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Information Management in the Government of CanadaOTTAWA, ONTARIO [2004-7-28] I am pleased to be able to participate today
for several reasons. The primary one, of course, is that information
management issues lie at the very centre of my
responsibilities as Information Commissioner of Canada. Put
simply, information access rights are meaningless if the
information does not exist, cannot be found, is incomplete or
cannot be trusted. I have stressed this on other occasions, in my
reports to Parliament and will do so today.
Another reason that I am happy to be here has
to do with the company I am keeping. On the program are a number
of speakers who are knowledgeable about various aspects of
records and information management, have responsibility for them
in the Government of Canada and other jurisdictions, or represent
organizations that promote good public sector information
management. I am particularly pleased that my colleagues, the
Information and Privacy Commissioners of Alberta and British
Columbia, are here as well as the Assistant Commissioner of
Ontario. As well, Dr. Alasdair Roberts, who will be
speaking tomorrow, has long been a champion of open government
and strong information access rights. Like you, I will look
forward to hearing other conference speakers.
For my part, I would like to share with you my
perspective, a few of the information challenges that I see
facing the public sector and some of the steps that are being
taken or should be considered to improve the management and
accessibility of government records and other forms of
information.
In his opening remarks, the Chair of today's
conference, Andy Lipchak, defined information management and described the
activities and elements that need to be in place to ensure that
information is available, accessible and of high quality. In the
public sector, these are not abstract notions but essential
processes for open, effective and accountable government. Nor is
information an abstract concept. We are talking about immigration
files, census records, commission reports, environmental
assessments, pension records, departmental financial accounts,
grant files and others that enable government departments and
agencies to function internally and to interrelate with a host of
stakeholders. The information is current, semi-active and
archival. It exists in paper, in digital formats and a multitude
of other media. It is stored in department servers, in filing
cabinets, in PDA’s1 and in piles littering desks and office hallways.
In formal policies and official reports, in
memos, emails, scribbled notes, websites and a variety of other
forms, the records of government show how it thinks, makes
decisions and takes action. They can also tell us, sometimes by
their absence, how government has sidestepped issues, refused to
take action or avoided making decisions. In the work of my office
and in the records I review, I see all of these dimensions –
the good, the bad and the bizarre
Why is the Information Commissioner
concerned about Information Management?
My perspective comes from my responsibilities
and experience related to the legislated rights of Canadians to
access information maintained by federal government institutions
and agencies. The Access to Information Act is one of the
two primary legal safeguards for Canadians regarding information
held by the Government of Canada. The other is the Privacy Act
(for which my colleague, Jennifer Stoddart, has
responsibility). The Access to Information Act provides
Canadians with the right to have access decisions reviewed,
independently of government, by the Information Commissioner and
the federal courts. As an officer of Parliament, my job is to
investigate and attempt to resolve complaints by members of the
public, the media and other non-government bodies that access has
been improperly denied or unreasonably delayed, that they have
been asked to pay too much to get requested information or that
they have faced other unreasonable barriers. My office received
1,338 such complaints in the last completed fiscal year, the 21st
since the Act’s passage in 1983.
In many cases, the denial of access, delay or
expense is justified. There are a variety of limited and specific
exceptions to the right of access and these are identified in the
Act. They cover such areas as Cabinet confidentiality, national
defense and security, international relations, law enforcement,
personal privacy, intellectual property and certain other areas.
In other instances, the request for information is so broad or
complex and covers such a large number of documents and
locations, that an extension of the prescribed 30-day response
time is clearly called for to assemble, review and copy the
records.
Frequently, however, the investigations my
office conducts find that the denial of information or delay or
cost is unjustified. Sometimes, this can simply be explained as
errors in interpreting or administering the Act. Unfortunately,
there are also other and more troubling reasons why access is
denied. In these instances, the information exists, has been
located, does not fall under an exemption and can be provided
within the allotted time. To understand the reasons, one must
look at political and bureaucratic attitudes and the
organizational culture of government.
