ARCHIVED - Horizontal Internal Audit of Electronic Recordkeeping in Large Departments and Agencies, December 2011

• Previous Page
• Table of Contents
•  

This page has been archived.

Appendix A: Large Departments and Agencies Included in the Audit

• Atlantic Canada Opportunities Agency
• Canada Border Services Agency
• Canadian Nuclear Safety Commission
• Canadian Security Intelligence Service
• Canadian Space Agency
• Citizenship and Immigration Canada
• Correctional Service Canada
• Courts Administration Service
• Foreign Affairs and International Trade Canada
• National Defence
• Privy Council Office
• Public Safety Canada
• Royal Canadian Mounted Police
• Social Sciences and Humanities Research Council of Canada
• Transport Canada
• Treasury Board of Canada Secretariat

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

• Library and Archives Canada
• Public Works and Government Services Canada
• Treasury Board of Canada Secretariat

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

Sources of Criteria

• 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 Secretariat of Canada
• Information Management in the Government of Canada: The Vision, Treasury Board of Secretariat of Canada
• Management Accountability Framework VII (2009–10): 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

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

Sub-Objectives	Criteria
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. The Secretariat 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 that 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 enterprise-wide tools and applications. The Government of Canada has adopted common 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 following recommendations to each department is subject to variability. Some departments may not have begun addressing some these recommendations; others may be closer to implementing a final action required.

Recommendations	LDAs																Departments That Play a Central Role
	ACOA	CBSA	CNSC	CSIS	CSA	CIC	CSC	CAS	DFAIT	DND	PCO	PS	RCMP	SSHRC	TC	TBS	TBS	LAC	PWGSC
1. LDAs should develop performance indicators to assist in monitoring the implementation of their IM plans.	A	A	A	A	N/A	A	A	N/A	A	A	A	A	A	A	N/A	A	N/A	N/A	N/A
2. LDAs should define information of business value for their organization and develop methods to ensure that it is tracked and stored in an effective manner.	A	A	N/A	N/A	N/A	A	A	A	A	A	A	A	A	A	N/A	A	N/A	N/A	N/A
3. LDAs, in collaboration with LAC, should develop formal retention and disposition processes that can be followed by all departmental staff.	A	A	N/A	N/A	N/A	A	A	A	A	N/A	A	A	A	A	N/A	A	N/A	N/A	N/A
4. LDAs should perform departmental staff training needs analyses and implement any actions required.	A	A	N/A	N/A	N/A	N/A	A	A	A	A	A	A	A	A	N/A	A	N/A	N/A	N/A
5. LDAs should develop strategies to increase the use of enterprise-wide electronic recordkeeping systems by LDA staff.	A	A	N/A	A	N/A	A	A	A	A	A	A	N/A	A	A	N/A	A	N/A	N/A	N/A

Legend

A

Applicable

N/A

Not Applicable

ACOA

Atlantic Canada Opportunities Agency

CBSA

Canada Border Services Agency

CNSC

Canadian Nuclear Safety Commission

CSIS

Canadian Security Intelligence Service

CSA

Canadian Space Agency

CIC

Citizenship and Immigration Canada

CSC

Correctional Service Canada

CAS

Courts Administration Service

DFAIT

Foreign Affairs and International Trade Canada

DND

National Defence

PCO

Privy Council Office

PS

Public Safety Canada

RCMP

Royal Canadian Mounted Police

SSHRC

Social Sciences and Humanities Research Council of Canada

TC

Transport Canada

TBS

Treasury Board of Canada Secretariat

LAC

Library and Archives Canada

PWGSC

Public Works and Government Services Canada

Appendix E: Risk Ranking of Recommendations

The following table presents the recommendations and assigns risk rankings of high, medium or low. The risk rankings were determined based on the relative priorities of the recommendations and the extent to which the recommendations indicate non-compliance with Treasury Board policies.

Recommendations	Priority
1. LDAs should develop performance indicators to assist in monitoring the implementation of their IM plans.	High
2. LDAs should define information of business value for their organization and develop methods to ensure that it is tracked and stored in an effective manner.	High
3. LDAs, in collaboration with LAC, should develop formal retention and disposition processes that can be followed by all departmental staff.	High
4. LDAs should perform departmental staff training needs analyses and implement any actions required.	Medium
5. LDAs should develop strategies to increase the use of enterprise-wide electronic recordkeeping systems by LDA staff.	High

[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.

• Previous Page
• Table of Contents
•