ARCHIVED - Horizontal Internal Audit of Electronic Recordkeeping in Small Departments and Agencies

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Appendix A: Small Departments and Agencies Included in the Audit

• Canada Industrial Relations Board
• Canadian Environmental Assessment Agency
• Canadian Forces Grievance Board
• Canadian Human Rights Commission
• Canadian Intergovernmental Conference Secretariat
• Financial Transactions and Report Analysis Centre of Canada
• Military Police Complaints Commission of Canada
• National Film Board
• Office of the Commissioner for Federal Judicial Affairs Canada
• Office of the Secretary to the Governor General
• Public Service Labour Relations Board
• RCMP External Review Committee
• Truth and Reconciliation Commission of Canada
• Veterans Review and Appeal Board

The following departments were also included in the audit as they play a central role in the delivery of the Government of Canada Information Management Strategy.

• Library & Archives Canada
• Treasury Board of Canada Secretariat

Appendix B: Links to Applicable Legislation, Frameworks, Policies, Directives and Guidance

Sources of Criteria and Web Link

• Policy on Information Management
• Directive on Information Management Roles and Responsibilities
• Directive on Recordkeeping
• Government of Canada Information Management Strategy
• Strategic Direction for Government: Information Management
• Information Management in the Government of Canada – The Business Problem Assessment, Treasury Board of Canada Secretariat 
• Information Management in the Government of Canada – The Vision, Treasury Board of Canada Secretariat
• Management Accountability Framework VII (2009-2010): Area of Management 12 Effectiveness of Information Management
• Information Management Capacity Check Tool and Methodology, Library and Archives Canada

Appendix C: Objectives and Related Criteria

Objectives and Criteria

The objective of this audit was to determine whether SDAs and departments that have a central role are fulfilling the requirements of the IM policy suite, with a particular focus on electronic recordkeeping.

Departments have governance structures in place to effectively support an IM strategy and IM outcomes.  

• Governance structures, mechanisms and resources are in place to ensure the continuous and effective management of information.
• Monitoring and reporting processes are in place for IM.
• Departments participate in setting government-wide direction for information and recordkeeping.
• TBS supports the alignment of departmental strategy and IM approaches with Government of Canada policy instruments.

Departments are developing highly skilled workforces to ensure that capacity exists to deliver IM outcomes.

• Departments have a common body of knowledge, learning and assessment tools.
• Departments have a common understanding of common policy instruments and assessment tools.
• The Government of Canada has promoted and encouraged a common alignment of departmental IM functions.

Departments are developing information architecture and processes that respect their IM risks and controls, and operational requirements.

• Information and records are identified and managed as valuable assets to support the outcomes of programs and services, as well as operational needs and accountabilities.
• Government programs and services provide convenient access to relevant, reliable, comprehensive and timely information.
• Departments that play a central role in IM are assisting departments to ensure information is shared within and across departments to the greatest extent possible.

IM tools are developed and implemented that respect appropriate control requirements of the department and of the business users, and are compliant with the information architecture within and across departments.

• Departments develop and implement common and enterprise-wide tools and applications.
• The Government of Canada has adopted common and enterprise-wide tools and applications.

Recordkeeping practices ensure that information is timely, accurate, and accessible for departments in the delivery of Government of Canada programs and services.

• All information is managed to ensure the relevance, authenticity, quality, and cost-effectiveness of the information for as long as it is required to meet operational needs and accountabilities.
• LAC issues records disposition authorities pursuant to section 12 of the Library and Archives of Canada Act, to enable departments to carry out their records retention and disposition plans.
• Departmental programs and services integrate IM requirements into development, implementation, evaluation, and reporting activities.

Appendix D: Recommendations by Department and Agency

The applicability of the recommendations below to each department is subject to variability. Some departments may not have begun addressing some these recommendations, while others may be closer to implementing a final action required.

Recommendations	SDAs
	CIRB	CEAA	CFGB	CHRC	CICS	FINTRAC	MPCC	NFB	OCFJA	OSGG	PSLRB	ERC	TRC	VRAB	Risk Ranking
Legend A Applicable N/A Not Applicable CIRB Canada Industrial Relations Board CEAA Canadian Environmental Assessment Agency CFGB Canadian Forces Grievance Board CHRC Canadian Human Rights Commission CICS Canadian Intergovernmental Conference Secretariat FINTRAC Financial Transactions and Report Analysis Centre of Canada MPCC Military Police Complaints Commission of Canada NFB National Film Board OCFJA Office of the Commissioner for Federal Judicial Affairs Canada OSGG Office of the Secretary to the Governor General PSLRB Public Service Labour Relations Board ERC RCMP External Review Committee TRC Truth and Reconciliation Commission of Canada VRAB Veterans Review and Appeal Board
1. SDAs should develop IM plans appropriate to the size and scope of their IM needs, and include measurable performance indicators to be able to monitor the effectiveness of the plans.	A	A	A	A	A	N/A	A	A	A	A	A	A	A	A	High
2. SDAs should define information of business value for their organization and develop methods to ensure it is tracked and stored in an effective manner.	A	N/A	N/A	A	A	N/A	A	A	A	A	A	N/A	A	N/A	High
3. SDAs should develop strategies to increase the use of enterprise-wide electronic recordkeeping systems within their department.	A	N/A	N/A	A	A	N/A	A	A	A	A	A	A	A	A	High
4. SDAs, in collaboration with LAC, should develop formal retention and disposition processes that can be followed by all departmental staff.	A	A	N/A	A	A	N/A	A	A	A	A	A	N/A	A	A	High
5. SDAs should perform electronic recordkeeping training needs analyses for departmental staff, and implement actions required.	A	N/A	N/A	A	A	N/A	A	A	A	A	A	N/A	A	A	Medium

[1]. The Office of the Comptroller General has not undergone an external assessment of its audit activity at least once in the past five years to confirm its conformance with these standards.

[2]The SDA community, as defined by the Community of Federal Agencies, is broader than that defined by the Policy on Internal Audit

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