The Bureaucratic Culture of Secrecy
Despite the efforts of the vast majority of
conscientious and dedicated civil servants, large bureaucracies
and a contentious political environment sustain a culture that
often resists openness and transparency. It is by nature
hierarchical, introverted and reluctant to take risks. In spite
of the need to collaborate to solve increasingly interconnected
problems, there is a strong tendency to hoard information and
knowledge rather than share it. Keen competition by departments
for recognition and resources encourages this tendency. Records
and data are often seen as personal property or departmental
possessions. And in spite of legal requirements and government
policy, there is often resistance to releasing information that
may result in negative political, personal, organizational or
other consequences. An unwillingness to admit error continues to
persist. Records are conveniently lost or altered. The concepts
of "cabinet confidentiality" and "national
security" are open to abuse. Put bluntly, a deeply embedded
culture of secrecy co-exists with genuine commitments by
government to openness and transparency. Excessive secrecy is
inexcusable in a democratic, information-dependant society that
expects high levels of integrity, transparency and accountability
from political leaders and public servants. If citizens cannot
access or trust the information to which they have a right,
democracy itself is in serious jeopardy.
In the recent election, fewer than 61% of
eligible Canadians exercised their right to vote, the lowest
level since Confederation. Among United Nations’ member
states, Canada ranks an embarrassingly low 109th in
voter turnout, in between Fiji and Lebanon.2 For many younger Canadians, there is greater interest
in voting for the next Canadian Idol than in electing a
government. This disengagement is particularly troubling since it
is part of a trend in Canada and in some other western
democracies.3 There are many reasons for this apathy
and cynicism, none of them encouraging. Only the foolish,
however, would deny that it has something to do with the
public’s perceptions of the credibility of information they
receive from government.
The Records Management Crisis
There are other reasons for the inability to
access reliable government information. I am referring to the
lack of good, basic records and information management. Let
me give some examples. Searches are often lengthy and incomplete
because records are lost or inappropriately named and filed.
Relevant records are often duplicated in many locations and in
multiple versions of uncertain authoritativeness. Records that
should be present in the files often have not been created (for
example, when the minutes of important meetings are not kept or
when the authority behind key actions and decisions is not
documented). Records security and confidentiality are often
poorly protected. Records are sometimes destroyed prematurely and
without authorization, often inadvertently and sometimes
intentionally. Other records are maintained far longer than
needed or required, raising costs and impeding the search for
more timely and authoritative documents. In other instances, the
records in the file are inaccurate, irrelevant or otherwise
unreliable. Often, I find that departments simply do not know
what records they have or what they contain. This uncertainty
sometimes breeds fear at what the files might show or at least
hesitation in releasing them. Whatever the reason – and
there are others as well -- the result is that often neither
government staff, department heads, Parliament nor the public has
ready and reasonable access to important information it needs and
has a right to see.
The introduction of electronic information
systems, although providing huge benefits, has complicated the
task of properly creating, storing, protecting, accessing and
preserving government records. Computer systems are complex,
quickly changing and often incompatible. Instead of a paperless
office, we now are now producing, world-wide, nearly twice the
volume of paper documents in 2003 than we did in 1999.4
Whether in paper or electronic form, the volume of information
around us makes it harder to know what information we really
need, where it can be found, what value it has, what we should do
with it and how it should be managed.
Earlier, I referred to the multiple versions of
documents that exist. Sometimes, this circumstance provides a
lighter dimension of information management. I am reminded of a
public official who was asked to deliver a fifteen-minute speech
at a community event. There was very little time for his staff to
prepare the speech and he was handed the text just as he was
leaving for the event. Once there, everything seemed to be going
well until the official noticed that many people in the audience
were looking at their watches and growing restless. He glanced at
his own watch and realized that he had been speaking for almost
one hour! He finished quickly and hurried back to his office. He
angrily called the speechwriter in and said, "I told you to
write me a 15-minute speech!" The writer, rather surprised,
replied, "But, sir, I did write you a 15-minute
speech…and I handed you four copies."
I suspect that all four copies are still filed
somewhere.
I have not been the only one to raise concerns
about poor records and information management. The Librarian and
Archivist of Canada, various Privacy Commissioners, my own
predecessors and numerous Auditor Generals have addressed the
subject. A recent and well-known report of the Auditor General is
a case in point. Released in February, the report cited poor
recordkeeping as a key factor in the mismanagement of major
government programs. One of these is the federal Sponsorship
Program. The Auditor General found that contracts with
advertising firms were so poorly documented that key questions
about payments, funded activities and program value could not be
answered. There were few records of decisions and no
documentation of results. It was, Sheila Fraser said, the
most extreme case of missing records that her office had ever
encountered. The report also discussed the Canadian Firearms
Program. It said that the responsible department5 did
not provide Parliament with sufficient information to allow it to
scrutinize the program effectively to ensure accountability.
