Generic Valuation Tool Management and Oversight

Transcription

1 Generic Valuation Tool Management and Oversight Recordkeeping Liaison Centre Library and Archives Canada Telephone: or (toll free in Canada and the US)

2 Generic Valuation Tool (GVT) MANAGEMENT AND OVERSIGHT SERVICES How to use this tool: This tool is designed for IM specialists to use with relevant business areas when identifying information resources of business value (IRBV) and retention specifications. The IRBV and retention specifications contained in this document are recommendations only and should be customized to apply in each institutional context. The complete document should be read before using any recommendations. This GVT does not provide Government of Canada institutions with the authority to dispose of information. GVTs are not Records Disposition Authorities (RDA) and do not replace the Multi-Institutional Disposition Authorities (MIDA). Validation: The business processes and IRBV of this GVT have been validated by subject matter experts from the following departments: Fisheries and Oceans, Citizenship and Immigration Canada, Justice, Health Canada, Natural Resources Canada and Shared Services Canada. Defining the Activity The Treasury Board of Canada Secretariat (TBS) Profile of Government of Canada (GC) Internal Services defines Management and Oversight Services as those activities undertaken for determining strategic direction and allocating resources among services and processes, as well as those activities related to analyzing exposure to risk and determining appropriate countermeasures. They ensure that the service operations and programs of the federal government comply with applicable laws, regulations, policies, and/or plans.1 This GVT provides recommendations on business value and retention specifications related to internal Management and Oversight activities only. It does not apply to strategic and/or horizontal business processes related to Management and Oversight that are performed on behalf of the entire GC, such as those carried out by TBS, the Privy Council Office, the Office of the Auditor General, the Office of the Comptroller General, etc. It should be noted that the IRBV identified will not only be of an administrative nature, 1 Profile of Government of Canada (GC) Internal Services, TBS, 2010, If the hyperlink does not work, please contact im-gi@tbs-sct.gc.ca to request a copy of the document. 1

3 but will include operational records as well. For example, all policies and their development are included in this GVT, because the process of creating a policy planning, drafting, gaining approval are the same regardless of policy subject, whether for administrative or operational activities. Relationship to Other GVTs Business processes often overlap. When the IRBV for a sub-activity is also identified in another GVT, there is a note in the table of IRBV and retention recommendations (below) to direct the user to the proper tool. This GVT describes overarching departmental activities, therefore it relates to many other internal services and operational activities (and associated GVTs). The GVTs for Cabinet Affairs and Treasury Board Submissions also contain business processes similar to those in Management and Oversight and should be used in conjunction with this GVT. This GVT should be used closely with the GVT for Financial Management in order to address all of the business processes formerly addressed by MIDA 99/004 for the Comptrollership Function. The two are intricately linked for the activities of program management, audit, and evaluation. Business Processes The business processes are defined largely through a number of legislative and policy instruments including those that ensure transparency and accountability in management2, those that pertain to risk or emergency management3, those that regulate project and program management activities4, and those that pertain to performance reporting and evaluation.5 Management and Oversight has nine service groupings, with a number of associated 2 Financial Administration Act (R.S.C., 1985, c. F-11), Management Accountability Framework, Policy on Management Resources and Results Structures (2010), Guide for the Development of Results-based Management and Accountability Framework (2010) 3 Framework for the Management of Risk (2010) 4 Policy on Investment Planning- Assets and Acquired Services (2009), Implementation Strategy for the Policy on Investment Planning (2009), Policy Framework for the Management of Assets and Acquired Services (2006), Guide to Investment Planning Assets and Acquired Services (2009), Policy on the Management of Projects (2009), Standard for Project Complexity and Risk (2010), Standard for Organizational Project Management Capacity (2010), Expenditure Management System of the Government of Canada (1995), A Guide to Preparing Treasury Board Submissions (2007) 5 Performance Reporting Good Practices Handbook (2008), Guidelines for Portfolio Coordination : Management Accountability Framework Considerations and Overview of Practices (2010), Guidelines on Streamlining Statutory Reports to Parliament (2008), Policy on Internal Audit (2012), Directive on Internal Auditing in the Government of Canada (2012), Internal Auditing Standards for the Government of Canada(2012), Policy on Evaluation (2009), Directive on the Evaluation Function (2009), Standard on Evaluation for the Government of Canada (2009) 2

