Natural Resources Canada
Resource Stewardship Framework: Background Information
March 2004
Purpose
- To provide a background to the Resource Stewardship project, its benefits and deliverables
- To explain the components of a Resource Stewardship framework
- To indicate completed and future steps
Project Background
Natural Resources Canada (NRCan) is working with partners to prepare a complete set of functional requirements and
implementation specifications for a comprehensive "Resource Stewardship Framework Toolkit"
Potential resource stewardship areas include: Information, Financial, HR, Security, Communications and Real property
The Toolkit will enable partners and other government departments and agencies to:
- Establish complete accountability frameworks for stewardship of resources in their institutions;
- Publish frameworks electronically (on the Internet/intranet) for easy access and reference by all managers and employees in
the institution; and
- Maintain the currency and relevancy of the frameworks on an ongoing basis
Key Project Benefits
- Enhance the accountability for managing departmental functions and resources
- Improve and strengthen the adopting organization's control framework
- Increase the clarity and visibility around responsibilities for managing functions and resources at all levels in an
organization (e.g., RC, branch, sector, department)
- Significant tool in addressing the Stewardship and Accountability elements of the TBS Management Accountability
Framework
Project Deliverables
- Department-independent functional and implementation specifications for the toolkit in respect of
- Information resources,
- Financial resources, and
- Other management domains (as time and resources permit)
- Proof of concept (at NRCan)
- Compendium of lessons learned and best practices
- Information sessions and presentations to "spread the word"
Key Elements of a Resource Stewardship Framework
- Resource Stewardship Area ("the matrix")
- Key Accountability Areas
- Functions
- Key Roles
- Accountability Boundaries
- Standard Action Verbs
Example of a Resource Stewardship Area ("the matrix")
| Key Acc. Areas |
Functions |
DM (Chief Information Steward) (DMC) |
EIC Chair (EIC) |
Corporate Stewardship |
Local Stewardship |
| ADM CSS |
DG IMB |
Exec. Dir NOL |
Sector Information Steward |
Sector ADM |
Program Manager |
Individual Employee |
| 6. Service Delivery. Operations & Support |
Access to Information & Privacy |
Approve (E) |
|
Advise (E) |
Advise Guide Monitor |
|
Cooperate Advise (L) |
Approve (L) |
Cooperate Advise (L) |
Cooperate |
| |
IM/IT Security |
|
Approve (E) |
Guide (S) Advise (E) |
Guide (S) Advise (E) |
|
Cooperate Advise (L) |
Cooperate |
Cooperate |
Cooperate |
| |
Content management |
Approve (E) |
Guide (E) Approve (S) |
Guide (S) Approve (E) |
Guide |
Advise (L) |
Approve (L) |
Cooperate |
Cooperate |
|
| |
Infrastructure operations |
|
|
|
Perform (E, S) |
|
Advise (S, P) Perform (L) |
|
Perform (P) Advise (L) |
Cooperate |
| |
Information resources development & maintenance |
|
Approve (E) |
Approve (S) |
Perform (E, S) |
|
Advise (S, L, P) |
Approve (L) |
Perform (P) Advise (L) |
Cooperate |
| |
Information lifecycle management |
|
Approve (E) |
Approve (S) |
Perform (E, S) |
|
Advise (S, L, P) |
Approve 9L) |
Perform (P) Advise (L) |
Cooperate |
| 7. Monitoring & Reporting |
Active & Risk/value monitoring |
|
|
Perform (E) |
Perform (S) |
Perform (NOL) |
Advise (S) Perform (L) |
Approve (L) |
Perform (P) Advise (L) |
Cooperate |
| |
Reporting (accountability) |
Approve (E) |
Perform (E) |
Approve (S) |
Perform (S) |
Perform (NOL) |
Advise (S) Perform (L) |
Approve (L) |
Advise (L) Perform (P) |
Cooperate |
| 8. Auditing & Evaluation |
Audit |
Approve |
Advise |
Advise |
Advise |
Cooperate |
Cooperate |
Advise Cooperate |
Advise Cooperate |
Cooperate |
| |
Evaluation |
Approve |
Advise |
Advise |
Advise |
Cooperate |
Cooperate |
Advise Cooperate |
Advise Cooperate |
Cooperate |
Key Accountability Areas
Example of Functions
| Function |
Objectives of the Function |
Notes & Observations |
| Strategic Direction |
Establish and continuously review and fine-tune the strategic direction for the stewardship of information
resources in support of - and alignment with - plans and priorities and program, services and public policy objectives. |
Done at least at two levels: (1) Enterprise, and (2) Sector. Sectors may direct that strategic
direction be also established at the program level. |
| Key External Liaison & Coordination |
Present the departmental position and advance departmental interests in key external information stewardship
and related forums. Share results with the department |
Seeking partnerships and sharing good practices horizontally |
| Policy frameworks & Specific policies, guides, procedures & standards |
Establish and continuously review and fine-tune the information stewardship policy and procedural environment
in the department |
From a policy and standards perspective, done at two levels (Enterprise and Local). From a procedural
perspective, four levels are relevant (E, S, L and P) |
| Functional direction, guidance & advice |
Provide authoritative guidance and assistance in the application and interpretation of specialized,
subject-matter policies, standards and procedures. |
Accountability for functional guidance remains at all times with the designated functional authority for each
policy area. Responsibility may be delegated. |
| Strategic planning |
