Having trouble making sense of the plethora of tools that LAC and TBS have provided in support of RK
implementation?
Always digging around trying to find the RKAI or to remember what came first – the diagnostic tool or
the RK methodology?
Here’s Systemscope’s quick and dirty, handy back-pocket guide to GC RK Compliance Tools.
TBS and LAC of RK Roles and Tools
It is Treasury Board Secretariat’s (TBS) job to:

Develop policies and associated instruments

Support departments in the implementation of policies and associated instruments

Assess compliance with policies and instruments through a variety of means (including the
Management Accountability Framework [MAF] annual reporting tool)

Measure the success of their policies
It is Library and Archived Canada’s (LAC) job to:

facilitate IM in Government, especially digital

ensure GC information of enduring value is identified and preserved

be accountable for the final decisions about what gets kept and what gets deleted.
LAC’s new “RK Methodology” is an improved method for identifying GC departmental records that have
enduring value (IREVs) from within a department’s collection of information resources of business value
(IRBVs) This methodoloy has been developed to allow LAC to efficiently produce Records Disposition
Authorities (RDAs) however LAC will not release RDAs to departments that are not RK Compliant.
The purpose of the new LAC methdology is to provide a streamlined process that is

Faster: 3-6 month bundles
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Collaborative: dedicated expert teams (departments and LAC)

Risk-informed
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Adapts generic tools to individual contexts
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Leverages what is known
The Key Requirements of the TBS Directive on Recordkeeping
Tool - The TBS RK Compliance Maturity Model
The TBS RK Road Map
LAC’s Phases of the RK Methodology
Its purpose: the phases of LAC’s methodology for addressing the order and manner in which
departments will be engaged in newly streamlined archival review activities.
LAC Diagnostic Tool
Its Purpose: to allow departments to accurately express their level of RK maturity in order to calculate
the institution’s readiness and complexity of effort for an LAC RDA engagement.
This is an Excel spreadsheet with a great variety of worksheets (e.g. readiness, complexity, impact).
LAC Generic Valuation Tools
Their purpose: to streamline the RKM valuation and controls process by providing risk-informed,
evidence-based analysis and recommendations.
The tools:
 combine enduring valuation recommendations with suggested information resources of
business value (IRBV) and suggested retention specifications
 assemble existing knowledge around appraisal, business processes, business value and retention
11 GVTs to be developed based on TBS Profile of GC Internal Services
 HR, IT, IM, Management and Oversight, Communications, Financial Management, Material
Management, Acquisitions, Legal Services, Real Property, Travel and Other
·
Examples: Employee Performance, Learning, Development and Recognition
Other GVTs to be developed for common operations in the GC:
•
Transfer Payments,
•
Investigating,
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Regulating,
•
Legal Affairs,
•
Adjudicating,
•
Research and Development,
•
Cabinet Affairs...
Example: Program and Project Administration
LAC RK Accountability Instrument (RKAI)
Its purpose: The final identification of information resources of business value and enduring value (IRBV
and IREV), as well as the accountable roles (Designation for Recordkeepers) and RK Controls
information.
As shown below the instrument brings together required information to demonstrate RK compliance:
The tool is a set of Excel worksheets for reporting:
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controls on RK repositories
controls on legacy information
business processes aligned to PAA
information resources that are outputs of the business processes, with designated RK
roles
combination of all of the above