Governance and Accountability for the Management of Information in the GoC

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Governance and Accountability for the Management
of Information in the GoC

• Presentation to the IM Forum
• January 30, 2003

Susan Wiggin (613-952-2663) Wiggin.Susan_at_tbs-sct.g
c.ca Information Management Division GOL
Directorate, CIO Branch
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Government is in the Information Business

• All services provided to citizens, businesses and
• internal clients are information-based
• The provision of information is often the service
  itself weather, consumer gateway, research
  information
• Transactional services are defined by
  information What is the criteria for a specific
  grant? What is the process for applying for a
  passport?
• Transactional services also generate information
  When did someone file their taxes? Who approved
  this project?
• Quality and timely information is a key to
  support program/service delivery and
  decision-making

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Basis for Management of Information (MI)
Governance and Accountability

• Requirements for managing information stem from
  Canadian legislative and policy requirements
• Specifically related to an institutions mandate
• Some 40 pieces of Government-wide legislation and
  policy
• Some examples

• Management of Government Information Policy
  includes accountability frameworks when
  information is shared
• Communications Policy
• Risk Management Policy
• Privacy Impact Assessment Policy

• Appropriation Acts
• Financial Administration Act
• Access to Information Act
• Canada Evidence Act
• Privacy Act, Regulations
• Auditor General Act

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The FMI describes MI accountabilities and
responsibilities

• Government institutions
• Line departments and agencies
• Institutions with a special role (Cabinet, PCO,
  TBS, NA/NL, Statistics Canada, Communications
  Canada, PWGSC, PSC, Finance, Defence)
• When working in partnership with each other,
  other governments and non-government
  organizations
• All persons Working for the GoC
• Management of information governance and
  accountability should be an integral part of the
  overall institution governance and accountability

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FMI Provides Information and Guidance

• Overview of, and Links to Legislations,
  Regulations, Policies
• Governance and Accountability Overview - an
  overview of management of information governance
  and accountability within a government-wide
  context.
• Governance and Accountability in Government
  Institutions Guideline - management of
  information governance and accountability
  guidance for government institutions
• Documents are available on the FMI web site
  http//publiservice.cio-dpi.gc.ca/im-gi/fmi-cgi/fm
  i-cgi_e.asp

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MI Governance and Accountability Overview

• Management of information is subject to the same
  governance processes as that for
  programs/services
• Citizens provide input/feedback
• Parliament defines government priorities and
  approves legislation - provides program
  authorities and funds
• Institutions account for results by providing
  information to Cabinet and Parliament
  Departmental Performance Reports
• Central agencies and common service institutions
  provide policies and guidance
• The Auditor General, Information Commissioner,
  Privacy Commissioner, Commissioner of Official
  Languages perform independent reviews, audits and
  report to Parliament

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MI Governance and Accountability Overview

• Defining the Terms
• Governance Exercising authority to provide
  direction and to undertake, coordinate and
  regulate activities in support of achieving this
  direction and desired outcomes
• Accountability The obligation to demonstrate
  and take responsibility for performance in light
  of commitments and expected outcomes
• Responsibility Something that one is required
  to do as part of a job, role or legal obligation

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MI Governance and Accountability Overview

• Government institutions are
• individually responsible for managing information
  in their custody, and
• jointly responsible for the effective and
  effective management of information across the
  GoC.
• All persons working for the GoC use information
  in performing their duties and have
  accountability and responsibility for the
  management of information.
• Accountability and responsibility must be clear
  and governance processes in place to provide
  direction, coordinate activity, and oversee
  results.

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MI Governance and Accountability Overview

• Institutions are
• Accountable for the quality of information in
  their custody and the effective use of
  institution and government-wide information
• Responsible for
• Ensuring quality information is available
• Providing access to information subject to
  legislation, policy
• Utilizing and managing information as a strategic
  resource
• Ensuring MI considerations are included in
  institution plans and activities
• Implementing and adhering to policies, standards,
  guidelines for the effective management of
  information
• Ensuring governance mechanisms are in place to
  assure results and compliance

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MI Governance and Accountability Overview

• All persons working for the GoC
• Accountable for due diligence, quality results,
  efficiency of effort, and obedience to
  information legislation, policies as related to
  their responsibilities
• Responsible for
• Applying management of information principles,
  standards and practices in the performance of
  duties
• Documenting activities, decisions
• Identifying IM requirements and issues to IM
  specialists and IT personnel
• Maximizing the use of information to support job
  duties
• Protecting and enhancing information value
• Addressing information needs of their immediate
  users

