Seven areas of high risk from Risk 1 to Risk 7

Seven areas of high risk from Risk 1 to Risk 7RiskItems for ManagementConsiderationManagement Comments Action to be Taken Responsibilityassigned toFollow-up Date1 VA is at risk of being unable toeffectively manage its client andsubject Information in a mannerconsistent with the directivesidentified in the Treasury BoardSecretariat’s (TBS) Policy on theManagement of GovernmentInformation (MGI).Agreed. A business case for managingclient electronic records through their lifecyclewas completed in May 2006. A proofof concept for integrating digital recordsreceived from clients into the CSDN and forapplying records management meta data tothose records is being undertaken in 2006-2007. Additional investments in 2007-2008will be required to pilot client e-Records in abusiness environment.A. Adopt a common IM terminology, conceptsand standards and training to facilitatecompatibility and sharing of information.See Control and Governance corrective action# 2 and # 3.B. Define the roles and responsibilities of seniormanagers, program managers and staffrelated to IM.Director, IMSD (D/IMSD)OngoingVA will not be able to manage its electronicsubject records in accordance withLegislation and TB policy without VA-widecommitment to resourcing for and adoptionof an electronic document and recordsmanagement system (EDRMS).See Control and Governance corrective action1.C. Classification System:< Consult MSFC users on changes oradditions for required primary numbers.< Review new programs and programchanges since the last update and makesure that primaries are developed.< Communicate to MSFC users that there areupdates and publish update on InformationExchange.D/IMSDOctober 31, 2006November 30, 2006December 29, 2006D. Complete the development of the retentionand disposal schedules.See Control and Governance corrective action6a and 6b, which will address the same issuesand partially mitigate this risk.E. Management of Electronic Records (EDRMS):< Complete Proof of Concept for clientsrecords.< Include pilot for client records in 2007-2008Business Plan.< Include Readiness planning for subject e-Records in 2007-2008 Business Plan.< Conduct pilot for client e-Records.< Complete Readiness Plan for subject e-Records.DG/NOD, DG/ITTD, D/IMSDADM/CSADM/CSCS/VSD/IMSDMarch 30, 2007March 30, 2007March 30, 2007March 30, 2008April 30, 2008Evaluation Assessement of Veterans Affairs Management of Clients and Final - December 2006Subject Information Holdings 16

RiskItems for ManagementConsiderationManagement Comments Action to be Taken Responsibilityassigned toFollow-up Date2 VA is at risk of experiencing gaps in“corporate memory” as well asbeing unable to find information foraccountability purposes in supportof decision-making.Management agrees. Generally paperdocuments submitted to DepartmentalSubject Records are managed and areretrievable. However, some paperdocuments are stored in boxes as receiveddue to shortage of resources. Theseunorganized records constitute a risk tofinding information related to ATIP requests.VA is not able to manage its electronicrecords in accordance with Legislation andTB policy and will not be able to do sowithout VA-wide commitment to resourcingfor, and adoption of an electronic documentand records management system (EDRMS).A. EDRMS: see item E under Risk # 1.B. Staffing shortages are being addressed.C. Training including modules and e-mail andmanaging electronic records. See Control andGovernance corrective action # 3.D. Knowledge transfer of departing staff will befacilitated by an upgraded Departure Clearancepolicy.D/SRPSOngoingApril 30, 20073 VA is at risk of having the costs formanaging the storage of recordscontinue to increase as prime officespace is being used to storedormant or inactive records.Management agrees and has alreadyinitiated plans to address this risk i.e., TheCharlottetown Records Centre. TheCharlottetown Records Centre will becomeoperational in December 2007 and willhouse client records now in the Daniel J.MacDonald Building, Departmental SubjectRecords held at 49 Water Street andassorted dormant and inactive files locatedin the Dominion Building and the other twodowntown locations.A. Life cycle records management - see # 6a, # 6band # 8.B. EDRMS - see Risk # 1, item E.D/IMSD4 VA is at risk of being noncompliantwith the Library and Archives ofCanada Act as well as withgovernment disposition practicesbecause the scheduling anddisposition of its records areincomplete. Retention periods havenot been assigned to all records,including those in the electronicmedium.Agreed. See Control and Governance # 6a and # 6b. D/IMSDEvaluation Assessement of Veterans Affairs Management of Clients and Final - December 2006Subject Information Holdings 17

RiskItems for ManagementConsiderationManagement Comments Action to be Taken Responsibilityassigned toFollow-up Date5 VA is at risk of losing originaldocuments of archival andcorporate value at the end ofprojects or when there are changesin personnel when large quantitiesof unorganized records and files aredisposed of. The quality of retainedinformation is also severelycompromised when unorganizedrecords and files are sent to CentralRegistry (CR) or to theDepartmental Subject Records(DSR) offices.Agreed. However, this Risk only alludes toproblems with paper records. There is anequal or greater risk related to electronicrecords which, when printed and filed, do nothave the integrity (admissibility as evidence)of the electronic records.A. See Control and Governance corrective action #2, # 3, # 6a and # 6b which addresses the sameissues and partially mitigates this risk.B. For actions leading to an EDRMS - see Risk# 1.C. See also corrective actions to be taken for Risk# 2.D/IMSD6 VA is at risk of being unable toresume business operations after adisaster unless it identifies andestablishes control of its essentialrecords (off-site storage).Management partially agrees. Mostelectronic information is backed up off-siteand is recoverable. Client paper records arepartially replicated in the CSDN. HeadOffice client paper records are mostlyreplicated on the regional files, and viceversa.See Control and Governance corrective action # 4.D/IMSD, D/SRPS7 VA is at risk of losing electronicinformation of archival andcorporate importance because itdoes not have an e-Recordsmanagement system capable ofmanaging information through itslife-cycle.See Risk 1EEvaluation Assessement of Veterans Affairs Management of Clients and Final - December 2006Subject Information Holdings 18