Enterprise Information Management Collaboration and Support for IT Leaders

1. Enterprise Information Management Collaboration and Support for IT Leaders Shawn Hoag Director Enterprise Information Management Division, Information, Science & Technology Branchshawn.hoag@cbsa-asfc.gc.ca File: DPI_IM_Collab_20130523_final.pptx

2. Introduction and Overview • Aim: To outline an approach for Information Management and Information Technology communities to work in closer collaboration to deliver user centred solutions. • Outline • Defining the Information Environment in the CBSA • What is Enterprise Information Management • Creating the Information Management & IT Partnership Bottom Line Up Front • Need for IM and IT to work collaboratively has never been greater • Information life cycle and system life cycles need to be woven together as key elements of any solution • The IM/IT partnership should be focused on enabling the business and the user concurrently

3. About the CBSA • The CBSA was created on December 12, 2003. • The Agency’s creation was formalized by the Canada Border Services Agency Act. • The CBSA oversees over 1,200 service locations across Canada and in 44 countries abroad. • It employs over 15,000 public servants. • The Agency offers 24/7 service at 119 land bordercrossings and 13 international airports.

4. CBSA Responsibilities • Administer over 90 pieces of legislation. • Detain persons who are a danger to the public, will not likely show for proceedings, or whose identity is uncertain. • Remove inadmissible persons who have been issued a removal order. • Interdict illegal goods so that they do not enter the country. • Protect food safety and the environment. • Collect applicable duties and taxes on imported goods. • Administer a fair and impartial redress mechanism.

5. CBSA Business Drivers High Visibility and High Volume… Border responsibilities run 24/7 and are closely scrutinized by the media and partners Managing Information… ISTB enables and supports the generation and synthesis of information required for border management Economics and Security… The flow of legitimate trade and travel must be facilitated in a high security environment Border as a Continuum… We continue to reach further past fixed border points to do our work

6. About Information, Science & Technology Branch • Supports the protection of Canada’s borders through the strategic use and management of information, technologies, systems,and science. • Responsibilities include: • Information Management (IM) • Information Technology (IT) Infrastructure • IT solutions • Planning and Portfolio Management • Science and Engineering

7. CBSA Operating Environment The CBSA operating environment is informed by trends in science and technology, including, but not limited to: • Perimeter Vision • “Pushing the border out” • Mobile technology • Human smuggling • Fiscal restraint • Shared Services Canada • Social media • Self-service • Push for enterprise-wide capabilities • Development of new scanning and detection technologies While most of these trends originatein the Information, Science, and Technology Branch of the CBSA,they have widespread effectson the entire Agency.

8. Escalating Requirements for IT • CBSA applications: • In 2001, less than 10 • In 2011, more than 200 • Current network: • Connects over 320 sites(Head Quarters, Regions, Points of Entry and International) • 38 nationally deployed applications are identified as ‘critical’ to CBSA services Highly Complex Structured and Unstructured Information Environment

9. Information Management in Context

10. Information Types and the Information Life Cycle Types of Information Information Life Cycle • The GC has adopted the practice of managing information resources along three themes: • Transitory Information • Information Resources of Business Value • Information of Enduring Value • IM is focussed on the “content” and good IM is achieved through people’s actions, business processes and appropriate enabling technology …throughout the life cycle.

11. Framing Enterprise Content Management Electronic Info Non-Electronic Info Structured Info (Data) Enterprise Apps (eg. SAP) Homegrown Apps LOB Apps Content Management Shared Drives Paper Files Unstructured Info Personal Drives Wiki info Web Content Multimedia Info

12. What is Information Management? • Information Quality • Context • Information that employees need to do their jobs • Information that employees need to manage their operations and achieve business objectives • Information that clients and stakeholders need to fulfill their obligations Agency Information • Network Drives • Wiki • Atlas • Internet • E-mail • Electronic Document & records Management (eDRMS) Information Tools Information Management People • Employees • Partners • Stakeholders • Canadian public • Maximize efficiency • Optimize information Processes • Culture • Behaviours • Managed repositories • Common tools • Plan • Create, collect, receive, capture • Identify, organize • Search, retrieve, use, share, distribute • Maintain, protect, preserve • Dispose • Evaluate

13. Example - CBSA Information Management Concept Operational Effects Strategic Outcomes PEOPLE PROCESSES - TOOLS -TECHNOLOGY Robust, Sustainable IM Culture. Enhanced Decision making and optimization of resources Compliance with GC Direction High Confidence Decision Making Enhanced Productivity Reduced Cost Reduced Storage Faster ATI Response Shift to electronic records Information Classification Practices Retention & Disposition Schedules Ops, Programs, Corporate Business Processes Info and Recordkeeping Processes eMail Office Tools • Leaders • Teams • Employees • IM Staff – HQ • IM Staff – Regions Shared Drives Wiki eDRMS Other Tools Line of Business Systems Microfiche Paper 7