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FMI Provides Information and Guidance

• Overview of, and Links to Legislations,
  Regulations, Policies
• Governance and Accountability Overview - an
  overview of management of information governance
  and accountability within a government-wide
  context.
• Governance and Accountability in Government
  Institutions Guideline - management of
  information governance and accountability
  guidance for government institutions
• Documents are available on the FMI web site
  http//publiservice.cio-dpi.gc.ca/im-gi/fmi-cgi/fm
  i-cgi_e.asp

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MI Governance and Accountability in Government
Institutions Guideline

• MI governance and reporting processes should be
  well-defined
• Coordination through the Senior Executive
  responsible for the management of information on
  a portfolio basis, and institution-wide
  committees
• Integration of MI requirements in program/service
  delivery plans and activities, and TB submissions
• Establishment of MI performance measures for
  business activities and individuals
• Periodic MI health assessments
• quality of information
• adherence to law/policies
• maturity and effectiveness of MI practices
• identify improvement priorities
• Periodic independent assessments (internal audits)

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MI Governance and Accountability in Government
Institutions Guideline

• MI Resource Allocation, Training and Appraisal
• Tools to support day-to-day activities and
  facilitate the management of information as a
  corporate resource standards, guidelines,
  systems, technology
• IM specialists/advisors to provide expert advice,
  guidance, support
• Training for all employees in support of MI
  activities
• Sufficient time for all employees to fulfill
  their MI responsibilities
• Assessment of all employees including deputy
  heads on their MI responsibilities - Employee
  Performance Appraisal, Departmental Assessments

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MI Governance and Accountability in Government
Institutions Guideline

• MI Policy and Framework
• Institutions should
• Have a clear, pragmatic, cost-effective framework
  for the management of information tailored for
  the institution and consistent with the
  government-wide FMI
• Complement government-wide MI policy, standards,
  guidelines with policy, guidance to reflect the
  institutions specific needs

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MI Governance and Accountability in Government
Institutions Guideline

• Roles and Responsibilities for Institutions

• Senior Executive Responsible for MI
• IM Advisors
• IM Specialists
• IT Specialists

• Minister Responsible for the Institution
• Deputy Head
• Managers
• All Persons Working for the Institution

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MI Governance and Accountability in Government
Institutions Guideline

• Roles and Responsibilities Minister for the
  Institution
• Designated authority and responsibility for all
  matters within the jurisdiction of the
  institution.
• Accountable to the Prime Minister and Parliament
  for institution results and the conduct and
  actions of all persons working for the
  institution
• Supports the institutions MI program and
  accounts to Parliament for the quality of
  institution information and maturity of MI
  practices

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MI Governance and Accountability in Government
Institutions Guideline

• Roles and Responsibilities Deputy Head
• Accountable for
• effective/efficient service delivery including MI
• actions and results of all persons working for
  the institution who act and make decisions on
  his/her behalf
• the effective, efficient management of
  information in accordance with statutory
  requirements
• Responsible for
• Ensuring implementation of information policy,
  standards, guidelines
• Promoting a culture that recognizes information
  as a valuable asset and an integral part of
  program/service delivery
• Allocating appropriate resources to support MI
• Establishing an organization with skills,
  expertise, reporting relationships for successful
  MI

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MI Governance and Accountability in Government
Institutions Guideline

• Roles and Responsibilities Managers in
  Institutions
• Accountable for
• Achievement of program/service delivery outcomes
• The integrity of processes performed under their
  direction
• Ensuring availability and effective use of
  quality information to support program/service
  delivery
• Responsible for
• Managing information as an integral part of
  program/service delivery and as a strategic
  business resource, applying MI principles,
  standards and practices
• Identifying information requirements and issues
  to IM specialists and IT personnel, and ensuring
  processes and systems appropriately address these
  requirements

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MI Governance and Accountability in Government
Institutions Guideline

• Roles and Responsibilities All persons working
  for the Institution (employees, secondments,
  persons under contract or partnership agreements
  with the institution)
• Accountable for
• due diligence, quality results, efficiency of
  effort, and obedience to information policies and
  legislation as it relates to their
  responsibilities
• Responsible for
• Applying MI principles, standards and practices
  in the performance of their duties, and
  maximizing the use of information
• Documenting their activities and decisions

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MI Governance and Accountability in Government
Institutions Guideline