Establish and continuously review and fine-tune strategic plans as it related to relevant information
stewardship functions and operations. |
Normally done according to cycles, e.g., three-year plans with annual reports |
| Budgeting |
Establish and justify funding levels required to carry out all relevant aspects of information stewardship |
"Relevant' indicates context specificity. The line items of a program-level budget will be
different from those of the shared or enterprise level. |
| Organization development |
Establish and continuously maintain the specific organizational resources required to carry out all relevant
aspects of information stewardship |
"Relevant" indicates context specificity. Organizational resources at the program level will
be different from those at the shared or enterprise levels. |
| Community development |
Enhance the ability of the relevant information stewardship community to (1) continuously renew itself and
(2) to partner successfully with program and service delivery areas. |
"Relevant" indicates context specificity. The community at the sector (local) level will be
different from the community at the shared or enterprise levels. |
| Awareness development |
Enhance current awareness, knowledge and appreciation within the relevant information stewardship communities
in respect of business information stewardship and alignment direction, strategies, initiatives and developments through
various channels. |
"Relevant" indicates context specificity. The community at the sector (local) level will be
different from the community at the shared or enterprise levels. |
| Learning & development |
Enhance personal learning and development skills and competencies in order to perform more effectively |
Relies on personal initiative and depends on organizational commitment. |
Key Roles
- Where specific accountabilities/responsibilities are assigned in a resource stewardship framework, this is called a
"key role"
- Key roles are normally grouped at the Corporate (departmental) level or at the Sector/Corporate Branch level
- The specifics of the groupings - as well as the specific key roles - will vary depending on the resource stewardship
framework
- The other major variable is the extent of the responsibility. These variables are also called "accountability
boundaries"
Accountability Boundaries
Standard Action Verbs
| Term |
Definition |
Notes & Observations |
| Advise |
Give advice as and when required. Accountable for the quality of the advice provided |
Accountability is confined to advice provided in the exercise of job- or function-related responsibilities |
| Approve |
Sanction upon due process (review, advice, availability of resources and consideration.) Accountable for the
results and impacts of the initiative sanctioned. |
Approver may delegate responsibility for due process aspects, including ongoing monitoring. However,
accountability remains with the approver. |
| Cooperate |
Contribute actively to the fulfillment of a function or initiative and comply with its requirements.
Accountable for compliance. |
Equivalent to "active compliance", whereby the person is proactive in ensuring the function or
initiative (e.g., ATI, audit, etc.) succeeds |
| Direct |
Set the course, create success conditions and provide requisite resources within delegated authorities |
Strongest verb. Balances strong authority (set direction) with responsibility (create success conditions and
provide resources) |
| Formulate |
Ensure the development of a governance product (e.g., a policy, a procedure, a standard, a business case or
strategy) and submit to due process (consult, disseminate, approve, etc.) Accountable for the quality & appropriateness
of the product. |
The "development" aspect (responsibility) can be delegated, while quality & appropriateness
aspects (accountability) cannot. |
| Guide |
Ensure the provision of guidance of a functional nature (e.g., communications, security, IT, IM, etc.,) where
specifically authorized to do so. Accountable for the quality and appropriateness of the functional advice provided |
"Guide" applies to functional advice that must be sought (e.g., DG Comm. must be consulted on
aspects touching on corporate communications). The "provision" aspect (responsibility) can be delegated, while
quality & appropriateness aspects (accountability) cannot. |
| Monitor |
Continuing involvement by maintaining appropriate awareness of developments and impacts of an initiative or
functional guidance provided. Accountable for maintaining ongoing awareness and acting appropriately on this awareness. |
"Monitor" does not mean "Enforce". It is maintaining the capacity to intervene (e.g., by
requesting clarifications or triggering audits) when circumstances demand it.
|
| Perform |
Ensure the carrying out of an activity in the exercise of job or functional responsibilities. Accountable for
the quality and appropriateness of the activity or function carried out. |
For instance, "Budgeting" is typically a job-related activity, while "audit" is a
function. The "carrying out" aspect (responsibility) can be delegated, while quality & appropriateness aspects
(accountability) cannot |
Completed and Future Steps
- Steps Completed
- Functional and implementation specifications (for Information and Finance & Asset Management frameworks)
- Compendium of best practices
- Web-based Proof of Concept for Information and Finance & Asset Management frameworks
- Next Steps
- Moving from proof-of-concept to prototype
- Compendium of lessons learned
- Information sessions and presentations
|
