Preparing for the Digital World in the Federal Government Navigating the Digital Future IM Conference November

Transcription

1 Preparing for the Digital World in the Federal Government Navigating the Digital Future IM Conference November Kristina Lillico Director, Content Relevance Assessment Division Documentary Heritage Relevance Assessment Branch

2 Presentation Overview Context GC IM Policy Framework Recent TBS GC initiatives: Standard on Management IM Common Core Roles and Responsibilities LAC s Disposition and Recordkeeping Program LAC Tools and Policies 2

3 Why Is Recordkeeping Important? Provides strong and accountable government through transparent decision-making Enhances innovation and economic competitiveness through a strong knowledge economy Streamlines and facilitates access to the records of government End State: The Government of Canada manages its information resources strategically, making them available to Canadians, to ensure the transparency and accountability of its programs and services. 3

4 GC Context Information Crisis: Auditor General s Report (2003) Senior Managers attention: DM Roundtable on IM (2006) and ADM Task Force on RK (2007); Clerk s Report (2007) Policy framework: IM Policy (2003, 2007); TBS Directive on RK (2009) IM in the Digital Age: Digital Office; GCDOCS; Digital Ingest ( ) Integrating RK and Disposition: LAC renews its Disposition and RK Program

5 Roles and Responsibilities LAC Evaluate and acquire information resources of enduring value Issue disposition authorities Support effective recordkeeping in the GC Monitor for records at risk GC Institutions Identify resources of business value Apply recordkeeping controls (e.g. establish retention periods, classification) Apply disposition authorities Treasury Board Secretariat (TBS) Develop frameworks, policies and associated instruments on recordkeeping and information management Monitor compliance with recordkeeping directive and MAF 5

6 GC IM Strategy Overview Vision: In the Government of Canada, information is safeguarded as a public trust and managed as a strategic asset to maximize its value in the service of Canadians. Objectives: 1. Implement a whole-of-government approach to ensure that information is safeguarded as a public trust and managed as a strategic asset. 2. Facilitate planning and priority setting of both enterprise-wide and departmental activities, thereby providing a comprehensive approach to increasing IM capacity, sharing best practices, and reducing redundancy. 3. Provide consistent policies, standards, best practices, guidance, and tools to departments to support the effective delivery of programs and services. 4. Foster alignment and ensure linkages with other related enterprise-wide activities (e.g., security, identity management, service strategy, etc.). 6

7 IM Policy Framework Policy Framework on Information and Technology (TBS, 2007) Policy on Information Management (TBS, 2007, updated 2012) Directive on Information Management Roles and Responsibilities (2007) Directive on Recordkeeping (TBS, 2009) Standard on Metadata (TBS, 2010) 7

8 Key Achievements To Date JUNE 2009 DIRECTIVE ON RECORDKEEPING 2012 Open Government Action Plan 2015 RK COMPLIANCE REQUIRED OCT Policy on Information Management GC IM Strategy Launched GCPEDIA Standard on Competencies for the Federal IM Community Standard on EDRMS Digital Office GCDOCS Production Launch GCDOCS EPMO Launch Open Online IM Course Data Portal Launched GC Web Search APRIL 2007 APRIL 2008 APRIL 2009 APRIL 2010 APRIL 2011 APRIL 2012 NOVEMBER 2012 JULY /15 Directive on IM Roles & Responsibilities Standard on Geospatial Data Guideline on IM Basics Profile of GC IM Services Standard on Metadata GCDOCS Pilot Launched GC IM Integrated Learning Strategy data.gc.ca Pilot Launch RK Assessment Tool Cluster hosted GCDOCS environment created Fall 2013 DIRECTIVE ON OPEN GOVERNMENT STANDARD ON MANAGEMENT 8

9 Draft Standard on Management Exponential increase in volume and sources of information makes it a challenge for departments to manage information as a strategic asset. Information of business value is being retained in systems and archives rather than being transferred to appropriate corporate repositories as required by the Directive on Recordkeeping where it can be maintained as a corporate asset. Transitory information is being retained indefinitely, contributing to the glut of unmanaged electronic information in the GC. handling practices differ widely from one department to the next leading to inconsistent and non-standard account management and identification of government senders.! It is estimated that alone accounts for over 14 PB of unmanaged information stored in GC systems and archives 1 PB is equivalent to file cabinets or 1 trillion pages 9

