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Response of Library and Archives Canada to the Round VII Management Accountability Framework
Action Plan 2010-2011

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Stewardship

The Government of Canada expectations for stewardship are to ensure that every institution has a "departmental control regime (assets, money, people, services, etc.)" that is "integrated and effective," and that its "underlying principles are clear to all staff."

Stewardship includes a large number of administrative, control and institutional planning functions. LAC undertakes to institute the required tools and mechanisms that will help it engage in integrated resource management and achieve the best possible outcomes. The institution will also ensure that sound management is taken up by all employees.

TBS uses no fewer than eight AoMs to assess LAC's performance on stewardship. LAC's evaluation highlights excellence in efficient procurement, which benefits from a governance structure and a wide array of proactive measures aimed at improving its operational efficiency.

Area of Management TBS evaluation
12. Effectiveness of Information Management Acceptable
13. Effectiveness of Information Technology Management Acceptable
14. Effectiveness of Asset Management Acceptable
15. Investment Planning and Management of Projects Acceptable
16. Effective Procurement Strong
17. Effectiveness of Financial Management and Control Opportunity for Improvement
18. Effectiveness of Internal Audit Function Opportunity for Improvement
19. Effective Management of Security and Business Continuity Opportunity for Improvement

TBS recommendations:

Effectiveness of Information Management

  • Although LAC includes Information Management (IM) in its awareness and training programs, it could be better attended or current in its treatment of information needs, accountabilities, or policy requirements.
  • There should be evidence of next steps or dates for completion of initiatives.
  • LAC should develop mechanisms for reporting and monitoring IM strategy initiatives and ensure alignment across the organization.
  • LAC should strengthen its corporate governance structures to ensure IM supports business outcomes.
  • LAC could improve how it fulfills the statutory reporting requirements of the Access to Information Act by describing all of its information holdings in its chapter of Info Source: Sources of Federal Government Information.
  • LAC should ensure that all of its Class of Record descriptions comply with TBS direction and are created and included in its 2010 Info Source submission for the programs and activities identified in MAF Rounds V and VI.
  • Response to TBS feedback has to be even and fully addressed.
  • While progress is being made to improve the organization's Info Source chapter, additional revisions are required to ensure compliance with TBS requirements.
  • Descriptions of LAC's programs, activities and information holdings including personal information should be improved.
  • LAC has to ensure that the locations of all information holdings are documented and that retention plans are in place. LAC has to develop consistent metadata that can be applied to all information holdings and also has to ensure that all Class of Record descriptions are complete, up-to-date, and comply with TBS requirements.

Effectiveness of Information Technology Management

  • Not evaluated in Round VII

Effectiveness of Asset Management

  • Performance monitoring is done on an ad hoc basis but targets or measures have to be developed.
  • When resources are available, the department should link the materiel management information system to the financial system.

Investment Planning and Management of Projects

  • LAC should have a Long-Term Capital Plan (LTCP) approved by its Deputy Head, which is a requirement of the policy on LTCP.
  • The planning document should include a strategy to manage risks related to planned investments.
  • The organization's investment planning documents should cover all asset classes.
  • The department should continue working on the development of an investment plan as per the Policy on Investment Planning—Assets and Acquired Services, which should include the entire department's planned investments as well as its internal governance and decision-making process in significant detail.
  • The department should have provided bi-annual reports on the construction of the Nitrate Film Preservation Facility project to meet a TB condition.

Effective Procurement

  • Not evaluated in Round VII

Effectiveness of Financial Management and Control

  • The department should comply with the Policy on Financial Management Governance because there are deficiencies that are of some concern.
  • LAC should improve tools and procedures for those individuals delegated with Section 34 authority.
  • Departmental processes for informing those delegated with Section 33 authority of their responsibilities and dealing with requests for payments that are problematic—attention needs to be taken.
  • Departmental systems currently identifying and reporting on supplier payments—attention needs to be taken.
  • Departmental processes and/or procedures that govern the management of its non-petty cash standing advances—attention needs to be taken.
  • There should be progress on the alignment of costing practices with the Guide to Costing.
  • Reporting of service or cost information for external user fees should meet some requirements or guidelines.
  • Finance stability can be improved by decreasing the number of vacant and/or temporarily filled positions.
  • Emphasis should be placed on increasing the number of staff members who have learning plans.
  • Succession planning process should be improved.
  • More processes in support of a sound succession plan for key positions should be in place.
  • The organization's financial information requirements should be identified and analyzed.
  • Interfaces between the departmental financial and materiel management system and the organization's human resources system, and for some organizations, the grants and contribution system, and, the salary management system have to be documented.
  • There should be more effort in managing the departmental system of internal controls over financial reporting.
  • There should be internal audit reports of financial management practices.