4 business processes. While the Internal Services Profile defines them as separate activities, it should be noted that they are all interrelated. 1. Strategic Policy and Planning and Government Relations: Strategic policy and planning involves determining strategic direction, approving institutional policy, and planning, organizing, and directing the institution in order to achieve operational goals. Strategic policy provides guidance to the entire department. Strategic plans are those which advance the activities of the mandate and Program Alignment Architecture (PAA). Government Relations involve consultation, cooperation and agreements with other levels of government to leverage assets and facilitate program and service delivery. 2. Executive Services: Executive services include the provision of corporate advice and support to the organizational executive offices. Activities include the coordination of Question Period responses, Parliamentary affairs, executive correspondence, governance activities through executive committees and the planning and coordination of conferences, visits and hospitality. Processes and IRBV created and maintained by the Ministers Office, including Ministerial correspondence, will be identified in a forthcoming Ministerial Affairs GVT. Processes and IRBV for Cabinet Affairs can be found in the Cabinet Affairs GVT. 3. Corporate Policy, Standards and Guidelines: This activity involves the creation and development of operational and administrative policies, standards, and guidelines, policy papers and initiatives. 4. Investment Planning: This activity involves developing and executing plans related to the allocation and reallocation of resources to new and existing assets and acquired services that are essential to program delivery. Institutional Investment Planning is closely linked with project management. According to Treasury Board s Guide to Investment Planning - Assets and Acquired Services effective management [of the investment planning process] includes developing an institutional investment plan, exercising oversight in the implementation of investment decisions and ensuring appropriate and ongoing measurement of investment performance. 6 Investment plans are submitted to TBS for review and approval, not of the investments themselves, but of the management principles, processes and practices which led to the production of the departmental investment plan. 7 This GVT covers the Investment Planning activity at a high level by outlining the probable components of business processes based on the objectives and requirements 6 Guide to Investment Planning Assets and Acquired Services, TBS, 7 Ibid. 3

5 prescribed by the Policy on Investment Planning Assets and Acquired Services (2009) and by the procedures outlined in the Implementation Strategy for the Policy on Investment Planning - Assets and Acquired Services and the Policy on the Management of Projects. Recommended IRBV were determined based on an analysis of existing GC procedures as well as the reporting requirements outlined in the TBS policy. In this GVT, investment planning includes the asset categories of real property, information management and information technology. 5. Project Management: TBS defines Project Management as the systematic planning, organizing, and control of allocated resources to accomplish identified project objectives and outcomes. Project Management is normally reserved for focused, non-repetitive, time-limited activities with some degree of risk, and for activities beyond the usual scope of program (operational) activities. 8 The management of projects encompasses the structure within which projects are initiated, planned, executed, controlled and closed. 9 This GVT covers the Project Management activity at a high level by outlining the probable components of business processes based on the objectives and requirements prescribed by the Policy on the Management of Projects (2009) and by the procedures outlined in the Implementation Strategy for the Policy on Investment Planning - Assets and Acquired Services and the Policy on the Management of Projects. Recommended IRBV were determined based on an analysis of existing GC project management procedures as well as the reporting requirements outlined by TBS. Departments can modify the terminology in the IRBV list to reflect the project management methodology or software used. Projects may require further documentation than described in the chart below depending on their context. This GVT describes the generic business processes for the management of a project, but does not describe the deliverables of a project, which can vary tremendously. 6. Risk Management: TBS defines risk management as a systematic approach to setting the best course of action under uncertainty by identifying, assessing, understanding, making decisions on and communicating risk issues. 10 The principles outlined in the Framework for the Management of Risk (2010) apply to all Treasury Board policies, and require that GC institutions integrate risk management into all business processes performed in support of program and service delivery. Context will affect the nature of risk-related actions, so business value must be evaluated and assigned by each GC institution according to linkages with mandate, legislation, and strategic outcomes. 8 Policy on the Management of Projects, 2009, TBS, 9 Ibid. 10 Framework for the Management of Risk, 2010, TBS, 4

