to be discussed by the Executive Team at a future date.
3.3
CB explained that outputs from these sessions would be taken to Management
Board in March 2014 where suggested changes would be discussed.
3.4
The Executive Team discussed the Risk Appetite Maturity Matrix which had
previously been reviewed at the risk workshop where it had been suggested a
small increase in appetite in certain categories may be needed to reflect the
increased confidence in the effectiveness of organisational processes.
3.5
CT suggested that this linked to issues around delegated authority and
responsibility and we needed to ensure our messages about responsibility and
appetite aligned.
3.6
After further discussion by the Executive Team a number of changes were agreed.
3.7
COS suggested more regular review of the Risk Appetite Maturity Matrix
document. CB to inform PB.
3.8
The Executive Team then discussed The National Archives Risk Appetite
document and a redraft was requested. Examples used in document to be renewed
and refreshed.
3.9
The Strategic Risk Register was then discussed.
PB
CB
3.10 CT stated that at the risk workshop it had been highlighted that risk descriptions
needed to be clearer and pithy with the supplementary description only amplifying.
3.11 Risk descriptions to be redrafted
3.12 Risk 5 and risk 8 to be redrafted.
3.13 CB to contact PB and request he incorporates the requested changes.
CB
3.14 CB requested a follow up session on risk at Executive Team ahead of the March
Management Board.
CB
3.15 CB thanked all for a useful and informative discussion.
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4.0
Technology resourcing strategy
4.1
DLT introduced AS, AW and JCP and advised that as a consequence of
recruitment restrictions and a long term pay freeze combined with a number of
complex projects had led to a reliance on contractors.
4.2
DLT advised that the aim of the paper was to outline the current issues and
suggest possible solutions.
4.3
CB commented that the paper was well presented and timely and the Executive
Team had recently discussed similar issues regarding the whole organisation.
CB advised that looking beyond 2014-2015 we would investigate ways in which we
could plan longer term projects and produce an improved balance between
business as usual and project work while making sure adequate skills were
available.
4.4
4.5
The Executive Team agreed the proposals in principle and agreed more work
was necessary.
5.0
1939 Registers
5.1
MG introduced AWe and informed the Executive Team that the evaluation of the
tenders had been completed at the project board held yesterday and subject to
clarification of two minor points a recommended bidder had been chosen.
5.2
CB thanked AWe and all involved for the excellent work and impressive
graphics. The Executive Team noted the decision.
6.0
Any Other Business
6.1
Risk of flooding to site: DLT disclosed that the Major Incident Management Team
had met on Monday in order to discus the risk of flooding. While the risk was low a
number of measures had been made in order to minimise risk to our holdings and
ICT equipment. The Executive Team noted the measures put in place.
6.2
Tube Strike: COS complimented all those who stepped up to the challenge of
arriving at work during the recent industrial action on the London Underground.
6.3
Management Board agenda: The Executive Team reviewed future agenda plans
for Management Board.
6.4
There being no further business, the meeting was closed.
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Minutes
Title:
Executive Team Meeting
Date of Meeting:
19 February 2014
Location:
Blue Room, 1st Floor, Kew
Attendees:
Clem Brohier (CB)
Carol Tullo (CT)
David Thomas (DLT)
Caroline Ottaway-Searle (COS)
Mary Gledhill (MG)
TNA
TNA
TNA
TNA
TNA
Patrick Mallett (PJM)
Julie Lennard (JL)
Amanda White (AW)
Alison Webster (AWe)
Paul Davies (PD)
Digital Preservation Services Manager
Research and Policy Manager
Nancy Bell (NB)
Head of Corporate Planning and Risk
Improvement Manager
Deputy Corporate Planner and Transparency
Manager
Baker Tilly Representative (BTR)
TNA
TNA
TNA
TNA
TNA
TNA
TNA
TNA
TNA
TNA
Baker
Tilly
Apologies: None
Action
1.0
Minutes and Matters Arising
The minutes of the previous meetings held on the 12th February were reviewed and
approved.
2.0
Fire on Saturday 15 February: Debrief
2.1
PD gave the Executive Team a debrief of the fire that affected the two disused
water towers on Saturday 15 February ahead of a full report.
2.2
PD explained that no one was hurt and there was no damage to the building or the
records we hold.
2.3
PD advised that the London Fire Brigade site commander concurred with the
decision to advise people to remain in the public restaurant after the alarm
sounded on safety grounds.
2.4
The Executive Team praised the way in which staff and public reacted to the
incident. The Public Services team were planning to contact as many individuals as
possible who filled out Your Views Matter To Us forms.
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2.5
PD stated that The National Archives Health and Safety advisor was in the process
of putting together a fire investigation report.
2.6
PD informed the Executive Team that as a result of smoke entering the Q1 ICT
server room the gas suppression system discharged resulting in some overheating
and dust with some minor damage to servers.
2.7
CB said that he had written to key stakeholders and had received much kind
support. Our Minister wanted to pass on his thanks to all those involved in
managing the incident effectively
2.8
CB stated a full report would come to the Executive Team and thanked PD for
the work he had done and the debrief.
3.0
Policy on the Display of Closed Digital Record Descriptions
3.1
DLT introduced the Digital Preservation Services Manager who explained that The
National Archives needed to publish this policy in order to ensure a better
understanding of our practice as the volume of digital records we receive
increases. Some descriptions can be sensitive in themselves and transferring
bodies may wish to close the description along with the record. In all cases when a
description is fully or partially closed this will be made clear on Discovery.
3.2
Digital Preservation Services Manager gave the Executive Team a brief outline of
the policy.
3.3
The Executive Team noted the policy and approved publication subject to the
one minor alteration.
