1

Information Management Governance and Accountability

69

There is a Senior Official designated to lead the IM program

70

The Senior Official has the authority to provide direction in IM at all levels of the institution

71

The Senior Official has authority to allocate appropriate resources to IM activities

72

The Senior Official has the mandate to secure adequate training and development programs to support IM specialists

73

There is provision under the governance and accountability framework for ongoing monitoring of the effectiveness of the IM program across the institution

74

There is provision under the governance and accountability framework that designates authority to take action to redress vulnerabilities and significant issues in IM

76

Regions are represented in the governance structure.

77

The IM G&A framework identifies the position within the institution that is accountable to the TB for the implementation of the MGI policy and sustenance of good IM

78

The Accountability framework stipulates that the Senior Official designated to lead the IM program is accountable to the Head of the institution for the implementation of the MGI policy and sustenance of good IM

79

IM Roles and Responsibilities of the Senior Official designated to lead the IM program are identified in job description and management agreement with the Head of the institution

80

IM Roles and responsibilities for senior management are identified in job descriptions and management agreements with the Head of the institution

81

There are current job descriptions outlining roles and responsibilities of IM specialists

82

IM roles and responsibilities for all employees are identified and included in job descriptions and performance agreements

83

Guidelines for performance assessment program stipulate that performance assessments of all employees evaluate requisite performance in managing information

126

The institution has an IM governance and accountability framework

2

Information Access and Use

ATI

30

Guidelines and process exist for controlling appropriate access to information

ATI

31

Process exists to support legal and policy obligations for sharing / re-use of the information

ATI

32

Process is in place to document and monitor access to restricted information

ATI

89

Process is in place to review information collection plans to assess necessity and relevance of collection

ATI

92

Institution maintains records of information collection activities, identifying purpose, frequency, profile of respondents and all data elements within information collections

Privacy

33

Institution has Privacy Management Framework with guidelines outlining requirements of the Privacy Act in relation to collection, retention, management and release of personal information

Privacy

35

Institutional guidelines stipulate that Information systems with data or records that contain personal information are identified

Official Languages

9

The institution has guidelines or directives to support compliance with the Official Languages Act

Official Languages

10

Quality assurance regularly assesses compliance with languages requirements

Official Languages

12

Client information systems specify individual clients' preferred language of communication

Official Languages

14

A vehicle exists for Canadians to identify difficulties communicating with the institution in their language of choice

Legal

44

The institution has directives and guidelines to ensure development and maintenance of information sharing agreements with external partners that define roles & responsibilities; accountabilities; mechanisms for sharing information, preserving integrity of information, ensuring comprehensive records are maintained, and for ensuring appropriate disposition of information

Security

11

Measures exist to rectify deficiencies in compliance with language requirements

Security

43

Processes are in place to safeguard information from destruction and tampering

Security

50

The institution has directives and guidelines for the appropriate security designation of information

Security

51

The institution has directives and guidelines outlining security requirements for maintaining and handling information in all media across all delivery channels

Security

53

Processes are in place outlining and supporting appropriate storage of information in line with security designation

Security

54

Processes are in place outlining and supporting appropriate method for destruction of information in line with security designation

IT

65

Institutional guidelines or directives require that planning for new technology based systems ensures that requirement is not already addressed by an existing technology based system (prevents redundant system development)

IT

66

Institutional guidelines or directives require that planning for new technology based systems considers interoperability with other technology based systems (existing or under development)

IT

67

Institutional guidelines or directives require that planning for new technology addresses reusing and sharing information held in existing technology based systems

IT

68

Institutional guidelines or directives require that planning for new technology includes applying institutional guidelines for information organization and identification (i.e. uses or builds upon approved taxonomies or information classification / identification systems)

IT

84

There are institutional standards outlining requirements for the institution's IT infrastructure

IT

96

Migration strategies exist for converting information (data) to new structures and technology over time

IT

130

Strategies are in place to provide for preservation of information of enduring value while it is in the custody of the organization, including through technological change