6 Therefore, this GVT provides high level business value recommendations that can be used as references for identifying IRBV associated with risk management throughout many institutional business processes. 7. Performance and Reporting: This activity involves the monitoring of organizational performance as per the PAA and the declaration of results according to GC management principles and expectations, through the standardized reporting mechanisms included in the Management Accountability Framework (MAF) and the Management, Resources and Results Structures (MRRS). 8. Audit: The TBS Policy on Internal Audit defines audit as a professional, independent and objective appraisal function that uses a disciplined, evidence-based approach to assess and improve the effectiveness of risk management, control and governance processes. 11 Internal audits focus on both financial and non-financial information. The processes include planning, conducting and reporting on the audit, as well as the followup actions. The high-level activities of the Departmental Audit Committee (DAC) are described under the process management of departmental audit function. Small departments may not have a DAC but use the centralized Small Department Audit Committee (SDAC). The processes and associated IRBV recommendations were determined from a thorough review of the TBS Policy on Internal Audit (2009), the Directive on Chief Audit Executives, Internal Audit Plans, and Support to the Comptroller General (2009), the Directive on Departmental Audit Committees (2009), and the Internal Auditing Standards for the Government of Canada (2006). Also included in this activity is response to external audits such as those conducted by the Office of the Auditor General, Public Service Commission or the Office of the Commissioner for Official Languages. (The term external audit does not include internal audits of a department conducted by a commercial third party.) Many of the documents created in the course of an audit by the Office of the Auditor General (OAG) are controlled and numbered and must be returned to the OAG within one week of the report being tabled in Parliament. These documents include the Audit Plan Summary and Drafts of the Audit Chapter, which are therefore not listed in the IRBV table. Due to the importance of an OAG audit, copies of information resources sent to the OAG are maintained, and a copy of the final audit report is kept on file for the department s reference purposes. The processes and associated IRBV recommendations were determined from What to Expect: An Auditee s Guide to the Performance Audit Process, Office of the Auditor General of Canada, Policy on Internal Audit, 2009, TBS, 12 What to Expect: An Auditee s Guide to the Performance Audit Process, Office of the Auditor General of Canada, 5

7 9. Evaluation: TBS defines evaluation as the systematic collection and analysis of evidence on the outcomes of policies and programs to make judgments about their relevance, performance and alternative ways to deliver programs or to achieve the same results.13 In this GVT the activities of the Departmental Evaluation Committee (DEC) are described as managing the evaluation function, and include high-level activities such as creating the rolling five-year departmental evaluation plan. The processes for program evaluations done by the department are planning, conducting and reporting on the evaluation, as well as the recommended follow-up actions. Also included is providing advice and guidance to program areas on the use of evaluation findings and support for performance management. The processes and associated IRBV recommendations were determined from a thorough review of the Policy on Evaluation (2009), the Directive on the Evaluation Function (2009), the Standard on Evaluation for the Government of Canada (2009), and the draft report entitled Evaluation Function in the Government of Canada (2004) prepared by the Centre of Excellence for Evaluation, Treasury Board of Canada Secretariat. Retention Recommended retention specifications in GVTs are determined based on traditional or best practices, a review of government-wide legislation and policy, and validation with subject matter experts. Retention periods are suggestions only; departments must take into account their own legislative requirements and business needs. Generic retention periods for IRBV in Management and Oversight are difficult to determine. The information resources are often key strategic documents which relate to operational activities. The minimum retention recommendations provided in this GVT are based on feedback received from departments during validation sessions and on traditional practices by federal departments and by organizations in other jurisdictions, as well as a review of government-wide legislation and policy. Many of the planning and reporting activities in Management and Oversight take place on a 3-5 year cycle. Consultations with staff revealed that they refer to at least two previous plans/reports when creating the next. Therefore a 10 year retention period is recommended for information resources for these activities and for other related activities. Validation sessions also suggested that information resources around planning and reporting on an activity should be retained longer than the working documents created by conducting the activity Supporting Effective Evaluations: A Guide to Developing Performance Measurement Strategies, TBS, 6

8 Business Value and Retention Recommendations 1. Strategic Policy and Planning and Government Relations Business Processes Determine strategic policy initiatives Create policy papers Create strategic policies Recommendations: Information Resources of Business Value (IRBVs) Policy decisions for review Formal identification of policy issue Briefing notes Agenda, meeting minutes Records of decision Terms of reference Policy papers Substantive drafts containing changes not reflected in the final version Documentation for review Substantive drafts containing changes not reflected in the final version Agenda, minutes and records of decision Terms of reference Final policy instruments Recommendations: Retention Period 5 years after last administrative action or after superseded 5 years after last administrative action 5 years after last administrative action or after superseded 5 years after superseded, except: 6 years after superseded where the policy focuses on finance management

