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.

1. 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

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
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3. 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. 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
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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
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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
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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
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8. 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
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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.
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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.
5.2.2
Effective recordkeeping practices that ensure
transparency and accountability of government programs
and services.
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11. Business Value Continuum
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12. GC Business Value Context
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13. 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
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14. Whole of Government Business Context
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15. 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
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16. 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
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17. 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
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18. 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.
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19. 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)
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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.)
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21. 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
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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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23. 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.
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24. The Questions
1. INFORMATION MANAGEMENT / RECORDKEEPING
FRAMEWORK
2. RECORDKEEPING REQUIREMENTS ASSESSMENT
3. RECORDKEEPING REPOSITORY ASSESSMENT
4. RECORDS DISPOSITION AUTHORITY
ASSESSMENT
5. ACCESS TO INFORMATION ACT ASSESSMENT
6. PRIVACY ACT ASSESSMENT
7. SECURITY ASSESSMENT
8. LITIGATION READINESS
9. RECORDS DESTRUCTION PROCESS
10.TECHNOLOGY AND TECHNICAL CAPACITY
11.EDUCATION AND TRAINING
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25. 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.
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26. 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
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