Policy on the Management of Government Information Holdings

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Title:               Policy on the Management of Government Information Holdings
                     (Chapter 3-1)*
                     Treasury Board Manual - Information Management


Author/Information:  Financial and Information Management Branch
                     Treasury Board Secretariat
                     Telephone: (613) 957-2409


Last Revision:       July 31, 1994


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*This document is protected by Crown copyright.  Permission is granted to copy and distribute it freely
within the Canadian federal government and other levels of government in Canada.

****


CHAPTER 3-1
Policy on the Management of Government Information Holdings


TABLE OF CONTENTS

Policy objective

Policy statement

Application

Policy requirements

Monitoring

References

Enquiries

Appendices

Appendix A þ Standards for the Management of Confidences of the Queen's Privy Council 

Appendix B þ Standards for the Transmission, Maintenance and Protection of Information Holdings

Appendix C þ Information Inventory Structure

Appendix D þ Definitions

Appendix E þ Guidelines



Policy on the Management of Government Information Holdings


Policy objective

The objective of this policy is to ensure the cost-effective and coordinated management of federal
government information holdings.

Policy statement

It is the policy of the government to:

               þmanage all information holdings as a corporate resource to support effective
               decision-making, meet operational requirements and protect the legal, financial and other
               interests of the government and the public;

               þmake the widest possible use of information within the government by ensuring that it is
               organized to facilitate access by those who require it, subject to legal and policy
               constraints;

               þreduce response burden on the public by eliminating unnecessary collection of information;
               and

               þidentify and conserve information holdings that serve to reconstruct the evolution of policy
               and program decisions or have historical or archival importance and to ensure that such
               information is organized in a manner to be readily available for the study of
               decision-making in government and other educational purposes which explain the historical
               role of the federal government in Canadian society.

Application

This policy applies to all departments and agencies, including departmental corporations and branches
designated as departments for purposes of the Financial Administration Act.

Policy requirements

1.             Corporate management

Government institutions must:

               þplan, direct, organize and control their information holdings throughout their life cycle,
               regardless of the form or medium in which the information is held;

               þmaintain a current, comprehensive and structured  identification or classification system or
               systems that provide an effective means for organizing and locating information and, in
               composite form, comprise a corporate inventory for managing the institution's information
               holdings;

               þmanage all confidences of the Queen's Privy Council for Canada in accordance with
               government-wide standards established by the Privy Council Office and set out in
               Appendix A; and

               þdesignate a senior official to represent the deputy head to Treasury Board Secretariat and
               other central agencies for the purposes of this policy.

2.             Assessing and defining information needs

               þFor any new or modified programs or activities, government institutions must assess and
               define their information needs, together with the information systems required to respond to
               those needs, at an early stage of the planning process.

               þInstitutions must control their creation and use of forms, regardless of the media in which
               they appear, and review such forms for conformity with all statutory and government policy
               requirements prior to the implementation of any information collection.

3.             Collection

Government institutions must:

               þavoid collecting information that is already available by checking with the institutional
               inventory;

               þminimize the response burden and costs associated with government information collection
               by determining during the design phase whether joint collection or information sharing with
               other institutions is feasible to meet common information needs and by collecting only that
               information that is directly relevant to the programs and functions of the institution;

               þin accordance with the Privacy Act, collect personal information, (whenever possible),
               directly from the individual to whom it pertains, inform all respondents from whom
               information is collected of the name of the institution, the authority under which the
               information is collected, whether provision of the information is voluntary or mandatory,
               the purpose of the collection, and, where applicable, the name of the personal information
               bank which contains the information.  Exceptions to this requirement are allowed only for
               omnibus surveys or where provision of this information to respondents would defeat the
               purpose of the collection.

3.1            Public opinion research
In addition to meeting all policy requirements as they relate to government information collection, federal
institutions must with regard to public opinion:

               þat the earliest possible stage of development and in the case of contracted research, before
               entering into any related contract, inform PWGSC of all decisions to undertake government
               information collection which qualifies as, or contains a component of, public opinion
               research.  Institutions must consult Public Works and Government Services Canada
               (PWGSC) and the definition of public opinion research in the Contracting Policy when
               considering specific cases.