9 Program Activity Architecture (PAA) and descriptions Report on Plans and Priorities (RPP) Manage Strategic and Business Planning Establish institutional objectives and priorities Manage business operations Create departmental business plans as part of the Expenditure Management System Develop RPP as part of Part III of the Estimates Organizational plan/annual plan/integrated Business and Human Resources Plan (IBHRP) Strategic plans Corporate Business Plans Organizational Branch work plans Sector operational plans Records of decision resulting in major changes Internal call letters Business intelligence reports White papers Briefing notes Environmental scans Agenda, meeting minutes 10 years after superseded (based on 3-5 year rolling cycles, allowing reference to two fiveyear cycles) 2 years after last administrative use (provided that sufficient background to adopted recommendations is transposed to corporate planning documents), otherwise: 5 years after last administrative use Organizational management Governance structure, organization charts 10 years after superseded Liaise with other federal departments and provincial, municipal, and international governments, and nongovernmental organizations Establish interdepartmental and intergovernmental agreements Consultation summaries, reports Agendas, minutes and records of decision 2 years after last administrative action (based on the assumption that input to agreements arising from consultation is captured in the agreement s IRBV), otherwise: 5 years after last administrative use

10 Liaise with the Office of the Minister of Intergovernmental Affairs Provincial or international treaties Service-level agreements Results of negotiation (changes to process, terms, etc.) Final agreements Contracts Memoranda of Understanding (MOU) Minutes, agendas Correspondence with Office of Intergovernmental Affairs, stakeholders in other jurisdictions 5 years after agreement is superseded or terminated except: 6 years after superseded where the agreement focuses on finance management 2 years after last administrative action 2. Executive Services Business Processes Manage Cabinet Affairs Manage Parliamentary affairs Coordinate Question Period Responses Provide information for responses to Order Paper questions Prepare for Parliamentary hearings Recommendations: Information Resources of Business Value (IRBVs) For all processes and IRBV please see the Cabinet Affairs GVT Request for information (from Question Period or Order Papers) Correspondence Substantive draft responses (containing modifications not reflected in final drafts) Approved Question Period answer Approved Statement of Completeness Confirmation letter Question Period tracking system Briefings Speeches Advice Recommendations: Retention Period For retention please see the Cabinet Affairs GVT 5 years after last administrative action

11 Manage Ministerial Affairs Coordinate executive participation in conferences, events, travel, and hospitality For all processes and IRBV please see the forthcoming Ministerial Affairs GVT. Request or invitation List of participants Agenda, minutes from planning meetings Program Advice from program area Speeches, speaking notes (including substantive drafts containing modifications not reflected in final version) Presentations Correspondence Confirmations Itinerary For retention please see the forthcoming Ministerial Affairs GVT. 2 years after last administrative action Manage executive correspondence Receive correspondence Log and track Draft answer Receive approval Send response Provide statistics/reports on regular basis Processes, IRBV and retention surrounding the expenses of executive participation in events or hospitality are reflected in the Financial Management Services GVT. Correspondence tracking system Incoming correspondence (letter, , meeting request, invitation, postcard) Response Supporting documentation when necessary (justification for response) Correspondence reports 2 years after last administrative action

12 Manage Governance (executive committees) Approve policy and strategic direction Provide guidance and advice on policy and planning Issues management Delegation of (non-financial) authorities Manage ATIP Terms of reference of committees Agendas, minutes and records of decision Presentation decks Briefings and briefing notes Delegation of authority documents Though ATIP is sometimes part of a department s Executive Secretariat, the business process and IRBV for ATIP are described in the Information Management GVT. 2 years after superseded or committee dissolved 10 years after last administrative use (to align with retention of policy and planning IRBV) 6 years after termination of appointment For retention please see the Information Management GVT. Manage charitable undertakings (for example, Government of Canada Workplace Charitable Campaign GCWCC) Agenda Minutes Reports 2 years after last administrative use 3. Corporate Policy, Standards and Guidelines Business Processes Recommendations: Information Resources of Business Value (IRBVs) Recommendations: Retention Period

13 Determine corporate policy initiatives Create policy papers Policy decisions for review Request or formal identification of policy issue Briefing notes Agenda, meeting minutes Records of decision Terms of reference Policy Papers Substantive drafts containing changes not reflected in the final version 5 years after last administrative action 2 years after superseded or committee dissolved 5 years after last administrative action Create operational and administrative policies, standards or guidelines Prepare draft Hold consultations Revise Get final draft approved Implement Communicate Documentation for review Input from related business area Consultation plans Substantive drafts containing changes not reflected in the final version Agenda, minutes and records of decision Terms of reference Final policy instruments Standards (operational and administrative) Guidelines (operational and administrative) Procedures 5 years after last administrative action 5 years after superseded or committee dissolved 5 years after superseded, except: 6 years after superseded where the policy focuses on finance management 4. Investment Planning

