Table of Contents
Open Government Implementation Plan (OGIP) Template
Prepared by the Information Management and Open Government Division (IMOG), Chief Information Officer Branch (CIOB), Treasury Board Secretariat (TBS).
© Her Majesty the Queen in Right of Canada, represented by the President of Treasury Board, 2015
1. Executive Summary
Canada has a longstanding commitment to openness and accountability as a cornerstone of a strong, modern democracy. From the passing of access to information legislation 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. The commitments included in Canada’s Action Plan on Open Government 2014-16 will further the 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 activity. Accordingly, the Government of Canada has firmly established an “open by default” position in its mandatory policy framework by issuing the Directive on Open Government.
The Department of Finance contributes to a strong economy and sound public finances for Canadians by monitoring economic developments in Canada and around the world to provide first-rate analysis and advice to the Government of Canada. The Department interacts extensively with other federal organizations and acts as an effective conduit for the views of participants in the economy from all parts of Canada.
The Department of Finance will ensure that its business processes and infrastructure are aligned to meet the expectations of the Directive on Open Government which will evolve during the first five years of implementation. The Department of Finance will report on all aspects of its implementation of the Directive on Open Government in annual updates to this plan.
Over the next years, the Department of Finance will be delivering on this plan by conducting an internal analysis of potential datasets and information resources that could be published on the Open Government Portal. It will develop procedures to facilitate the publishing process and, through governance, ensure that quality datasets and information resources are made available to the Canadian public. Finally, the Department will develop performance measures that will be used to gage the Department’s success in delivering on the Open Government Initiative.
Government-wide initiatives such as Destination 2020 and workload migration as well as the need to be compliant to the Directive on Open Government and the Directive on Recordkeeping will drive the Department to evolve and modernize its business processes.
2. Approvals
Philippe Lajeunesse
Acting Information Management Senior Officer
Acting Executive Director and Chief Information Officer
Corporate Services Branch
Department of Finance
Date
Randy Larkin
Assistant Deputy Minister
Corporate Services Branch
Department of Finance
Date
Paul Rochon
Deputy Minister
Department of Finance
Date
3. Purpose
This document describes the Department of Finance’s (Finance) plan to complete activities and deliverables aligned to the requirements of the Directive on Open Government, in order to achieve full compliance by the 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 (GC) information and data:
- to support accountability;
- to facilitate value-added analysis;
- to drive socio-economic benefits through reuse; and,
- to support meaningful engagement with their government.
4. Context
Department of Finance Mandate and Responsibilities
The Department contributes to a strong economy and sound public finances for Canadians. It does so by monitoring economic developments in Canada and around the world to provide first-rate analysis and advice to the GC and by developing and implementing fiscal and economic policies that support the economic and social goals of Canada and its people. The Department also plays a central role in ensuring that government spending is focused on results and delivers value for taxpayer dollars. Finance interacts extensively with other federal organizations and acts as an effective conduit for the views of participants in the economy from all parts of Canada. The Department’s responsibilities include the following:
- Preparing the federal Budget and the fall Update of Economic and Fiscal Projections;
- Preparing the Annual Financial Report of the Government of Canada and, in cooperation with the Treasury Board of Canada Secretariat and the Receiver General for Canada, the Public Accounts of Canada;
- Developing tax and tariff policy and legislation;
- Managing federal borrowing on financial markets;
- Designing and administering major transfers of federal funds to the provinces and territories;
- Developing financial sector policy and legislation; and
- Representing Canada in various international financial institutions and organizations.
The Department’s workforce totals approximately 850 employees who are all located in the National Capital Region.
Department of Finance Technological Environment
Over the years, Finance has developed a technological environment well suited to meet its mandate. Finance employees use 16 corporate databases and over 125 applications. These technology tools are used to develop and enhance economic and tax modelling, which are key activities within the Department. These complex econometric models are used to assess the impact of different budget options on the Canadian economy. In addition, a number of commercially available business software products and services are used by all business lines. These tools supporting our technological environment enable Finance to conduct qualitative policy analysis covering the entire spectrum of economic issues impacting Canada, from tax to international issues, and from financial banking sector scenarios to economic development of the country’s regions.
