Recordkeeping Directive 101: Everything you wanted to

know, but were too afraid to ask

Pierre Desrochers and Sharon SmithGovernment Records BranchLibrary and Archives Canada

2

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

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.

4

Risk Assessment for the GC:

1.

Impact on GC Decisions and Operations:

•

Inability to access or re-use key information resources.•

Inability to provide adequate evidence to defend itself in claims, disputes, and litigation.

•

Loss of essential records to support/document policy, program, or business decisions

“A crisis situation recognized but far from being resolved”

(Auditor General report, April 2003)

“Records must be created, maintained and preserved in such

a way that a contemporary democratic government can be

held fully accountable to the public for its activities.”

(J. Grant Glassco, Report of the Royal

Commission on Government Organization, 1962)

“A crisis situation recognized but far from being resolved”

(Auditor General report, April 2003)

“Records must be created, maintained and preserved in such

a way that a contemporary democratic government can be

held fully accountable to the public for its activities.”

(J. Grant Glassco, Report of the Royal Commission on Government

Organization, 1962)

Background: The Recordkeeping Initiative

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

5

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

6

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

7

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

8

What does it mean for departments What does it mean for departments •

Need to align recordkeeping requirements with business activities and functions to address accountability, stewardship, performance measurement, reporting and legal requirements

•

Establish and implement key mechanisms and tools to support the department’s recordkeeping requirements throughout the information life cycle

RequirementsRequirements

•

Analysis of business purpose

and needs, based

on business context

•

Declaration of business value

•

Recordkeeping mechanisms and tools

Directive on Recordkeeping: Overview

9

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.

10

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.

5.2.2Effective recordkeeping practices that ensure transparency and accountability of government programs and services.

11

Business Value Continuum

12

GC Business Value Context

13

GC-Wide RK overview

Strategic Outcomes

Enterprise Wide

Program Activites

Multiple

Program Sub‐Activities

Multiple

4 Spending Areas

1

2

3Business Context

Program Activity Architecture

Sequence of

Activities

BusinessProcess

Business Activities and Functions

13 GC Outcome

Areas

Strategic Outcomes

OutcomeAreas

Spending Areas

Whole of Government PlanningWhole-of-Government Framework

BusinessProcess

BusinessProcess

Sequence of

Activities

Sequence of

Activities

400+ in Departments found within

PAA

Program Activities

200+ in Departments found within

PAA

14

Whole of Government Business Context

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Declaration of Information Resources of Business Value

•

Differentiates between the vast amounts of information created and focuses investments on information resources of business value to the institution

•

Combines business process and business needs analysis with recordkeeping practice

Information resources managed at the desktop, in a shared workspace etc.,

frequently in an informal and unstructured way

ContextualCompulsoryPrescriptive Accountability

Enduring

Declared information resources structured and

managed in an Institutional Recordkeeping Repository

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Business Process and Business Needs Analysis

User initiates process

The initial state clearly shows the starting point for the action sequence within an activity diagram

Process Step 1

Process completion

Process Step n

Process Step n+1

[rejected]

[accepted]

This represents a decision point

Process Step t

Process Step t+1

This represents an activity state

Synchronizations

Alternate sequence of

actions

TransitionFinal state indicating the last

action of a sequence

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Business Processes and Context: Complaint Resolution Business Process at OIC

Complaint Intake and Registration Investigation Management

Review

Report of Finding

and Closure

Complaint Intake and Registration

Informal Investigation

Management Review

Formal Investigation

Intervention Required

Investigation Complete

Formal Recommendation

Report Findings and Close file Records

Seek Consent

Impasse?

[y]

[y]

[no]

Court review

Compulsory Information ResourcesLetter of ComplaintComplainant -pertinent recordsComplainant -Letter or response from

government institution

Impasse?[y]

[n]

[y]

[n]

[n]

Link to Correspondence Delivery and Distribution

Process

InvestigationComplaint Intake and Registration

Management Review and

Approval

Report of Finding and

Closure

Link to Judicial Review Proces

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Directive on RK: Recordkeeping Requirements

Conducting a business process and needs analysis of the regulatory, business and departmental functions and activitiesProtection of information resources of business value by identifying and documenting the risk profile of information resourcesIdentifying , 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 practicesDeveloping 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.

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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)

20

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.)

21

Recordkeeping Assessment Program: Roadmap

Recordkeeping Readiness Assessment Program

•

The RK Crisis•

Directive on RK•

RK in the Government of Canada: Presentation

•

The RK Crisis•

Directive on RK•

RK in the Government of Canada: Presentation

•

Assessment of Current State Questionnaire

•

White Paper: RK Requirements

•

Assessment of Current State Questionnaire

•

White Paper: RK Requirements

•

White Paper : Business Value Concepts

•

RK Requirements: How to Guide

•

White Paper : Business Value Concepts

•

RK Requirements: How to Guide

•

RK Maturity Calculator•

Departmental RK Requirements Implementation

•

RK Maturity Calculator•

Departmental RK Requirements Implementation

LAC Guidelines, Tools and Accelerators

22

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

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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.

24

The Questions

1.

INFORMATION MANAGEMENT / RECORDKEEPING FRAMEWORK

2.

RECORDKEEPING REQUIREMENTS ASSESSMENT3.

RECORDKEEPING REPOSITORY ASSESSMENT

4.

RECORDS DISPOSITION AUTHORITY ASSESSMENT

5.

ACCESS TO INFORMATION ACT ASSESSMENT6.

PRIVACY ACT ASSESSMENT

7.

SECURITY ASSESSMENT8.

LITIGATION READINESS

9.

RECORDS DESTRUCTION PROCESS10.TECHNOLOGY AND TECHNICAL CAPACITY11.EDUCATION AND TRAINING

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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.

26

Conclusion / Wrap up

Questions, comments?

Further Contact:Recordkeeping Liaison CentreGovernment Records BranchLibrary and Archives CanadaTelephone: 819-934-7519 or 1-866-578-7777 (toll free in Canada and the US)Fax: 819-934-7534E-mail: centre.liaison.centre@lac-bac.gc.ca