4.             Maintenance and protection

Government institutions must:

               þapply the government-wide standards for the transmission, maintenance and protection of
               information holdings throughout the information life cycle (listed in Appendix B); and

               þidentify and protect essential information holdings (as defined in the Guide to the
               Preservation of Essential Records published by Emergency Preparedness Canada).

5.             Dissemination and use

Government institutions must:

               þensure that their information holdings are identified and described in the appropriate
               government public reference sources, and that information is effectively disseminated where
               there is a duty to inform the public;

               þmake their information holdings available for purchase by the public, where appropriate
               and there is a significant public demand;

               þmake their information available for use within the government, subject to any legal or
               policy constraints such as those contained in the Privacy Act and Government Security
               Policy, in order to ensure an optimal use of information and a minimal response burden on
               the public; and

               þensure that all material published by the institution is easily accessible to decision-makers
               within the institution and is available to the public on request.

Institutions will make every effort to disclose results outside the formal resolution process prescribed by the
Access to Information Act.   In the spirit of the Act, institutions are encouraged to make results of public
opinion research available within 30 days of receipt and should only resort to the 90 day allowance if
constrained by publishing requirements.

In those cases where a minister elects not to disclose the final report of public opinion research in response
to an access to information request, the minister will be required to send a letter to the Information
Commissioner of his or her decision citing the provision(s) of the Access to Information Act that the
minister has exercised.  A copy of the letter will be sent to the Treasury Board for purposes of monitoring
implementation of this policy.

Requests for public opinion research results received under the Access to Information Act will continue to
be treated in accordance with the Act.

6.             Preservation, retention and disposal

Government institutions must:

               þensure that all information, as identified in the corporate inventory, is scheduled for
               retention and disposal;

               þensure that records of enduring value which document the evolution of government
               policies, programs and major decisions are maintained; and

               þidentify and document projects, programs and policies sufficiently to ensure continuity in
               the management of government institutions and the preservation of a historical record.

Monitoring

The Treasury Board Secretariat will monitor compliance with all aspects of this policy through departmental
internal audit reports.  The National Archives has specific evaluation responsibilities on behalf of the
Treasury Board Secretariat in regard to this policy, and may report on significant problems or issues in the
state of management of information holdings related to their identification, organization, storage,
conservation, retention and disposal, including aspects relating to institutional histories, profiles and case
studies.  Likewise, government institutions may report on specific problems and issues related to
information collection; and the National Library on published material.  Internal audit groups in institutions
should include an assessment of the degree of compliance with the policy in their audit of the management
of information holdings.

References

Authority

This policy is issued under the authority of the Financial Administration Act and the authority of the
designated minister (President of the Treasury Board) under the Access to Information Act and the Privacy
Act.

Cancellation

The policy replaces:

               þTreasury Board circular 1983-09, Records Management Policy (Chapter 460)

               þcircular 1986-19, Government Information Collection and Public Opinion Research

               þarticles .2.1.9, .2.1.10 and .4 of the Micrographics Policy (Chapter 445), EDP Records
               Management (Chapter 440.7)

               þForms Management (Chapter 465) of the Administrative Policy Manual.

Treasury Board Secretariat publications

This policy should be read in conjunction with other Treasury Board policies: 

þ              Access to Information volume 
þ              Privacy and Data Protection volume
þ              Security volume
þ              Communications volume
þ              Information Technology Management Policy, chapter 2-1 of this volume

Legislation

Legislation relevant to this policy includes the Access to Information Act, the Privacy Act, the National
Archives of Canada Act and the National Library Act.

Enquiries

Please direct enquiries concerning the intent and implementation of this policy to Information,
Communications and Security Policy, Administrative Policy Branch, Treasury Board Secretariat.

Enquiries on public opinion research should be directed to:

Marthe Schryburt
Public Opinion Research
Public Works and Government Services Canada

Enquiries on information collection should be directed to:

Louise Desramaux,
Data Access and Control Services
Statistics Canada

Appendix A
Standards for the Management of Confidences of the Queen's Privy Council


To be issued at a later date.



Appendix B
Standards for the Transmission, Maintenance and Protection of Information Holdings


To be issued at a later date.




Appendix C
Information Inventory Structure


To be issued at a later date



Appendix D
Definitions


Case study (étude des cas) þ is a major analysis of a departmental policy, project or program over a
selected period of time, based on historical research.