Given the sensitivity surrounding the analysis of potential tax and tariff measures or new legislation, the Department, through the infrastructure provided by Shared Services Canada (SSC), maintains a segregated IT network to ensure the appropriate safeguard of this information. From the moment the federal Budget, economic updates or legislation are formally communicated to Canadians, most of the supporting data and information used to prepare these documents, is no longer deemed sensitive. With the implementation of this action plan, elements of this supporting information will systematically be published on an annual basis.
The Department continues to make investments to modernize its business processes and technological infrastructure in order to advance operational efficiencies and comply with the GC information management and technology direction. In fact, Finance is an active participant in the full range of information technology transformation initiatives led by SSC.
5. Outcomes
The Department of Finance through the implementation of the Directive on Open Government will align itself with Government of Canada commitments and priorities. Some benefits include:
- Implementing Destination 2020 by enabling the sharing of information across the Government and citizens.
- Optimizing the value and reusability of the Department’s data and information.
- Supporting accountability by increasing the transparency of the institution’s decisions and decision-making processes.
- Aligning with the Policy Framework for Information and Technology to ensure the re-use of data and information to eliminate duplication, effort and redundancy.
- Possibly reducing costs associated with processing and releasing information following Access to Information requests when adopting the “Open By Default” concepts as described in Canada’s Action Plan on Open Government 2014-16.
6. Governance Structures and Decision Processes
Below is a representation of the governance structures in place in Finance to deliver on the Open Government Initiative.
Figure representing the governance structures to deliver on the Open Government Initiative - Text version
The figure shows 3 sections: OG Governance (Planning and Approval Process), OG Publishing Process and Advisors. OG Governance (Planning and Approval Process) and Advisors are both related to OG Publishing Process.
Section 1: OG Governance (Planning and Approval Process)
From the bottom to the top: Data / Information Owners (Branches), IMIT Consultation Working Group, Management Advisory Committee (MAC) and Executive Committee / DM.
Section 2: OG Publishing Process
From the bottom to the top: Data/Information Owners (Branches) is linked to IMTD and Communication & Consultations which are both linked to CIO/IMSO. Also, Communication & Consultations is linked to Open.Canada.ca. CIO/IMSO receive from the Executive Committee / DM of Section 1.
Section 3: Advisors
ATIP, Legal and Security
The planning process in place at Finance ensures a systematic, transparent and fully documented approach to senior management decision-making. Open Government planning and reporting activities are included within this process.
6.1 Roles and Responsibilities – Deputy Head and Information Management Senior Official.
Deputy Head
The Deputy Minister of Finance is accountable for the Department’s performance with respect to the organization Open Government Implementation Plan (OGIP). Included in his responsibilities is the review and approval of the plan and its annual updates. The Deputy Minister also supports the OG Initiative by ensuring that emerging issues related to the execution of the OGIP are quickly resolved.
Chief Information Officer (CIO)/ Information Management Senior Official (IMSO)
The CIO/IMSO is responsible for the approval of the publication of departmental datasets and information resources to the Open Government portal that is part of the Open Government initiative.
In addition, the CIO/IMSO monitors the delivery of the Department’s OGIP to ensure that there are no gaps in performance and compliance. The CIO/IMSO also reports significant performance and compliance issues to the Chief Information Officer Branch of the Treasury Board Secretariat.
Further, the CIO/IMSO must ensure the integration of the Directive on Open Government requirements into any new plans for procuring, developing, or modernizing departmental information applications, systems, or solutions in support of the delivery of programs and services. And as required, he consults with IMIT, ATIP, Legal and Security.
6.2 Roles and Responsibilities – Key Stakeholders
In addition to the Deputy Minister of Finance and the Department’s Information Management Senior Official, there are six other key stakeholder groups involved in the delivery of the OGIP.
Management Advisory Committee (MAC) – Chaired by the Associate Deputy Minister
MAC is responsible for the development of the departmental Vision and Strategy for Open Government based on recommendations of the IM/IT Consultation Group. MAC also recommends for approval to EXEC the OGIP, annual release plans and progress reports.
