ARCHIVED - Management of Government Information Holdings (Review Guide) - November 11, 1995

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Introduction

Background

Treasury Board Secretariat has consolidated the following policies under the concept of information management: Records Management, Government Information Collection and Public Opinion Research, Micrographics, EDP Records Management, and Forms Management. This focuses attention on the importance of information in supporting decision making and the delivery of programs and services. Information also permits institutions to hold themselves accountable pursuant to legislative and policy requirements. Information management is the coordinated management of both information holdings and investments in information technology.

Information is a valuable resource and a critical factor in the achievement of corporate objectives. Treasury Board Secretariat has recognized this in its publication Enhancing Services: Through the Innovative Use of Information and Technology - Strategic Direction for the 90s. Information management, including the planning, directing and controlling of information holdings and investments in information technology, is therefore important to help achieve corporate goals and to deliver programs and services. The review of this important area, through self-assessment, or audit and evaluation, is a good management practice.

Purpose and Scope of the Guide

As a concept, information management has many interpretations. For purposes of this Guide, we will use the description of information management as discussed in the Background section. The Treasury Board policies on the Management of Government Information Holdings (MGIH) and Management of Information Technology (MIT) are components of information management. The Treasury Board Foreword on Information Management states that linkages between information technology and information holdings should be established to the extent that they are useful and meaningful. In this context, the Review Guide addresses the MGIH component of information management, as well as the linkages to information technology. (See Appendix C for an explanation of linkages to technology.) However, the main part of the MIT policy is not addressed by the Guide.

The Guide was written to help government institutions review their management of information practices. Specifically, it is intended to assist institutions in self-assessment. Managers or staff may wish to review their own practices regarding the management of information on a periodic basis. In addition, the Guide is intended to assist auditors, evaluators and reviewers by serving as a tool for the planning and conduct of reviews of the management of information.

The emphasis of the Guide is on good practices for the management of information. This is reflected by the structure of the review chapters of the Guide which are based on two key themes: management issues (chapter 3) and service to user issues (chapters 4 through 8). Although references are made in the review chapters to the MGIH policy, the Guide is not a compliance checklist. Reviewers will have to assess the substance of their findings in order to draw conclusions about policy compliance and performance (i.e., is the intent being achieved as well as the letter being adhered to?).

The word information can have many meanings. For purposes of the Guide, the terms "information" and "information holdings" are synonymous. (Appendix B provides a glossary of definitions used for purposes of this Guide.) The emphasis of this Guide is to promote the cost-effective and coordinated management of federal information holdings. Throughout the Guide, the appropriate term is used in the context of the particular law, policy or activity being discussed.

Note: This document is not intended to serve as a definitive guide to the review of the management of information. Rather, it presents a basis for the review of a broad area. Readers should supplement their review procedures according to the nature and extent of the review planned. Appendix A provides many additional references that a reviewer might use to supplement this Guide.

If readers have any questions regarding the content or use of this Guide, they should contact the Information Management Standards and Practices Division, Archives and Government Records Branch, National Archives.

Roles and Responsibilities

The information management policies refer to many stakeholders. A reviewer should be cognizant of the roles and responsibilities of these stakeholders in terms of their relationship to, and impact on, the institution. Stakeholders include the following:

The institution is responsible and accountable for implementation of the MGIH policy. Management must designate a senior official to represent the institution for purposes of the MGIH policy. The infrastructure of institutional policies and procedures for the management of information should establish operating requirements that reflect the MGIH policy. The operating requirements should give direction to program managers and functional specialists, and provide guidance concerning the organization, description, use and retrieval, as well as the storage, protection, retention and disposal of the institution's information holdings. Everybody in the institution has some responsibility for the management of its information holdings.

Treasury Board Secretariat, Administrative Policy Branch, is accountable for the development and general interpretation of the MGIH policy, and for evaluating the policy to ensure its integrity and continued relevance, its effectiveness in achieving the stated objectives, and the policy's appropriateness in the context of overall government direction and changes in the management environment. The Branch is also responsible for leadership and support of federal internal audit and program evaluation groups. It provides advice and assistance to institutions, assesses audit and evaluation practices, fosters a professional community for auditors and evaluators, and oversees selected audits as well as central evaluations.

The Chief Informatics Officer for the federal government and the supporting Office of Information Management, Systems and Technology have the responsibility to provide a government-wide focus for the effective management of information technology. This mandate includes the responsibility for directing the re-engineering of government administrative processes and leading their cross-functional integration; establishing the framework and actively supporting the re-engineering of the government's program delivery mechanism; and developing policy and standards related to information management and technology and related telecommunications activities.

National Archives has specific evaluation responsibilities on behalf of Treasury Board Secretariat in regard to the MGIH policy. In addition, it may report on significant problems or issues in the state of management of information holdings relevant to their identification, organization, storage, conservation, retention and disposal. It also has authority, under the National Archives of Canada Act, to control the destruction and disposal of the information holdings of government institutions (excluding published material), and the transfer of information of historic or archival importance to the National Archives. Within the context of its mandate to facilitate the management of government records and its leadership role in the management of government information holdings, the National Archives leads the implementation of the framework for evaluating the management of government information holdings. The Archives performs this function in collaboration with Treasury Board Secretariat, National Library, Public Opinion Research Group of Government Services, Canadian Centre for Management Development, internal audit and program evaluation groups, and information management groups of government institutions.

National Library is responsible for identifying, acquiring, recording and making available Canada's published heritage, regardless of format. The major tool for this responsibility is the national bibliography, Canadiana. Federal government publications are an important part of Canada's heritage. The National Library also acts as the central point for facilitating resource sharing among Canadian libraries. The National Library fulfils this responsibility through union catalogues and lists used to identify and locate library holdings for interlibrary loan. A number of articles within the National Library Act refer directly to the coordination of federal library activities including the disposal of surplus published materials. In addition, the National Library has specific evaluation responsibilities related to published material.

Internal Audit Groups are responsible for including in their audit of information management an assessment of the degree of compliance with the MGIH Policy. This is in addition to the customary responsibility of internal audit to assess the effectiveness of the management framework in ensuring the achievement of operating objectives, the economical and efficient use and protection of resources, and the integrity of information.

Program Evaluation Groups are responsible for evaluating the continued relevance, success and cost-effectiveness of federal programs. Where institutions provide information to the public, or to groups outside the institution, program evaluation may look at the provision of this information in terms of its relevance, success and cost-effectiveness.

Public Opinion Research Group, Government Services Canada, is the central reporting agency to which all proposals regarding information collection and public opinion research must be sent. The POR Group is responsible for assessing the public opinion content of the proposal, determining if approval by the Cabinet Committee on Operations is required, and issuing authorization numbers allowing institutions to initiate contracting procedures for approved projects.

Canadian Centre for Management Development provides advice and guidance to institutions in developing institutional histories, case studies and profiles.

 

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