SUMMARY

The Policy Framework for Government-held Information (PFGHI) was approved by Cabinet and released in 1997. It is government’s best practice statement for managing information held by public service departments. Since that time, the E-government Strategy, Digital Strategy, Digital Content and draft Digital Continuity Strategies have set out visionary statements for, amongst much else, the management of New Zealand’s digital content.

The Digital Strategy 2.0, released on 28 August 2008, recognises that the use of Web 2.0 technologies and applications on the Internet to network people and content is now commonplace. It commits government ‘to making public information accessible to everyone. Information should be available in the way you want it, when you want it… Government will provide secure, personalised interaction between government and individuals, and open up authoritative data sources for others to use, while protecting privacy and the security of information’.

Whilst the PFGHI anticipated this environment by encouraging public service agencies to make government-held information ‘increasingly available on an electronic basis’, its eleven principles and guidance are no longer adequate for the 21st century digital environment. For example, there is no guidance about licensing publicly available information, offering it for re-use or for ensuring secure management of personal government-held information.

Investigating mechanisms for presenting and linking information in an online environment in a consistent way that promotes discoverability is also necessary.

The PFGHI only applies to the 35 public service departments. Yet much of government’s data is created or funded by the wider state services, state sector and public sector agencies. The issues relating to opening up access to this information need consideration.

This paper describes the PFGHI, key international policies and initiatives, relates those approaches to the current PFGHI, and discusses the next steps. It then outlines the State

140Services Commission’s proposed approach for updating the policy framework and carrying out an associated work program which will give effect to the commitments of the Digital Strategy 2.0 and underpin the opportunities provided by the networked digital environment. These are:

1. Providing updated principles and best practice advice for the management of New Zealand’s government-held information; and
2. Creating the conditions that encourage use and re-use of open New Zealand government data for the benefit of the New Zealand economy and New Zealanders, whilst ensuring the integrity and privacy of personal information.

Cross-government participation and consultation with users of government-held information will be essential for achieving a comprehensive framework which will be relevant to the changing information environment and endure for at least five years.

BACKGROUND

The Policy Framework for Government-held Information (PFGHI)2 was released in 1997 following Cabinet approval (CAB (97) M 15/4C (i) refers). It drew on international guidelines, reflected the purposes of the Official Information Act 1982 and the Privacy Act 1993, and is government’s best practice statement for managing information held by public service departments.

Since that time, the E-government Strategy, Digital Strategy, Digital Content and draft Digital Continuity Strategies have set out visionary statements for, amongst much else, the management of New Zealand’s digital content.3

The Digital Strategy 2.0, released on 28 August 2008, commits government to making public information accessible to everyone in a way that people want it and when they want it. It states that government will provide secure personalised interaction between government and individuals, and open up authoritative data sources for others to use, while protecting privacy and the security of information. It also notes that ‘… we also need to be aware of the value of and potential for re-use of verifiable, reliable information such as that created by public entities’.

The PFGHI anticipated a digital environment by encouraging public service departments to make government-held information ‘increasingly available on an electronic basis’. It is now timely to offer advice on matters not previously covered. For example, there is no guidance on licensing government-held information, offering it for re-use or for ensuring secure management of personal government-held information.

New all-of-government igovt services (currently logon and identity verification) have been developed. These support online transactions with government and allow people to verify who they are when using some government services that require people to prove who they say they are. These services assume that people control their own personal information when seeking services from government. The PFGHI does not address these new types of technology-enabled government-held information services.

The PFGHI only applies to the 35 public service departments. Yet much government-held data is created or funded by the wider state services, state sector and public sector agencies.

141Examples are geospatial, meteorological and scientific data, managed by crown entities or state-owned enterprises and local government. The issues relating to opening up access to this information need consideration.