Branch Assistant Deputy Ministers (Data/Information Owners)
Branches have the responsibility of identifying and making available candidate datasets and information resources for Open Government publication. Potential offerings must be assessed by the branches from a value, risk and effort perspective. Further, this assessment should include consultations with departmental Security, Legal and ATIP officials as required.
IM/IT Consultation Group
In addition to its responsibilities with respect to the effective integration of IM/IT with the business of the Department, this forum also has the responsibility of reviewing branch Open Government data publication and annual commitments recommendations before they are brought forward to the CIO/IMSO for approval of the release of the dataset/information. The Group also coordinates the annual action plan, reports on annual performance measure and provides OG awareness and guidance. Member of the Group ensure effective and timely two ways communications between Branches (data/ information owners) and IMTD as well as the other stakeholders.
Information Management Technology Directorate
Under the direction and oversight of the Department’s CIO/IMSO, the Information Management Technology Directorate’s Open Government responsibilities include:
- Managing the Open Government Program;
- Analyzing datasets;
- Maintaining the Open Government Implementation Plan;
- Creating the dataset/information inventory;
- Maintaining the dataset/information inventory including the yearly prioritization of release candidates;
- Maintaining the departmental metadata terminology;
- Working with branches to ensure quality delivery of datasets and information resources;
- Advising the CIO/IMSO on OG issues as needed.
Communications & Consultations
- OG Portal Registration (datasets and information resources posting);
- Coordinate dataset/information release (new & refresh) according to annual schedule;
- Respond to public enquiries regarding posted datasets and information resources on the OG Portal.
Security, ATIP and Law
- Provide advice on the ownership, sensitivity and releasability of data and information resources;
- Provide advice on the removal of access restrictions.
6.3 Communication, Awareness, and Engagement
The requirements of the Directive on Open Government and the commitments in the Department’s OGIP are communicated within and outside the Department. Within the Department the following means of communications are being used:
- Presentation and discussion at the MAC, followed by annual updates on the achievements, and the plans for the coming year;
- Engagement and consultation sessions with data owners and other stakeholders, including Security Operations, and the Access to Information and Privacy Division;
- Development and maintenance of OG strategy and plans;
- Yearly consultations with the Branches as part of the annual integrated business planning process;
- Briefings and related discussion with the data owners in the Branches to ensure business requirements are well reflected, and as required existing data applications are enhanced and new ones are developed;
- Development of OG awareness program for Finance employees.
The Department’s OGIP will also be communicated externally, notably on the Government of Canada Open Government Portal.
Annex - Planning Table
| Year 1 | to |
|---|---|
| Year 2 | to |
| Year 3 | to |
| Year 4 | to |
| Year 5 | to |
Summary of Resources Required: New resources required for OG within IM/IT are: for year two 0.75 FTE, for years three, four and five on an annual basis 0.25 FTE. In addition, $50,000 to 100,000 is required in external consulting services for element 6.6 of the TB Directive. (In this table, 1 FTE has an estimated cost of $100,000). The total existing and new FTE resources to implement the Department of Finance OGIP per year are approximately: 1 FTE in year one, 2.5 FTEs in year two, 2 FTEs in year three and four, and 0.5 FTE in year five.
