Overview of TBS and LAC Recordkeeping Roles and Tools
Having trouble making sense of the plethora of tools that LAC and TBS have provided in support of recordkeeping (RK) implementation? Always digging around trying to find the RKAI or to remember what came first – the diagnostic tool or the RK methodology? Here’s Systemscope’s quick and dirty, handy back-pocket guide to GC RK Compliance Tools.
It is Treasury Board Secretariat’s (TBS) job to:
• Develop policies and associated instruments
• Support departments in the implementation of policies and associated instruments
• Assess compliance with policies and instruments through a variety of means (including the Management Accountability Framework [MAF] annual reporting tool)
• Measure the success of their policies
It is Library and Archived Canada’s (LAC) job to:
• facilitate IM in Government, especially digital
• ensure GC information of enduring value is identified and preserved
• be accountable for the final decisions about what gets kept and what gets deleted.
LAC’s new “RK Methodology” is an improved method for identifying GC departmental records that have enduring value (IREVs) from within a department’s collection of information resources of business value (IRBVs). This methodology has been developed to allow LAC to efficiently produce Records Disposition Authorities (RDAs) however LAC will not release RDAs to departments that are not RK Compliant.
The purpose of the new LAC methodology is to provide a streamlined process that is:
• Faster: 3-6 month bundles
• Collaborative: dedicated expert teams (departments and LAC)
• Risk-informed
• Adapts generic tools to individual contexts
• Leverages what is known
The Key Requirements of the TBS Directive on Recordkeeping
Source: TBS – TBS website – Directive on Record Keeping Section 6
http://www.tbs-sct.gc.ca/pol/doc-eng.aspx?section=text&id=16552
Tool – The TBS Recordkeeping Compliance Maturity Model
Source: TBS – from the deck “The Roadmap to Recordkeeping : Maturity Model (TBSSCT 1013178)
The TBS Recordkeeping Road Map
Source: TBS – from the deck “The RK Roadmap – The Challenge of Recordkeeping in the GC – RK Day (March 22, 2011)”
LAC’s Phases of the Recordkeeping Methodology
Its purpose: the phases of LAC’s methodology for addressing the order and manner in which departments will be engaged in newly streamlined archival review activities.
Source: LAC – from the deck “Managing Information as an Asset: A Methodology for Effective Recordkeeping”
LAC Diagnostic Tool
Its Purpose: to allow departments to accurately express their level of RK maturity in order to calculate the institution’s readiness and complexity of effort for an LAC RDA engagement.
This is an Excel spreadsheet with a great variety of worksheets (e.g. readiness, complexity, impact).
cheat sheet
Source: LAC – from Diagnostic Tool excel spreadsheet.
LAC Generic Valuation Tools
Their purpose: to streamline the RKM valuation and controls process by providing risk-informed, evidence-based analysis and recommendations. The tools:
• combine enduring valuation recommendations with suggested information resources of business value (IRBV) and suggested retention specifications
• assemble existing knowledge around appraisal, business processes, business value and retention
11 GVTs to be developed based on TBS Profile of GC Internal Services:
• HR, IT, IM, Management and Oversight, Communications, Financial Management, Material Management, Acquisitions, Legal Services, Real Property, Travel and Other
• Examples: Employee Performance, Learning, Development and Recognition
Other GVTs to be developed for common operations in the GC:
• Transfer Payments,
• Investigating,
• Regulating,
• Legal Affairs,
• Adjudicating,
• Research and Development,
• Cabinet Affairs…
Example: Program and Project Administration
Source: LAC – from “Transfer Payments” , references “Policy on Transfer Payments, Treasury Board of Canada Secretariat, 2008.”
LAC Recordkeeping Accountability Instrument (RKAI)
Its purpose: The final identification of information resources of business value and enduring value (IRBV and IREV), as well as the accountable roles (Designation for Recordkeepers) and RK Controls information.
As shown below the instrument brings together required information to demonstrate RK compliance:
The tool is a set of Excel worksheets for reporting:
– controls on RK repositories
– controls on legacy information
– business processes aligned to PAA
– information resources that are outputs of the business processes, with designated RK roles
– combination of all of the above
Source: LAC – from the deck “Managing Information as an Asset: A Methodology for Effective Recordkeeping”
October 29th, 2014 at 2:28 pm
Hello,
This was a very interesting article. I was wondering if you could send me the excel spreadsheet associated with the LAC Diagnostic Tool section of the article.
Thanks,
Fawn
November 28th, 2014 at 11:26 am
Hi Fawn,
My colleague Lynne Hunks replied to your request.
Cheers,
Denise
December 21st, 2020 at 7:44 am
I was wondering if you could send me the excel spreadsheet associated with the LAC Diagnostic Tool as well as all the different decks used in the presentations. Thank you