Corporate controls (les contrôles intégrés) þ in the context of this policy are the institution's policies,
practices and procedures approved by the deputy head which define the process of planning, directing,
organizing and evaluating the collection, creation, use, maintenance, security and preservation or disposal
of information required to achieve program objectives and operational goals.

Federal library (bibliothèque fédérale) þ is that part of a government institution which, among other things,
is responsible for acquiring, accommodating and providing information services for all published material
prepared or produced by or for that institution, and for providing bibliographic descriptions and facilitating
public reference to it.

Government institution (institution gouvernementale) þ means any department or ministry of state of the
Government of Canada listed in Schedule 1 to the Access to Information Act or any body or office listed in
Schedule 1.

Government information collection (la collecte de données gouvernementales) þ is the planned gathering by
or for a government institution of any information (including personal information as defined in the Privacy
Act) that is intended to be used for any government purpose, except as provided below.

This definition includes, but is not restricted to, the collection of information for direct or indirect use in
program planning, operation or policy development, or the provision of benefits, grants or services,
whether that information is collected from persons (including employees of government institutions)
businesses, institutions or other entities through surveys, interviews, reports, forms, questionnaires or any
other formal or informal method.

Some information collection remains subject to the institution's internal review mechanisms.  Included in
this category are collections of:

               (a)non-personal information which is:

               þcollected from within the government for program evaluation, internal audit, management
               reporting, accounting or administration;

               þcollected from federal or provincial government institutions or a foreign government,
               where the information pertains solely to government operations including reporting
               requirements specified in Treasury Board policy; or

               þacquired from a provincial government under a written agreement between a provincial
               government institution and a federal government institution for a shared information
               collection.

               (b)personal information:

               þwhich is collected from employees as administrative reporting to the employer (e.g.
               attendance and leave, appraisals or training documentation); or

               þwhich has already been collected or compiled for another purpose.

Some types of information collection are exempted from all of the collection requirements of this policy. 
Included in this category are collections of:

               þinformation required for investigative purposes;

               þunsolicited information, or incidental information derived from the normal course of
               day-to-day work;

               þscientific or technical data derived from direct observation, testing or measurement; or

               þnon-personal information which has already been collected or compiled for another
               purpose.

For more information about this definition, please consult the Public Opinion Research Group or the
Treasury Board Secretariat.

Information holdings (les fonds de renseignements) þ include all information under the control of a
government institution, regardless of physical mode or medium in which such information may be stored. 
Without restricting the generality of the foregoing, this may include correspondence, memoranda, books,
plans, maps, drawings, diagrams, pictorial or graphic works, photographs, films, microforms, sound
recordings, videotapes, machine readable records, published material, and any other documentary material. 
Excluded from the definition are materials held by federal libraries which were not prepared or produced
by or for the government.

Information needs (les besoins en information) þ are those requirements for collecting data and creating
information which are relevant and essential to the effective and efficient operation of a program or
activity.  Normally, they will derive from a statutory or other type of officially declared mandate (e.g. set
out in Estimates).

Information of historical or archival importance (information d'importance historique ou archivistique) þ is
that information identified through the scheduling process or other agreement with the National Archives as
having enduring value for purposes such as research or legal documentation.

Institutional history (document sur l'évolution de l'institution) þ is a well-researched and organized
publication of historical events of a certain time period within an institution's past which is accurate,
balanced and credible.

Life cycle (le cycle de vie) þ of information holdings encompasses the stages of planning, collection,
creation or generation of information; its organization, retrieval, use, accessibility and transmission; its
storage and protection; and, finally, its disposition through transfer to archives or destruction.

Management of information holdings (la gestion des fonds de renseignements) þ means ensuring the
planning, needs assessment, collection, creation, organization, maintenance and transmission of information
which has quality, relevance, integrity, accessibility and currency, and includes its protection and proper
disposal or archival preservation.

Methodology (méthodologie) þ means the methods and techniques used to achieve the objectives of an
information collection.  It includes a clear statement of the research objectives, the strategy for obtaining
the data, and the methods and techniques to be used for collection, processing, analysis and interpretation
of the information.

Modified program or activity (programme ou activité modifié) þ is a program or activity the objectives of
which have been formally altered by government decision, regulation or statute.

Profile (le profil) þ is composed of biographical notes concerning a minister, senior public servant or
private-sector individual who was instrumental in the shaping of an institution's mandate, or policies, or
who contributed to important events in the past.