There was little financial information and insufficient
explanations for the dramatic increases in the cost of the gun
registry program. Earlier audit reports have dealt with other
examples of poor recordkeeping: the files related to GST fraud,
improper tendering of government contracts, the inability to
locate costly commissioned reports, the lack of security for
sensitive information and other examples. The Auditor General has
said that some programs are so poorly documented that an audit
cannot even be completed. The records are simply not there, are
incomplete or are unreliable. Neither a paper trail nor its
digital equivalent is in place.
Although overshadowed by references to the
sponsorship scandal, the same Audit report devoted a chapter to
the serious problems threatening the preservation of
Canada’s cultural heritage – federal library and
archival materials and historic sites. Among the underlying
issues identified were poor records management and a lack of
resources and effective plans to protect and preserve records and
publications.
One might assume that the Auditor General and I
tend to discover the worst because of our investigative
functions. There is some truth to this although we do not go
looking for trouble. Nor do we assume, when we find it, that it
is representative of all programs or of the majority of public
servants and elected and appointed officials who place high value
on professional behaviour and institutional accountability. They
are just as concerned when their best efforts to plan, manage and
document their actions and decisions are frustrated.
The implications of poor recordkeeping are a
serious matter. They range from minor inconvenience to poor
programs and services to the denial of basic rights and the
erosion of government accountability. Put another way, at stake
is the public’s right to know, to challenge, to participate
in and, ultimately, to influence and improve the governance
process.
Making Progress
There are many problems, but there are also
many efforts to address them. In my last annual report I
identified a number of signs that central and lead agencies and
many departments are responding to the need for better records
and information management. These efforts are continuing and, in
some areas, accelerating. Other speakers will be discussing some
of them. Let me mention positive initiatives in three critical
areas.
The first area is the need to increase
awareness of information management and appreciation of its value
in enabling effective policies and programs, cost savings,
improved accountability and other benefits. I find that awareness
of IM is much higher than before. Departments have a better
appreciation that records and other forms of information and data
are valuable public assets that must be responsibly and
efficiently managed. Two official Champions for Information
Management – National Librarian and Archivist
Ian Wilson and Janice Charette, Associate Deputy
Minister, Health Canada – are strong advocates for IM. An
annual IM Day sponsored by the Chief Information Officer Branch
and other events bring together senior managers to discuss IM
issues and plans and recognize achievements. The last such event
had 400 participants.6 Several IM committees within
government provide opportunities to consider and respond to IM
issues. Library and Archives Canada also developed and
distributed a "Case for Action" for improving the
federal IM infrastructure. The document defines IM and provides
persuasive arguments for improving information management. It has
stimulated a number of departments to examine their information
management programs. To support this, several tools have been
developed to assess IM capacity and infrastructure. The best
known of these is the Information Management Capacity Check
developed by Library and Archives Canada.
Another initiative that helped call attention
to information management was the report of the Access to
Information Review Task Force in 2002. The report echoed the call
for a stronger access culture and effective IM leadership, tools
and training. Unfortunately, the report fell far short with
regard to its primary objective: the need to reform and
strengthen the Access to Information Act and related
powers and procedures. I will leave that topic for another
occasion, however.
The second area where progress is being
made relates to IM policies, standards and tools. The chief
advance has been the development of an excellent Management of
Government Information policy by the Chief Information
Officer Branch of Treasury Board. Approved last year, MGI
identifies information management principles, defines the
life-cycle requirements for information in all forms, provides
direction regarding governance and accountability for IM and
requires monitoring and evaluation of IM programs. It requires
that each department designate a senior official who will be
responsible for the policy. You will be hearing more about the
policy in the next session.
To support IM requirements, both the Chief
Information Officer Branch and Library and Archives Canada have
extensive websites that describe and support a framework for IM,
provide various guidelines and tools, as well as links to other
useful resources. Important information standards are also being
developed or promoted. These include systems for classifying
records that are based on the functions and activities that the
records support rather than on the frequently-changing structure
of an organization. Other standards include XML7 which
is used to structure and format documents and data on the Web.
New metadata standards control the description of electronic and
paper records, web-based information and geospatial data. These
are important aids to access and information systems
interoperability. As well, there is work being done to identify
better metrics and performance indicators for IM. Records and
documents management software systems (RDIMS) are also becoming
more prevalent. I am aware, however, that there are a variety of
opinions about RDIMS among departments. Our own version is
proving highly successful in my office, however.