Effectiveness of Internal Audit Function

  • Annual report of the Chief Audit Executive should meet the key expectations set out in the Directive on CAEs, Internal Audit Plans, and Support to the Comptroller General (CG) and Practice Advisory 2060-1 (Reporting to Senior Management and the Board).
  • Performance reports should be provided by the organization to the Office of the Comptroller General.
  • Performance reports should cover the items that would demonstrate results/progress of the internal audit function.
  • Processes for managing Human Resources need to be better documented.
  • The department should submit the Risk-Based Audit Plan in a timely manner.
  • The department should continue on the development of an audit universe that provides a complete risk ranking of all areas within the department.

Effectiveness Management of Security and Business Continuity

Management of Information Technology Security

  • Organization has achieved the three priority objectives that form the foundation for Management of Information Technology Security (MITS), but it should better comply with MITS requirements.
  • Deficiencies regarding MITS compliance should be addressed on a priority basis.

Security

  • LAC has to pursue ongoing initiatives to continue improving the LAC security program, including the development of sub-policies and chapters of the Departmental Security Policy.
  • LAC has to develop a departmental security plan and establish measures to support ongoing policy monitoring and performance measurement, to meet the requirements of the Policy on Government Security.

Program

  • The department should continue with ongoing initiatives to improve information technology (IT) security program including certification and accreditation of IT systems, development of processes to conduct vulnerability assessments on IT systems, and development of disaster recovery plans for key IT systems to support IT continuity and should continue to participate in government-wide security initiatives, provide leadership and share best practices with other federal institutions.

LAC Action Plan:

Information Management

LAC remains committed to its efforts to improve its Information Management (IM), with a goal to provide an example of best practices within the Government of Canada. To this end, LAC proposes the following actions as part of its ongoing strategy to achieve strong stewardship of IM.

  1. In addition to current training sessions on corporate databases and tools, LAC will launch various awareness activities including a new portal on IM and a minimum of three training sessions on recordkeeping (RK). LAC will strongly encourage its employees to participate in these activities.
  2. LAC will develop and approve an internal IM policy.
  3. LAC will strengthen its capacity in managing its internal information by completing its business process analysis, undertaking an RK assessment, updating its file classification plan, updating retention periods and supporting the development of a new Records Disposition Authority (RDA).
  4. LAC will establish a four-year plan to deliver an Electronic Document and Records Management System (EDRMS). LAC will establish the framework and requirements of a pilot implementation of the EDRMS.
  5. LAC will establish shared drive best practices and guidelines and will initiate a risk-based clean-up for three of its branches.
  6. LAC will ensure that its institution-specific class of record descriptions comply with TBS requirements.
  7. LAC will develop a mechanism to ensure that no database containing personal information will be created without first having been correctly described. A privacy framework, a privacy impact assessment framework and accompanying policies and procedures will be developed and implemented.
  8. LAC will conduct a complete inventory of its personal information banks so as to describe them in Info Source.

Information Technology Management

To enhance the effectiveness of IT management, LAC commits to doing the following:

  1. Complete the IT strategic plan (2009–2011) to reflect IT strategies and priorities in order to enable LAC to deliver its mandate.
  2. Further develop a portfolio management approach through selection, prioritization, methodology, monitoring and reporting, and also develop an associated LAC IT governance structure and process.
  3. To develop a list of IT key performance indicators based on industry best practices.
  4. Develop an IT services program (e.g., services catalogue, service levels).
  5. The LAC website will be 100 percent Common Look and Feel compliant by March 31, 2011.