14 Business Processes Recommendations: Information Resources of Business Value (IRBVs) Recommendations: Retention Period Assess previous investments and results Report/assessment on previous investments 10 years after the end of the fiscal year to which the resource corresponds. Capability Gap Analysis Minutes/presentations from information sessions for participants Develop Investment Plan Information about projects under consideration: Investment Summary Notes/Investment Analysis Reports; Project priority ranking, i.e. any input from stakeholders or other sections on priorities and proposals 10 years after the end of the fiscal year to which the resource corresponds. Minutes of Board/working group tasked with creating investment plan Project charter for creation of investment plan Approval from senior management Investment Plan Measure investment performance Reports (monthly, annual) from group tasked with creation of investment plan, such as Investment Management Board/Working Group Briefing note to senior management on issues Reports from regions Reports to Cabinet Feedback on/revisions to planning process 10 years after the end of the fiscal year to which the resource corresponds.

15 Provide advice to Ministers Liaise with Treasury Board Secretariat Project close-out reports Lessons learned Targeted performance indicators Performance measurement table Treasury Board consultation Feedback/comments on drafts, plans, etc. Follow-up reports Treasury Board approval Communication with TBS over changes to investment plan after approval Communication with stakeholders 10 years after the end of the fiscal year to which the resource corresponds. 5. Project Management Business Processes Recommendations: Information Resources of Business Value (IRBVs) Recommendations: Retention Period Assess organizational capacity Organization Project Management Capacity Assessment (OPMCA) (submitted with Investment Plan above) 10 years after Assessment (based on a 3-year planning cycle, which would allow reference to the IR for two previous cycles) Initiate project Establish project objectives Business case/proposal Independent review Team roles and descriptions Briefing notes Meeting minutes Record of consultation with TBS Approvals/documentation of governance decisions at 10 years after project completion

16 each stage Plan Project Establish level of complexity and risk Develop project plan Perform risk assessments (see #6 below) Execute Project Control and Monitor Project Liaise with TBS and stakeholders Project Complexity and Risk Assessment (PCRA) Treasury Board Submission for approval (if required after OPMCA and PCRA) Project Management Plan (PMP) including: Project brief (if required) Project charter Risk management plans Schedule Privacy Impact Assessment List of project team members, stakeholders, sponsors, managers, etc. Work breakdown structure Risk response strategy Deliverables created through projects will vary; this GVT identifies IRBV from the management of projects only. If the project will involve procurement, the IRBV and retention for the business processes will be found in the Acquisitions GVT Progress reports, updates, GANNT charts Minutes from project meetings Steering committee reports Correspondence with TBS or stakeholders Change request log Report of any changes to OPMCA 10 years after project completion n/a 10 years after project completion

17 Close Project Report of any changes to PCRA Issue logs Project metrics Performance parameters Dashboards Results of any reviews, evaluations or audits of project Project close-out plan Project close/completion report Outcome realization report Lessons learned reports Best practices reports 10 years after project completion 10 years after last administrative use 6. Risk Management Business Processes Develop and update institution risk management approach Recommendations: Information Resources of Business Value (IRBVs) Report from Risk Management Capability Model Corporate Risk Profile (including action plans) Program risk profile Sector risk profile Integrated Risk Management policy (IRM) IRM Policy implementation plan Risk taxonomy Risk list/risk register Plans for monitoring and updating risk profile Recommendations: Retention Period 5 years after superseded, except: 6 years after superseded where the risk profile focuses on finance management

18 Perform risk assessments (corporate- or program-level) Identify risks Assess risks Mitigate risks Report risks Internal reporting to Senior Management Consult with stakeholders Educate staff about risks Working papers Environmental scan Polls, surveys, interviews, questionnaires Scales (likelihood, impact) Heat chart Risk assessment report Risk response strategy Communication strategy Deck/presentations to senior management, staff and stakeholders For processes and IRBV surrounding the training of staff, please see the Human Resources Management GVT. 2 years after project completion, except: 6 years after project completion where the risk profile focuses on finance management 10 years after project completion or aligned with retention of other IRBV from project to which risk assessment reports apply. For retention surrounding the training of staff, please see the Human Resources Management GVT. 7. Performance and Reporting Business Processes Performance Measurement Reporting Recommendations: Information Resources of Business Value (IRBVs) Performance Measurement Framework (PMF) Performance measurement strategies Performance information Evidence to support Management Accountability Framework (MAF) Quarterly Financial Reports Management response Departmental Performance Report (DPR) Performance measurement reports, including trends and metrics Management Action Plans Recommendations: Retention Period 10 years after superseded 10 years after last administrative use or 10 years after superseded (for plans and strategy)