Program activity structure (la structure des activités de programme) þ means the major divisions or
objectives of an institution's program at the level of detail that is provided to Parliament and at which the
institution negotiates for funds.  These activities can be subdivided into sub-activities and specific projects.

Published material (matériel publié) þ refers to an information product which has been created and edited
for the purpose of distribution or sale.  Material published by or for government institutions is deposited in
federal library collections.

Public opinion research (recherche sur l'opinion publique) þ the planned gathering, by or for a government
institution, of opinions, attitudes, perceptions, judgements, feelings, ideas, reactions, or views that are
intended to be used for any government purpose, whether that information is collected from persons
(including employees of government institutions), businesses, institutions or other entities, through
quantitative or qualitative methods, irrespective of size or cost.

The definition includes, but is not restricted to:

               þpolicy research;
               þmarket research;
               þcommunications research, including advertising research;
               þprogram evaluation;
               þquality of service and customer satisfaction studies;
               þomnibus surveys (placement of one or more questions); and
               þsyndicated studies.

As well, the definition applies to components of other initiatives, such as communication strategies, product
development, program evaluation, etc.

The following research and/or methods for obtaining opinions and/or information and/or advice are not
considered to be opinion research:

               þliterature reviews or reviews of secondary sources, including reviews of already conducted
               public opinion research; and

               þsecondary analysis of previously collected public opinion research data.



Appendix E 
Guidelines


1.             Corporate policy

Institutional policies and procedures for management of information should establish operating requirements
that reflect this policy, give direction to program managers and functional specialists, and provide detailed
guidance concerning the organization and description of the institution's information holdings.

2.             Coordination

As stated in the policy, institutions must designate a senior official to represent the Deputy Head to
Treasury Board Secretariat and other central agencies.

Coordination of the various information management disciplines is necessary if information management
principles are to be applied at the corporate level.  Coordination is also necessary in the application of
information legislation and to meet both institutional and government-wide objectives.  This is particularly
true in the assessment and definition of information needs and the development of plans to meet them,
thereby reducing duplication in information collection, and in the organizing and controlling of information
holdings.

All parts of an organization dealing with the identification of information needs, information systems design
and processing, records management, data management, forms and library management, as well as the
management of information in other forms (e.g. maps, photographs) should be working toward common
goals established through corporate policy.  Institutions should ensure that needs relating to access to
information, privacy, information collection and security are all recognized and accommodated within the
information management process.  Effective coordination should also involve liaison with the information
users in the institution to ensure that they understand their own responsibilities and institution-wide policies
concerning the management of information holdings.

Coordination may be facilitated by designating a responsibility centre for the management of information
holdings, or by other institutional arrangements appropriate to the needs of particular institutions.

3.             Assessing, defining and planning to meet information needs

As stated in the policy, institutions must include as part of the planning process for new or modified
programs or activities an assessment and definition of the relevant information needs for these programs or
activities.

Effective information management depends on a corporate assessment of the information required by the
institution to support its programs and activities.  Defining information needs should be an integral part of
corporate strategic planning.  It permits an institution to appraise continuously the adequacy, quality and
ongoing need for particular information holdings and to determine the information technology required to
meet program objectives.

Needs analysis and definition should be expressed in terms of the types of information required.  This
analysis should take into account:

               (a)the obligation of the institution to create or collect only that information relating directly
               to and necessary for the operation of authorized programs and activities;

               (b)the requirement to attempt to satisfy new information needs through intra- and
               inter-institutional sharing of information, where permitted by law or policy, or through
               commercial sources, prior to creating or collecting new information; and

               (c)a consideration of the appropriate hardware, software and communications technologies
               to ensure data integrity and to deal with the processing, transmission, use, maintenance,
               accessibility, storage, disposition, and dissemination of the information.  It is also necessary
               to give consideration to meeting the requirements of the Privacy Act and the Government
               Security Policy.

The institutional authority(ies) responsible for the management of government information holdings should
review the information needs assessment to ensure that all information management requirements have been
considered.

4.             Collection of information

Government institutions are responsible for arranging the coordination of planned and proposed information
collections.   Statistics Canada will provide services on a cost-recovery basis where departments wish their
services, as noted in the following section on procedures.