10 Management - Global Context And the problem keeps getting bigger: In 2011, the amount of information created and replicated will surpass 1.8 zettabytes (1.8 trillion gigabytes) - growing by a factor of 9 in just five years.* In 2012, the number of businesses s sent and received per day total 89 billion. This is expected to grow 13% annually over the next four years, reaching over 143 billion s by year-end ** use by workers has increased by 78% over the past five years. Employees spend on average 28% of their day reading, responding to and searching .*** Source: *IDC Digital Universe Study, sponsored by EMC June 2011 ** Statistics Report Executive Summary, Radicati Group *** The social economy: Unlocking value and productivity through social technologies, McKinsey Global Institute 10

11 Standard - Scope Provide specific direction to departments and agencies on the management of : Mailboxes Archiving Logging Addresses Signatures & properties Accountabilities Definition: For the purpose of this Standard, is any message sent or received in electronic form via computer networks. This includes messages sent via systems, as well as instant messages (such as PIN-to-PINs, BBMs, text messages). 11

12 Standard - Requirements Mailboxes Maximum 2GB of storage for all folders (deleted, sent, inbox, calendar, tasks, etc.) Additional 1GB of storage will be allowed for specific cases (but for no more than 5% of the departmental population) Automatic permanent deletion of content in the Deleted Items folder (within 30 days) An solution cannot be designated as a corporate repository for information of business value as it does not meet the recordkeeping requirements for sharing of information, retention, and disposition. 12

13 Standard - Requirements Archiving No archiving (e.g. E-Vault). PST files or equivalents cannot be used for storage. Except for retrieving to be held for legal discovery or ATI purposes. Logging No instant message logging (3 day history on the device or in the application only). The Standard will have a phased implementation period during which time PST files and archives will be allowed to manage legacy information. By the end of the implementation period information from PSTs and archives will need to have been transferred to a corporate repository or disposed of appropriately. 13

14 Standard - Requirements Addresses, Signatures and Properties Uniform approach for addresses, signature blocks, and properties to be applied to all Government of Canada internal and external s and services Numerical conflict resolution (e.g. john.canadian2@canada.ca). John Canadian Analyst, Chief Information Officer Branch Treasury Board of Canada Secretariat / Government of Canada john.canadian@canada.ca / Tel: / TTY: Analyste, Direction du dirigent principal de l'information Secrétariat du Conseil du Trésor du Canada / Gouvernement du Canada john.canadian@canada.ca / Tél. : / ATS :

15 Standard - Requirements Accountabilities Responsibilities will include: Employees are required to save information of business value from s and instant messages (PIN-to-PINs, BBMs, Text messages, etc.) into a designated corporate repository within specific timelines (30 days for , 3 days for instant messages) Managers will be required to ensure that employees save s containing information of business value into a corporate repository. On an ongoing basis Before departure from the organization IMSOs will be required to designate appropriate corporate repository(ies) for for the storage of information resources of business value. Most messages are transitory in nature and should be deleted as soon as no longer required. Timely and efficient disposition is part of an effective IM strategy. 15

16 Standard - Implementation To align the TBS Maturity model with the implementation requirements for the Transformation Initiation a three-year implementation timeline is proposed: Phase I: Awareness (12 months November 2013 to October 2014) Launch the implementation the Standard. Focusing on shifting culture and information management behaviour towards efficient, effective, and timely management of , increasing awareness, and promotion of the Standard. 17 requirements. Phase II: Migration (22 months January 2014 to October 2015) Builds on effective recordkeeping practices for and instant messages by focusing on 9 additional requirements. Aligns with and supports Transformation Initiative timelines. Focused on account management and good IM practices. Phase III: Sustainability and Improved Performance (12 months November 2015 October 2016) Focused on the elimination of Personal Storage Files and Archives. Increases emphasis on monitoring, reporting and performance measurement ensuring progress towards intended results. 16

17 Information Management Common Core (IMCC) To support GC EDRMS Implementations GCDocs became the GC-procured solution for EDRMS in 2011; it was managed by the GCDocs Enterprise Program Management Office (EPMO) in TBS. GCDocs EPMO moved to PWGSC in 2012; business ownership for information management (IM) of the solution remained in TBS under the Information Management Division (IMD). As business owner, IMD is responsible for establishing a common configuration for GCDOCS that aligns with IM policy direction in the GC. IMD currently works closely with the GCDocs EPMO to ensure the IM objectives are achieved through the implementation of GCDocs. 17

18 Drivers for a Common Configuration Back Office modernization Supports the streamlining, consolidation and standardization of administrative functions across organisations. Cost reduction Common configuration will lead to lower costs in upgrades and renewals of the enterprise solution. Increased agility and flexibility An enterprise solution with a common configuration increases interoperability among departments. Supports quicker onboarding to GCDocs Allows departments to focus on departmental specific requirements and leverages work done. 18