Quality Assurance

1

Guidelines defining information quality criteria are available for reference

Quality Assurance

2

Quality assurance processes exist across the institution

Quality Assurance

4

Measures exist to resolve quality issues

Quality Assurance

5

A vehicle exists for Canadians to provide feedback related to quality and consistency of information

Access

6

Information on programs or services is available through all delivery channels: internet, e-mail, telephone call-centre, face-to-face, traditional correspondence

Access

7

Individual client information is available through all delivery channels: internet, e-mail, telephone call-centre, face-to-face, traditional correspondence

Access

8

Employees at public response points (internet, e-mail, telephone call-centre, face-to-face, correspondence units) can access all institutions INFO systems

3

Information Life Cycle Management Program

26

Process exists to support bibliographic information being reported to the National Library's Union Catalogue

38

The institution formally supports and resources a records management program with professional experts to provide advice and guidance to support the proper collection, storage and preservation of institutional records

39

There are formal guidelines and procedures for maintaining business records regardless of media or format

40

The institution formally supports and resources a library service with professional experts to provide advice and guidance to support the proper collection, storage and preservation of institutional publications

56

The institution has an essential records program identifying records that must be protected as defined in government policy and directives

60

There are institutional directives and guidelines to include IM requirements (resources, accommodation, equipment, management mechanisms or tools, etc.) in project and program planning and management documents (business cases, project plans, TBS submissions, etc) for new or modified programs, services.

61

Institutional guidelines or directives require that IM considerations are addressed in policy development and, if appropriate, incorporated into policies, standards or guidelines (e.g. security, e-mail, network usage policies)

63

Institutional guidelines and directives require that IM requirements are addressed in project and program planning and management documents for technology based systems

88

The institution has a business continuity plan that includes an information strategy

99

The institution's Records Management program includes an active retention and disposition unit with experts to provide support and guidance in disposition activities across the institution

101

The institution maintains an inventory of current disposition authorities outlining retention periods and terms and conditions for disposition

102

The institution maintains an inventory of records not covered under disposition authorities, to ensure these records are retained until an authority is attained

103

There are institutional guidelines and procedures for transfer of information of enduring (or historical) value to the LAC.

105

Migration strategies include consideration for essential records

111

There are institutional directives, guidelines and procedures to support deposit of Publications in the institution's library or in on-line publications repository

115

There are institutional guidelines and procedures for transferring publications to the National Library of LAC

120

The institutional Threat and Risk Assessment program includes IM considerations

4

Information Identification, Organization and Inventory

16

There are institutional guidelines and standards for identifying, describing and organizing information

18

The institution maintains a current, comprehensive and structured identification or classification system(s) for organizing and locating information, including metadata and information descriptions with sufficient detail to facility clarity and define context.

21

Processes are in place to update the inventory of information assets on a regular basis

23

An inventory of information assets exists (preferably electronic) indicating format, media and location of information and is available to all employees

24

Information holdings are identified and described in appropriate public reference sources (e.g. InfoSource)

25

A current Publications catalogue is maintained according to established standards

5

Electronic Repository

87

The institution has an electronic repository for storing and managing electronic information

6

Information Management Training and Awareness

41

Institution supports a training and awareness program that outlines employee obligations with respect to maintaining government information, particularly in maintaining official records

55

Training and awareness program outlines employee obligations with respect to information security

100

Employee training and awareness programs provide information on retention and disposition process for government records

7

Information Management Auditing and Evaluation

3

The institutional audit and evaluation program assesses quality, consistency and integrity of information

13

The audit and evaluation program regularly assesses the institution's performance in providing information in the language of choice

119

The audit and evaluation program assesses and documents the institution's performance in managing information

131

The audit and evaluation program assesses the effectiveness of the departmental records disposition program

27

The audit and evaluation program assesses timeliness and convenience of access to information

37

The audit and evaluation program assesses the handling of personal information by institution

42

The audit and evaluation program checks to ensure records are being maintained and managed appropriately

46

The audit and evaluation program checks to ensure the existence of, and compliance of all parties with, information sharing agreements