The following procedures are suggested for collecting information and the conducting public opinion
research:

               (a)Whenever possible, institutions should define information needs as an integral part of the
               annual program and policy planning cycle.  In addition, they may define particular needs
               that arise during the fiscal year.

               (b)Institutions should assess whether their needs can be met by existing sources of
               information in their organization.

               (c)Institutions may consult Statistics Canada on a cost-recovery basis for advice about
               coordination, strategies for meeting information needs, proposed methodologies and
               collections, collection planning, detailed design and the conducting of collection and data
               analysis.

               (d)Institutions should bring all information collection to the attention of the Public Opinion
               Research Group, through the submission of a research summary, unless arrangements have
               been made with the Group to proceed according to alternate procedures or the collection in
               question is specifically required by legislation (example, Income Tax Act, Statistics Act) and
               is not public opinion research.  The Group will in turn provide advice on which collections
               are considered public opinion research.

               (e)The institution should then review, or ensure the review of, the collection or research.

               (f)The institution is responsible for ensuring that all new collections appear in the
               institution's inventory.

4.1            Public opinion research

Public Works and Government Services Canada, as the contracting authority, is responsible for reviewing
government information collection to determine whether an institution's information requirements may be
met by public opinion research, co-ordinating the research and ensuring that the public opinion research is
carried out as this policy, the Contracting Policy, and any Cabinet direction prescribe.  In so doing,
PWGSC, as the contracting authority, maintains a legitimate interest in all aspects and stages of the
research project development.  In addition to the foregoing, PWGSC should be advised of all government
information collection at its earliest stage of planning, and may request to be kept informed of the
development of certain collections, particularly in the case of collections that may have a broad government
context.  Nothing in the Management of Government Information Holdings Policy should be viewed as
contradicting the Contracting Policy;  in all instances, the Contracting Policy will take precedence.

In general, public opinion research is conducted in accordance with the following principles:

               þthe government has a responsibility to make every effort to inform itself on the concerns
               and views of Canadians in order to establish priorities, develop policies, and implement and
               monitor programs that serve Canadians;

               þpublic opinion research and attitudinal research is a legitimate method of obtaining
               information about public awareness and concerns;

               þCanadians have a right of access to the findings of government public opinion research
               within the scope of the Access to Information Act and Privacy Act;

               þpublic funds should not be expended on public opinion research concerned with monitoring
               voting behaviour or party image; and

               þthe government should obtain the best value for money spent.

In addition to the procedures specified in relation to the collection of information, the following procedures
should be followed when conducting public opinion research:

               (a)Annual plans relating to all anticipated public opinion research will be submitted to
               PWGSC pursuant to its call letter.  This department will provide a copy of these plans to
               the Communications Secretariat, Privy Council Office.  When an institution identifies the
               need to conduct public opinion research subsequent to the submission of its annual plans, it
               should advise both PWGSC and the Communications Secretariat, Privy Council Office,
               accordingly, and follow all the usual procedures leading to the concurrence of Cabinet.

               (b)After consulting PWGSC, the Communications Secretariat, Privy Council Office, will
               develop the government's strategic plan for public opinion research, based on the research
               summary prepared and the related estimated expenditure.

               (c)After being notified of approval in principle by the Communications Secretariat, Privy
               Council Office, the institution will advise the contracting authority of its intention either to
               proceed with the research, or not.  If intending to proceed, the institution will also submit
               detailed statement of requirements at the same time it advises of its intention to proceed.

               (d)The institution must obtain from PWGSC a registration number for each public opinion
               research projet before field work begins.

Where institutions wish to enter into a contract for any public opinion research service, they must follow an
open and competitive contracting process as described in the Contracting Policy, to identify qualified
suppliers.

               (e)Before undertaking the research, the institution will submit to the contracting authority
               the notice of departmental approval and registration, specific research plans and the
               information collection instrument.  Final approval of the research will be issued on the
               basis of these documents.

As long as there is an open and competitive contracting process, departments may adjust the foregoing
procedures to meet their specific needs, small projects, or urgent requirements.  The Treasury Board
Secretariat and PWGSC may issue operational guidelines with respect to the implementation of the above
procedures.