19 What is the IM Common Core (IMCC)? A basic set of configuration rules for all GC EDRMS implementations. The default configuration of all instances of GCDocs implemented through the GCDocs EPMO (PWGSC). Enables the Standard for Electronic Documents and Records Management Solutions (EDRMS): Ensuring common, consistent, and cost effective departmental implementation of EDRM solutions to meet recordkeeping requirements (requirement 6.1.2) Aligned with the IM Policy Suite and other relevant policies instruments, including: Operational Security Standard: Management of Information Technology Security (MITS) Standard on Enterprise Resource Planning Systems Security Organization and Administration Standard 19

20 What is the IM Common Core (IMCC)? Part 1: Business Rules Describe the operations, definitions and constraints that apply to the system. Part 2: Metadata Points to the mandatory recordkeeping metadata elements required in the Standard on Metadata, Appendix B. Part 3: File Classification Structure File Classification Structure Business Rules IM Common Core Metadata Provides a file classification structure for implementing access rights, retention schedules and disposition activities. 20

21 What is the IM Common Core (IMCC)? Business Rules 72 Rules grouped according to the information management life-cycle: Collection, Creation, Receipt and Capture Organization Use and Dissemination Maintenance, Protection and Preservation Disposition Evaluation Notes and interpretation where required. References to relevant policy instruments. Definitions section for level 3. 21

22 What is the IM Common Core (IMCC)? Metadata Mandatory recordkeeping metadata elements as required by the Standard on Metadata, Appendix B RK Metadata Suite of Tools: RK Metadata Element Set (RK MES): a set of 52 metadata elements, created by and for GC institutions; RK Metadata Application Profile (RK MAP): defines constraints the usage of those 52 elements; RK Metadata Implementation Guide (RK MIG): provides concrete guidance to metadata implementers; and, Document Type Scheme for RK (RK Type): is a controlled vocabulary to describe document types within an EDRMS. 22

23 What is the IM Common Core (IMCC)? For Internal Services only. File Classification Structure Based on PAA and LAC Generic Valuation Tools (GVTs). 2 mandatory levels; other levels optional and customizable. Includes a sample level 3 with definitions developed by Citizenship and Immigration Canada (CIC). 23

24 Directive on Recordkeeping Objective: To ensure effective recordkeeping practices that enable departments to create, acquire, capture, manage, and protect the integrity of information resources of business value in the delivery of Government of Canada (GC) programs and services Expected Results: Information resources of business value are identified and used as strategic assets to facilitate decision making, provide the best record of evidence and support accountability Effective recordkeeping practices that are consistent across the GC and ensure transparency of government programs and services Roles and Responsibilities: TBS: monitors for compliance LAC: supports departments in assessing business value and provides disposition 24

25 Information Resources of Business Value (IRBV) Includes all information (published, unpublished, analog, digital, etc.) Enables and documents decision-making in support of programs, services and ongoing operations; and Provides solid evidence to support departmental reporting, performance and accountability requirements 25

26 Information Resources ALL INFORMATION RESOURCES INFORMATION RESOURCES OF BUSINESS VALUE FROM Information Management Paper Records Downstream TO Recordkeeping Digital Information Resources Upstream ENDURING VALUE (archival) RESOURCES 1% to 3% Risk averse Risk informed 26 26

27 LAC Mandate To preserve the documentary heritage of Canada for the benefit of present and future generations To be a source of enduring knowledge accessible to all, contributing to the cultural, social and economic advancement of Canada To facilitate in Canada cooperation among communities involved in the acquisition, preservation and diffusion of knowledge To serve as the continuing memory of the Government of Canada and its institutions 27

28 LAC Act - Authorities LAC issues disposition authorities to GC institutions (LAC Act s12) Disposition = destroy, alienate, or transfer LAC acquires GC information resources with enduring value (historical or archival value) (LAC Act s13) to reflect the continuing memory of the Government of Canada LAC supports effective recordkeeping (LAC Act s7d & 8g) LAC monitors for records at risk (LAC Act s13.3) 28

29 LAC Issues Disposition Authorizations Multi-Institutional Disposition Authorities (MIDA) General Administration Function Real Property Management Function Materiel Management Function Comptrollership Function Human Resources Management Function Transitory Records INstitutional Records in the Office of a Minister Records of Deputy Heads of GC Institutions Operational Case Files Surplus Publications, etc. Institution-Specific Disposition Authorities (ISDA) Always take precedence over MIDAs 29

