Report 7 - Access to Information Review Task Force

INFORMATION MANAGEMENT AND ACCESS TO INFORMATION - A VIEW INTO THE FUTURE

10. The Information Management Environment

The previous sections of this report have highlighted the trends and issues that will impact the direction the federal government takes to establish a sustainable infrastructure for providing access to government information both now and in the future.

The following section is in two parts. The first part describes the factors the government must consider in making decisions regarding the kind of infrastructure it needs to have in place to respect the principles of 'transparency' and 'information anywhere and anytime'. The second part comments on the building blocks of the infrastructure that are already being put into place to influence the progress of the Government towards a comprehensive, relevant and effective information management infrastructure.

10.1 External Factors

10.1.1 Societal factors

In 1999 John Seely Brown, then Chief Scientist at Xerox Corporation and Director of the Palo Alto Research Centre presented a paper at the American Association for Higher Education Conference on Higher Education.¹³ In it he discussed the Web and its impact on both organizations and the people who work in them. Comparing the introduction of "electrification" to the introduction of the Web, he pointed out that it took about 30 years to develop the infrastructure (utility companies, power stations, electrical wires) and transform societal practices to introduce electricity throughout neighborhood.
He considers that we are now in the beginning stages of such a transformation with the introduction of the World Wide Web.

The Web is providing new opportunities to create, transmit and manage information and the infrastructures to support it are in the "transformative" stage. The government will need to recognize that while changes in the way society accesses and uses government information will be rapid, these changes may take time to penetrate and alter the underlying culture and behavior that shapes the manner and extent of citizen access to information.

Steps will need to be taken to ensure that government information management strategies are developed and implemented at a pace consistent with the nature of this societal transformation and that organizational change management initiatives address these findings.

10.1.2 Globalization

The harmonization of the Personal Information Protection and Electronic Document Act ¹⁴ has created a precedent in that it has broken down the boundaries between previously distinct public and private sector jurisdictions as well as the federal and provincial jurisdictions. In addition, it was not driven by Canadian requirements but rather by global trade and business.

The globalization initiatives cover a variety of areas, which influence the development of an information management infrastructure. The International Organization for Standards (ISO) will be releasing a records management standard in September that will be adopted by Canada as the basis for policies and practices within the records management community. It is referenced in the Canadian General Standards Board's Electronic Information as Evidence standard and has been adopted and adapted by a number of institutions as the basis on which to develop information management programs.

The standard, initially developed to be used as a complementary standard to the ISO 9000 and 14000 series of documents, contains a framework which

• Defines records management requirements;
  
• Provides details on the design and implementation of a records system;
  
• Outlines records management processes and controls;
  
• Deals with access and retrieval;
  
• Discusses monitoring and auditing; and
  
• Addresses training.

It is expected that the standard will be used as a reference point for information management within government institutions and as a support to the enhancement of information access.

It is safe to say that within the next 10 years, as the information management infrastructures become compatible with both the local and the global scene and are established in multiple jurisdictions to reflect consistency in their design and level of integrity, so too will the access environment.

10.1.3 Cross-jurisdictional factors

At the present time, information is managed within government silos - across functional lines, within government departments, and at the provincial and municipal levels. As the responsibility for government services is shared among different levels of government, however, the public will no longer know which level of government has the information they are looking for. Citizens will want access to information from one source, regardless of what level of government provides the service. These requirements will strongly influence the design and administration of the information management infrastructure and require strong cross-jurisdictional participation with respect to its development and implementation.

A major consideration in information access is understanding the way in which the public searches for information. The public is not familiar with the government infrastructure and therefore will want to search by topic and have access to information by subject, regardless of where it is located within the government infrastructure (or multiple government infrastructures). As a result, access points must be provided by topic/subject, in addition to by government department.

At present, anyone wishing to find information about the Access to Information Act and any related resources, must know which government institution is responsible for that function and find the correct site within the departmental web-site. An "access to information" site on the O Canada Web-site would be much more preferable as it would provide easier access to such resources as the Act, frequently asked questions, how to request information, etc. without having to resort to searching through an organizational entity.

As the public searches by subject the use of terms must be standardized and special language issues must be addressed. It will be necessary to ensure that tools such as classification and indexing schemes, thesauri and controlled vocabularies are developed to facilitate search and retrieval of government information resources.

But what if all the mechanisms for searching are in place but the users do not know how to use the tools because they are not able to read? Could that happen?

10.1.4 Literacy

In the January 2001 Speech from the Throne, the Governor General announced the introduction of a "Learning and Skills Initiative" stating that:

"Today, many Canadian adults lack the higher literacy skills needed in the new economy. The Government of Canada will invite the provinces and territories along with the private sector and voluntary organizations to launch a national initiative with the goal of significantly increasing the proportion of adults with these higher-level skills."

