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Information Management in the Government of Canada - A Situation Analysis
The recommendations described in this section are based on two considerations. The
first consideration is the immediate need to support government priorities to better serve
Canadians such as Government On-Line (GOL) and
the Strategic Infrastructure Initiative
(SII) and to address concerns about the management of government records. The second
consideration is the need to establish a sustainable
IM infrastructure to support government decision making, program / service delivery,
accountability, and the achievement of the Government's strategic priorities.
The GOL and SII initiatives are critical to the
throne speech commitment to connect Canadians to government information and services by 2004.
The GOL initiative is to be implemented in stages or tiers over the next four years.
The first tier is to provide a basic presence for the Government on the web by December
2000. Pilot projects will test innovative approaches to enhanced service delivery.
If the tier one objectives are to be met (i.e. a government presence on the web) there
is an immediate need to:
- integrate IM considerations into e
xisting implementation strategies such as the development of directories and navigation tools
to facilitate access and retrieval of information about the government information sources and
services; and,
- address concerns regarding the authenticity and integrity (i.e. currency, accuracy,
understandability, and relevancy) of the information being accessed by Canadians,
including public servants.
The following recommendations address these immediate issues:
- At the government-wide level, design an information architecture (based on information
content standards) to complement efforts underway to develop directories and a data
architecture;
- Develop navigation tools at the government-wide level to provide support to citizens and
public servants, including persons with disabilities, in finding information about
information and services. This work needs to be closely related to work underway on
directories, the data architecture model, the design of a Government of Canada and other
portals, the "clustering" initiative, and the "common look and feel"
initiative (i.e. the development of a locator service);
- Develop policies, standards and practices, and technologies for the management of the
multiple forms of information (i.e. from paper to electronic) in web environments;
- Incorporate preservation requirements and requirements for long term access to
government electronic information as part of the Government On-Line initiative;
- Encourage/establish model sites (e.g. the Canada Site;
HR Connections; etc.) to illustrate the successful implementation of IM considerations;
and,
- Incorporate IM considerations into tier 1 awareness and education/training programs and
initiatives.
One of the most significant concerns raised during the consultation sessions concerned
the management of records in the emerging electronic environment. According to an
international definition, a "record" is recorded information produced or
received in the initiation, conduct, or completion of an institutional activity and that
comprises content, context, and structure sufficient to provide evidence of the activity.
Records have a purpose. They serve to document actions and decisions, and they serve as
authoritative sources of information in support of subsequent actions and decisions. These
concepts are entirely consistent with the Government of Canada's definition of
"record" which, "includes any correspondence, memorandum, book, plan, map,
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."
While National Archives' guidance as well as initiatives such as the Records / Documents /
Information Management Shared System (RDIMS) help institutions
manage records in this environment, and although examples of successful records management programs
were recognized, participants felt more could be done to anticipate both the challenges and the
opportunities presented by a work environment generating information in multiple forms
(i.e. paper as well as electronic). In the consultation sessions participants suggested
that the following key "records" issues be addressed:
- The awareness of public servants of their responsibilities for record keeping;
- The criteria public servants require to guide their decisions concerning what should be
kept to document what they are doing;
- The challenges of accessing, retrieving and otherwise managing the e-mail and other
electronic documents public servants require to support their work;
- The length of time records should be kept and what should happen to them after their
value to the government institution has ceased (i.e. destroyed; transferred to the
National Archives), and;
- The availability of people with the required knowledge, skills and abilities to manage
records especially when they are in electronic form.
The following could result if these issues were not addressed:
- Lack of trust in decisions being made because of incomplete or fragmented records;
- Heightened risk to government program and service delivery because records lack
authenticity and reliability;
- Inability to meet various accountability requirements including challenges from audit
authorities;
- Inability to carry out reviews and audits because of incomplete records and files;
- Deterioration in the quality and usability of the government's corporate memory;
and
- Diminished ability of the National Archives to acquire, preserve, and make available
government records of archival value.
