DAOD 6001-1, Recordkeeping


1. Introduction

Date of Issue: 2013-03-14

Application: This DAOD is a directive that applies to employees of the Department of National Defence (DND employees) and an order that applies to officers and non-commissioned members of the Canadian Armed Forces (CAF members).

Supersession: DAOD 6421-0, Records Management

Approval Authority: Assistant Deputy Minister (Information Management) (ADM(IM))

Enquiries: Director Information Management Policy and Standards (DIMPS)

2. Definitions

disposition authorities (autorisations de disposer)

Disposition authorities are the instruments that enable government institutions to dispose of records which no longer have operational value, either by permitting their destruction (at the discretion of institutions), by requiring their transfer to Library and Archives of Canada, or by agreeing to their alienation from the control of the Government of Canada. (Directive on Recordkeeping, Treasury Board)

file plan (plan de classement des dossiers)

A tool for classifying and bringing together information with common characteristics and assigning retention and disposition conditions to these groups of information.

Note – A file plan organizes information into subject areas that are derived from an organization's business functions and activities. (Defence Terminology Bank, record number 46831)

information resources (ressources documentaires)

Any documentary material produced in published and unpublished form regardless of communications source, information format, production mode or recording medium. Information resources include textual records (memos, reports, invoices, contracts, etc.), electronic records (e-mails, databases, internet, intranet, data etc.), new communication media (instant messages, wikis, blogs, podcasts, etc.), publications (reports, books, magazines), films, sound recordings, photographs, documentary art, graphics, maps, and artefacts. (Directive on Recordkeeping, Treasury Board)

information resources of business value (ressources documentaires à valeur opérationnelle)

Are published and unpublished materials, regardless of medium or form, that are created or acquired because they enable and document decision-making in support of programs, services and ongoing operations, and support departmental reporting, performance and accountability requirements. (Directive on Recordkeeping, Treasury Board)

information resources of enduring value (ressources documentaires à valeur durable)

Published and unpublished documentary material, regardless of form or format, that has long-term societal significance.

Note – Enduring value is identified primarily through the application of two guiding principles: significance and societal value. (Defence Terminology Bank, record number 46823)

record (document)

Records are information created, received, and maintained by an organization or person for business purposes, legal obligations, or both, regardless of medium or form. (Directive on Recordkeeping, Treasury Board)

transitory record (document éphémère)

Are those records that are required only for a limited time to ensure the completion of a routine action or the preparation of a subsequent record. (Authority for the Destruction of Transitory Records, Library and Archives Canada)

3. Overview

Context

3.1 Recordkeeping (RK) is a resource management function through which information resources of business value (IRBVs) are created, acquired, captured and managed in repositories for use in support of effective decision making.

3.2 Effective RK enables the DND and the CAF to conduct operations, deliver programmes and services, and ensure key capacities for accountability, stewardship, evaluation, audit, access to information, privacy, security and policy compliance.

3.3 The ADM(IM) is the designated senior information management (IM) official for the DND and the CAF. As the senior IM official, ADM(IM) has responsibilities under the Treasury Board Directive on Recordkeeping for ensuring that:

  1. IRBVs are identified and protected;
  2. methodologies, mechanisms and tools are provided to support RK throughout the information life cycle;
  3. RK processes are properly documented; and
  4. DND employees and CAF members are aware of their RK responsibilities, and the risks associated with poor RK practices.

3.4 This DAOD is part of the DND and CF IM and IT Policy Framework and should be read in conjunction with other relevant ADM(IM) policies, instructions, directives, standards and guidance.

Objective

3.5 The objectives of this DAOD are to:

  1. describe RK practices for the DND and the CAF; and
  2. identify the roles and responsibilities of DND employees and CAF members necessary for the implementation of the practices.

Expected Results

3.6 The expected results of this DAOD are:

  1. improved collection, creation, identification, storage, sharing and organization of IRBVs through the use of RK practices;
  2. timely disposition of IRBVs and transitory records;
  3. reduced duplication of IRBVs; and
  4. improved support for access to information and privacy requests, and the identification, preservation and collection of records for legal proceedings.

4. Recordkeeping Practices

Introduction

4.1 The practices of RK assist the DND and the CAF in the proper management of IRBVs throughout their life cycle. IRBVs must be collected, created, stored, protected, organized, used, shared, retained and disposed of through controlled and standardized processes.

4.2 IRBVs do not include the transitory records used in their creation. These transitory records are not subject to the requirements of RK and should be disposed of when no longer required.

Storage

4.3 DND employees and CAF members must ensure that IRBVs are stored in trustworthy and reliable locations and that only record management systems approved by ADM(IM) are used to store IRBVs.

Protection

4.4 In order to ensure reliability, integrity and authenticity, DND employees and CAF members must ensure that IRBVs are guarded against unauthorized access, disclosure or destruction.

