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Recordkeeping Directive 101: Everything you wanted to know, but were tooafraid to ask

Recordkeeping Directive 101: Everything you wanted to know, but were too afraid to ask



Since 2006, Library and Archives Canada has focused its efforts on establishing a recordkeeping agenda for the Government of Canada....

Since 2006, Library and Archives Canada has focused its efforts on establishing a recordkeeping agenda for the Government of Canada.

In this session, participants will hear Sharon Smith and Pierre Desrochers of Library and Archives Canada provide an update and overview of the Government of Canada's recordkeeping initiative. Particular emphasis will be put on current developments, and the key element of the session will be the Directive on Recordkeeping, linked to the government-wide Information Management Policy.



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    Recordkeeping Directive 101: Everything you wanted to know, but were tooafraid to ask Recordkeeping Directive 101: Everything you wanted to know, but were too afraid to ask Presentation Transcript

    • Recordkeeping Directive 101: Everything you wanted to know, but were too afraid to ask Pierre Desrochers and Sharon Smith Government Records Branch Library and Archives Canada
    • Agenda • Importance of RK • Background of the Recordkeeping Initiative • Directive on Recordkeeping – Foundations – Overview – Expected Results • Business Value • Business Value Context • Directive on Recordkeeping: Implementation • Recordkeeping Assessment Tool • Conclusion 2
    • Importance of RK What is recordkeeping – Recordkeeping is a framework of accountability and stewardship in which records are created, captured, and managed as a vital business asset and knowledge resource to support effective decision making and achieve results for Canadians. GC IM Policy, July 2007 Why recordkeeping? An international business perspective: • Brent Spar oil storage facility, and RK issues for oil rig disposal • 1970's boom in oil rig construction, most records for the engineering plans were lost, or destroyed. • Under EU rules, all oil rigs must be dismantled after decommissioning, records must be re-created to document their disposal.
    • Background: The Recordkeeping Initiative Risk Assessment for the “A crisis situation recognized but “A crisis situation recognized but far from being resolved” far from being resolved” GC: (Auditor General report, April 2003) (Auditor General report, April 2003) “Records must be created, “Records must be created, 1. Impact on GC Decisions and maintained and preserved in such maintained and preserved in such Operations: a way that a contemporary a way that a contemporary democratic government can be democratic government can be • Inability to access or re-use key information resources. held fully accountable to the held fully accountable to the • Inability to provide adequate evidence to defend itself public for its activities.” in claims, disputes, and litigation. public for its activities.” • Loss of essential records to support/document policy, (J. Grant Glassco, Report of the Royal (J. Grant Glassco, Report of the Royal program, or business decisions Commission on Government Commission on Government Organization, 1962) Organization, 1962) 2. Increased Information-related Costs: • Increases to time wasted in attempts to find or share information - loss in GC employee productivity. • Legacy records clean-up/storage – paper mountain • Inability to deal with increased litigation and audit requirements • Immense duplication of investment in creation/delivery of information • Inability to innovate or conduct research. • Loss of investment that went into the creation of information products. 3. Impact on Credibility of Government and Public Confidence: • Inability to provide correct and relevant information to Canadians, service providers, and/or clients. • Loss of confidence due to inadequate steps taken to protect personal information of employees and Canadians. • Incomplete preservation of information of enduring or historical value • Inability to meet program delivery, legislated, and accountability requirements (FedAA, ATIP, FAA, PIM, MAF, etc) • Inability to protect or control records (theft / loss / inadvertent destruction of client or other program information 4
    • The Recordkeeping Initiative • 2005: LAC Deputy Head Raises RK Crisis; Clerk Commitment • 2006: DM Roundtables – Recordkeeping Initiative – ADM Taskforce on Recordkeeping – TBPAC Reporting • 2007: ADM Taskforce – Departmental Working Groups – RK Regime Validation • 2007: TBPAC – RK Regime Approval – Approval to Proceed with Assessment Projects • 2008: LAC + Departments – Assessment Projects – TBPAC Reporting • 2009: LAC + TBS – Directive on Recordkeeping 5
