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IIA Conference 2017 - Edmonton, AB - Paperless Governement
- 1. Paperless Government What internal audit needs to know Presented by: Hassan Qureshi, Partner, MNP LLP Stephanie Armstrong, Senior Consultant, MNP LLP Bruce Covington, Director, Document Imaging Services, PSPC
- 2. Agenda What is digital imaging and why is it important? What should you know? Digital imaging at PSPC Overview Common challenges Case study Going paperless When should you go paperless and what standards are important?
- 3. What does ‘going paperless’ mean? Overview
- 4. Too many documents Court evidence Other initiatives Your organization handles and stores A LOT of documents, and you want to go paperless and destroy hard copies once they are ‘digitized’ Your organization may be asked to provide electronic evidence for court proceedings Your organization is undergoing transformations of business systems that would make it easier to reduce paper handling at the same time When should you go paperless?
- 5. Benefits of going paperless Centralization and consolidation Overview
- 6. Benefits of going paperless Improved productivity and operational effectiveness Overview
- 7. Benefits of going paperless Compelling environmental and financial outcomes Overview
- 8. How can I use my digitized records in court? • Requirements for those who wish to present an electronic record as evidence in legal proceedings • Span the policies, processes, and technologies in place around the records management system • Span the full lifecycle of a record, from its creation, maintenance, retirement, through to its disposal Going paperless
- 9. Record digitization lifecycle RetirementDisposal Creation Maintenance Creation Maintenance Dispose when no longer needed Certificate of Destruction Preparation and scanning Records Management Program One master record Disposal Retirement Defined retention policies Consistent metadata Stored in repository Clear naming convention File format Going paperless
- 10. Conforming to the CGSB Standards A record submitted as evidence shall be authenticated by providing evidence external to the record itself that it is what it purports to be. Alternatively, a record can be declared authentic if: • The integrity of the records system in which the record was made or received, or stored • The reliability of the recordkeeping processes, can be proven. “ “ Reliability Integrity Authenticity Going paperless
- 11. Demonstrating integrity of a records system A record submitted as evidence shall be authenticated by providing evidence external to the record itself that it is what it purports to be. Alternatively, a record can be declared authentic if: • The integrity of the records system in which the record was made or received, or stored • The reliability of the recordkeeping processes, can be proven. “ “ Data source Timely recording Data entry Routine business data Compliance with standards Going paperless
- 12. Common challenges Scanning is just the tip of the iceberg. Organizational Readiness (Policy, EDRMS, Recordkeeping) Document Preparation Compliance with standards, policies and directives Analysis – Business, functional and technical requirements definition Procurement or in-house expertise and capacity Selecting the records Logistics and Transportation IT Infrastructure Communication and change management (awareness and training) Quality Assurance Project management Classification, Indexing and metadata Common challenges
- 13. Case study: Public Services and Procurement Canada Document Imaging to federal government departments and agencies Mailroom processing Electronic archiving, coding and indexing Records management and document disposal CGSB compliance and conversion audit Case Study
- 14. Case study: Public Services and Procurement Canada End-to-end view of what needs to conform to CGSB Client department/agency PSPC DISC Shared Services Canada Defining requirements Shipping records Approving access to images in web-app Authorizing paper destruction Scanning and storing Managing imaging operations Demonstrating authenticity and integrity of RMS Deliver IT infrastructure services Host electronic repositories Execute key controls (as per PSPC) Case Study
- 15. Case study: Public Services and Procurement Canada What we did We performed an assessment of the PSPC DISC environment, through a review of its 3 components: operations, applications, and IT infrastructure. PSPC Imaging solution provided to clients 1. Operations Operational business processes, policies, procedures and manual controls to scan, store, view and manage images, as well as the overarching governance and legal framework 2. Applications Imaging applications that enable PSPC Imaging operations, and the associated application controls and functionality for scanning, storing, viewing, and managing images 3. IT infrastructure Hardware and software to enable the operations (including the servers, the operating systems, the databases and the network underpinning applications used to enable operations) Case Study
- 16. Case study: Public Services and Procurement Canada Better communication and visibility with clients Faster search-ability and accessibility to key documents Reliable electronic information Environmental benefits Reduced storage costs Optimized processes Outcomes Case Study
Editor's Notes
- Going paperless is defined as the process of converting information into a digital format Improved productivity and operational effectiveness Improved search-ability and document organization Faster client communication Improved data security Automated processes Compelling environmental, operational and financial outcomes Decrease in storage costs Less energy consumption when printers and copiers are inactive More ‘green’ by reducing paper production
- Talk about different types of documents (micrographics, drawings, maps, paper...