Organization

4.5 DND employees and CAF members must ensure that IRBVs are organized logically, consistently and systematically according to DND and CAF standards, rules and procedures so that DND employees and CAF members can readily find, share, retain and dispose of them according to established direction.

Use and Sharing

4.6 Once IRBVs have been organized, DND employees and CAF members should be able to quickly find and reuse these IRBVs in support of operations, programmes and services, while respecting privacy, security and legal restrictions.

Retention and Disposition

4.7 Different information has different retention requirements. While some information needs to be kept long-term to support operational needs or to preserve information of enduring value, other information may be disposed of immediately after it has outlived its usefulness. As such, DND employees and CAF members must regularly:

  1. destroy, in compliance with IM and security procedures, transitory records when they are no longer needed; and
  2. cooperate with IM practitioners to properly dispose of IRBVs and to transfer information resources of enduring value in accordance with applicable record disposition authorities.

5. Requirements

Disposition Authorities

5.1 Subsection 12(1) of the Library and Archives of Canada Act provides that no government or ministerial record can be disposed of without the written consent of the Librarian and Archivist of Canada.

5.2 In order to enable departments to carry out disposition activities, Library and Archives Canada (LAC) issues multi-institutional disposition authorities and institution specific disposition authorities, which delegate disposition authorities to individual Government of Canada (GC) departments.

Defence Subject Classification and Disposition System (DSCDS)

5.3 The DSCDS has been approved by the LAC as a records disposition authority. The DSCDS provides instruction and guidance to the DND and the CAF to ensure the retention and disposition of IRBVs in accordance with the Library and Archives of Canada Act.

5.4 The DSCDS must be used to organize IRBV holdings so that the holdings are stored, retrieved, used and disposed of in a systematic and efficient manner.

5.5 Any changes or exemptions to current disposition authorities must be approved by the LAC.

Protection of Information

5.6 DND employees and CAF members must appropriately safeguard any IRBV, whether in a physical or electronic form. For further information on what is required to safeguard, label, handle or store IRBVs that contain sensitive or classified information, DND employees and CAF members should refer to the Treasury Board Policy on Government Security and the National Defence Security Instructions.

5.7 DND employees and CAF members must take into account access to information, security of information and the protection of personal information requirements in their RK practices, in compliance with the Access to Information Act, the Security of Information Act, the Privacy Act and the Personal Information Protection and Electronic Documents Act, as applicable.

6. Consequences

Consequences of Non-Compliance

6.1 Non-compliance with this DAOD may have consequences for both the DND and the CAF as institutions, and for DND employees and CAF members as individuals. Suspected non-compliance with this DAOD will be investigated. The nature and severity of the consequences resulting from actual non-compliance will be commensurate with the circumstances of the non-compliance.

Note – In respect of the compliance of DND employees, see the Treasury Board Framework for the Management of Compliance for additional information.

7. Responsibilities

Responsibility Table

7.1 The following table identifies the responsibilities associated with this DAOD:

The ... is or are responsible for ...

Director General Enterprise Application Services (DGEAS) as the senior IM functional specialist for the DND and the CAF (Ch 8/13 – 2013-09-03)

  • providing advice to IM senior officers and IM practitioners on RK-related matters;
  • developing RK instructions, standards and guidelines, including:
    • standards for semi-dormant and dormant record storage facilities; and
    • processes and procedures for the disposition of IRBVs;
  • reviewing file plans for alignment and compliance with the DSCDS;
  • monitoring semi-dormant and dormant record storage facilities for compliance with standards;
  • developing RK training and awareness material;
  • negotiating changes or exemptions to disposition authorities with LAC; and
  • notifying the ADM(IM) of any non-compliance with this DAOD.

IM senior officers in level one advisor organizations

  • advising the DGEAS on RK issues; (Ch 8/13 – 2013-09-03)
  • informing the DGEAS of the record disposition activities of their organization; and (Ch 8/13 – 2013-09-03)
  • developing processes and procedures for implementation of RK within their area of responsibility.

IM practitioners

  • providing advice to DND employees and CAF members on RK-related matters;
  • managing file repositories for the storage of IRBV, and ensuring these repositories are in compliance with applicable standards;
  • providing RK training and awareness material to DND employees and CAF members within their area of responsibility;
  • developing file plans;
  • maintaining a repository for documentation of IRBV dispositions;
  • preparing disposition and off-site storage documentation for sign-off by authorized managers and commanding officers; and
  • regularly performing and documenting disposition activities in accordance with LAC direction.

DND employees and CAF members

  • creating IRBVs that document their decisions and decision-making processes;
  • acting as information stewards and managing IRBVs they have created or been assigned, including:
    • ensuring IRBVs are shared to the greatest extent possible, while respecting security and privacy requirements;
    • filing IRBVs in approved file plans; and
    • classifying and protecting records in compliance with applicable policies, instructions and standards;
  • disposing of transitory records when they are no longer required; and
  • complying with all GC, DND and CAF policies, instructions, directives and standards in respect of RK.

8. References

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