    • GC-Wide Conclusion: Recordkeeping Regime is Required • A Recordkeeping Regime is at the core of change – Parameters of the Regime: • Based on government-wide results and outcomes (PAA, MRRS, MAF) • Departmental customization to unique needs • Long-term and sustainable change, but with quick hits • The Recordkeeping Regime Elements: – Recordkeeping Directive – Recordkeeping Requirements – Delegation instruments: Delegated Authorities; Disposition Authorities – Legacy management – Enablers: capacity; readiness; capture and creation tools, mechanisms, and guidelines 6
    • Directive on Recordkeeping: Foundations • LAC Green Paper: The Recordkeeping Regime: Overcoming Recordkeeping Challenges in the Public Service. • LAC White Paper: Creating Documentation Standards for Government Programs, Services and Results • GC Policy Framework for IM/IT – IM Policy (2007) • RK Directive » LAC White Paper: Documentation Standard for creating Departmental Recordkeeping Requirements » Output: Departmental Recordkeeping Requirement 7
    • Directive on Recordkeeping: Overview Requirements What does it mean for departments • Need to align recordkeeping • Analysis of business requirements with business activities purpose and needs, based and functions to address accountability, on business context stewardship, performance measurement, reporting and legal • Declaration of business requirements value • Establish and implement key • Recordkeeping mechanisms mechanisms and tools to support the and tools department’s recordkeeping requirements throughout the information life cycle 8
    • Directive on Recordkeeping: A Responsibility for Everyone • Each public servant has the responsibility to preserve and manage the information resources created or used in their work. • In order to be successful in the implementation of the Recordkeeping Directive, both operational managers and IM managers need to work closely together. • Because of the in depth knowledge of their area’s functions and activities, the identification of information resources of business value should be the responsibility of business managers. • The authority associated with the Recordkeeping Directive is delegated through the Delegation Instrument, from the Deputy Head to Senior officials and below. 9
    • Directive on Recordkeeping: Expected Results 5.2 Expected Results 5.2.1 Effective use of information resources of business value as strategic assets which support decision-making and the efficient delivery of government programs and services. 5.2.2 Effective recordkeeping practices that ensure transparency and accountability of government programs and services. 10
    • Business Value Continuum 11
    • GC Business Value Context 12
    • GC-Wide RK overview Whole of Government Planning 1 Whole-of-Government Framework Program Outcome Strategic Spending Activities Areas Outcomes Areas 400+ in 200+ in 13 GC 4 Spending Departments Departments Outcome Areas found within found within Areas PAA PAA 2 Business Context 3 Program Activity Architecture Strategic Program Program Sub‐ Business Activities and Functions Outcomes Activites Activities Enterprise Multiple Multiple Wide Business Process Sequence Sequence Sequence of of of Activities Activities Activities Business Business Process Process 13
    • Whole of Government Business Context 14
    • Declaration of Information Resources of Business Value • Differentiates between the vast amounts of information created and focuses investments on Declared information information resources of resources structured and managed in an Institutional business value to the Recordkeeping Repository institution Enduring • Combines business process Contextual and business needs analysis Compulsory Prescriptive Accountability with recordkeeping practice Information resources managed at the desktop, in a shared workspace etc., frequently in an informal and unstructured way 15
    • Business Process and Business Needs Analysis The initial state clearly shows the starting point for Synchronizations the action sequence within an activity diagram User initiates This represents an activity process state Alternate sequence of actions This represents a decision point Process Step 1 Process Step t [rejected] Process Step n Process Step t+1 [accepted] Process Step n+1 Transition Process Final state indicating the last completion action of a sequence 16