These recommended strategies are a sub-set of those being recommended for the
development and maintenance of an overall government-wide IM Infrastructure (see section
4.2). They have been organized according to the following: awareness and understanding,
accountability; standards and practices; technological solutions, and; people.
The following recommendations are intended to enhance the awareness and understanding
of public servants about the role and importance of government records:
- Enhance (including through the use of web-technologies) the awareness of public servants
about the role and importance of government records, their responsibilities for managing
records, and the implications of not managing records properly on decision-making, program
and service delivery, and the ability to meet accountability requirements.
- Develop strategies for enhancing records management education and training programs
directed at public servants (senior executives and officers) and records management
specialists.
- Establish an accountability framework for the management of records within government
institutions (e.g. accountability of senior executives for ensuring that proper record
keeping takes place; accountability and stewardship of public servants for records
creation, use, and preservation to support decision-making and program/service delivery,
and; accountability of records specialists and others for the quality and integrity of the
record keeping infrastructure);
- Building on existing review guides, develop a self-assessment guide on records
management for use by government institutions;
- Incorporate record keeping considerations into the audit and evaluation function of
government institutions, and;
- Incorporate record keeping considerations into the performance measurement systems for
all public servants.
- Establish a Government of Canada records management standard based on the proposed ISO
standard on records management (approval expected in November 2000);
- Update and re-issue the "Management of Electronic Records in the Electronic Work
Environment" guideline issued by the National Archives in 1996;
- Develop best practices and technical standards for the management of electronic records
in the electronic work environment;
- Assess the Australian Development and Implementation of Record Keeping Systems (DIRKS)
guide for its applicability within the Government of Canada;
- Identify programs which have successfully implemented record keeping standards and
practices (especially for electronic records) and promote these as models; and,
- Establish mechanisms such as a web site (i.e. supported by discussion lists, etc.) for
the exchange of information about standards, guides, services, best practices and other
matters pertaining to the effective management of records
- Use existing functional requirements for the creation, use, and preservation of records,
such as those for the
RDIMS, to confirm a core set of requirements for record keeping. These requirements
should serve as a reference model for procurement purposes (as reflected in the RDIMS initiative) and
be updated regularly to keep pace with changing technologies. The US Department of Defence
experience in developing such a model or standard should be reviewed;
- Use the core requirements as the basis for procurement either through the shared systems
program (e.g. the
RDIMS initiative) or through other means (i.e. the functional requirements could
serve as a reference model for the procurement of technological solutions).
- Assess the
RDIMS and other document and records management initiatives, relevant
pathfinder projects, and the opportunities presented by emerging web-based technologies
with a view to developing enhanced approaches to managing government records.
The following should be undertaken within the context of the broader community renewal
initiatives recommended in section 4.2. below:
- Establish a competency standard for records management based on work already underway in
the IM Forum;
- Develop training and education strategies and programs for members of the records
management community as well as others involved in the management of records, especially
in an electronic environment;
- Develop recruitment strategies and programs for the records management function, and;
- Develop a rewards and recognition program for the records management community.
The experience gained from implementing these recommendations for the management of
government records should be used to help inform the implementation of recommendations
addressing the establishment of a sustainable IM infrastructure (see 4.2 below).
While the IM responses to priorities such as GOL and concerns such as the management of
government records are necessary, they need to be positioned within the broader effort to
build a sustainable IM infrastructure for the Government of Canada. While such an
infrastructure will take time to emerge, initiatives leading to its development should be
established during the near term (perhaps based on a strategic planning session) and in
parallel with steps being taken to address government-wide priorities (e.g. implementation
of tiers 2 and 3 of the GOL initiative; government records).
The recommendations which follow are based on the following principles and characteristics:
- information is an asset which needs to be managed with the same diligence as any other
asset;
- the de facto form of information in the Government of Canada is rapidly becoming
electronic; while other forms of information such as paper and microfilm will continue to
exist for some time, most government actions and transactions are being generated
increasingly in electronic form;
- an information infrastructure is business driven; the requirements of the government
program or service drive the decisions about what information needs to be created,
collected, received, etc. and how that information should be used and preserved.