4.0
Grants Panel
4.1
DLT introduced VJ and NB.
4.2
The Research Team act as Chair and Secretariat for the Grants and Academic
Support Panel (GASP) which meets twice a month to evaluate projects for which
The National Archives (or its partners) wish to apply for grant funding or where we
will be potentially endorsing the project. Once proposals are passed by GASP the
Executive Team are asked to approve.
4.3
Enhancing Conservation of the BT Design Register
4.4
VJ explained that The Clothworkers' Foundation was seeking applications for a
Conservation Fellowship which would fund a post for two years and would, if the
bid succeeded, be a development opportunity in Collection Care.
4.5
The Executive Team were broadly supportive of the application.
5.0
Outstanding internal audit recommendations
5.1
CB introduced Head of Corporate Planning and Risk Improvement Manager and
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Deputy Corporate Planner and Transparency Manager. Each year we commission
a programme of audit work from the Internal Audit Team which will typically cover
specific business areas, processes and current risks and may include follow-ups on
previous audits. The audit programme for each year is agreed by The National
Archives’ Audit Committee, but may be changed in response to our changing
assurance needs.
5.1
Internal Audit reports typically contain an overall rating to the area that was audited
and recommendations for strengthening controls. Audit recommendations will be
assigned a high, medium or low priority.
5.2
The Executive Team noted the content of the report.
6.0
Internal audit progress report and draft internal audit strategy
6.1
The internal audit plan had been approved by the Audit Committee in February
2013 and this report provided an update on progress made against that plan.
6.2
BTR advised that the summary of progress against the internal audit plan chart
showed good progress.
6.3
The Executive Team noted the content of the report and agreed it to go to
Audit Committee.
6.4
BTR explained that consideration was being given to the audit plan for 2014 / 2015.
Meetings had been held with the acting CEO, Director’s and Chair of Audit
Committee in order to prioritise areas of internal audit coverage. Areas of interest
were set out in the strategy paper to be tabled at Audit Committee.
6.5
CB advised that part of the offer from Baker Tilly was that in addition to a traditional
audit there was the offer of social impact being assessed.
6.6
The Executive Team discussed the proposals.
6.7
DLT requested offshore storage be taken off as an agreement had been reached.
6.8
CB commented on the strategy being in good order ahead of audit committee.
6.9
BTR to incorporate any changes and distribute a new version showing tracked
changes.
6.10 The Executive Team noted the content of the draft strategy.
7.0
January Dashboard and review of impact indicators and dashboard
relevance
7.1
Head of Corporate Planning and Risk Improvement Manager presented this item to
the Executive Team.
7.2
The Dashboard is a monthly reporting and monitoring mechanism for the Executive
Team.
7.3
The Dashboard is tabled for the Executive Team to review performance against
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BTR
published and internal Performance Indicators and acts as a prompt for action
where performance is of concern. Performance indicators can be found in the 2011
– 2015 Corporate Business Plan.
7.4
Head of Corporate Planning and Risk Improvement Manager took the Executive
Team through the 21 metrics covering the various areas of the organisation.
7.5
It was noted that that Onsite documents delivered was at an all time high and if
trend continued final production figures would be 14% up on the previous year.
7.6
The Executive Team discussed the relevance of the dashboard and impact
indicators. IT was agreed that year to date variance should not immediately turn to
red if figures went negative.
7.7
CB stated that the Dashboard continued to be a valuable tool from which trends
could be observed however there were enhancements that could improve the
usefulness of the Dashboard.
7.8
DLT suggested that it may be beneficial to reduce the frequency of customer
satisfaction surveys.
7.9
Head of Corporate Planning and Risk Improvement Manager to circulate the
components of 'Availability of key online services' in order for its relevance to be
assessed.
7.10 Head of Corporate Planning and Risk Improvement Manager to circulate the
components of 'Availability of key internal systems in order for its relevance to be
assessed.
7.11 Head of Corporate Planning and Risk Improvement Manager to add a metric
regarding the number of records accessioned.
7.12 Head of Corporate Planning and Risk Improvement Manager to add a metric
regarding additions to the catalogue.
7.13 The Executive Team noted the January Dashboard
8.0
January Financials
8.1
AW presented the January Financials. For the 10 months to the end of January
non-ringfenced net expenditure was lower than forecast. The underspend was
primarily driven by the timing of spend for Estates related projects. The impact of
the recent fire on the cooling towers project was currently being assessed.
8.2
We remain on track against our financial targets for the full year. As we progress
through the remaining weeks of the financial year we will continually monitor
income and expenditure carefully and adjust for any changes in financial plans.
Additionally, we need to continue to manage our cash position closely.
8.3
AW requested that she be informed of any urgent payments that needed to be
made to suppliers.
8.4
AW explained that headcount was currently at the 2014/2015 target level.
8.5
The Executive Team noted the report
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All
9.0
January Investment Bid exception report
9.1
DA and Awe presented the January Investment bid exception report that looked at
projects that were either amber or red.
9.2
AWe explained that the Executive Team had requested monthly reports as we
approached year end.
9.3
The Executive Team noted the report.
10.0 LOCOG Archival Material – update
10.1 CT informed the Executive Team that this report will be tabled at the quarterly
meeting of the Archives Management Committee to be held 26 February 2014.
10.2 CT explained that the purpose of the report was to provide transparency and it also
played a governance role around London 2012 material.
10.3 The Executive Team noted the report.
11.0 Any Other Business
11.1 Who Do You Think You Are? Live: MG reminded the Executive Team that this
event was taking place this Thursday to Saturday at Olympia.
11.2 There being no further business, the meeting was closed.
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