Literacy has the potential to be a major challenge and an important consideration in establishing information management and access initiatives, especially in light of studies indicating that Canadians who are functionally illiterate have difficulty navigating through websites. The telephone is their choice of access channel. But this is only one element of the challenge.

What is "literacy"? The final report from the 1994 International Adult Literacy Survey (IALS) ¹⁵ released in June 2000 by Statistics Canada and the Organization for Economic Co-operation and Development (OECD) defined literacy as:

"The ability of adults to use written information to function in society, to achieve their goals and to develop their knowledge and potential."

Canada was one of 20 countries participating in the survey, which measured prose literacy, document literacy and quantitative literacy¹⁷ . The study found that 22% of Canadians have difficulty reading. 26% of Canadians have limited skills, can read but not well and can only deal with material that is clearly laid out and simple.

The government will need to consider these statistics when setting out goals for the establishment of an information management infrastructure designed to enhance information access, especially through the use of on-line access channels.

10.1.5 Channels to Access Government Information

In providing future access to government information resources, issues such as literacy, Internet access, and the special needs of people with disabilities, etc. must all be addressed, as part of the development of the information management infrastructure. The means of information distribution will have to consider not only the costs involved but also the diverse needs of Canadians who have a right to access government information resources. Given the changes in technology it is impossible to specify a particular solution. The access mechanisms may include voice, personal, interactive kiosks in regional access offices, on-line, etc. Regardless, it is safe to say that given the diversity within Canada, no one access point will satisfy all the needs and Government will be required to invest in the multiple service channels Canadians will continue to expect. As a result, it will also be required to invest in an information management infrastructure that will be capable of accounting for the diverse forms of information that are expected to be generated through the use of these multiple service channels.

10.2 Infrastructure: The Building Blocks

The factors described above are important considerations for a government that is concerned about establishing a culture of openness and transparency rooted in the principle that government information should be accessible. If these broad societal principles are to be respected, however, the Government will be required to establish an infrastructure that ensures access to information that is authentic, reliable, relevant, and complete.

Many of the building blocks are already in place and should be exploited to accelerate the pace at which a strong information management infrastructure can be achieved. The authors reviewed existing and proposed initiatives that will influence the ability of the Government to progress towards a stronger information management infrastructure as outlined in the McDonald report.

10.2.1 IM Principles

Today, although all public servants are information managers, they are not accountable for the management of the information resources in their care, nor are they equipped with the relevant information management skills or supported by the appropriate training programs.

The objective for tomorrow should be that all public servants are trained with the skills and knowledge to organize and manage their information in accordance with a set of information management standards and guidelines.

The standards and guidelines will support their work, provide them with the ability to manage government information and ensure that information access is an integral part of the process.

Better access to information can only be ensured, however, if the information management environment in which the information is created, managed and retrieved is well organized, structured, and subject to the application of principles reflecting a government that:

• Makes its information fully accessible for government, business and the community;
  
• Supports continuous improvement of services and provides timely, cost effective access to information resources;
  
• Shares information easily within and across institutional boundaries;
  
• Improves information flows to promote collaboration across government institutions and with other levels of government;
  
• Protects personal privacy;
  
• Creates information that is authentic, reliable, accurate, and complete;
  
• Provides access to that information and,
  
• Ensures that training in information management and "access to information" are linked as part of a stronger cultural infrastructure, which recognizes the need for information management and provides access to government information as permitted within legislative and regulatory frameworks.

10.2.2 IM Infrastructure

As stated in the Treasury Board report, Information Management in the Government of Canada: A Situation Analysis:

The IM Infrastructure does not exist in isolation. The Business Infrastructure of government is primary and sets the context for other supporting infrastructures. The IM Infrastructure supports and manifests the information requirements of the Business Infrastructure - it fuels and documents the business functions and supporting activities. The Information Technology Infrastructure serves mainly to support the Information Infrastructure. These three infrastructures are created, sustained and imbued with purpose and meaning through the government's Human Resources Infrastructure.

Over the past few years, the transition from paper to electronic records and e-mail communications, the increased use of the internet, and resource reductions in records management have contributed to a situation where information is poorly managed across many areas of the government. The impacts being experienced as a result of the decline in available records management expertise and the absence of IM business rules are being exacerbated by the lack of centralized control over information resources and the consequent inability of government institutions to provide timely and accurate information.

