Government Information Management Division Government Records Branch Library and Archives of Canada

Transcription

1 Government Information Management Division Government Records Branch Library and Archives of Canada

2 Library and Archives of Canada Speech from the Throne: Not simply a merger, but the creation of a modern, dynamic, world-class knowledge and preservation institution. Together, the Library and Archives are better positioned as a leading knowledge and information management organization. Information professionals working together to serve Canadians and build strong foundations for the knowledge society. 2

3 Why Information Matters Governments need high quality information for evidence-based decision-making, action The lack of reliable information is a major barrier to reform and development: not knowing what information is needed; not having the information; not being able to rely on the information; not using the information. 3

4 Why IM Matters Policy Objectives Improved information management will help us meet the government s policy objectives of: Building a world-leading, competitive economy Making quality health care services available Ensuring a clean environment Maintaining the safety and security of Canadians Strengthening the partnership between government and citizens 4

5 The Citizen View Citizens want access to information and a voice in governance They also want their privacy protected Accessible and reliable information creates trust, increases citizen involvement Information and Communication Technologies (ICTs) raise expectations for more and better information Meaningful access depends on good records and information management. 5

6 IM Case For Action Government information is a valuable asset that needs to be managed The government s capacity to effectively manage its information requires urgent strengthening There is a growing dependency on electronic information within the GoC (MGI Policy: The erecord is the preferred record of the Government of Canada) The private sector and other governments have already taken action The GoC must take action now Need a GoC IM Strategy 6

7 Government of Canada Response Lead agencies collaborating on IM Strategy Management of Government Information Policy Framework for Management of Information Departments developing policies, leadership, tools ATI Review 7

8 Management of Government Information Policy Reflects IM requirements of: electronic records multi-channel service delivery information sharing across organizations and all government employees Objective: To ensure government information assets are effectively and efficiently managed throughout their life cycles. Challenge is in implementation 8

9 Definitions: Information Management: a discipline that directs and supports effective and efficient management of information in an organization, from planning and systems development to disposal and/or long-term preservation Government Information: information created, received, used and maintained regardless of physical form, and information prepared for or produced by the Government of Canada and deemed to be under its control in the conduct of government activities or in pursuance of legal obligations Management of Government Information Policy 9

10 Definitions (Cont.) Records: Includes any correspondence, memorandum, book, plan, map, drawing, diagram, pictorial or graphic work, photograph, film, microform, sound recording, videotape, machine readable record, and any other documentary material, regardless of physical form or characteristics, and any copy thereof Source: National Archives of Canada Act; Access to Information Act 10

11 IM Goals To participate in building a shared IM infrastructure To improve state of IM in the Government of Canada To increase knowledge and understanding of the importance of IM for good governance and accountability 11

12 The Way Forward Completing a shared IM Strategy & Plan of Action for the Government of Canada that: Recognizes information as a valuable asset Builds a robust IM infrastructure and policy framework for the GoC Increases knowledge and understanding of the importance of IM for good governance and accountability Builds strong leadership Develops skills and training for the IM Community Includes an e-record Strategy Commitment and Resources Implement Plan 12

13 IM / ER Products and Services Developing products and services that facilitate the management of records and information through their life cycle: Electronic Records Archival Infrastructure Strategy Federal Records Centres Strategy Records and Information Life Cycle Management Guide IM Capacity Check Tool and Pilot Assessments Clear Paper Mountain Pilots Review and Validation of Records Disposition Authorities Classification System Design and Implementation Guide Records Retention Periods for Common Administrative Functions ISO Standard Guide on the Management of Messages Metadata 13

14 Electronic Records Archival Infrastructure Objectives: Develop and communicate a strategy for archiving electronic records Develop and communicate an approach for establishing the Electronic Records Archival Infrastructure Identify significant questions, issues and risks and develop an approach to resolving them 14

15 Federal Records Centres Strategy Objectives: Take a lead role in storing and managing the less frequently referenced records of the GoC Provide safe and secure off-site storage for all essential government records Increase client institutions to ultimately include all GoC departments and agencies subject to the National Archives of Canada Act Increase and improve accommodation through expansion, consolidation and through strategic partnerships with commercial establishments 15

16 Records and Information Life Cycle Management Guide Objectives: Provide guidance on managing the life cycle of government information to ensure the preservation of the record of Government of Canada, optimize service delivery and demonstrate an open and accountable government. Guidance to be web enabled and consistent with ISO Standard Consistent with and part of TBS-developed FMI Deliverables: Elaborate the records and information life cycle and the required inputs and outputs for each life cycle component. Identify resources already available to support the life cycle components and identify gaps. Develop a workplan to address gaps in life cycle guidance. 16

17 1 Evaluation 7 Planning Collection, Creation, Receipt and Capture 2 6 Disposition Records and Information Life Cycle Management Organization 3 5 Maintenance, Protection and Preservation 4 Use and Dissemination

18 IM Capacity Check Tool and Pilot Assessments Objective: To develop a maturity model to assess an organization s IM maturity and position it to improve IM capacity Based on international standards and best practices Consistent with and supports implementation of MGI policy Pilots: Pilots with NRCan, Citizenship and Immigration Canada and GOL Cluster 18