A third and particularly critical area
has to do with raising information management skills and
leadership and properly resourcing IM in the federal government.
The decimation of the records management community in the
1990’s and the explosion in electronic communications have
resulted in a workforce that is poorly equipped to manage either
their paper or electronic records. Departments are realizing that
the greatest single IM challenge they face is the lack of skilled
staff. The ATI Task Force expressed the problem this way:
"Public servants are expected to manage the information they
create or acquire, without this responsibility being clearly
communicated to them, or adequate training or support
provided." Neither senior executives nor workers are likely
to be able to understand let alone implement the requirements in
the new IM policy without such training and support.
Public Works and Government Services Canada is
responsible for leading the development of a human resources
strategy for the IM and IT communities. There have been a number
of positive steps taken. The IM community has identified key IM
competencies and the Organizational Readiness Office has
published a catalogue of IM job descriptions including models for
three director-level positions. These positions relate to
information management, knowledge management, and access and
privacy management. I am told a searchable inventory of IM
training courses and institutions will soon be available. Public
Works has also launched an excellent two-year pilot "IM
Leadership Initiative" involving 25 managers identified by
their departments as potential IM leaders. I believe you will be
hearing more about these initiatives tomorrow.
In terms of financial resources, the budgets
for IM activities are typically buried in administrative nooks
and crannies, hard to find but somehow easy to cut. I am aware,
however, that some help for departments is available through a
new MGI Implementation Fund and a government-wide RDIMS license
and fund.
I have been focusing on central agencies so
far, but individual departments are also developing or revising
their IM frameworks and undertaking other projects to improve
compliance with the new IM policy. Some of you are involved in
these activities and can share this information at the
conference. I am aware that approximately 25 departments and
agencies have completed, are using or are planning to evaluate
their information management programs using the IM Capacity Check
or other assessment tools. This is providing an opportunity to
identify gaps and priorities, and argue for greater internal and
central agency support.
What More Should be Done?
A good deal is happening and I applaud these
and other initiatives at the centre and among departments. I have
only mentioned a few of them. There is now some momentum within
the public service to improve records and information management.
Much more needs to be done, however. In spite of new policies,
programs and tools, I see little improvement in the
government’s filing cabinets and at the electronic desktop.
Workers continue to be unsure what they need to do, where to turn
and whether they have the support they need, especially with
regard to managing their electronic records. The benefits of
current high-level projects need to trickle down to the office
level and other steps need to be taken.
I would like to mention several areas where
improvements can be made.
Awareness of the importance of IM and
commitment to do something needs to be stronger at the Deputy
Minister and other senior levels. Managers at an IM Symposium
said that the most important determinant of a successful IM
thrust in their departments was the level of support from their
Deputy Ministers. That support has to be developed through a
strong business case for IM, in other words a customized
"case for action" that focuses on a specific
department’s programs and activities. What a Deputy Minister
wants to know is why he or she should take action in one area or
another, what the benefits will be related to their programs and
pressures, and what will be the cost of taking action. They
already have plenty of competing demands for resources and a host
of rules they are expected to adhere to. They need to know the
extent of the financial, legal, political, and program risks of
not managing or protecting their records and information. These
dimensions need to be added to IM capacity assessment projects.
At present, these assessments focus on identifying gaps rather
than impacts. On their own, they tell a department what
needs to be done – and that is important – but they do
not tell it why. There has been a focus on the supply
side – by that I mean the supply of IM rules and
requirements that departments are told they must follow.
There needs to be a shift of focus to the demand side. And
by this I mean demand from within departments for action
that can be shown to improve programs and services, save money,
enhance accountability and avoid unfavourable attention by pesky
auditors, Information and Privacy Commissioners, the media and
the public.
Although IM benefits are the carrot, I can
think of other sticks as well. I have long recommended that
information management responsibilities should be incorporated
into the performance evaluations of department executives and
managers. The new IM policy provides a benchmark for assessing
management performance and accountability.
Good policies and standards are also of little
value if a department does not have the resources to implement
them. Special funds are useful, but they are usually directed to
discrete projects rather than upgrading basic IM infrastructure.
Department budgets and program proposals need to identify IM
issues and direct resources at them. I would like to suggest some
ways for those issues and needs to rise to the surface.