Asset Management

  1. LAC is currently developing a comprehensive custody transfer plan for its special purpose facilities in line with TBS direction. The custody transfer plan will address the proposed approach to be taken, establish baseline needs, and identify risks and mitigation strategies. An implementation plan with timelines will also be developed.
    • Establish an inter-departmental working group to assist and provide expertise in the development of a custody transfer plan in 2010–2011;
    • Based on recommendations arising from the developed custody transfer plan, LAC will determine next steps (i.e., elaborate and analyze options available to LAC and Public Works and Government Services Canada).
  2. Develop an integrated training session component on materiel management by December 31, 2010.
  3. Complete testing of the FreeBalanceTM asset module by March 31, 2011.

Investment Planning and Project Management

  1. LAC is transitioning to the new policy on investment planning assets and acquired services, and will be initiating the development of an investment plan.
  2. By the end of 2011-12, a project management framework will be in place. The framework will support the organization in the management of major projects, and will be in compliance with TBS requirements. The framework will include key elements such as governance, monitoring and results measurement.
  3. The identification of the best practices and the development of tools will be started.
  4. Further develop the IT Project Management Office.
  5. Further develop IT client portfolio management disciplines at LAC.
  6. Further develop and promulgate standard approaches tools for IT project management.

Effective Procurement

  1. Develop a new integrated training module on procurement for managers by October 31, 2010.
  2. Develop a decision tree model on procurement by January 31, 2011.
  3. Deliver some integrated training sessions to managers by March 31, 2011.

Financial Management and Control

  1. LAC will strengthen financial management documentation and procedures respecting inter-departmental settlements.
  2. LAC will strengthen financial management documentation, procedures and training in respecting the Treasury Board account verification Directive (Section 34).
  3. LAC will improve procedures and documentation on roles and responsibilities (Section 33).
  4. LAC will improve its costing practices and align it with the Guide to Costing.
  5. LAC will focus on succession planning by putting in place strong learning plans for all employees in the Financial Administration (FI) group.
  6. LAC will improve its internal controls by working on the implementation of the Policy on Internal Control in accordance with expected TBS timelines.
  7. LAC will provide a strong financial reporting package to senior management where discussion and analysis will take place.
  8. LAC will include richer discussion and analysis components in its financial reporting packages to senior management.

Internal Audit Function

In order to improve its internal audit function, LAC is committing to the following actions:

  1. LAC will review its Risk-Based Audit Plan in line with Office of the Comptroller General guidelines. The audit plan will be shared with the Office of the Comptroller General.
  2. LAC will review its processes to ensure that audit reports are shared with the Office of the Comptroller General within a month after Deputy Head approval and made accessible to the public within 90 days following the Deputy Head approval.
  3. LAC will improve the Chief Audit Executive report in line with expectations of the Directive on CAEs, Internal Audit Plans, and Support to the Comptroller General, Practice Advisory 2060-1 (reporting to senior management and the board) and will ensure that it includes an assessment of the status of implementation of audit recommendations.
  4. The Internal Audit Division will draft a human resources plan in line with its business goals taking in consideration the Government of Canada guidelines for integrated human resources management.

Security and Business Continuity

  1. Security awareness and improving the security of the collection will continue to be a priority for 2010–2011. An annual work plan will be submitted to the Security and Disaster Management Committee (SDMC) to guide the continuous improvement of the organization's security program. SDMC will submit a report annually to the Management Board on its progress towards the work plan's objectives. The work plan and the annual report will be presented to the SDMC by end of June 2010.
  2. The LAC security policy will be revised to align with the new Government Security Policy. The review will be ongoing throughout the year. The date for the review has been approved by the Management Board and a three-year implementation plan will be developed as per the new Government Security Policy.
  3. The Business Continuity Plan (BCP) program activities will be developed tested and maintained. The BCP has been developed and is in the approval process, estimated time for completion of approval is end of June 2010. The maintenance program is an integral part of the BCP. The testing of the BCP is scheduled for fall 2010.
  4. The security training: a formal BCP training course will be developed to ensure that LAC meets the minimum standard. Development of the BCP training course is scheduled to begin August 2010 and LAC will hold two training sessions by the end of March 2011.
  5. LAC is committed to implementing a certification and accreditation process to ensure the accountability of senior management for IT systems.
  6. LAC is committed to developing processes to conduct vulnerability assessments on IT systems, and a disaster recovery plan for key IT systems.
  7. Introduce centralized control of group membership and account creation through enhanced identity management.

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