The recommendations are also based on a perspective of information management which
comprises the infrastructure of policies, systems, standards and practices, and people
required to manage the creation, use, and preservation of information in support of
government decision-making, program/service delivery, and accountability.
It is an infrastructure supported by people who are aware of and understand the
importance of information management and who are accountable for its quality and integrity.
It is also an infrastructure that can be applied to any decision-making or
program/service delivery activity and that can be scaleable from a single information
product (e.g. approved license or benefit, etc.) to a collection of information (e.g. all
of the information associated with the processing of a license application) to the
information in a given business function or activity (e.g. all of the information
associated with the communications function) to the information associated with an entire
organization or organizations (e.g. Transport Canada; the Government of Canada, etc.). An
explanation of the proposed IM Infrastructure is described in Chapter 2.
The following recommendations have been designed to address all of the dimensions of
the proposed IM infrastructure described in Chapter 2.
The results of the consultation emphasized the risk of not having a government-wide
governance framework for information management. This vacuum adversely affects the ability
to incorporate information management issues into the planning for citizen-centered
services and to renew the information capabilities and capacity of government.
It is recommended that:
- A senior-level interdepartmental committee be established to address in collaboration
with departments, lead and central agencies the critical information issues identified in
this and other reports and recommendations.
- The Treasury Board Secretariat establish a unit to develop and maintain policies and
strategies essential to the government-wide management of information that will support
the proposed committee structure.
- The roles of the National Archives, National Library, PWGSC and Justice Canada in
supporting the management of government information be reviewed and determined within the
context of government-wide information management priorities.
- The roles of other information management committees should be reviewed and rationalized
to ensure a vibrant governance framework that gives emphasis to government-wide
information priorities.
Recommendations specific to each of the proposed components of the governance framework
may be found in Appendix B of this Report.
- integrate IM concepts, strategies,
etc. into the design of CCMD-sponsored courses and other related courses, publications and
conference programs such as Government Technology week (GTEC), etc. for public servants including
senior executives;
- publish an updated edition of the TBS publication, "Your Responsibilities", to
communicate the role of public servants as stewards of government information;
- incorporate IM considerations in government-wide publications such as the "Managers
Desk Book";
- produce a primer on IM for those involved in developing IT infrastructures at the
government-wide level and within government institutions;
- develop a glossary to define terms such as "record", "data",
"information", "information management", "knowledge
management", etc.
- Conduct a comprehensive review of the IM/IT policy domains
to ensure that both the policies and the policy domains themselves continue to meet contemporary
requirements associated with GOL,
SII and the emerging
electronic work environment;
- Review the
(MGIH) policy with a view to distinguishing between those policy elements which
address public policy issues such as Access to Information and Privacy, information
collections, etc. (i.e. the responsibility of the TBS/Government Operations Sector) and
those which pertain to the IM infrastructure described in this report (the responsibility
of
TBS/CIOB). The Infrastructure elements should be updated and incorporated into a new
policy which addresses the development and maintenance of an IM Infrastructure (with a
focus on providing policy guidance on the three information activities: creation, use,
preservation);
- Each government institution should name a senior official for the purposes of the new
policy (i.e. reinstate the "senior official" concept of the MGIH policy), and;
- Develop model policy statements to help government institutions develop their own
internal IM policies or incorporate IM considerations into existing and related policies.
- Develop a standard approach to the description and classification of information
regardless of its physical form in order to provide an effective means of accessing
information about government information sources and government services regardless of
their type or location; description and classification should address all information
activities including creation, use, and preservation;
- The National Archives and the National Library should work together with departments and
agencies to develop standards and practices for the preservation of the authenticity and
integrity of electronic information through time; such standards and practices should
address the preservation requirements for "records" and "published
information" in a range of information creation environments (e.g. web sites; highly
structured transaction based environments; unstructured "office" environments; etc.)