4.2            Review of information collection

Institutions should review all of their information collection periodically to ensure that they are meeting
policy requirements and that the information continues to meet identified needs.  These reviews are
particularly important with regard to personal information (see section 4 and subsections 6(2) and 71(3) of
the Privacy Act).  Such reviews may be done during the annual update of classes of records that section 5
of the Access to Information Act requires and of personal information banks that section 11 of the Privacy
Act requires.

4.3            Forms management

The policy requires that all forms used to collect information be reviewed before collection and that
government institutions control forms creation and use, regardless of the media in which they appear.  This
process should standardize and reduce the response burden.  Institutions should try to eliminate duplication,
improve consistency in data collected and reduce costs by consolidation.  A designated departmental
authority should review all new or revised forms to ensure that the information is clearly presented and that
the form meets the functional requirements of both the institution and its users.

Forms must meet all statutory and government policy requirements including those related to the Privacy
Act, the Official Languages Act, the Federal Identity Program and the information collection requirements
of this policy.  The Committee on Standardization of Forms, Canadian General Standards Board (CGSB), is
responsible for the standardization of forms for government-wide use.  Institutions are encouraged,
wherever possible, to use CGSB forms.

5.             Organization, retrieval and inventory

5.1            Information classification and retrieval

The policy requires the maintenance of a current, comprehensive and structured identification or
classification system or systems.  Although it may be possible to have one single institution-wide system,
such as a machine-based descriptive system, in most instances there will be a number of identification or
classification systems relating to various information holdings (e.g. data bases or file systems).  In all
cases, however, similar subject areas in the same or related programs or activities should be
cross-referenced to each other, at least at the aggregate level.

An identification or classification system must organize and locate information effectively.  This is
normally done through a logical arrangement of holdings in a structure which reflects the task(s) supported
by the information.  Institutions should ensure that their holdings are organized in the manner which best
supports their management decision-making and the conduct of their particular programs.

5.2            Inventory

An inventory is an institution's corporate accounting of the information holdings under its control,
regardless of media or format.  When the identification or classification systems are current, comprehensive
and structured to the needs of the institution, the inventory is the sum of those detailed identification or
classification aids and links the institution's programs and activities to their actual information holdings. 
An inventory should both account for holdings and allow the assignment of accountability for related legal
and policy requirements; it should make it easier to identify and retrieve information on an institution-wide
basis, serve as a checkpoint to assess duplication and redundancy in information collection and may be used
as a tool to assess the adequacy and quality of information holdings.

A primary instrument through which information is managed as a corporate resource, the inventory also
serves institutions in meeting the requirements of the designated minister under the Access to Information
Act and the Privacy Act and provides the administrative machinery for applying government-wide and
institutional policies.

6.             Maintenance and protection

6.1            Maintenance and storage

Standards for the maintenance and storage of information are in the Government Information Technology
Standards Policy, the Government Security Policy and publications of the National Archives of Canada.  A
list of the relevant standards appears in Appendix B of this policy.

The National Archives provides low-cost storage facilities for records and tapes to meet storage standards
for information not frequently or urgently required.

6.2            Security

The Government Security Policy and supporting operating directives and guidelines on physical and
information technology security apply to the management of information holdings.

6.3            Essential information holdings

This policy requires each government institution to identify its essential information holdings.  Procedures
and practices respecting essential information holdings are in Emergency Preparedness Canada's Guide to
the Preservation of Essential Records.

7.             Transmission

The technical and security standards referenced in Appendix B of this policy over the transmission of
information by mail and messenger systems or computer telecommunications.  Institutions should also have
corporate directives for the economical transmission of information which balance convenience, practicality
and speed with the costs.

8.             Retention and disposal

To manage the life cycle of information effectively, the policy requires that all information holdings be
scheduled for retention and disposal.  The retention and disposal of an institution's information holdings are
governed by the provisions of the National Archives of Canada Act and National Library Act.

Subsections 5(1) and 6(1) of the National Archives of Canada Act establish the authority of the National
Archives to control the destruction and disposal of the information holdings of government institutions,
excluding published material, and the transfer of information of historic or archival importance to the
National Archives.

Information schedules or timetables specify when the institution will no longer need the information and
what will happen to the information after expiry of the retention period.

Under the policy, institutions must also identify and conserve information which would assist in
reconstructing the evolution of policy and program decisions.

Scheduling or negotiation of other agreements for disposal should take place in an integrated manner for all
information holdings to which the National Archives of Canada Act applies.  Scheduling should take place
at the planning stage for new or modified information holdings.