- Talk about telework and remote working when talking about centralization. Government organizations are increasingly requiring searchable electronic records management solutions for improved productivity and operational effectiveness and improves citizens service. Going “paperless” is a strategic objective for several modernization initiatives, with compelling environmental, operational and financial outcomes Paperless processes are often needed for centralization, consolidation or transformation initiatives Being able to rely on the authenticity of electronic records is critical in many contexts, and demonstrating image authenticity can be required for electronic evidence in court
- Government organizations are increasingly requiring searchable electronic records management solutions for improved productivity and operational effectiveness and improves citizens service. Going “paperless” is a strategic objective for several modernization initiatives, with compelling environmental, operational and financial outcomes Paperless processes are often needed for centralization, consolidation or transformation initiatives Being able to rely on the authenticity of electronic records is critical in many contexts, and demonstrating image authenticity can be required for electronic evidence in court
- Government organizations are increasingly requiring searchable electronic records management solutions for improved productivity and operational effectiveness and improves citizens service. Going “paperless” is a strategic objective for several modernization initiatives, with compelling environmental, operational and financial outcomes Paperless processes are often needed for centralization, consolidation or transformation initiatives Being able to rely on the authenticity of electronic records is critical in many contexts, and demonstrating image authenticity can be required for electronic evidence in court
- Canadian imaging standards CGSB-72.34-2017 and CGSB-72.11.93 define requirements for those who wish to present an electronic record as evidence in legal proceedings CGSB requirements for electronic records span the policies, processes, and technologies in place around the records management system, and spans all entities involved CGSB requirements also span the full lifecycle of a record, from its creation, maintenance, retirement, through to its disposal
- An “authentic” record is, loosely, one that is what it purports to be: it was duly issued by an authorized person or agency. A record has “integrity” if it is preserved without any alteration that would impair its use as an authentic record. Digital techniques are available that can provide much stronger assurances than can existing techniques for paper records. Also, digital records are potentially more vulnerable to forgery and tampering—an attacker with access to the archive’s computer could add, delete, or alter records in a wholesale fashion or make subtle alterations that would be difficult to detect by inspection. Increased experience with personal computers has made the public aware of how easily digital documents can be altered undetectably.
- Common challenges include: Multiple stakeholders involved with unclear roles and responsibilities Logistics: shipping sensitive information, authorization to destroy paper Business processes use multiple technologies Lack of stakeholder adoption Small organization with limited segregation of duties
- As of April 1st, 2017, born digital records should be transferred to Library and Archives Canada (LAC) in digital format. LAC’s preference for archival records, from this date forward, is in digital format, wherever possible. PSPC’s Document Imaging Solutions Centre (DISC) offers government departments and agencies a range of services for document imaging, mailroom processing, electronic archiving, file management and shredding. Several departments and agencies require that the paper digitization process conforms to applicable standards – from the point at which they send their hard-copy documents for imaging, to the point the images are returned, through to the ultimate paper destruction and ongoing management of the electronic records To meet the CGSB conformance requirements of several of its DISC clients, PSPC sought to assess the operations, applications and IT infrastructure in place to provide imaging services
- The client is responsible for the following: Defining their business-specific imaging requirements Shipping paper records to PSPC DISC Authorizing the destruction of paper Approving read-only access to the images viewed in the web application PSPC DISC is responsible for the following: Receiving, scanning and temporarily storing paper documents (destroying if authorized) Managing the imaging operations (including policies, processes, procedures) and underlying imaging applications for scanning/storage Documenting the environment and managing communications with SSC Ascertaining image authenticity and the integrity of the imaging systems SSC is responsible for the following: Delivering IT infrastructure services underpinning the imaging applications Hosting the electronic repositories for images Executing key controls as agreed to with PSPC