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Response of Library and Archives Canada to the Round IX
Management Accountability Framework
Action Plan 2012—2013

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Stewardship

A balanced approach to effective, efficient and economical management of administrative, control and institutional planning functions contributes to the implementation of worthwhile programs and the achievement of government objectives.

LAC has set up effective management practices, as shown by its planning cycles, activities and reports.

LAC will continue its work to draft policies, strengthen capacities for information management, information technology, security management, audit, access to information and privacy in order to manage information and technology assets.

Area of Management TBS evaluation
Effectiveness of Internal Audit Function (AoM 5) Acceptable
Effectiveness of Financial Management and Control (AoM 7) Acceptable
Effective Management of Security (AoM 8) Opportunity for Improvement
Effective Procurement (AoM 11) Strong
Effectiveness of Information Management (AoM 12) Acceptable
Effectiveness of Information Technology Management (AoM 13) Acceptable
Effectiveness of Asset Management (AoM 14) Acceptable
Investment Planning and Management of Projects (AoM 15) Acceptable

TBS Recommendations:

Effectiveness of Internal Audit Function

  • LAC is encouraged to continue its progress on carrying out its retention strategies.
  • TBS suggests that LAC continue to make progress in monitoring management action plans.
  • LAC is encouraged to continue its progress on strengthening the quality assurance improvement program.

Effectiveness of Financial Management and Control

  • LAC adequately manages the effectiveness of its internal control over financial reports, but progress would be possible in the areas of documentation, design and tests of operational effectiveness.
  • It is recommended that LAC continue consultations with users of financial systems.
  • LAC is encouraged to improve its payroll administration model.
  • LAC is encouraged to continue its commitment to the learning, training and development of its financial officers.

Effective Management of Security

  • LAC should finish preparing the departmental security plan and have it approved by the Deputy Head.
  • LAC should highlight activities related to its security program.

Effective Procurement

  • LAC was not assessed on this AoM this year. Therefore, the rating is carried over from the last year that LAC was assessed on this AoM.

Effectiveness of Information Management

  • LAC should monitor implementation of the information management strategy through regular reporting and adjust the strategy if needed.
  • LAC should create a comprehensive directory of electronic information repositories.
  • LAC should undertake to identify information resources of business value.
  • LAC should ensure that retention and disposition schedules are established and that disposition takes place.
  • LAC should ensure that record categories and personal information files related to the organization are examined and updated as needed.

Effectiveness of Information Technology Management

AoM 13 was not assessed in the current Round as it is assessed on a rotational basis. Therefore, the rating is carried over from the last Round that LAC was assessed on this AoM.

Effectiveness of Asset Management

AoM 14 was not assessed in the current Round as it is assessed on a rotational basis. Therefore, the rating is carried over from the last Round that LAC was assessed on this AoM.

Investment Planning and Management of Projects

AoM 15 was not assessed in the current Round as it is assessed on a rotational basis. Therefore, the rating is carried over from the last Round that LAC was assessed on this AoM.

LAC Action Plan

Effectiveness of Internal Audit Function

  1. LAC will perform a self-assessment of the internal audit function (using the self-diagnostic tool available on the Office of the Comptroller General website) by the end of 2012–13.

Effectiveness of Financial Management and Control

  1. LAC will establish processes to comply with the following guidelines:
    • post payment verification assurance audit
    • payroll administration
  2. LAC will modify the quarterly financial statements to meet Standard 1.3.
  3. LAC will ensure availability and financial resources to promote mandatory training for financial officers.
  4. LAC will review the Departmental Financial and Materiel Management System Plan to make sure that it meets the needs of the organization and clients alike.
  5. LAC will ensure implementation of the Policy on Internal Control action plan.

Effective Management of Security

  1. LAC will finalize and approve its departmental security plan in compliance with the Policy on Government Security requirements.
  2. LAC will finalize a review of its emergency response plans and will have them approved by Human Resources and Skills Development Canada (HRSDC) before the end of the fiscal year. An implementation plan will be developed for each of its facilities once approved by HRSDC
  3. To improve its Management of Information Technology Security (MITS) rating, LAC will implement an incident management tool by the end of 2012-13, along with procedures on how to track and report incidents.
  4. For MITS purposes, LAC will define a procedure to ensure these are tracked and documented internally.
  5. In collaboration with Shared Services Canada, LAC will manage and track its interactions with the Canadian Cyber Incident Response Centre.
  6. LAC will conduct a threat and risk assessment of the SharePoint platform (internally and externally).
  7. LAC will conduct certification and accreditation on the external collaboration platform.

Effective Procurement

  1. LAC will offer mandatory integrated training to managers.
  2. LAC will develop a SharePoint tool to facilitate producing compliance reports.
  3. LAC will develop a workload distribution database to ensure better management of follow-ups and of the procurement team's files.

Effectiveness of Information Management

  1. LAC will develop a process, automated if possible, to ensure consistent application of current document retention and disposition recommendations (digital).
  2. LAC will develop an internal procedure to enable staff to consistently apply sound information management (IM) practices when transferring information resources of business value to the Records Office (this applies mostly to legal information).
  3. LAC will develop a disposition plan for the Records Office that is consistent with current recommendations for retention and disposition (this applies mostly to legacy, paper information).
  4. LAC will develop and implement an IM awareness plan for 2012–13 that is consistent with current IM practices and informs staff of their roles and responsibilities in this area (including their role in developing LAC's Digital Office).

Effectiveness of Information Technology Management

  1. As part of the Digital Office, LAC will develop six business applications in SharePoint.
  2. Modernize all LAC workstations with Windows 7, IE8, Office 2010 and modern, innovative tools.
  3. Modernize the Service Centre and develop a service management tool to replace the existing incident/problem/service request tool.
  4. Provide collaboration portals with external entities.

Effectiveness of Asset Management

  1. Develop a Treasury Board submission for Transfer of Custody:
    • Including the long-term real property plan and completed real property management framework;
    • Include Governance for Real Property.
  2. LAC will develop a real property management framework.
  3. LAC will develop and implement a capacity and organization model for custody transfer.

Investment Planning and Management of Projects

  1. LAC will review its investment plan.
  2. LAC will proceed with project management training for LAC employees.
  3. LAC is committed to developing useful and simple project management tools.
  4. LAC will help to develop the Corporate Project Management Office.
  5. LAC will integrate IT planning into the corporate planning process.

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