19 Departmental Sustainable Development Strategy 8. Audit Business Processes Management of departmental internal audit function Recommendations: Information Resources of Business Value (IRBVs) Departmental risk-based Internal Audit Plan Annual report of Departmental Audit Committee Annual report of the Chief Audit Executive Briefing notes Advice/recommendations Practice inspection reports Departmental audit committee or independent audit committee minutes/records of decision Departmental audit committee terms of reference/charter Recommendations: Retention Period 10 years after superseded (based on a 5 year cycle, allowing reference to two cycles) 10 years after last administrative use 10 years after Committee dissolved Provide advice Documentation of advice provided to clients outside of official audits 3 years after last administrative use. Plan Audit Project initiation memo Audit terms of reference (approved) Preliminary survey reports (PSR)/assessments 3 years after any follow-up programs have been completed and file is closed, based on traditional retention for audits. (Note: 6 years if audit is financial in nature)

20 Conduct Audit Report on Audit Risk assessment Advice to management Minutes Preliminary interviews Tools, checklists Interview guides Substantive drafts containing changes not reflected in final version Revisions to audit plan Working papers such as: Documents for review All documented evidence Interview notes File review checklist Analysis Observation/findings sheets (approved) Presentation to client Record of response from client to observation/findings sheets Management letters (i.e. recommendations sent to management before the report either because of urgency or because they are outside the scope of the official audit) Internal Audit Final Reports Validated by client Approved by Chief Audit Executive Recommended for approval by Departmental Audit Committee (or Small Department Audit Committee SDAC) Approved by Deputy Head 3 years after any follow-up programs have been completed and file is closed, based on traditional retention for audits. (Note: 6 years if audit is financial in nature) 10 years after any follow-up programs have been completed and file is closed.

21 Approved Management Action Plan (may be included in Final Report) Manage follow-up External audits - respond to audits by Office of the Auditor General Request for update Client response Periodic status reports to Departmental Audit Committee Records of decision from Departmental Audit Committee Letter of Intent to conduct audit ( Entity Notification and Custody of Drafts ) and request for access from Office of the Auditor General (OAG) (Copy of) response from Deputy Head (Copy of) response from Deputy Head to audit plan summary Meeting minutes, briefings between OAG and department (Copy of) comments and feedback from department to draft chapters (Copy of) confirmation by Deputy Head of final version of chapter Management letter from OAG (Copy of) response from Deputy Head to management letter Action plan (to address audit requirements) Copy of Audit Report 3 years after any follow-up programs have been completed and file is closed, based on traditional retention for audits. (Note: 6 years if audit is financial in nature) 5 years after any follow-up programs have been completed and file is closed, based on traditional retention for audits. (Note: 6 years if audit is financial in nature) (Copy of Audit report is usually retained longer, but it is only a copy of an OAG document.)

22 External audits Respond to audits by other departments (e.g. Office of the Commissioner of Official Languages, Public Service Commission) Letter of intent to conduct audit Meeting minutes, briefings, communication between entity department and auditing department Draft audit Response to draft audit Final audit report, including action plan Notification of follow-up Follow-up report 5 years after any follow-up programs have been completed and file is closed, based on traditional retention for audits. (Note: 6 years if audit is financial in nature) 9. Evaluation Business Processes Management of departmental Evaluation Function Provide advice Plan evaluation Recommendations: Information Resources of Business Value (IRBVs) Departmental Evaluation Plan (5 year) Departmental Evaluation Committee terms of reference Annual report of Departmental Evaluation Committee Departmental Evaluation Committee agendas, minutes, records of decision Review of evaluation function Briefing notes Documentation of advice/recommendations provided to clients (for example: log, template document) Launch memo Evaluation plan Terms of reference for evaluation Evaluability assessments Recommendations: Retention Period 10 years after superseded (based on a 5 year cycle, allowing reference to two cycles) 10 years after last administrative action 6 years after last administrative action 6 years after the evaluation report was submitted

23 Conduct evaluation Report on evaluation Manage follow-up Technical reports Interim findings Substantive drafts containing changes not reflected in final version Final Evaluation Reports (approved) Management Action Plan Management follow-up reports Periodic status reports to Departmental Evaluation Committee Request for updates Client response 6 years after the evaluation report was submitted 6 years after the evaluation report was submitted 6 years after the follow-up plan was completed