This policy takes effect May 1, 2003. It replaces the Treasury
Board Management of Government Information Holdings policy. This policy will
be subject to review five years from the date of its approval.
Information is a valuable asset that the Government of Canada
must manage as a public trust on behalf of Canadians. Effective information
management makes government program and service delivery more efficient,
supports transparency, collaboration across organizations, and informed
decision-making in government operations, and preserves historically valuable
information.
The digital age has highlighted the importance of sound
information management. The Government of Canada is increasingly using
information technologies to serve Canadians and to record its business - which
requires it to ensure that information collected or made available
electronically must be accurate, complete, relevant, and clear, and is
accessible and usable over time and through technological change. Reflecting the
desire of Canadians for more responsive government, it is integrating programs
and collaborating with other governments and with the private and not-for-profit
sectors to improve service delivery - which requires that strong accountability
frameworks be in place in situations where information is shared. Furthermore,
the government must manage information to ensure that Canadians receive
consistent service regardless of how they choose to obtain it - whether
in-person, by telephone, through mail, or via the Internet.
Taking into account this complex environment, this policy
provides direction on how federal government institutions should create, use,
and preserve information to fulfill their mandates, support program and service
delivery, achieve strategic priorities, and meet accountability obligations
prescribed by law. It is based on the recognition that:
- all employees are responsible for the management of information under
their control and custody;
- information management requirements must be built into program design and
processes; and
- information management is most effective in a culture that values
information and adopts supportive governance and accountability structures.
The purpose of this policy is to ensure that information under
the control of the Government of Canada is managed effectively and efficiently
throughout its life cycle. Federal government institutions must manage
information in a privacy protective manner that supports informed policy and
decision-making and the delivery of high quality programs, services, and
information through a variety of channels and in both official languages.
It is the policy of the Government of Canada that federal
government institutions:
- manage information to facilitate equality of access and promote public
trust, optimize information sharing and re-use, and reduce duplication, in
accordance with legal and policy obligations;
- ensure that information created, acquired, or maintained to meet program,
policy, and accountability requirements is relevant, reliable, and complete;
- limit the collection, use, and disclosure of personal information to the
minimum required to conduct a program or service, in accordance with the Privacy
Act;
- manage information in a manner that supports the provision of services and
information in both official languages, in accordance with the Official
Languages Act;
- manage information, regardless of its medium or format, to ensure its
authenticity, accuracy, integrity, clarity, and completeness for as long as
it is required by the National Archives of Canada Act, National Library
of Canada Act, Access to Information Act, specific departmental
statutes, and other laws and policies;
- document decisions and decision-making processes throughout the evolution
of policies, programs, and service delivery;
- implement governance and accountability structures for the management of
information, including during collaborative service delivery arrangements or
when information is shared with other federal government institutions, other
governments, or non-governmental organizations;
- use electronic systems as the preferred means of creating, using, and
managing information;
- protect essential records to ensure the continuity of key services and
business operations;
- preserve information of enduring value to the Government of Canada and to
Canadians;
- dispose of information no longer required for operational purposes in a
timely fashion;
- foster supportive environments for information management and ensure that
employees meet their responsibilities for managing information; and
- assess the effectiveness and efficiency of the management of information
throughout its life-cycle.
The policy applies to all institutions listed in Schedules I,
I.1 and II of the Financial Administration Act (FAA).
1. Enhancing public trust
To deliver programs, services, and information cost-effectively
and consistent with the needs of Canadians, institutions must:
- ensure the quality, consistency and availability of information across
delivery channels to respect Canadians' official language of choice and
their preferred means of accessing information and of communicating with
government;
- organize information to provide clarity, context, and convenient access to
relevant, comprehensive, and timely information and services;
- re-use and share information to the greatest extent possible, in
accordance with legal and policy obligations and in a manner that protects
personal information and the privacy of individuals;
- document decisions and decision-making processes;
- preserve the integrity of information, particularly when it is used in
collaborative endeavours with other federal government institutions, other
governments, or non-governmental organizations;
- ensure the appropriate security, protection, and disposition of
information.
2. Managing government information throughout its life cycle
To ensure the effective and efficient management of information,
regardless of medium or format, throughout its life cycle, institutions must:
2.1 include information management considerations in the planning cycle to
ensure that:
- information management requirements are incorporated at an early stage in
the development of new or modified government policies, programs, services,
and technology-based systems;
- governance and accountability structures are in place for the management
of information; and
- opportunities for common infrastructures are maximized to optimize the
interoperability of information management systems.
2.2 collect, create, receive and capture information in ways that:
- support service delivery, informed policy and decision making, and
business, legal, and accountability requirements;
- ensure its relevance, reliability, and completeness;
- optimize its sharing and re-use, in accordance with policy and legal
obligations;
- document decisions and decision-making processes to account for government
operations, reconstruct the evolution of policies and programs, support the
continuity of government and its decision-making, and allow for independent
audit and review; and
- reduce the response burden on the public by avoiding the unnecessary
collection of information.
