Overview of TBS and LAC Recordkeeping Roles and Tools

Having trouble making sense of the plethora of tools that LAC and TBS have provided in support of recordkeeping (RK) implementation? Always digging around trying to find the RKAI or to remember what came first – the diagnostic tool or the RK methodology? Here’s Systemscope’s quick and dirty, handy back-pocket guide to GC RK Compliance Tools.

It is Treasury Board Secretariat’s (TBS) job to:

• Develop policies and associated instruments
• Support departments in the implementation of policies and associated instruments
• Assess compliance with policies and instruments through a variety of means (including the Management Accountability Framework [MAF] annual reporting tool)
• Measure the success of their policies

It is Library and Archived Canada’s (LAC) job to:

• facilitate IM in Government, especially digital
• ensure GC information of enduring value is identified and preserved
• be accountable for the final decisions about what gets kept and what gets deleted.

LAC’s new “RK Methodology” is an improved method for identifying GC departmental records that have enduring value (IREVs) from within a department’s collection of information resources of business value (IRBVs). This methodology has been developed to allow LAC to efficiently produce Records Disposition Authorities (RDAs) however LAC will not release RDAs to departments that are not RK Compliant.

The purpose of the new LAC methodology is to provide a streamlined process that is:

• Faster: 3-6 month bundles
• Collaborative: dedicated expert teams (departments and LAC)
• Risk-informed
• Adapts generic tools to individual contexts
• Leverages what is known

The Key Requirements of the TBS Directive on Recordkeeping

Key Requirements of the TBS Directive on Recordkeeping

Source: TBS – TBS website – Directive on Record Keeping Section 6

http://www.tbs-sct.gc.ca/pol/doc-eng.aspx?section=text&id=16552

Tool – The TBS Recordkeeping Compliance Maturity Model

The TBS Recordkeeping Compliance Maturity ModelThe TBS Recordkeeping Compliance Maturity Model #2

Source: TBS – from the deck “The Roadmap to Recordkeeping : Maturity Model (TBSSCT 1013178)

The TBS Recordkeeping Road Map

The TBS Recordkeeping Road MapThe TBS Recordkeeping Road Map Pt 2The TBS Recordkeeping Road Map Part 3

Source: TBS – from the deck “The RK Roadmap – The Challenge of Recordkeeping in the GC – RK Day (March 22, 2011)”

LAC’s Phases of the Recordkeeping Methodology

Its purpose: the phases of LAC’s methodology for addressing the order and manner in which departments will be engaged in newly streamlined archival review activities.
LAC’s Phases of the Recordkeeping MethodologyExports of the RK Methodology

Source: LAC – from the deck “Managing Information as an Asset: A Methodology for Effective Recordkeeping”

LAC Diagnostic Tool

Its Purpose: to allow departments to accurately express their level of RK maturity in order to calculate the institution’s readiness and complexity of effort for an LAC RDA engagement.
This is an Excel spreadsheet with a great variety of worksheets (e.g. readiness, complexity, impact).
cheat sheet

Diagnostic Tool Home Page thumbnail

Source: LAC – from Diagnostic Tool excel spreadsheet.

LAC Generic Valuation Tools

Their purpose: to streamline the RKM valuation and controls process by providing risk-informed, evidence-based analysis and recommendations. The tools:

• combine enduring valuation recommendations with suggested information resources of business value (IRBV) and suggested retention specifications
• assemble existing knowledge around appraisal, business processes, business value and retention

11 GVTs to be developed based on TBS Profile of GC Internal Services:
• HR, IT, IM, Management and Oversight, Communications, Financial Management, Material Management, Acquisitions, Legal Services, Real Property, Travel and Other
• Examples: Employee Performance, Learning, Development and Recognition
•	Examples:  Employee Performance, Learning, Development and Recognition
Other GVTs to be developed for common operations in the GC:
• Transfer Payments,
• Investigating,
• Regulating,
• Legal Affairs,
• Adjudicating,
• Research and Development,
• Cabinet Affairs…
Example: Program and Project Administration

Example: Program and Project Administration

Source: LAC – from “Transfer Payments” , references “Policy on Transfer Payments, Treasury Board of Canada Secretariat, 2008.”

LAC Recordkeeping Accountability Instrument (RKAI)

Its purpose: The final identification of information resources of business value and enduring value (IRBV and IREV), as well as the accountable roles (Designation for Recordkeepers) and RK Controls information.
As shown below the instrument brings together required information to demonstrate RK compliance:
RK Accountability Instrument
The tool is a set of Excel worksheets for reporting:
– controls on RK repositories
– controls on legacy information
– business processes aligned to PAA
– information resources that are outputs of the business processes, with designated RK roles
– combination of all of the above

Source: LAC – from the deck “Managing Information as an Asset: A Methodology for Effective Recordkeeping”



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