19 IM Capacity Check Tool and Pilot Assessments Deliverables: Positions departments to improve their IM capacity Increased awareness and understanding of IM issues Highlights risk areas and provides basis for improvement plans Guidelines for using the tool, training material and workshops Builds industry IM capacity 19

20 Clear Paper Mountain Pilots Objective: Through multi-disciplinary teams, improve the management of the backlog in government records and facilitate the transition to the electronic record by: Locating, organizing and preserving the paper records of ongoing utility to the Government of Canada; and Disposing of paper records no longer having value Pilots: Pilots with Health Canada, NRCan and Department of Justice 20

21 Clear Paper Mountain Pilots Deliverables: Clear some records (guidance on disposition and retention) Develop rules and protocols to clear records and avoid similar situations in the future Share approach, methodology and lessons learned with other departments Work on sizing the overall backlog in government records and a plan to address it 21

22 Review and Validation of Records Disposition Authorities Objectives: Review and analyze the status of existing Records Disposition Authorities used by government institutions Identify current GoC records disposition requirements Develop a strategy and a plan to address GoC records disposition business needs Deliverables: Identification and review of all existing Records Disposition Authorities applying to records in government institutions subject to the National Archives of Canada Act Report cards for all government institutions on their records disposition coverage Records Disposition and Authority Control System (RDACS) fully populated with validated disposition submissions, appraisals, authorities and terms and conditions On-Line access to RDACS provided to government institutions Revised Government-Wide Plan for the disposition of government records and the development of new Records Disposition Authorities 22

23 Classification System Design and Implementation Guide Objective: To provide the GoC with a proven design and implementation methodology for a business based classification system Pilot: The Library and Archives of Canada has piloted two prototypes of a business based classification system (BASCS) developed by the NA for the Real Property Management and Materiel Management functions Deliverables: Discussion process with the GoC IM community and Private Sector Consultants Design an implementation methodology for BASCS Develop a training strategy on BASCS for the IM Community 23

24 Records Retention Periods for Common Administrative Functions Objective: To provide guidance for the efficient and routine disposal of a significant percentage of the records of the GoC Deliverables: Approval, testing and rollout of suggested records retention periods for common administrative functions of the GoC: HR Materiel Management Comptrollership Real Property General Administration Training material for application of suggested retention periods 24

25 Communications and Engagement Objectives: Increased awareness and understanding of IM Effective promotion of MGI Policy and its implementation by the GoC LAC positioned as a key player in management of GoC Information Buy-in and commitment for future investment in IM Deliverables: Communications and Engagement Strategy Improved Content and Accessibility of LAC Web Site, within larger GoC IM Presence IM Toolkit (LAC Guidance) Process for Launch of LAC IM Products GoC IM Symposium (February ) 25

26 ISO Standard ISO Records Management 26

27 Guide on the Management of Messages Objective: Provide guidance to government institutions, including managers, information/records managers, and individual users, on the management of messages as records of the Government of Canada Deliverables: Approval and roll out of Guide on Messages for all GoC employees Development of Frequently Asked Questions About 27

28 FAQs on the Management of Is a record? What records constitute the normal course of government business? Is I send or receive at home a record? What are my responsibilities to ensure that messages are retained as records of the Government of Canada? We don t have an electronic records system. What should I do with my messages? 28

29 FAQs on the Management of From time to time I receive and create messages of a personal nature, what should I do with them? I have copies of records I have already sent to the Records Office. Can I delete them? What if I am not sure about the status of an as an official record? What is the institution s responsibility regarding the retention of messages? What is a Records Disposition Authority? 29

30 Records Management Metadata Requirements for the Government of Canada Produced by the Records/Document/Information Management (RDIMS) Working Group on Work Processes and Practices (WPPWG) and endorsed by the Information Management Forum sub-group on Metadata in January

31 Records Management Metadata Requirements for the Government of Canada 1. DEPARTMENTAL IDENTIFIER 2. ORGANIZATION 3. DOCUMENT NUMBER 4. AUTHOR 5. TRUSTEE 6. SIGNED BY 7. DESIGNATED RECIPIENT 8. TITLE 9. DESCRIPTION 31

32 Records Management Metadata Requirements for the Government of Canada 10. SUBJECT NAME 11. SUBJECT CODE 12. LANGUAGE 13. DATE 14. ESSENTIAL STATUS 15. ACCESS RIGHTS 16. SECURITY 17. TYPE 18. FORMAT 32

33 Records Management Metadata Requirements for the Government of Canada 19. LOCATION 20. FINAL 21. HISTORY 22. PRESERVATION AND MIGRATION HISTORY 23. RETENTION PERIOD 24. RETENTION TRIGGER 25. DISPOSITION ACTION 26. DISPOSITON DATE APPENDIX - METADATA CONCORDANCE TABLE 33

34 For more information, contact Telephone: (613) 944-IMGI ( ) Fax: (613) Web Site: Library and Archives of Canada Government Records Branch 344 Wellington Street West Memorial Building Ottawa, Ontario Canada K1A 0N3 34