I suggest that all major government program and
service proposals be required to identify related IM issues,
risks and requirements and indicate how they will be
accommodated. There is already a policy and mandatory procedure
in place in the Government of Canada with regard to the privacy
impacts of new programs.8 A broader IM checklist would
identify the types of records and data involved, their use,
intended audiences and the steps that will be taken to protect
information integrity and security, provide authorized access,
organize the information and dispose of it. No major program or
computerized system should be approved unless there are
assurances that these and similar issues will be dealt with. The
Chief Information Officer Branch has already developed an IM
Checklist for voluntary use. Its use should be mandatory. An
added benefit would be to provide some focus for creating and
defending a budget to support these IM requirements and the
underlying infrastructure. The checklist would also provide a
basis for program and system audits and evaluations.
Another way to identify and respond to key
records and information management requirements is in the context
of the specific business functions they support. For each core
function such as financial management, human resources
management, grant making, licensing, legal and judicial processes
and so forth, there should be generally similar types of
recordkeeping needs and procedures. Some functions have already
been codified, although they are not consistently implemented
across government or within departments. I think there would be
considerable benefit from identifying for each function, the
specific steps in the business process, the types of records and
data that need to be created and maintained, their flow and the
standards for their creation, retention and disposal. These
profiles could guide and help assess operational performance in
each area and support Modern Comptrollership. They would be
particularly valuable where functions are shared and when they
are outsourced. In the latter case, records may no longer be
subject to government records management rules or access and
privacy laws.
The above suggestions are intended to help move
information management from the abstract and avoidable to the
concrete and controllable.
Focus on Education and Training
I said earlier that more and better IM training
and leadership are crucial. Some positive steps are being taken
by the Organizational Readiness Office and there are others,
including some excellent training for access and privacy
coordinators and federal librarians. There is insufficient
coordination of activities, however, and of the roles of the
different players. More to the point, there is no coherent and
comprehensive IM education and training strategy and plan for the
Government of Canada. Such a plan is needed to address the IM
needs of different audiences.
As new ministers and their staff assume their
responsibilities, they need orientation regarding their
recordkeeping requirements and access and privacy obligations.
They need to know how to differentiate between and manage their
personal and political records and those that support their
assigned portfolios. Outgoing ministers and staff need to know
what records they can take and which they must leave, which can
be destroyed and which preserved. The Privy Council Office and
Library and Archives Canada both have important roles to play in
these areas.9
At the senior management level, executives need
to be able to identify and deal with strategic information issues
that threaten programs and undermine accountability. This
includes knowing what information is critical to success and how
its value can be exploited. They need to be able to integrate
business, information management and information technology
processes. They need to know how to embed information
management into program management and technology systems. To
support these skills, case studies can be developed geared to a
senior management audience. I am sure HRDC, Justice, National
Defense and other departments can point to lessons they have
learned. The new Canada School of Public Service should play a
lead role positioning IM in a strategic context. At present, its
core curriculum for managers includes courses on managing
finances and human resources, but not information.
At the operational end, staff needs training to
cope with a deluge of e-mails; their other electronic documents,
data and tools; and their still-growing paper files.
Information management and systems
professionals need training in new information policies,
standards, techniques and technologies. They also require
guidance on how individual IM and IT disciplines can work
together to support increasingly interconnected government
programs and IM tools. As IM and IT converge in the e-government
environment, the modern information manager will need a mix of
traditional and new skills. These skills need to combine records
and document management, web content management, program
management, preservation issues, IT capabilities and awareness of
the IM legal environment.
Although these kinds of job profiles are
beginning to appear, professional islands still exist, each with
its own priorities and preoccupations. For an IT specialist, a
robust system is one that survives one or two upgrades. For an
archivist, success may be measured in centuries.
National Librarian and Archivist
Ian Wilson once remarked on differing professional views in
the following anecdote. It appears that a conference was being
held on the subject of elephants. In attendance were a
computer specialist, a librarian, a records manager and an
archivist. Each was asked to deliver a paper reflecting their
professional perspective on the subject. The IT specialist spoke
on "Smaller and Faster Elephants Through Digitization".
The librarian called his presentation, "When Elephants
Forget – the Overdue Book Problem." The records manager
talked about "Off-site Storage for Elephants – When One
Box Isn’t Enough." And the archivist raised the
question of "Preserving Elephants – Is Physical Custody
Really Necessary?"