Under the National Library Act, all published material surplus to the needs of a government institution must
be forwarded to the National Librarian.

The Privacy Act and the Privacy Regulations establish special requirements for retaining and disposing of
personal information under the control of a government institution.  The Guidelines for Administering the
Privacy Act provide guidance for this type of scheduling.

Institutions are responsible for transferring personnel information about former employees of government
institutions and former members of the Canadian Armed Forces to the control of the National Archives to
provide a central service in the Personnel Records Centre for verifying decisions about former employees.

9.             Ministers' offices

Section 2 of the National Archives of Canada Act defines ministerial records.  Information under the control
of the institution, but held in a minister's office, should be managed in accordance with this policy.

All government institutions should transfer the institutional information holdings from the office(s) of its
minister(s) to the National Archives in accordance with schedules by the National Archivist has approved. 
A set of the minister's institutional information holdings would normally be included in the classification
system of the minister's office, the institutional records in this system would be segregated from the
minister's personal and ministerial records, the institutional holdings would be transferred as scheduled, and
a copy of the minister's institutional information holdings would be incorporated under the appropriate
subjects in the classification system of the government institution concerned in order to maintain the
completeness of that system.

Further guidance about the management of information in Ministers' offices is available through the
Government Records Branch of the National Archives.

10.            Institutional histories, case studies and profiles

As stated in this policy, government institutions must sufficiently document projects, programs and policies
to ensure continuity in the management of government institutions and the preservation of a historical
record.

This requirement expresses the government's desire to make it easier to use information holdings more
widely in educating Public Service managers about decision-making and to use government information
more widely to document the historical role of the federal government in Canadian society.

In developing and implementing proposals for institutional histories, case studies and profiles, institutions
may consult the Canadian Centre for Management Development, which can provide advice and guidance on
these matters.  The Centre will cooperate with institutions in:  identifying major historical undertakings and
related key information; selecting the method and time frame for developing projects, defining their
purpose and identifying the required budgetary and human resources for developing them.  The Centre may
offer advice on sources of expertise for developing histories, case studies and profiles and may participate
in developing project proposals.

To meet the requirements of this policy with regard to departmental histories, case studies and profiles,
institutions should:

               þestablish an advisory committee for planning, development and implementing institutional
               histories, case studies and profiles;

               þidentify current projects, programs and policies worth documenting, develop proposals for
               developing institutional histories, case studies and profiles, and liaise with the Centre about
               the proposals;

               þoversee the factual content and presentation of histories according to their purpose;

               þassess demand for histories, case studies or profiles at the planning stages and seek advice
               on the need and design of such projects from the Canadian Centre for Management
               Development and Public Works and Government Services Canada before proceeding; and

               þprovide support to writers of histories, case studies or profiles for projects or contracts
               that the Centre has accepted.

11.            Published material

The management of published material that federal libraries carry out is essential since the Access to
Information Act and the Privacy Act do not apply to publishes material or material available for purchase by
the public.  The policy requires that all material an institution publishes be easily accessible to its
decision-makers and be readily available to the public.  This objective can be achieved by compiling
complete bibliographic descriptions of the material according to established standards, by including
reference to it in catalogues and in indexes, by transmitting the bibliographic information about it to the
National Library of Canada and by establishing uncomplicated procedures for public access.

The National Library of Canada is responsible for compiling and publishing a national bibliography and for
compiling and maintaining the national union catalogue.  All material the federal government publishes
should be described according to established bibliographic standards so that the public can locate it quickly
and easily.

Copies of unpublished documents should form part of an institution's library collection if they support or
provide historical context to institutional policies and programs, complement other published material, or
are intended for general distribution and can be made available to the public.

12.            Dissemination

Institutions should manage government information holdings in a manner to make it easier for the public to
know about, and access to, such holdings consistent with the principles in section 2 of the Access to
Information Act.

Dissemination of government information holdings which are not exempted or excluded under the Access to
Information Act or the Privacy Act is an important feature of accountable, representative government.  One
important purpose the inventory serves is to inform Canadians about the information each institution holds
and to provide information to citizens without need of recourse to the exercise of legal rights, whenever
possible.  The Government Communications Policy sets out the principles for communicating and
disseminating government information to the public.