2.3 organize, use, and disseminate information by:
- establishing a co-ordinated and comprehensive approach to describing the
institution's information;
- maintaining a current and comprehensive classification structure or
structures, including metadata; and
- providing users with timely and convenient access to information, in
accordance with legal and policy obligations.
2.4 maintain, protect, and preserve information to:
- ensure its usability, including the usability of encrypted information,
over time and through technological change;
- ensure that information of enduring value to the Government of Canada or
to Canadians is available for current and future use;
- safeguard essential records; and
- safeguard it from improper disclosure, use, disposition or destruction, in
accordance with legal and policy obligations.
2.5 ensure disposition of information by:
- adhering to departmental retention and disposition plans, the National
Archives-approved Records Disposition Authorities, and other legal and
policy obligations to ensure the timely disposition of information that is
no longer required by the institution;
- transferring to the National Archives information it has designated as
having historical value;
- transferring to the National Library publications that libraries of
federal institutions have declared surplus; and
- considering its transfer to non-federal government organizations, subject
to legal and policy obligations.
2.6 assess the effectiveness and efficiency of the management of information
throughout its life cycle by:
- establishing accountability frameworks to ensure the appropriate
management of information; and
- identifying, documenting, and reporting on specific risks,
vulnerabilities, and other significant management issues and undertaking
corrective action if required.
1. Deputy heads
Responsibilities of Deputy heads include:
- ensuring implementation of this policy and related standards and
guidelines;
- promoting a culture that values information and its effective management;
- allocating appropriate resources to support information management; and
- designating a senior executive to be accountable for implementing this
policy and informing the Treasury Board of Canada Secretariat of the
appointment.
2. Senior executives designated accountable for
implementation of this policy
Responsibilities of senior executives accountable for
implementing this policy include:
- championing information management;
- co-ordinating the strategic planning, resourcing, and implementation of
information management activities, including training and development for
staff;
- ensuring that information management requirements are identified and
addressed during program and system design;
- ensuring that the effectiveness of policy implementation is periodically
assessed; and
- ensuring that information management accountability frameworks and terms
of reference are in place when information is shared with other federal
government institutions, other governments, or non-governmental
organizations.
3. All public service employees
All public service employees are responsible for:
- applying information management principles, standards, and practices in
the performance of their duties;
- documenting their activities and decisions; and
- identifying information requirements and issues to information management
specialists and information technology personnel.
4. Information specialists
Information management specialists - including librarians,
archivists, access to information and privacy officials, and records management
specialists - will support information management efforts by:
- providing information management advice, tools, procedures, standards, and
guidelines, consistent with direction provided by the Treasury Board of
Canada Secretariat, National Archives of Canada, and National Library of
Canada;
- identifying information requirements to information technology personnel
to support the development and operation of information technology
processes, systems, standards, and tools; and
- assessing information management resource and training requirements.
5. Treasury Board of Canada Secretariat
The Treasury Board of Canada Secretariat has specific roles and
responsibilities related to the management of information, which include:
- providing interpretive advice on this policy;
- helping federal government institutions integrate information management
requirements into corporate business and information technology strategies
and plans;
- developing and promoting, in collaboration with the National Archives of
Canada, National Library of Canada, and other federal government
institutions, a framework for the management of information, which includes
standards, guidelines, tools, and best practices that support this policy;
and
- representing and promoting functional communities for the management of
information as required to develop and sustain information management
specialist capacity and practices that support both this policy and service
delivery.
6. National Archives of Canada
The National Archives of Canada has specific roles and
responsibilities related to the management of information, which include:
- identifying, selecting, acquiring and preserving government records, in
all media, considered to be of enduring value to Canada;
- issuing Records Disposition Authorities to enable federal
government institutions to dispose of records, in all media, that no longer
have operational value, by permitting their destruction (at the discretion
of institutions), by requiring their transfer to the National Archives, or
by agreeing to their alienation from the control of the Government of
Canada;
- providing direction and assistance in records and information life cycle
management;
- developing tools, standards, guidelines, and practices to support
government-wide and institution-specific records and information life cycle
management initiatives;
- serving as a leader in building records management capacity in the
Government of Canada and as a credible resource on records management; and
- managing and protecting the less frequently referenced and the essential
records of federal government institutions in a network of federal records
centres across Canada.
7. National Library of Canada
The National Library of Canada has specific roles and
responsibilities related to the management of published government information,
which include:
- preserving the published heritage of the nation and of the Government of
Canada;
- receiving for deposit all newly published information, in all formats,
from federal government institutions and monitoring its deposit with the
institution's library;
- assisting federal government institutions to ensure that all of their
published information is easily accessible to decision-makers and available
to the public;
- monitoring the management of published information produced by federal
government institutions, and reporting and advising on its long-term access
and preservation;
- managing a system of redistribution of library information declared
surplus by libraries of federal government institutions; and
- co-ordinating the library services of federal government institutions.
8. Statistics Canada
Statistics Canada ensures the integrity of the national
statistical system by:
- collaborating with and providing assistance to federal government
institutions in the collection, compilation, analysis, and publication of
statistical information, including statistics derived from the activities of
these institutions; and
- recognizing and addressing opportunities to avoid duplication in
statistical collection across the Government of Canada.