    • Business Processes and Context: Complaint Resolution Business Process at OIC Report of Complaint Intake Management Investigation Finding and Registration Review and Closure Compulsory Information Resources Management Report of Letter of Complaint Link to Correspondence Review and Finding and Complainant -pertinent records Delivery and Distribution Complainant -Letter or response from Process Approval Closure government institution Complaint Intake and Registration Informal Management Intervention Investigation Report Findings [n] Records Investigation Review Required Complete and Close file [n] [no] [y] [n] Formal Impasse? Investigation Court review [y] Seek Consent [y] Link to Judicial Review Complaint Intake and Investigation [y] Proces Registration Formal Impasse? Recommendation 17
    • Directive on RK: Recordkeeping Requirements Conducting a business process and needs analysis of the regulatory, business and departmental functions and activities Protection of information resources of business value by identifying and documenting the risk profile of information resources Identifying , establishing, implementing and maintaining recordkeeping repositories Establishing, using and maintaining taxonomy and/or classification systems for information resources of business value in all formats; Establishing, implementing and maintaining retention periods for information resources of business value in all formats; Developing, implementing and performing regular documented disposition for all information resources including those of no business value. Linking departmental classification systems and retention periods to LAC Disposition Authorities, and identify gaps in disposition coverage. For published materials, these activities should be conducted according to accepted practices Developing and documenting recordkeeping best practices within the department that align with business activities and that address accountability, stewardship, performance measurement, reporting and legal requirements. Communicating and engaging departmental managers and employees on the risks associated with poor recordkeeping, and their responsibilities. Effective recordkeeping practices enable departments to create, acquire, capture, manage, and protect the integrity of information resources of business value, thereby contributing to efficiency, transparency, and accountability in the delivery of Government of Canada programs and services. 18
    • Directive on Recordkeeping: Implementation • Phased-in approach • Five-year implementation plan: – Planned Tools – Communications Plan – Consultation • Compliance to this directive will be measured via the Management Accountability Framework (MAF) 19
    • Directive on Recordkeeping: Planned Tools • Recordkeeping Assessment Tool • Annotated Recordkeeping Directive • Guideline on IM Considerations for Email • Guideline on IM Considerations for Social Technologies • Other tools (Guide to setting retention specifications; EDRMS requirements, etc.) 20
    • Recordkeeping Assessment Program: Roadmap Recordkeeping Readiness Assessment Program •• RK Maturity Calculator RK Maturity Calculator •• The RK Crisis The RK Crisis •• Assessment of Current •• White Paper ::Business Assessment of Current White Paper Business •• Departmental RK Departmental RK •• Directive on RK Directive on RK State Questionnaire Value Concepts State Questionnaire Value Concepts Requirements Requirements •• RK in the Government of RK in the Government of •• White Paper: RK •• RK Requirements: How White Paper: RK RK Requirements: How Implementation Implementation Canada: Presentation Canada: Presentation Requirements to Guide Requirements to Guide LAC Guidelines, Tools and Accelerators 21
    • The Recordkeeping Readiness Assessment Instrument Objectives of the Assessment • To assist departments in complying with the requirements of the Directive • To evaluate departmental strengths and areas requiring improvements in relation to RK capacity 22
    • The Recordkeeping Readiness Assessment Instrument Module 2: Evaluation of the RK situation and departmental capabilities Assessment of the systems, processes and procedures currently in place to determine if information resources are managed in such a way as to keep them authentic, reliable, useable and accessible for as long as necessary. 23
    • The Process Once the Assessment Questionnaire has been completed, LAC will analyze the responses and provide a report to the department. The report will highlight the strengths in the institution, as well as those areas requiring improvements. Suggestions for how to improve will also be made, with links to existing resources that can be used. We are currently testing this assessment in a few departments. 25
    • Conclusion / Wrap up Questions, comments? Further Contact: Recordkeeping Liaison Centre Government Records Branch Library and Archives Canada Telephone: 819-934-7519 or 1-866-578-7777 (toll free in Canada and the US) Fax: 819-934-7534 E-mail: centre.liaison.centre@lac-bac.gc.ca 26