2.1 Preparing for the Digital World

Preparing for the Digital World
in the Federal Government
‘Navigating the Digital Future’ IM Conference
November 27 2013
Kristina Lillico
Director, Content Relevance Assessment Division
Documentary Heritage Relevance Assessment Branch
Presentation Overview
• Context
• GC IM Policy Framework
• Recent TBS GC initiatives:
– Standard on Email Management
– IM Common Core
• Roles and Responsibilities
• LAC’s Disposition and Recordkeeping Program
• LAC Tools and Policies
2
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
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
(2011- 2017)
• Integrating RK and Disposition: LAC renews its Disposition
and RK Program 2012-2015
4
Roles and Responsibilities
LAC
•
•
•
•
GC Institutions
Evaluate and acquire information
resources of enduring value
Issue disposition authorities
Support effective recordkeeping
in the GC
Monitor for records at risk
•
•
•
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
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
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)
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Key Achievements To Date
Policy on
Information
Management
JUNE 2009
2012
2015
DIRECTIVE ON
RECORDKEEPING
Open Government Action
Plan
RK COMPLIANCE
REQUIRED
Standard on
Competencies for
the Federal IM
Community
GC IM
Strategy
Launched
Standard on
EDRMS
Launch Open
Online IM Course
Data Portal
Launched
GC Web Search
GCDOCS
Production
Launch
Digital
Office
GCDOCS
EPMO
GCPEDIA
OCT
APRIL
APRIL
APRIL
APRIL
APRIL
APRIL
NOVEMBER
2007
2008
2009
2010
2011
2012
2012
Directive on IM
Roles &
Responsibilities
Standard on
Geospatial
Data
Guideline on
IM Basics
Standard on
Metadata
GC IM Integrated
Learning Strategy
Profile of GC
IM Services
RK Assessment
Tool
JULY
2013
2014/15
Cluster hosted
GCDOCS environment
created
Fall 2013
GCDOCS Pilot
Launched
DIRECTIVE ON OPEN
GOVERNMENT
data.gc.ca Pilot
Launch
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STANDARD ON EMAIL
MANAGEMENT
Draft Standard on Email 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 email 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.
Email handling practices differ widely from one department to the next leading
to inconsistent and non-standard email account management and identification
of government email senders.
!
It is estimated that email alone accounts for over 14 PB of unmanaged
information stored in GC email systems and archives
1 PB is equivalent to 2 000 000 file cabinets or 1 trillion pages
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Email 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 emails sent and received per day total 89
billion. This is expected to grow 13% annually over the next four years, reaching
over 143 billion emails by year-end 2016. **
•
•
Email 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 email.***
Source: *IDC Digital Universe Study, sponsored by EMC June 2011
**Email Statistics Report 2012-2016 Executive Summary, Radicati Group
*** The social economy: Unlocking value and productivity through social technologies, McKinsey Global Institute
10
Email 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, email is any message sent or
received in electronic form via computer networks. This includes messages
sent via email systems, as well as instant messages (such as PIN-to-PINs,
BBMs, text messages).
11
Email 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 email 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
Email Standard - Requirements
Archiving
•
•
No email archiving (e.g. E-Vault).
PST files or equivalents cannot be used for email storage.
– Except for retrieving email 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 email archives will be allowed to manage legacy information.
• By the end of the implementation period information from PSTs and email archives
will need to have been transferred to a corporate repository or disposed of
appropriately.
13
Email Standard - Requirements
Addresses, Signatures and Properties
•
Uniform approach for email addresses, email signature blocks, and email
properties to be applied to all Government of Canada internal and external
emails and email services
– Numerical conflict resolution (e.g. [email protected]).
John Canadian
Analyst, Chief Information Officer Branch
Treasury Board of Canada Secretariat / Government of Canada
[email protected] / Tel: 613-955-5555 / TTY: 613-955-5556
Analyste, Direction du dirigent principal de l'information
Secrétariat du Conseil du Trésor du Canada / Gouvernement du Canada
[email protected] / Tél. : 613-955-5555 / ATS : 613-955-5556
14
Email Standard - Requirements
Accountabilities
• Responsibilities will include:
– Employees are required to save information of business value from emails and
instant messages (PIN-to-PINs, BBMs, Text messages, etc.) into a designated
corporate repository within specific timelines (30 days for email, 3 days for
instant messages)
– Managers will be required to ensure that employees save emails 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
email for the storage of information resources of business value.
Most email 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
Email Standard - Implementation
To align the TBS Maturity model with the implementation requirements for the
Email 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 email,
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 email and instant messages by focusing on 9
additional requirements.
• Aligns with and supports Email 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 Email Archives.
• Increases emphasis on monitoring, reporting and performance measurement ensuring
progress towards intended results.
16
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
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
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
What is the IM Common Core (IMCC)?
Part 1: Business Rules
•
Describe the operations, definitions and
constraints that apply to the system.
Business
Rules
Part 2: Metadata
•
Points to the mandatory recordkeeping
metadata elements required in the
Standard on Metadata, Appendix B.
Part 3: File Classification Structure
•
Provides a file classification structure for
implementing access rights, retention
schedules and disposition activities.
20
IM Common
Core
File
Classification
Structure
Metadata
What is the IM Common Core (IMCC)?
• 72 Rules grouped according to the information
management life-cycle:
Business
Rules
•
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
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
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
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
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
Information Resources
ALL
INFORMATION
RESOURCES
INFORMATION
RESOURCES
OF BUSINESS VALUE
ENDURING
VALUE
(archival)
RESOURCES
FROM
TO
Information
Management
Recordkeeping
Paper
Digital
Records
Information
Resources
Downstream
Upstream
Risk averse
Risk informed
1% to 3%
26
26
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
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
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
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
DRKP Requirements of GC
Institutions
Phase 1:
• 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
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
Recordkeeping (RK) Portal
34
RK Portal Forum
35
For example…
36
User-selected Notifications
37
Resources to Assist with
Recordkeeping
38
Resources to Assist with
Disposition
39
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
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
GVT Sample: Human Resource Management
(Employee Performance, Learning, Development
and Recognition)
Common business process
Developing performance agreements
Managing employee performance
Information Resources of Business Value
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
Retention
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)
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
Upcoming GVTs
Draft GVTs available on GCPEDIA:
• Real Property Services
• Acquisitions Services
• Information Technology
Upcoming this fiscal year:
• Financial Management
• Travel and Other
44
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
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
Contact Us
Treasury Board Secretariat: [email protected]
Library and Archives Canada: [email protected]