Today information is created, disseminated and disposed of with little or no attention paid to standards and guidelines. Moreover, when different levels of government are involved in providing different aspects of a service to the public, records may be in several locations and stored on a variety of media.

This situation is bound to worsen if initiatives such as Government On-Line do not address the effective management of the electronic information content as an integral part of the overall design and implementation of the on-line environment. Government institutions will not have the paper copy to fall back on. As more and more information is created electronically, the need to manage the electronic versions will become increasingly more critical. In addition, the goals of access to information will not be met without a plan to manage the information throughout its lifecycle, regardless of the medium on which it is made available.

John McDonald's report, Information Management in the Government of Canada - A Situation Analysis - For The Chief Information Officer, Treasury Board Secretariat
and The National Archivist presented 21 recommendations in three major categories: Government On-Line, Records of Government and Building a Sustainable Infrastructure. Since the report was adopted in June 2000 a number of initiatives have begun to address the recommendations, one of which is to develop an information management framework for government institutions. That framework incorporates strategies to address the policy, standards and practices, systems and people issues. Once implemented, the framework will move government institutions towards the achievement of a strong culture that recognizes the importance of information as an organizational asset.
In addition, it will recognize the strong link between the information infrastructure and access to government information.

10.2.3 Policies

A study undertaken in 1998 indicates that while the Management of Government Information Holdings (MGIH) policy had been in place for some years, it was not being implemented. Information management was generally given a low priority in an environment where both human and financial resources were limited.
Nor was there any incentive for senior managers to implement the policy in such an environment. In 2000, a policy review initiative was established and a new Management of Government Information policy is expected to be released before the end of the year.

The purpose of the new Management of Government Information (MGI) policy is, "to ensure that information under the control of the Government of Canada is managed effectively throughout its life cycle." It sets out policy provisions that address issues ranging from the assignment of accountability for the management of information, to the roles and responsibilities of central and lead agencies, to the requirements for managing information from its creation to its final disposition. A key proposed provision is the requirement to facilitate access to information in a manner that promotes public trust and optimizes the re-use and sharing of information, subject to legal and policy obligations.

The issuance and marketing of this new policy, in combination with the development and implementation of the new TBS-led IM framework are expected to serve as a catalyst for the enhanced awareness and understanding of the importance of information management among public servants, especially at the executive levels.

The Treasury Board Secretariat together with lead agencies such as the National Archives (NA) and the National Library (NL) should use the opportunity presented by the emergence of the new policy to foster cultural change leading to an enhanced appreciation of the role information can play not only in support of the delivery of government programs and services but also in facilitating access to government information.

The information management infrastructure continues to be a major concern to the Information Commissioner. In Chapter 2 of the Information Commissioner's 2001 Annual Report¹⁶ a series of steps were proposed to "Resuscitate Information Management" within the Government of Canada, following on the recommendations presented in the McDonald report. The Information Commissioner's report makes several recommendations regarding steps towards an improved information management process. It also articulates several key elements of an IM policy and the principles it should support:

"An information management framework or policy may range from a single document expressing essential elements to a linked set of principles, objectives, policies, standards and guidelines. In whatever form, it must clearly tell the officials and staff of government institutions why good information management is important and what must be done to ensure that it happens.

It must communicate a vision of public administration centred on the responsible management and effective use of information and knowledge in support of business and accountability goals. It should be based on fundamental information principles, such as:

1. Availability: Information and data must be created, acquired and maintained so as to document important activities and decision-making processes adequately;
   
2. Accessibility: Information should be accessible to, and shared with, those who need to access it and have a right to do so;
   
3. Stewardship: Departments should be accountable for ensuring the accuracy, authenticity, relevance and reliability of their information resources;
   
4. Creation and Retention: Government information should be created, acquired and retained only for valid business, legal, policy, accountability and archival needs;
   
5. Privacy and Security: The security of information should be protected to ensure privacy, confidentiality and information integrity, consistent with business, legal and policy requirements;
   
6. Life-Cycle Management: Information in all media and forms should be managed as a strategic resource throughout its life-cycle (from creation or collection through storage, use, destruction or archival preservation)."

The policy review and development process, the IM Framework development and the recommendations in the Information Commissioner's Annual Report provide an opportunity to establish a clear set of priorities for and focus on information management within government institutions. In addition, as these policies and frameworks are developed, there are opportunities to raise the awareness of not only the policies but also the roles and responsibilities of public servants in implementing them to improve information management practices across Government.

10.2.4 Standards and Practices

Standards and practices are key to the successful implementation of consistent records and information management programs. Information management standards and practices are currently being developed both within the government, through the government-wide Information Management Forum, and through industry groups who have a vested interest in IM programs.