- Integrate a checklist of IM
considerations in the programs and initiatives undertaken by the TBS (e.g. Public Key
Infrastructure (PKI); Enhanced
Management Framework, Portfolio Management; etc.);
- Assess the mandate of the Depository Services Program with respect to its role in the
management and dissemination of electronic and other forms of publications;
- Assess and, as required, enhance the capacity of organizations such as the National
Archives, the National Library, the Depository Services Program, and other government
programs with government wide responsibilities for the preservation, dissemination, etc.
of information recorded in a variety of physical forms;
- Reflect information management considerations in Business Resumption Planning tactics
and strategies
- Use the results of the review of the TBITS program to
help guide decisions concerning the establishment of a standards development process for IM
standards;
- Develop an IM standards agenda within the context of the standards requirements of GOL
and SII, and the IM standards requirements identified to TBS by government institutions.
4.2.4 Systems
- Incorporate IM considerations into the systems development methodologies and related
tools used to plan, design, install, test, maintain, and evaluate information systems;
- Develop a core set of functional requirements for the management of the activities
supporting all (or subsets of) the activities associated with information creation, use,
and preservation. The requirements would either be incorporated into the overall
requirements established for the procurement of information systems supporting program or
service delivery or be used in the procurement of stand-alone systems dedicated to the
management of the information creation, use and preservation activities themselves.
- Develop model business cases to help government institutions ensure that they have
reflected IM considerations in the overall planning for new systems. Such model business
cases would be based on the clear identification of business requirements, analysis of the
requirements for information creation, use, and preservation (regardless of the physical
form of the information), and analysis of risk reduction, cost avoidance, cost savings,
and opportunity gain.
- Establish pathfinder projects to assess technological and methodological solutions to
the management of information, especially within the electronic work environment (e.g.
workflow driven record keeping; web-enabled approaches to accessing, retrieving, and
storing information; etc.).
- Integrate IM considerations in pathfinder projects established to support PKI and the
Strategic Infrastructure Initiative.
Similar to the situation for managing government records, the "people" issues
must be addressed from two perspectives. The first is the perspective of public servants
at all levels who are the stewards of government information (i.e. responsible for the
information they create, use, and preserve to support decision-making, program/service
delivery, and accountability). The recommendations for addressing "people"
issues from this perspective are as follows:
- Integrate information management concepts, strategies, etc. into the design of
CCMD-sponsored courses and other related courses, publications, conference programs, etc.
targeted to senior executives and public servants generally;
- Identify work elements and competencies for information management (especially as these
relate to the role of public servants as stewards of information) and incorporate these
into the following for public servants, including executives.:
- accountability relationships;
- position descriptions;
- education / training and other development programs;
- recruitment strategies;
- rewards and recognition programs, and;
- performance measurement.
The second is the perspective of those who are responsible for the development of the
IM Infrastructure which permits public
servants to create, use, and preserve information while exercising their stewardship for
information. The knowledge, skills, and abilities required to build such an infrastructure are
multi-disciplinary and must be based on a clear understanding of the nature of the "work",
especially within an electronic work environment. The recommendations for addressing
"people" issues at this level are as follows:
- Identify accountability relationships and establish job profiles covering the work
involved in developing and maintaining an information management infrastructure. The
relationship (and compatibility) with existing job profiles (especially those from IM
communities such as records management and library services) should be assessed,
especially within the context of the
UCS;
- Develop a series of competency profiles for each of the job profiles based on existing
and emerging standards;
- Based on the competencies, establish a community development initiative for information
management which would address training and development strategies, recruitment
strategies, compensation, retention, career development, the role of mentoring, rewards
and recognition, performance measurement, etc.;
- Within the context of the IM
Community Development initiative, consideration should be given to recruiting a small cadre
of information management specialists to work in selected departments in order to jump start
IM programs and to serve as the nucleus of a new IM community.
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