For all managers and staff, there are eight core
information skills that must be developed.
The first is knowing what information
and data are needed to support the development, delivery and
evaluation of policies, programs and services. These are information
planning skills. The second is knowing how to
determine whether it exists, where it is available and how it can
be accessed within the organization or elsewhere. These are information
searching and retrieval skills. The third is
understanding how to assess the value of information in terms of
relevancy, accuracy, authenticity, authoritativeness and other
characteristics in the context of intended uses. These are information
evaluation skills. The fourth is knowing when and how
to document activities, decisions and transactions adequately for
business, legal and accountability needs. These are documentation
and recordkeeping skills. The fifth is being able to
organize, file, store and dispose of paper-based and electronic
information effectively. These are life-cycle records
management skills. The sixth is knowing how to provide
authorized access and protect records confidentiality. These are access
and privacy management skills. The seventh is knowing
how to capture and share the knowledge of co-workers and others
to support collaborative and creative problem solving. These are knowledge
management skills. The eighth is being able to use new
technologies to support all of these activities and to
re-engineer government programs and services. These are technology
and transformational skills.
A professional public service cannot be
established and maintained without these Information Age
abilities. At present, there is no overall plan to respond to
these needs and too few in-person, e-learning and web-based
courses and workshops for all target groups. I know that bodies
like the Organizational Readiness Office recognize these gaps and
are attempting to do something about them. Others can contribute
as well. Within the federal government, they include the Canada
School of Public Service, the Knowledge Institute at Public Works
and Government Services, the Chief Information Officer Branch in
TBS, Library and Archives Canada, the Council on Federal
Libraries and the Records Management Institute. Non-government
bodies such as universities, professional associations10
and the private sector can lend their experience and expertise.
As an example, my office is working with the University of
Alberta which has developed a comprehensive on-line curriculum
for access and privacy administrators. The Information Management
Champions Committee provides a planning and coordination
mechanism for IM skills development. I hope that a strong
education and training thrust can be mounted and I will do all I
can to encourage and support it.
Better Monitoring and Enforcement
In several reports to Parliament, I have argued
for a legislated basis for recordkeeping in the federal
government. The IM policy is excellent but it lacks a clear
foundation in law to give it force and authority. I outlined the
need for a recordkeeping law, identified what it might contain
and pointed to other jurisdictions where these provisions exist.11
Canada has legislation dealing with certain aspects of
information management such as the right of access, privacy
protection and archival preservation (although each of these need
strengthening). What is missing is legislation that deals
explicitly with the duty to keep good records. Canada does not
impose a general legal obligation on ministers of the Crown and
their departments to create and maintain records that adequately
document key organization activities, decisions, policies and
transactions. This requirement would be at the heart of a
recordkeeping law. Too often, critical records of key decisions
and actions are missing in an increasingly casual and oral
information environment. As an example, we can no longer assume
that minutes of important meetings are being taken. Information
that does not exist cannot be accessed under ATIP laws. I have
heard from many users of the access Act that poor
recordkeeping should not be an excuse for denying public rights.
The issue is not what records are on file but which records should
exist to support responsible government.
IM laws, policies and practices need to be
supported by strong leadership at the centre of the public
service. The Chief Information Officer Branch, Library and
Archives Canada and Public Works and Government Services Canada
are the lead agencies and institutions for IM. Although each is
undertaking useful IM initiatives, questions need to be asked.
Are their IM roles, responsibilities and relationships
sufficiently defined and coordinated? Is accountability clear,
particularly where there are overlapping activities and
interests? Are there avoidable gaps or duplication of effort? Is
there a unified strategy and work plan among the players for
ensuring that the IM policy will be effectively implemented? And
from a user perspective: are departments confident about where
they can turn for help? Positive answers are needed to maximize
the impact of these key players.
I will be inviting colleagues from the Chief
Information Officer Branch, Library and Archives and Public Works
to meet and discuss current IM projects and some of the issues I
have identified today and on other occasions. I believe there is
interest in doing this and good communication among us. I can
assure them of my support for the valuable work they are doing,
in the hope that they will understand that my occasional nagging
comes with the territory.
The Need for Strong Leadership
Strong leadership by ministers, by Parliament
and by the Privy Council is also needed. Ultimately, they decide
where political and management attention is directed. Ministers
already know the trouble that can arise when important records
cannot be found, when information is withheld from the media and
public, and when privacy rights are not protected. They need to
set (and ensure that their departments meet) a high standard for
openness and transparency, based on access to timely and reliable
information. The Privy Council Office should make sure Ministers
are aware of these issues.