30 Issuing New Disposition: Disposition and Recordkeeping Program (DRKP) Phase 1: Preliminary appraisal and disposition / project planning initial appraisal, disposition where possible, RK advice through self-service delivery model Phase 2: Comprehensive appraisal and disposition IRBV identification by GC institutions, in-depth appraisal by LAC, complete disposition, RK controls for IREV identified for each institution to ensure preacquisition preservation of IREV Phase 3: Disposition and RK Controls Monitoring RK controls established as required (institution responsibility) and monitored by LAC, ongoing disposition (destruction, alienation and transfers to LAC) 30

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32 Phase 1: DRKP Requirements of GC Institutions Disposition Getting Started: Collect all readily available documentation about your RK plans, PAA, org structure, etc. Input to project plan development and MOU development Phase 2: IRBV list and information on its development (process description) Identify RK controls around IRBVs (repositories, disposition process, etc.) Input and support for IREV identification (variable) Phase 3: Transfer of IREV Respond to LAC monitoring requests (in development) 32

33 Tools & Support RK Portal Self-serve access collaborative forum for information and document sharing links to useful resources Disposition Planning: Getting Started Requirements for obtaining a disposition authorization within the Disposition and Recordkeeping Program (DRKP) IRBV listing requirements Unmanaged IRs (Legacy) Tool Generic Valuation Tools (GVTs) 33

34 Recordkeeping (RK) Portal 34

35 RK Portal Forum 35

36 For example 36

37 User-selected Notifications 37

38 Resources to Assist with Recordkeeping 38

39 Resources to Assist with Disposition 39

40 Generic Valuation Tools (GVTs) Starting point for identification of Information Resources of Business Value (IRBV) and establishing retention periods Two types of GVTs: Internal Services: defined in the TBS Profile of GC Internal Services such as Human Resources Management or Information Management; Common Operational Activities: such as Investigating or Cabinet Affairs. 40

41 Each GVT Defines a common activity and its related business processes (e.g. loan of an asset to an external organization ) Lists typical IRBV created by that business process (e.g. Asset loan agreement, Correspondence between participants, Contracts, Agreements) Provides recommended retention periods for the IRBV 41

42 GVT Sample: Human Resource Management (Employee Performance, Learning, Development and Recognition) Common business process Information Resources of Business Value Retention Developing performance agreements Managing employee performance Documentation of decisions or substantive opinions regarding employee performance, including: performance measures modified performance agreement templates employee key business commitments career goals documents employee ongoing business commitments employee performance expectations record of decision re: consider stretch opportunity record of decision re: key business/commitments/objectives not required learning feasibility analyses record of decision re: learning event feasible final performance agreements Documentation of decisions or substantive opinions regarding employee-specific performance, including: results of employee performance reviews employee performance assessments performance development plans performance leave performance pay decision documents: reinforce exceptional behaviour decision documents: competency issue decision documents: eligible for performance pay or leave 42 2 years after event completed or abandoned - IR that do not contain personal information (based on traditional practice) 5 years after last administrative action - employee-specific documentation (based on 1998 directive from former National Archivist, Jean-Pierre Wallot, following a proposal from the TBS Personnel Policy Branch) 5 years after last administrative action - employee-specific documentation (based on 1998 directive from former National Archivist, Jean-Pierre Wallot, following a proposal from the TBS Personnel Policy Branch)

43 Current GVTs Internal Services: Human Resources Management Services Information Management Services Legal Services Materiel Services Communications Services Management and Oversight Common Operational Activities Adjudication Authorization Cabinet Affairs Investigating Regulatory Compliance and Enforcement Science and Technology Activities Transfer Payments Treasury Board Submissions 43

44 Upcoming GVTs Draft GVTs available on GCPEDIA: Real Property Services Acquisitions Services Information Technology Upcoming this fiscal year: Financial Management Travel and Other 44

45 LAC Policy on Making Holdings Available LAC makes all of its holdings available as soon as possible Information resources not yet acquired by LAC, made available immediately upon transfer. In exceptional circumstances, there may be a waiting period before making available. Alignment with: GC Open Government Action Plan Declassification of government records (TBS policy) Directive on Recordkeeping (6.1.2) Respect for existing legislative framework (Access to Information, Privacy) Legacy and go forward Directive on Making Holdings Available (exceptions) Consultations with GC institutions Directive in development Implementation date TBD 45

46 Conclusions Volume requires innovative solutions Effective RK in a digital world remains everyone s responsibility Many initiatives underway to support Digital Environment Policy Infrastructure Core shifts in the culture of IM/RK Disposition 46

47 Contact Us Treasury Board Secretariat: Library and Archives Canada: