Open Government Implementation Plan: Canadian Transportation Agency

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Table of contents

1. Executive summary

Canada has a long-standing commitment to openness and accountability as a cornerstone of a strong, modern democracy. From the passing of the access to information and privacy acts over 30 years ago to current open government and proactive disclosure activities, the Government of Canada has worked to ensure transparency on federal operations to enable Canadians to hold their government accountable while protecting the privacy of individuals. The commitments included in Canada’s Action Plan on Open Government 2014-2016 will further progress on the delivery of transparent and accountable programs and services focused on the needs of Canadians.

The proactive release of data and information is the starting point for all other open government activities. Accordingly, the Government of Canada has established an “open by default” position in its policy framework by issuing the Directive on Open Government (DOG).

This document contains the Canadian Transportation Agency’s plan to support and achieve compliance with the DOG by integrating open information principles to its processes and focusing on publishing high value information and datasets while protecting the privacy of individual Canadians.

The Agency is strongly committed to openness and accountability. As a quasi-judicial tribunal abiding by the open court principle, the Agency already operates within a framework consistent with open government. The Agency understands the value of providing industry and consumers with information and services that are both easy to use and fully accessible. The Agency publishes on its website information such as orders and decisions, guidance material and corporate reports on past and planned activities. Under the 2014-2017 Strategic Plan, the Agency is currently working on reviewing its business processes to ensure that it not only remains a high-performing organization focused on excellence in service delivery, but also that its many outputs are optimized and made readily available to Canadians.

As such, the current implementation plan integrates seamlessly within the existing strategic framework of the Agency and its overall direction is fully aligned with organizational objectives for the coming years. As part of its business process transformation initiative, the Agency intends to:

  • identify all information and data currently being released as well as the information and data that is collected but not published;
  • determine whether the information and data is commercially sensitive or subject to provisions under the access to information and privacy acts;
  • prioritize information and data release based on business value and relevance for stakeholders and Canadians; and,
  • adopt efficient mechanisms for releasing the information and data.

This is the first version of the Agency’s Open Government Implementation Plan, which will be reviewed annually for the next four years.

2. Approvals

Jacqueline Bannister
Director General and IMSO
Communications and Information Management Branch
Canadian Transportation Agency

Signed on .

Date

 

Scott Streiner
Chair and CEO
Canadian Transportation Agency

Signed on .

Date

 

3. Purpose

This document describes the Canadian Transportation Agency’s plan to complete activities and deliverables aligned with the requirements of the Directive on Open Government, in order to achieve full compliance by the March 31, 2020 implementation deadline.

The objective of the Directive is to maximize the release of government information and data of business value to support transparency, accountability, citizen engagement, and socio-economic benefits through reuse, subject to applicable restrictions associated with privacy, confidentiality, and security. (Directive on Open Government, Section 5.1)

The expected results of the Directive on Open Government (Section 5.2) are that Canadians are able to find and use Government of Canada information and data to:

  • support accountability;
  • facilitate value-added analysis;
  • drive socio-economic benefits through reuse; and
  • support meaningful engagement with their government.

4. Context

About the Agency

The Canadian Transportation Agency is an independent, quasi-judicial tribunal and economic regulator. It makes decisions on a wide range of matters involving air, rail and marine modes of transportation under the authority of Parliament, as set out in the Canada Transportation Act and other legislation.

Our mandate includes:

  • Economic regulation, to provide approvals, issue licenses, and make decisions on a wide range of matters involving federal air, rail and marine transportation.
  • Dispute resolution, to resolve complaints about federal transportation services, rates, fees and charges.
  • Accessibility, to ensure that Canada’s national transportation system is accessible to all persons, particularly those with disabilities.

Our vision is a competitive and accessible national transportation system that fulfills the needs of Canadians and the Canadian economy.

Our mission is to be a respected and trusted tribunal and economic regulator through efficient dispute resolution and essential economic regulation.

The Agency has a workforce of approximately 230 people, including five officers in regional offices across the country.

Openness and transparency

The Agency has been shifting towards an “open by default” approach to information and data sharing for a number of years through its 2014-2017 Strategic Plan. For example, the Agency adopted a digital-only publishing strategy in 2012. All Agency decisions are published online, as is the Agency’s performance and client satisfaction data. Other data from a variety of service points are being dynamically published through the website. As outlined in the Strategic Plan, we will advance openness within the context of our continued commitment to business process transformation and improved service delivery.

When developing and updating regulations, codes of practice, guidelines and information tools, the Agency’s practice is to hold public consultations and make the submissions received available on the web.

Although openness is the default, given legislative requirements and the work of the Agency, this openness is subject to exceptions, including confidentiality of commercially sensitive information, confidentiality of other sensitive information, and confidentiality of facilitation, mediation and arbitration processes, where applicable.

Considering the significant work that the Agency has done in recent years to make its information available to the public and to review its information collection and management practices, and given that openness and transparency were key considerations during its latest strategic planning exercise, the Agency is well-positioned to meet the requirements of the Directive as part of its current business processes review initiative.

Technology environment

While the Agency is already making much of its information and data openly available by publishing it online, it is working towards integrating and streamlining information management and its release through the use of technology.

As stated in its 2014-2017 Strategic Plan, the Agency is committed to enhancing service delivery and access to information through business process improvement and use of technology, and has undertaken a multi-year initiative to review each of its external-facing client processes. As part of this initiative, and recognizing the need for enterprise-wide systems within government to achieve efficiencies, the Agency participated in a government procurement process to acquire a common case management solution. As an early adopter, the Agency is now actively integrating its 74 processes within this new system, and is liaising with other departments to share common solutions and best practices.

The Agency is also operating a Web services platform that provides content management and integration with Agency backend services, including with its legacy case management system, as well as with the new case management system. A portion of Web content is generated by the current case management system. Public-facing forms on the Agency website are either dynamic PDFs or Web-based forms connected to backend systems. The Agency plans to migrate the majority of its Web content to the Canada.ca platform in 2016. Agency Web services fully comply with current accessibility standards (WCAG 2.0 AA) and government usability standards.

The Agency also has an online crowdsourcing platform for consulting more broadly with Canadians on its regulatory projects and initiatives through its website.

Leveraging technology investments

As part of its business processes review initiative, the Agency is now identifying new opportunities to expose and release information and data.

Transparency at this level is not a trivial exercise. Agency case and records management systems produce and store sensitive information. For transparency purposes, the information must be carefully evaluated to determine whether it can be released in its natural state, in whole or in part, or if it needs to be anonymized. No classified or designated information will be released. The evaluation and inventory process will be conducted in accordance with guidance and best practices developed by TBS under its Directive on Open Government.

The Agency will be looking to leverage its current investments in technologies to provide:

  • an increase in the range and depth of information that can be provided to the public;
  • an increase in interoperability of Agency datasets to maximize their value and reusability within the Agency, the whole of Government of Canada, and the public community at large;
  • more in-depth modelling and cataloguing of its data and information holdings to improve usefulness of the datasets and information being published; and
  • a systematic process for the identification, extraction and publishing of the Agency’s Open Government datasets and information.

Role in facilitating open government

Each year, pursuant to the Canada Transportation Act, the Agency reports to Parliament through the Minister of Transport. While the Agency does not have a specific role identified in facilitating Open Government for the whole of government, it does participate via contributions through inter-departmental working groups.

The Agency is committed to meeting all policy requirements set out under TBS policies and directives including those of Open Government.

5. Outcomes

The desired outcomes are that openness is fundamentally integrated within the Agency’s regular operations, and that Agency information is highly accessible while being respectful of the privacy of individuals.

Efficient processes and more open information and data

As a result of its business processes review and the implementation of the Directive, the Agency will have adopted a more systematic approach to information and data release. More of its information and data outputs will be automated through its information technology systems, allowing for accurate, timely and efficient reporting which in turn will support greater accountability.

As well, through close collaboration with other Government of Canada organizations in the context of the Web Renewal Initiative, the Agency will have produced and made public open information that is streamlined, well-organized, written in clear language and tailored to the needs of users. This may serve to increase stakeholder awareness of regulations and industry best practices, and to improve overall understanding of the regulatory framework for transportation in Canada.

Improved data and information management

Implementing the Directive will also result in greater awareness and understanding within the Agency of its information and data holdings and what they comprise, which in turn will allow the Agency to optimize its information management practices to extract maximum value from these holdings.

6. Governance structures and decision processes

The following sub-sections describe the governance structures and decision processes that support open government and how those responsibilities are delegated and fulfilled within the institution.

6.1 Roles and responsibilities – Deputy Head and Information Management Senior Official

The governance of the Agency’s OGIP is informed by the responsibilities identified for the Information Management Senior Official (IMSO) and Deputy Head (DH) in sections 6 (Requirements), 7 (Monitoring and Reporting Requirements), and 8 (Consequences) of the DOG.

The Chair and CEO of the Agency is the Deputy Head and is responsible for approving the Plan.

The Deputy Head works with senior management to assess priorities and resource allocation necessary to meet open government requirements.

The Director General, Communications and Information Management Branch (DG CIMB), is the IMSO for the Agency. The DG CIMB is responsible for presenting the Agency’s OGIP to senior management and for submitting it to the Deputy Head for approval. Once the plan is approved, the DG CIMB is responsible for overseeing its implementation and publication, as well as for monitoring annual updates to the plan. The DG CIMB is responsible for coordination with other government departments as required.

6.2 Roles and responsibilities – Key Agency stakeholders

The Director, Information Management Directorate (IMD) is responsible for providing leadership in planning and implementing all aspects of the OGIP, and for updating the Plan annually. The Director, IMD works with DGs and directors of other directorates to coordinate activities and schedules in line with the OG requirements.

Information Management Directorate personnel are responsible for supporting execution of the OGIP.

The Director, Communications Directorate is responsible for providing guidance and support with regard to open information, and for overseeing internal communications efforts and managing public enquiries related to the Plan.

Communications Directorate personnel are responsible for providing support in applying the Plan as it relates to open information.

The General Counsel and Secretary, Legal Services, Registrar and Secretariat Branch, is responsible for providing guidance and support with regard to legal matters related to the Plan and any relevant access to information and privacy issues.

The Director General, Industry Regulation and Determinations Branch, and the Director General, Dispute Resolution Branch are responsible for providing input and support to the Information Management Directorate as it puts the Agency’s OGIP into action.

6.3 Communication, awareness, and engagement

The Agency will engage in activities to promote the OGIP internally and to support open government through external activities.

The Agency will work with external stakeholders to ensure that open government initiatives do not infringe on the confidentiality of commercially sensitive information and privacy considerations.

6.4 Collaboration with other departments

Openness, transparency and technological advancement as part of a broad Open Government Data framework are a key priority for the Agency. The CIMB DG (or delegate) will participate in government-wide Open Government working groups and looks forward to working with other agencies to ensure efficient and effective approaches and best practices in fulfilling Open Government requirements.

7. Planning table

Key planning assumptions

  • Dates are aligned based on OGIP update requirements rather than by fiscal year.
  • Timeline associated with the development of formatted datasets for release has not been considered in this plan.
  • At this stage of planning, assessments of levels of resources to be assigned are necessarily general. Each deliverable has been assigned with a resource that will be accessed to meet the deliverable. As data and information inventories are created, more specific project-oriented resource allocations will be made as required.

Planning Table A: DOG Requirements

DOG 6.1: Maximizing the release of Government of Canada data and information under an open and unrestrictive licence designated by the Treasury Board of Canada Secretariat
Deliverables / Milestones Lead Activities Start Date End Date Resources To Be Accessed Status

Agency Data Release Plan

IM Directorate

Develop and implement the Agency’s Data Release Plan:

  • Prepare the plan which includes recommended data resources and schedule for publishing
  • Obtain governance and approval

2015

2016

  • IM specialist
  • ATIP Specialist
  • Legal specialist
  • IT Security specialist

In Progress

Agency Information Release Plan

IM Directorate

Develop and implement the Agency’s Information Release Plan:

  • Prepare the plan which includes recommended information resources and schedule for publishing
  • Obtain governance and approval

2017

2018

  • IM specialist
  • ATIP Specialist
  • Legal specialist
  • IT Security specialist
  • Communications specialist

In Progress

DOG 6.2: Ensuring that open data and open information is released in accessible and reusable formats via Government of Canada websites and services designated by the Treasury Board Secretariat
Deliverables / Milestones Lead Activities Start Date End Date Resources To Be Accessed Status

Listing of accessible and reusable formats (for data and information) to be used at the Agency

IM Directorate

Develop guidance material on the formatting and release of open information and data which includes a listing of accessible and reusable formats (for data and information) to be used at the Agency

2015

2016

  • IM specialist
  • IT Security specialist
  • IT specialist
  • Communications specialist

In Progress

Conversion process(es) for data identified for release whose native format is not accessible and reusable

IM Directorate

Develop guidance material on the formatting and release of open information and data which includes conversion processes for data identified for release whose native format is not accessible and reusable

2015

2016

  • IM specialist
  • IT Security specialist
  • IT specialist

In Progress

Conversion process(es) for information identified for release whose native format is not accessible and reusable

IM Directorate

Develop guidance material on the formatting and release of open information and data which includes conversion processes for information identified for release whose native format is not accessible and reusable

2015 Q3

2017

  • IM specialist
  • IT Security specialist
  • IT specialist

Not started

Release process to support the publication of the Agency’s data

IM Directorate

Develop guidance material on the formatting and release of open information and data which includes a release process to support the publication of the Agency’s data

2015 Q3

2017

  • IM specialist
  • IT Security specialist
  • IT specialist
  • Communications specialist

Not started

Release process to support the publication of the Agency’s information

IM Directorate

Develop guidance material on the formatting and release of open information and data which includes a release process to support the publication of the Agency’s information

2015 Q3

2017

  • IM specialist
  • IT Security specialist
  • IT specialist
  • Communications specialist

Not started

DOG 6.3: Establishing and maintaining comprehensive inventories of data and information resources of business value held by the department to determine their eligibility and priority, and to plan for their effective release (6.3)
Deliverables / Milestones Lead Activities Start Date End Date Resources To Be Accessed Status

Methodology for establishing a data inventory

IM Directorate

Develop methodology for planning the establishment and maintenance of the Agency’s data inventory in conjunction with the Agency’s structured and unstructured inventories:

  • establish initial data elements for Agency’s data inventory
  • determine data to be included in Agency’s data inventory
  • establish process to keep Agency’s data inventory up to date

2016

2016

  • IM specialist
  • IT Security specialist
  • IT specialist
  • ATIP specialist
  • Communications specialist
  • Data owners

Not started

Methodology for establishing an information inventory

IM Directorate

Develop methodology for planning the establishment and maintenance of the Agency’s information inventory in conjunction with the Agency’s structured and unstructured inventories:

  • establish initial information resources for Agency’s information inventory
  • determine information to be included in Agency’s information inventory
  • establish process to keep Agency’s information inventory up to date

2017

2018

  • IM specialist
  • IT Security specialist
  • IT specialist
  • ATIP specialist
  • Communications specialist
  • Information owners

Not started

Data inventory (detailed, itemized list(s) that describe the volume, scope and complexity of the data held by the Agency)

IM Directorate

Establish and maintain Agency Data Inventory into supplied template as a part of the Agency Data and Information inventory integrated with the inventory of Agency’s structured and unstructured inventories:

  • align Agency’s data inventory with TBS template

2016

2016

  • IM specialist
  • IT Security specialist
  • IT specialist
  • ATIP specialist
  • Data owners

Not started

Information inventory (detailed, itemized list(s) that describe the volume, scope and complexity of the information held by the Agency)

IM Directorate

Establish and maintain Agency Information Inventory as a part of Agency Data and Information inventory integrated with the inventory of Agency’s structured and unstructured inventories:

  • align Agency’s information inventory with TBS template

2017

2018

  • IM specialist
  • IT Security specialist
  • IT specialist
  • ATIP specialist
  • Information owners

Not started

Renewal process(es) to maintain the currency of the Agency’s data inventory

IM Directorate

Develop and maintain Agency renewal protocol to maintain currency of Agency’s data inventory:

  • align existing Agency’s process to keep Agency’s data inventory up to date

2016

2016

  • IM specialist
  • IT Security specialist
  • IT specialist
  • ATIP specialist
  • Data owners

Not started

Renewal process(es) to maintain the currency of the Agency’s information inventory

IM Directorate

Develop and maintain Agency renewal protocol to maintain currency of Agency’s information inventory

  • align existing Agency’s process to keep Agency’s data inventory up to date

2017

2018

  • IM specialist
  • IT Security specialist
  • IT specialist
  • ATIP specialist
  • Communications specialist
  • Information owners

Not started

Assets included in the data inventory are evaluated to determine their eligibility and priority for release

IM Directorate

Evaluate assets included in the data inventory against the publishing criteria to determine their eligibility and base their priority for release (see details within measures) on the prioritization criteria used to plan the release of all data sets:

  • establish and maintain publish criteria for data inventory
  • establish and maintain prioritization criteria for data inventory

2016

2016

  • IM specialist
  • IT Security specialist
  • IT specialist
  • ATIP specialist
  • Communications specialist
  • Legal specialist
  • Data owners

Not started

Assets included in the information inventory are evaluated to determine their eligibility and priority for release

IM Directorate

Evaluate assets included in the information inventory against the publish/not publish criteria to determine their eligibility and base their priority for release (see details within measures) on the prioritization criteria used to plan the release of all information:

  • establish and maintain publish criteria for information inventory
  • establish and maintain prioritization criteria for information inventory

2017

2018

  • IM specialist
  • IT Security specialist
  • IT specialist
  • ATIP specialist
  • Communications specialist
  • Legal specialist
  • Information owners

Not started

DOG 6.4: Developing, posting to the designated website, implementing, and annually updating a departmental Open Government Implementation Plan (OGIP)
Deliverables / Milestones Lead Activities Start Date End Date Resources To Be Accessed Status

Governance structures are in place to oversee the implementation of the Agency ’s OGIP

IM Directorate

Review, validate and evolve the Agency’s Governance to oversee the implementation of Agency’s OGIP

2015

2015 Q3

  • DG CIMB
  • Director IMD

Completed

Agency OGIP

IM Directorate

Develop, review, validate, maintain and evolve the Agency’s OGIP

2015

2015 Q3

  • IM specialist
  • IT Security specialist
  • IT specialist
  • Communications specialist

Completed

Signatures in section 2 (Approvals) of Agency OGIP

IM Directorate

Obtain IMSO and EC approval of the Agency’s OGIP

2015

2015 Q3

  • EC CIO
  • Director IMD

Completed

Agency OGIP is staffed and funded

IM Directorate

Ensure sufficient funding and staff are planned to support the ongoing implementation of Open Government at the Agency

2015

2020

  • DG CIMB
  • Director IMD
  • Director CD

In progress

Monitoring and reporting processes for assessing progress and maintaining the currency of the Agency’s OGIP

IM Directorate

Design, develop, implement and monitor implementation of the processes to monitor and report progress on the Agency’s OGIP

2015

2020

  • IM specialist
  • IT Security specialist
  • IT specialist
  • Communications specialist

Not started

First annual update to the OGIP by the Agency

IM Directorate

Update for Year 2 Agency’s OGIP and post to the designated TBS website:

  • review existing plan
  • align with any new/updated guidelines/standards provided by TBS
  • determine performance measures as identified in OGIP (dependency on DOG 7.1 - Establish and maintain performance framework to monitor Agency’s progress against the activities and deliverables / milestones in the OGIP)
  • Obtain governance, Deputy Head and IMSO approval

2016

2016 Q3

  • IM specialist
  • IT Security specialist
  • IT specialist
  • Communications specialist
  • Data owners

Not started

Second annual update to the OGIP by the Agency

IM Directorate

Update for Year 3 Agency’s OGIP and post to the designated TBS website

2017

2017 Q3

  • Director IMD
N/A

Third annual update to the OGIP by the Agency

IM Directorate

Update for Year 4 Agency’s OGIP and post to the designated TBS website

2018

2018 Q3

  • Director IMD
N/A

Fourth annual update to the OGIP by the Agency

IM Directorate

Update for Year 5 Agency’s OGIP and post to the designated TBS website

2019

2019 Q3

  • Director IMD
N/A
DOG 6.5: Maximizing the removal of access restrictions on departmental information resources of enduring value (IREV) prior to transfer to Library and Archives Canada (LAC).
Deliverables / Milestones Lead Activities Start Date End Date Resources To Be Accessed Status

Methodology for the removal of access restrictions from data and information resources of enduring value prior to their transfer to the LAC

IM Directorate

Develop and maintain methodology to remove access restrictions from IREVs prior to transfer to LAC in accordance with LAC guidance on maximizing the removal of access restrictions on information resources of enduring value prior to transfer to LAC.

2016

2017

  • Director IMD

Awaiting information from TBS and LAC

Methodology for the removal of access restrictions from data and information resources of enduring value prior to their transfer to the LAC is integrated into the Agency’s disposition plans and procedures.

IM Directorate

Integrate the methodology for removal of access restrictions on IREVs prior to transfer to LAC into the Agency’s disposition plans and procedures.

2017

2018

  • Director IMD

Awaiting information from TBS and LAC

DOG 6.6: Ensuring that open government requirements in sections 6.1 to 6.5 of this directive are integrated in any new plans for procuring, developing, or modernizing departmental information applications, systems, or solutions in support of the delivery of programs and services
Deliverables / Milestones Lead Activities Start Date End Date Resources To Be Accessed Status

Governance structures are in place to ensure that the requirements of the DOG are integrated into any new plans for procuring, developing, or modernizing departmental information applications, systems, or solutions

IM Directorate

Review and validate Agency Governance structures to ensure that the requirements of the DOG are integrated into any new plans for procuring, developing, or modernizing departmental information applications, systems, or solutions

2015

2015 Q3

  • CIO IM specialist
  • ATIP Specialist
  • Legal specialist
  • IT Security specialist

Completed

DOG requirements are integrated into the Agency’s procurement process(es) for information applications, systems, and solutions

IM Directorate

Integrate Open Government requirements into Agency procurement processes for application, systems and solutions

2016

2019

N/A N/A

DOG requirements are integrated into the Agency’s development process(es) for information applications, systems, and solutions

IM Directorate

Integrate Open Government requirements into Agency development processes for application, systems and solutions

2016

2019

N/A N/A

DOG requirements are integrated into the Agency’s modernizing process(es) for information applications, systems, and solutions

IM Directorate

Integrate Open Government requirements info Agency modernization process(es) for application, systems and solutions

2016

2019

N/A N/A
DOG 7.1: Departmental information management senior officials, as designated by the deputy heads, are responsible for overseeing the implementation and monitoring of this directive in their department.
Deliverables / Milestones Lead Activities Start Date End Date Resources To Be Accessed Status

Performance framework for the monitoring of the Agency’s progress against the activities and deliverables / milestones in the OGIP

IM Directorate

Establish and maintain performance framework to monitor the Agency’s progress against the activities and deliverables / milestones in the OGIP

2016

2016 Q3

N/A N/A

Progress against the activities and deliverables / milestones in the OGIP is regularly reported to the governance structures in place to oversee the implementation

IM Directorate

Report on regular basis to the governance structures on the progress achieved against the activities and deliverables/milestones in the Agency OGIP

2016

2019

N/A N/A

Performance framework for the monitoring of the Agency’s ongoing compliance to the requirements of the DOG

IM Directorate

Monitor the ongoing compliance to the requirements of the DOG in accordance with the Agency Performance framework

2016 Q3

2020

N/A N/A

Process to ensure significant difficulties, gaps in performance, or compliance issues are reported to the Deputy Head (DH)

IM Directorate

Report to Agency Deputy Head on any significant difficulties, gaps in performance, or compliance issues, if and as required.

2016 Q3

2020

N/A N/A