Parliament must also provide strong oversight.
The Auditor General and others, including Parliamentarians
themselves, have repeatedly said that Parliament often does not
receive the information it needs to exercise its role
effectively. It must demand and rigorously question the
information it receives from departments and agencies to ensure
that it is complete and accurate. In doing so, Parliamentary
committees may wish to look at a tool produced by the Auditor
General’s Office called Audit Criteria for…
Performance Information.12 This tool guides Audit
staff in assessing the availability and quality of the
information that departments use to portray their activities and
results. It includes criteria and questions to help determine if
the performance information is relevant, meaningful,
attributable, accurate and balanced. The
tool asks implicitly if the institution has sound IM practices
and infrastructure in place. Parliament, the Auditor General and
central agencies need to ask the same of departments and
agencies, but more directly and explicitly.
A vision of information-enabled
government needs to guide both the political level and the public
service. In this vision, information and knowledge are recognized
as the resources that underpin effective and efficient public
services and accountable government. In the vision, information
is created, acquired and used to satisfy business,
legal and accountability requirements. It is managed to
ensure its continuing accessibility, integrity and value. It is protected
to meet legitimate confidentiality and privacy concerns. It
is shared and disseminated to satisfy the
government’s own and the public's information needs. It is maintained
and disposed of in accordance with best business practice
and legal requirements. And it is preserved to ensure
its long-term value to the government and to Canadians.
Ultimately, the best guarantee of effective and
transparent government is an informed, educated and relentlessly
questioning public. We are seeing this develop. Government and
other traditional institutions no longer have a monopoly either
on information or technology. The Internet and other technologies
are providing powerful tools for individuals and groups to
communicate, share information and look over the shoulders of
politicians and bureaucrats. All of us in the public sector need
to be not only ready for that scrutiny, but invite and
encourage it. We can do this by ensuring that information is
timely, complete and accurate and by proactively disseminating
it. An engaged public and effective two-way communication are
essential if we are to do our jobs fully and well. I can assure
you that my job would be much easier if Canadians did not have to
arm-wrestle government over the right to see its files.
At stake is something even more important. It
is the health of the body politic. Within that body, the records
are the genes that carry and communicate the fundamental traits
of governance – its values, goals and processes. Together,
they form its documentary DNA. Like our own DNA, the records
comprise the threads of information and evidence that reveal how
the political organism is structured, how it grows, how it
responds to internal and external influences, how it protects
itself and whether and how it adapts to new conditions. The
records show how government functions, makes or avoids decisions,
takes or refuses to take action. Sometimes these threads are
clear and sometimes convoluted. When the public record is
complete and orderly, all of the threads are in place and we can
see the connections among policies, programs, personalities and
events. The body politic is open, accessible, transparent and
healthy. When important records are missing, altered,
inaccessible or poorly managed, the threads are damaged or broken
and the fundamental processes of governance become opaque and
unresponsive.
All of us want the public sector to be more
effective and better managed. Each of us can take away something
from this conference that can contribute to this goal through
better information management. Together, we can engage in the
high calling of helping government use information and knowledge
to identify, protect and serve the public interest.
Thank you.
- Personal Digital Assistants, such as Palm
devices and Blackberries
- Richard Gwyn, "Chewing on election
leftovers", Toronto Star, July 4, 2004
- Jeffrey Simpson, "This Canadian way
is not the democratic way" , Globe and Mail, August
20, 2003
- Referenced by Auditor General Sheila
Fraser in her address to the Association of Canadian
Archives, May 28, Montreal
- Department of Justice
- IM Day, Fall, 2003
- Extensible Markup Language
- Privacy Impact Assessment Policy (and
guidelines), TBS
- Privy Council Office should highlight the
recordkeeping dimensions for new (and outgoing)
ministers. It is the responsibility of Library and
Archives Canada to provide practical guidance to
ministers' offices (and a guide for ministers' offices
exists).
- For example, ARMA
- Including the United States, Great Britain
and Australia
- "Audit Criteria for the Assessment of
the Fairness and Reliability of Performance
Information," Office of the Auditor General; http://www.oag-bvg.gc.ca/domino/other.nsf/html/00crit_e.html
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