Lead agencies such as the National Archives of Canada and the National Library of Canada under the leadership of the Treasury Board Secretariat, have a major role to play in setting the standards and practices for the management of information within government institutions. While many of these standards and practices have been promulgated in cooperation with the Government's Information Management Forum there are others that are either in the design stage or that have yet to be identified for development.

Unfortunately, the standards development agenda for the information management infrastructure required to enable effective program delivery (not to mention enhanced information access) in an electronic on-line environment has yet to be established. Moreover, IM standards and practices have yet to be recognized as a significant concern among the senior executives responsible for Government On-line and the overall management of the Government's IM/IT infrastructure. If the objectives of Government On-line and enhanced information access are to be realized then much greater attention will need to be paid to this important dimension of the information management infrastructure.

10.2.5 Systems and Technologies

In the past 20 years governments have evolved from a world largely dependent on paper to one in which information resources are largely electronic. It is a given that technology will continue to change but the success of any information management program in the future will be dependent upon an enterprise-wide technology infrastructure.

The Records, Documents, and Information Management System (RDIMS), a shared system procured for use by a large cluster of government departments, currently in its implementation stage, will be an integral part of both the government's technology infrastructure and its overall information management infrastructure over the next ten years. By bringing government information resources onto a common platform and by using standards for information creation, use and disposition, the system will provide better control over and access to information resources.

As technology changes and other initiatives are introduced the successful implementation of information management programs will need to be supported by common technology platforms such as those reflected in the RDIMS initiative. If access to government information is to become more transparent, information resources and the enabling information technology infrastructures will need to be managed according to an agreed upon set of principles and practices which recognize the needs of the business of government, the privacy of the individual and the attributes and qualities of an open government.

10.2.6 People

In the paper world, secretaries, administrative assistants and file clerks classified and filed information. As more and more information is created electronically at the desktop the responsibility and accountability for ensuring that government information is properly managed involves the knowledge worker. The role of the information management specialist is changing from one of custodian of physical objects (active and inactive records) to a facilitator and coach providing guidance and support to the knowledge worker.

Several demographic studies have been undertaken to show the impact of the retirement of the baby-boomers on federal government functions. In the information management area over the next 10 years, close to 60% of CS-05s and 80% of EX-01 and 02s are eligible to retire ¹⁷. To respond to this situation the Organizational Readiness Office (ORO) of the Treasury Board Secretariat is working to ensure that the public service has the skills required to support Government On-Line and improving service for Canadians.

In the study, the ORO identified a series of functions that are considered the basis of information management:

• Information services planning, development, architecture and maintenance;
  
• Computer services;
  
• Telecommunications;
  
• Knowledge/information management in an automated environment;
  
• Information access and services in an automated environment; and,
  
• Information security in an automated environment.

The overlapping of functions across sectors is creating the need for a future information management professional who has a combination of skill sets from the library, archives, records management, IT and access communities who will be a content creator/publisher, IM advisor, IM producer, and process/designer.

The role of the Access to Information coordinators will need to be carefully assessed in this context to ensure that the Access to Information coordinator function is clearly defined and closely aligned with those of the information management community.

Recognizing that there will be a need for an information management workforce with a new skill set over the next 10 years, as the current IM professionals retire, the government will need to develop a succession planning process and work with the private sector and educational institutions to ensure that there is a skilled workforce ready to take on the challenges of information management and access to information.

Steps should be taken to monitor initiatives both within and outside the Federal Government such as those addressing the issue of competencies and skills in this new information management environment. For instance, Human Resource Development Canada is working with the Archives, Library and Records Management communities, through the Cultural Human Resource Council, to develop competency profiles for the information resource management sector. These together with the results of related initiatives should be reviewed for their application to the Canadian federal government.

10.2.7 Corporate Culture

Throughout the report, the authors have referred to corporate culture and the new environment created as a result of the introduction of technology. But what is corporate culture and why is it so important to have information management an integral part of it?
Random House defines 'culture' as the behaviors and beliefs characteristic of a particular group. Corporate culture is the sum of the formal and informal behaviors that an organization adopts as its way of doing business. The corporate culture that supports an effective information management infrastructure is one that supports a culture of information sharing. Information management is least successful in organizations where the corporate culture is dominated by information hoarding and information proprietorship. Why should information be managed if it is not going to be shared?

One of the greatest challenges governments face is managing the change required in corporate culture to one that is based on an understanding among staff at all levels of the role and importance of information and the responsibilities they have for its proper management. Government-wide human resources initiatives including those led by the Organizational Renewal Office (ORO) are fostering changes in this respect but the challenges are formidable.

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