IM Policy Implementation

Policy on Information Management and Directive on Information Management Roles and Responsibilities

Title of the Policy or Cluster of Policy Instruments
Objectives of the Implementation Plan
Policy Implementation Approach

Phase 1:  Ensuring IM Governance and Employee Awareness of IM (July 07 – June 08)
Phase 2: Supporting Business Processes (July 08 – June 09)
Phase 3: Sustainability of IM (July 09 – June 10)

Policy Instrument Monitoring

Previous MGI Policy Implementation (2003-2007)

1.  Title of the Policy or Cluster of Policy Instruments

• Policy on Information Management, Policy effective date: July 1, 2007
• Directive on Information Management Roles and Responsibilities, Directive effective date: October 8, 2007

2.  Objectives of the Implementation Plan

The overriding objective of the implementation plan is to outline planned activities that will contribute to a smooth transition from the Management of Government Information Policy to the proposed Information Management policy suite.

3.  Policy Implementation Approach

Lessons learned through the implementation of complex policies suggest that an incremental / phased approach to implementation, which first focuses on building a sound foundation and then ramping up capacity. Phasing will also allow for time needed to understand and address impacts.  This is confirmed through consultation with the IM community, and a recognition that implementation of the IM Policy and Directive affects everyone who deals with information. Hence, a three-phased approach to implementing the Policy and Directive is proposed.

Scope and Phases

Implementation priorities have been established within a 3-year, phased-in approach in response to consultations with the IM community and managers to give departments the time to make adjustments to current internal policies, processes and practices in preparation for the renewed management obligations. In each phase supporting policy instruments will be developed.

Each phase targets specific mandatory requirements and designated groups from the Policy on Information Management and the Directive on Information Management Roles and Responsibilities, as indicated below.

• Phase 1 will deal with IM governance and employee awareness and is expected to be implemented by June 30, 2008, within 12 months from the policy effective date.
• Phase 2 applies to IM for business managers and will extend 12 months from the end of the first phase with an implementation date of June 30, 2009.
• Phase 3 will establish the monitoring, reporting and auditing framework for the Policy and Directive and will be completed within 12 months from the end of the second phase, with an expected implementation date of June 30, 2010.

Phase 1: Ensuring IM Governance and Employee Awareness of IM (July 07 – June 08)

This phase sets the foundation by concentrating on IM governance and employee awareness.  It will specifically support deputy heads and employees relative to the implementation of the IM Policy and Directive focusing on development of instruments targeted to institutional executives and employees.

Prerequisites include:

• TB Ministers approval of the IM Policy
• TB Secretary approval of the Directive on IM Roles and Responsibilities
• Government-wide communications strategy

This Phase is expected to require 12 months to complete (30 June 2008) and will comprise the following major activities:

• each deputy Head will designate a senior departmental official responsible for representing the deputy head to the TBS on IM matters. Deputy heads will also ensure participation from their department in setting government-wide IM direction.
• development and roll-out of instruments and services for the management of information targeted to the designated senior departmental officials and managers to ensure that they are advised of, and equipped to meet, their IM roles and responsibilities.
• development and roll-out of instruments and services for the management of information targeted to departmental employees at all levels to ensure that they are advised of, and equipped to meet, their basic obligations related to information quality and how it is handled and managed.
• departmental IM specialists will be called on to develop and promote the use of IM instruments and services.

Outcomes

• Departmental staff and executives are aware of their IM roles and responsibilities.
• GC and departmental training reflects current IM Policy and Directive requirements.
• CIOB presentations and ongoing communications concerning the Policy and Directive to various audiences such as executive committees of TBS portfolio departments and interdepartmental committees, conferences and  professional associations (e.g., National Managers' Community, ARMA, DPI, RMI) as well as providing interviews to select publications on the requirements of the new Policy and Directive.
• CIOB leadership in collaborating with the IM Community, other sectors of CIOB, the Organizational Readiness Office (ORO), and the Canada School of the Public Service (CSPS) in renewing government-wide  training and education for public service employees particularly senior executives and IM functional specialists.
• Deputy heads ensure that the revised Policy and Directive are appropriately disseminated and the requirements in these instruments are being implemented.

Phase 2: Supporting Business Processes (July 08 – June 09)

The second phase will concentrate on the value-added IM brings to effective and efficient delivery of business programs, services and projects. Departments will be asked to ensure that they:

• determine or validate the IM performance baseline for their departments;
• share information and IM products and services;
• implement and use electronic systems;
• integrate IM in business activities; and
• document decisions and decision-making.

Prerequisites:

• An established governance for IM
• A common understanding of IM

This phase will focus on activities to support organizations in implementing IM in their business/operations including the sharing of IM initiatives, targeting the harvesting and disseminating of IM products and tools.

Departments will move towards the use of electronic means such as a records and document management system to manage information.

IM specialists and common service providers will be called on to develop and promote IM instruments and services focused on the sharing of information and IM products.

Outcomes

• Common IM products and tools are identified and re-used across departments.
• IM is addressed in the development and funding of programs, services and projects.
• IM sharing and interoperability requirements are identified and established.
• Information quality is increased.

Phase 3: Sustainability of IM (July 09 – June 10)

This last phase focuses on the sustainability of IM across departments through the establishment of:

• common approaches to IM;
• monitoring, reporting and audit framework to ensure relevance, progress towards intended results and adherence to policy; and
• priorities to address change.

Prerequisites:

• Communication and outreach plan
• Change management processes

A review and assessment of the current state of IM performance measurement, monitoring, reporting and auditing in departments and by CIOB will be undertaken including steps such as:

• analysis of relevant best practices in the private and public sectors to identify indicators (e.g., IM Capacity Check and MGI Policy Compliance Readiness Indicators);
• consultations and communications with departments on the benefits and uses of these best practices and how departmental indicators relate to mandatory policy instrument requirements;
• provision of feedback and input to government–wide (e.g., MAF) and departmental processes and change indicators; and
• ongoing review to determine whether the monitoring, reporting and audit framework is appropriate.

Outcomes

• Common IM performance measures.
• Ongoing reporting and auditing of IM by and for departments.
• Improved analysis of horizontal issues.
• Priorities established for improvements to IM.

4.    Policy Instrument Monitoring

Within Departments

• Deputy heads are responsible for monitoring adherence to the Policy and Directive within their department, consistent with the provisions of the Treasury Board's Evaluation Policy and Policy on Internal Audit and that appropriate remedial action is taken to address any deficiencies within their department.

By Departments

• Deputy heads report information management concerns to the Treasury Board of Canada Secretariat in a timely manner.
• Deputy heads are responsible for providing to Treasury Board Secretariat, on an annual basis, the names and responsibilities of their officers who are involved in national and international information standards, to ensure a comprehensive understanding of the Government of Canada's involvement and contribution.

Government-Wide

• The Treasury Board Secretariat will monitor compliance with all aspects of the Policy and Directive and the achievement of expected results in a variety of ways, including but not limited to assessments under the Management Accountability Framework, examinations of Treasury Board Submissions, Departmental Performance Reports, results of audits, evaluations and studies and working directly with departments.
• Treasury Board Secretariat will review the Policy and Directive and their effectiveness at the five year mark from the effective date of the implementation of the IM Policy (or earlier for certain directives and standards). When substantiated by risk analysis, the TBS will also ensure an evaluation is conducted.