| Directive on Open Government Reference | Compliance Requirement | Deliverables / Milestones | Lead | Activities | Start Date | End Date | Resources (Human and Financial) | Status |
|---|---|---|---|---|---|---|---|---|
| DOG 6.1 | Maximizing the release of the Government of Canada open data (structured data) and open information (unstructured documents and multi-media assets) under an open and unrestrictive licence designed by the Treasury Board of Canada Secretariat as outlined in Appendix B (Mandatory Release of Government Information) of the Directive On Open Government. | Release Plan for data of business value in the Department of Finance | IMSO | Develop a data inventory from which an annual release plan will be established. | Year 2 | Year 2 | 0.5 FTE | Not started |
| Release Plan for Information of business value in the Department of Finance | IMSO | Develop an information inventory from which an annual release plan will be established. | Year 3 | Year 3 | 0.5 FTE | Not started | ||
| DOG 6.2 | Ensuring that open data and open information is released in accessible and reusable formats via the Government of Canada websites and services designated by the Treasury Board Secretariat. | List of accessible and reusable data and information formats | IMSO | Create the list during the development of the data inventory, which has a business value. | Year 2 | Year 2 | 0.5 FTE | Not started |
| Conversion processes for data of business value identified for release whose native format is not accessible and reusable. | IMSO | Establish a conversion process during the development of the data inventory, which has a business value. | Year 2 | Year 2 | 0.5 FTE | Not started | ||
| Conversion processes for information of business value identified for release whose native format is not accessible and reusable. | IMSO | Establish a conversion process during the development of the information inventory that has a business value. | Year 4 | Year 4 | 0.5 FTE | Not started | ||
| Data release process to support the publication of data of business value in the Department of Finance. | ADM C&CB | Establish a process for the release of data of a business value, after the completion of the data inventory. | Year 3 | Year 3 | 0.5 FTE | Not started | ||
| Information release process to support the publication of information of business value in the Department of Finance. | ADM C&CB | Establish a process for the release of information of a business value after the completion of the information inventory. | Year 4 | Year 4 | 0.5 FTE | 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 reuse. | Methodology for establishing an inventory of data of business value. | IMSO | Develop a methodology to establish an inventory of data of business value. | Year 1 | Year 1 | 0.25 FTE | In progress |
| Methodology for establishing an inventory of information of business value. | IMSO | Develop a methodology to establish an inventory of information of business value. | Year 2 | Year 3 | 0.25 FTE | Not started | ||
| Inventory of data of business value in the Department of Finance. This is a detailed and itemized list that describes the volume, scope and complexity of the data. | IMSO | Develop the data inventory of business value. | Year 2 | Year 2 | 0.5 FTE | Not started | ||
| Inventory of information of business value in the Department of Finance. This is a detailed and itemized list that describes the volume, scope and complexity of the information. | IMSO | Develop the inventory of information of business value. | Year 4 | Year 4 | 0.5 FTE | Not started | ||
| Renewal protocol to maintain the currency of inventory of data of business value in the Department of Finance. | IMSO | Establish renewal protocols to maintain an accurate and current inventory of data of business value. | Year 5 | Year 5 | 0.25 FTE | Not started | ||
| Renewal protocol to maintain the currency of inventory of information of business value in the Department of Finance. | IMSO | Establish renewal protocols to maintain an accurate and current inventory of information of business value. | Year 5 | Year 5 | 0.25 FTE | Not started | ||
| Assets included in the inventory of data of business value, are evaluated to determine their eligibility and priority for release. | ADMs | Assess the eligibility and priority of data for release. | Year 2 | Year 2 | 0.10 FTE | Not started | ||
| Assets included in the inventory of information of business value, are evaluated to determine their eligibility and priority for release. | ADMs | Assess the eligibility and priority of information for release. | Year 4 | Year 4 | 0.10 FTE | Not started | ||
| DOG 6.4 | Developing, posting to the designated website, implementing, and annually updating a departmental Open Government Implementation Plan (OGIP) as outlined in Appendix C of the Directive on Open Government. | The Department of Finance’s OGIP includes a solid governance structure and is approved by the DM. | DM/ IMSO | Develop, promulgate and publish the Department’s OGIP (TBS to publish on open.canada.ca). | Year 1 | Year 1 | 0.25 FTE | In progress |
| OGIP is staffed and funded | DM/ IMSO | Finance Executive Committee approves the resources required to achieve the OGIP | Year 1 | Year 2 | 0.10 FTE | In progress | ||