14. Information Management and Information Technology - Building the Way Ahead

15. Integrating Information and System Life Cycles System Life Cycle Information Life Cycle Planning Initiation System Concept Development Collect, Creation, Receive & Capture Planning Organize Requirements Analysis Design Organize, Use and Disseminate Development Testing & Implementation Maintain, Protect, Preserve Operations & Maintenance Dispose Update, Evolve, Decommission Evaluate

16. IM During Project Planning • Including IM in the business case • Including IM expertise in early project discussions and deliberations with business community • Identifying potential savings from reducing storage costs through effective capture and information disposition • Identifying information compliance issues related to Library and Archives Act, Access to Information Act, Canada Evidence Act • Identifying productivity enhancements and decision making enhancements opportunities arising from well managed information at employee level and at organizational level • Including IM in the Treasury Board Submission • Providing a clear indication as to how IM will be integrated into the project • Providing a clear indication of how IM compliance will be achieved • Identifying resources required to support IM – ie. IM analysts • Developing a clear understanding of how IM requirements will be addressed throughout the system development life cycle.

17. IM Requirements Traceability Checklist – Building on the Work of Correctional Services Canada - • Information Management Context • Data and workflow to identify info sources, stores and processes • Describing information collected including source, format, frequency, volume, security • Describe how residual/legacy paper/electronic records will be handled including • Defining information ownership and authority • Identifying information custodians and physical storage locations • Identifying various user communities internally and externally • Identifying system capture formats or digitization approachs or, requirements • Defining what is a record, is it a “golden record” and what is just visualization • Identifying system audits and reports regarding information handling • Identifying information storage mechanisms • Information Preservation and Disposition • What are the defined and approved information retention and disposition schedules, including metadata • How will the system meet the retention and disposition schedule for storage, ascension and disposal • How will assured disposal be conducted and recorded • How will information of enduring value be transferred to Library and Archives, or held until transfer

18. IM Requirements Traceability Checklist – Building on the Work of Correctional Services Canada - • Information Quality • Level of trust in information source • What are the system controls and audit trails to provide trusted information for internal review, ATIP, legal proceedings • What are the system metadata • How will the system lock or digitally sign documents • How will information integrity be assured • Information Privacy • What is the personal information that will collected and created through data aggregations • What are the information privacy requirements during all phases of information life cycle • How will information privacy be described, documented and reviewed using Infosource (www.infosource.gc.ca)

19. IM Requirements Traceability Checklist – Building on the Work of Correctional Services Canada - • Information Security Classification • What is the security classification at source • What is the security classification as a result of aggregation • What are the system access rights and permissions for various groups (interactors, viewers, auditors, system managers, etc) • How will information be shared (policy, technology, ongoing management) • Information Security Protection • What is the provision for information backup, and archive throughout the info life cycle (ie. To the end of the retention period) • How will information protected at rest and on the move.

20. Linking IM Requirements to SDLC Artefacts • IM requirements will exist in many different project artefacts – a clear understanding of which IM requirements will be addressed in which specific artefact is required: • Business Use Cases • System Use Cases • Conceptual Design Documents • Technical Architecture Documents • Threat Risk Assessments • Privacy Impact Assessment • Data Management Documents • A clear understanding of how IM requirements will be governed within the SDLC • Business led • Architecture led

21. A Layered Approach to Delivering Solutions • Info permissions, document versioning, naming conventions • Business line/community enabling & configuring Tailoring by Business/User • Permissions, Communities • Info classification Rules, Org level • Content Oversight • Metadata & Records Management Application Configuration & Operation (IM) Application Configuration & Operation (IT) • Application Install, • Access Permissions • & Control • Tech Sys Admin • Network Management • DB Management Network Infrastructure Data Centres and Stores

22. A Layered Approach to Training • Business Use Training/Mentoring • How to deliver operational value from the proces • How to locally tailor for use Business Community • Information Management • How to manipulate the information across the processes, manual and technology to be productive and compliant Information Management Community • Technology Training • How to employ the technology Technology Community

23. Developing an Integrated IM and IT Support Model

24. Opportunities Arising from IM/IT Collaboration • Improved user satisfaction and trust – delivering user centred solutions • Achieve cost reduction and cost avoidance – rationalized storage of data and information (reduced email, reduced data redundancy, reduced network loads) • Reduced “post implementation” rework • Mitigate organizational risk related to information management and information security • Opportunity for innovation by looking across people, process and products domain Increased value to the business from taking a holistic Information Solutions perspective

25. Summary • Enterprise Information Management has moved well beyond the world of traditional records management and is now involved in managing all aspects of enterprise content. • There is an increasing need for IM to partner with business and IT from the outset of a project • Integrating IM into the system life cycle includes integrating IM into requirements, the SDLC, system operation, system support, training and decommissioning. • Strong IM and IT partnerships presents a great opportunity to enhance business outcomes, reduce cost and ensure compliance with information policies, regulations and standards.