According to the Treasury Board Active Monitoring Policy,
federal government institutions are responsible for ensuring that their programs
and activities are well managed. To this end, they must actively monitor
management practices and controls, take remedial action where significant
deficiencies are encountered or improvements are needed, and inform the Treasury
Board of Canada Secretariat of significant management concerns in a timely
manner. The Treasury Board of Canada Secretariat is responsible for actively
monitoring the overall situation to maintain an ongoing awareness of the state
of management practices and controls across government, and for supporting
federal government institutions in addressing specific risks, vulnerabilities,
control deficiencies, and other significant management issues.
Treasury Board has issued the Evaluation Policy and the Policy
on Internal Audit. These policies require federal government institutions to
develop evaluation plans and internal audit plans on the basis of assessed risk.
Within this context, evaluation and internal audit planning should take into
account the management of valuable information resources, so that government
institutions can assess and report on their ability to implement the
requirements of this policy. The Treasury Board of Canada Secretariat may
periodically communicate to federal government institutions its own priorities
regarding this policy, for consideration in institution-specific risk
assessment.
The Treasury Board of Canada Secretariat will use the internal
audit and evaluation reports to supplement their monitoring of compliance with
this policy, effectiveness of its implementation, and its impact on federal
government institutions.
The National Archives of Canada and National Library of Canada
also have monitoring responsibilities with respect to this policy. These
institutions will periodically communicate their findings on the state of
information management to the Treasury Board of Canada Secretariat and help it
identify and resolve significant issues as they emerge.
This policy should be read in conjunction with relevant
authorities and Treasury Board policies.
1. Authorities
Financial Administration Act (FAA)
This policy is issued under the authority of section 7 of the
FAA.
National Archives
of Canada Act
National Library of
Canada Act
2. Relevant Legislation
Access to
Information Act
Canada Evidence Act
Copyright Act
Criminal Records Act
Emergency Preparedness
Act
National Archives of
Canada Act
National Library of
Canada Act
Official Languages Act
Official Secrets Act
Personal Information
Protection and Electronic Documents Act
Privacy Act
Statistics Act
3. Related Treasury Board of Canada Policies
Access to
Information
Accommodation for
Employees with Disabilities
Active Monitoring
Common Look and Feel
for the Internet: Standards and Guidelines
Common Services
Communications
Cost Recovery and
Charging
Data Matching
Electronic
Authorization and Authentication
Enhanced Management
Framework
Evaluation
Government Security
Internal Audit
Management of
Information Technology
Policy, Guidelines and
Standards for Public Key Infrastructure Management
Policy on using the
Official Languages on Electronic Networks and other official languages
policies
Privacy and Data
Protection
Privacy Impact
Assessment
Enquiries should be directed to the Information Policy Division
of the Chief Information Officer Branch of the Treasury Board of Canada
Secretariat.
The definitions in this appendix pertain to terms used in the
policy and to other terms that, though not in the policy, will facilitate
understanding of its requirements.
Information management (Discipline de la gestion de
l'information): a discipline that directs and supports effective and efficient
management of information in an organization, from planning and systems
development to disposal and/or long-term preservation.
Management of information (Gestion de l'information): is
an element of every job function in the Government of Canada that has to do with
treating the information used or produced in the course of performing job duties
as a strategic business resource and in line with legal and policy requirements.
Government information (Information gouvernementale):
information created, received, used, and maintained regardless of physical form,
and information prepared for or produced by the Government of Canada and deemed
to be under its control in the conduct of government activities or in pursuance
of legal obligations.
Related terms under the umbrella term Government Information
are as follows:
Records (Documents): Includes any correspondence,
memorandum, book, plan, map, drawing, diagram, pictorial or graphic work,
photograph, film, microform, sound recording, videotape, machine readable
record, and any other documentary material, regardless of physical form or
characteristics, and any copy thereof (National Archives of Canada Act;
Access to Information Act)
Essential records (Documents essentiels): Records
essential to continuing or re-establishing critical institutional functions;
examples include records that:
- Affect the basic, legal, property, and other rights of individuals and
corporate bodies;
- Have the greatest use and demand;
- Would require an inordinate commitment in terms of time, money, and
labour if the records themselves and the systems have to be reconstructed;
- Are common to those selected by other government institutions as part of
their essential records program; and
- Are required to be maintained by law or regulation
(Protecting Essential Records: A Short Guide for Government
Institutions, IM Forum, 2001)
Published information (Matériel publié): For the
purposes of this policy, published material is library matter of every kind,
nature, and description resulting from the act of publishing and released for
public distribution or sale. Publications include material such as books,
maps, periodicals, documents, working or discussion papers, audio or video
recordings, online/networked publications (both static and dynamic), and
compact discs. Publications can be in any format on or in which information is
written, recorded, stored or reproduced. The National Library provides
guidance on which documents on a government Internet site will be considered
to be "books" for the purposes of the National Library Act.
Life cycle (Cycle de vie): The life cycle of
information management encompasses the following: planning; the collection,
creation, receipt, and capture of information; its organization, use and
dissemination; its maintenance, protection and preservation; its disposition;
and evaluation.
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