| Monitoring and reporting processes for assessing progress and maintaining the currency of the Department of Finance’s OGIP. | IMSO | Establish monitoring and reporting processes for assessing progress and maintaining the currency of the Department of Finance’s OGIP. | Year 1 | Year 1 | 0.10 FTE | In progress | ||
| The Department of Finance’s first annual update to the OGIP to assess progress and to maintain current the OGIP. | DM/ IMSO |
Develop first OGIP annual update describing results of Year 2 activities, including statistics of any released data and/or information of business value. Publish data and information eligible for release on open.canada.ca. |
Year 2 | Year 2 | 0.10 FTE | Not started | ||
| The Department of Finance’s second annual update to the OGIP to assess progress and to maintain current the OGIP. | DM / IMSO |
Develop second OGIP annual update describing results of Year 3 activities, including statistics of any released data and/or information of business value. Publish data and information eligible for release on open.canada.ca. |
Year 3 | Year 3 | 0.10 FTE | Not started | ||
| The Department of Finance’s third annual update to the OGIP to assess progress and to maintain current the OGIP. | DM / IMSO |
Develop third OGIP annual update describing results of Year 4 activities, including statistics of any released data and/or information of business value. Publish data and information eligible for release on open.canada.ca. |
Year 4 | Year 4 | 0.10 FTE | Not started | ||
| The Department of Finance’s fourth annual update to the OGIP to assess progress and to maintain current the OGIP. | DM / IMSO |
Develop fourth OGIP annual update describing results of Year 5 activities, including statistics of any released data and/or information of business value. Publish data and information eligible for release on open.canada.ca. |
Year 5 | Year 5 | 0.10 FTE | Not started | ||
| DOG 6.5 | Maximizing the removal of access restrictions on departmental information resources of enduring value prior to transfer to Library and Archives Canada as part of planned disposition activities. | Methodology for the removal of access restrictions from data and information resources of enduring value (IREV) prior to transfer to LAC. | IMSO | Develop the methodology for the removal of access restrictions for data and information resources of enduring value (IREV) prior to transfer to LAC. | Year 3 | Year 3 | 0.25 FTE | Not started |
| Disposition plans and procedures reflect the methodology for the removal of access restrictions from data and information resources of enduring value prior to their transfer to LAC. | IMSO | Integrate methodology for the removal of access restrictions from data information resources of enduring value prior to their transfer to LAC into the Department of Finance disposition plans and procedures. | Year 3 | Year 3 | 0.25 FTE | Not started | ||
| 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 data/information applications, systems, or solutions in support of the delivery of programs and services. | Governance structures are in place to oversee the implementation of open government requirements in any new plans for procuring, developing, or modernizing departmental data/information applications, systems, or solutions in the Department of Finance. | IMSO | Establish governance structures to align the procurement, development and modernization of information systems with open government requirements. | Year 1 | Year 2 | 0.5 FTE | In progress |
| Open government requirements are integrated into procurement, development and modernization processes for data/information applications, systems, and solutions in the Department of Finance. | IMSO | Integrate the open government requirements into procurement, as well as in development and modernization processes related to information/data applications, systems, and solutions. | Year 2 | Year 3 |
$100,000 1 consultant |
In progress | ||
| DOG 7.1 | 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. | A performance framework is established to monitor progress against the activities and deliverables / milestones in the OGIP. | IMSO | Use the activities, deliverables and deliverables in the OGIP to monitor performance (actual vs planned achievements) | Year 1 | Year 5 | 0.10 FTE | In progress |
| Progress against the activities and deliverables / milestones in the OGIP is regularly reported to the governance structures in place to oversee the implementation. | DM/ IMSO | Monitor progress made in achieving activities, deliverables and milestones in the OGIP and report to senior management using OGIP governance structure | Year 2 | Year 5 | 0.25 FTE | Not started | ||
| A performance framework is established to monitor ongoing compliance to the requirements of the Directive | IMSO | Use the activities, deliverables, and milestones in the OGIP to assess compliance with the OG Directives | Year 1 | Year2 | 0.10 FTE | In progress | ||
| Process to ensure significant difficulties, gaps in performance, or compliance issues are reported to the Deputy Head. | IMSO | Exception reporting: Report significant gaps in performance and compliance using OGIP governance structure including the Executive Committee chaired by the DM | Year 2 | Year 5 | 0.10 FTE | Not started |