• Roles and Responsibilities Senior Executive
  Responsible for MI
• Accountable for
• maximizing opportunities to leverage
  institutional and government-wide information
• providing guidance for effective and efficient
  management of information
• Responsible for
• Ensuring MI accountability frameworks, terms of
  reference are in place
• Ensuring policies, tools and techniques are in
  place to facilitate adherence to information law
  and policy, and effectiveness of MI practices
• Championing information as fundamental enabler
  and essential product of program/service delivery
• Ensuring IM requirements are identified and
  addressed during program/system design, and
  subsequently implemented

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MI Governance and Accountability in Government
Institutions Guideline

• Roles and Responsibilities Information
  Management Advisors
• Accountable for
• Provision of a broad range of expert advice,
  guidance and support to program and staff
  functions on the management of information
• Responsible for
• Providing advice, guidance from the earliest
  point in program/service planning and development
  through day-to-day operations and assessment
• Coordinating and identifying information
  requirements to obtain IM services and to support
  the development and operation of IT processes,
  systems, standards, tools
• Assessing and recommending MI resource and
  training requirements

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MI Governance and Accountability in Government
Institutions Guideline

• Roles and Responsibilities Information
  Management Specialists
• Accountable for provision of expert MI
  advice/guidance, services for specific aspects of
  IM
• librarians, archivists, access to information and
  privacy specialists, records management
  specialists, web and portal managers, data
  modellers
• Responsible for
• Providing IM advice, tools, procedures,
  standards, guidelines, services consistent with
  government-wide direction and institution policy
  in their area of expertise
• Identifying information requirements to IT
  personnel to support the development and
  operation of IT processes, systems, standards and
  tools
• Assisting IM Advisors in assessing IM resource
  and training requirements

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Roles and Responsibilities

• Information Technology specialists
• Accountable and responsible for
• providing the technology infrastructure, systems,
  and services of the institution in a manner that
  ensures that the integrity and confidentiality of
  information is preserved as it is captured,
  stored, accessed and transmitted through
  information systems and technology

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Discussion

• Will this guideline be a useful tool for
  departments and agencies?
• What would be the best way to consult and obtain
  feedback from departments.
• What would be the best way inform and get buy-in
  from senior management within departments and
  agencies?
• What would facilitate implementation?
• Other?

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MI Governance and Accountability in Institutions
Guideline Annexes

• A Principles of Effective Accountability
• B Delegation of Management of Information
  Authority
• C Management of Information Responsibilities
• D IM Specialist Services

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Annex A - Principles of Effective Accountability

• Outlines five principles for effective
  accountability
• 1. Clarity of accountability and
  responsibilities
• 2. Clarity of performance expectations
• 3. Balance of expectations and capacities
• 4. Credibility of reporting
• 5. Reasonableness of review and adjustment
• Based on Modernizing Accountability Practices in
  the Public Sector, a joint discussion paper by
  the Office of the Auditor General of Canada and
  the TBS.

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Annex B Delegation of Management of Information
Authority

• The Deputy Head should delegate specific aspects
  of management of information to a specific
  individual to ensure MI considerations are duly
  taken into account, coordination and oversight
• MI policies, standards, guidelines
• IM investments and tools
• IM competencies, IM elements in job descriptions
  for non-IM specialists
• Competencies, job descriptions for IM advisors
  and specialists
• Review of MI considerations in business cases, TB
  submissions, project charters and plans,
  partnership agreements

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Annex B - Delegation of Management of Information
Authority Contd

• Review of program and service design
• Review of information systems and technology
  design
• Review of proposals on personal information
  banks, data matching programs for personal
  information
• Protection and recovery of essential records
• Publishing information
• Access to information and privacy
• Retention and disposal of records
• Investigation of information incidents and
  authorization of special measures

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Annex C - Management of InformationResponsibiliti
es

• Identification of MI responsibilities, beginning
  with the early stages of policy development,
  through planning, systems development, day-to-day
  operations, and assessment for program and
  service delivery
• Suggestions on who should lead and who should
  provide support for activities throughout
  information life cycle
• Deputy Head, Senior Executive, Managers, All
  persons, IM Advisors, IM Specialists, IT
  Specialists

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Annexe D - IM Specialists Services

• An overview of the nature of services provided by
  IM specialists in support of program/service
  delivery and the key activities undertaken in the
  provision of the services.

• Advice and Guidance
• Information Architecture Management
• Information Systems Management
• ATIP Service Management
• Documents/Records Management

• Archival Management
• Portal, Web Publication Management
• Library Management
• IM tools and services