This paper describes the PFGHI, key international policies and initiatives, relates those approaches to the current PFGHI, and discusses the next steps. It then recommends an approach for updating the policy framework and carrying out an associated work program which will give effect to the commitments of the Digital Strategy 2.0 and underpin the opportunities provided by the networked digital environment.

DESCRIPTION OF THE POLICY FRAMEWORK FOR GOVERNMENT-HELD INFORMATION

The PFGHI comprises eleven principles which public service government departments are encouraged to apply when developing their own information management strategies. These are:

• Availability
• Ownership
• Coverage
• Preservation
• Pricing
• Quality
• Copyright
• Integrity
• Stewardship
• Privacy
• Collection.

They reflect the provisions of the Official Information Act 1982, Local Government Official Information and Meetings Act 1987, the Privacy Act 1993, Copyright Act 1994 and specific legislation such as the Statistics Act 1975. When they were released in 1997, it was expected that they would be incorporated into departments’ information systems strategic plans (ISSPs).

APPLICATION OF THE PFGHI

Despite low-key promotion of the PFGHI over last decade, and little supporting best practice guidance, there is evidence that it is being applied at a strategic and policy level. It is referenced in the Health, Justice and Geospatial Sector information strategies and in agencies’ Information Management strategies. The pricing principle is cited in Treasury’s Guidelines for setting charges in the public sector.4

142The New Zealand Government Data Management Policies and Standards5, released in 2000, supplement the PFGHI. They were drawn up to assist agency chief executives and anyone with delegated custodial responsibilities for Crown owned data or document assets.

Public service departments delivering information-based services are applying the stewardship and pricing principles. In general they have assigned stewards and custodians to their data, and applied the pricing principle – that people and organisations generally should pay no more than the unavoidable costs of access incurred by the department or agency in making the information available to them.

There is international interest in New Zealand’s government-held information management policy6, and it is notable that there are similarities with the European and OECD public sector information policies released recently.

INTERNATIONAL PUBLIC SECTOR INFORMATION POLICY

Public sector information policy development at international and country levels has been active. In North America the focus has been on updating all-of-government best practice information management statements, whereas at the international level, the OECD and European Union (EU) have set policy on access, use and re-use of their public sector information for their member countries. Licensing of public sector information has been a priority in Australia. There are also international campaigns for governments to open up access to their non-personal data. This international work is summarised below.

INFORMATION MANAGEMENT

The US sets out best practice advice for agencies, including minimising cost to the Federal Government, minimising the burden for citizens, maximising the utility of the information, and reducing paperwork.7 Canada regularly updates its information management advice for agencies.8

COVERAGE

The OECD and the EU define public sector information very broadly. The OECD’s definition is ‘information, including information products and services, generated, created, collected, processed, preserved, maintained, disseminated, or funded by or for the Government or public institution’9. The EU list below illustrates the breadth of its coverage and also its expectations for external uptake of this information. 143

ACCESS AND RE-USE

The OECD Council’s Recommendation for Enhanced Access and More Effective Use of Public Sector Information10 and the OECD Policy Guidance for Digital Content11, adopted by OECD member countries in June 2008, cover access and re-use. These documents complement the European Union (EU)’s Directive on the Re-use of Public Sector Information12 (2003/98/EC, dated 17 November 2003).

They all open up, maximise access to and allow non-exclusive re-use of non-personal public sector information and digital content, and require this irrespective of a member country’s funding model for developing and maintaining the information.

The United Kingdom leads the EU in implementing the Re-use Directive. This work is led by the Office of Public Sector Information13 which operates a mixed regime for charging and licensing re-use. Most material published on central government websites can be re-used free of

144charge under terms of a Click-use licence. The Information Fair Trader Scheme regulates trading activities of those parts of government which are designated as Trading Funds, such as the Ordnance Survey. The Information Asset Register lists government information assets, and work is underway investigating the combining of information and data using semantic web14 technologies.

In the United Kingdom, the Power of Information report15 recommended that the government take up ‘opportunities that are emerging in terms of the creation, consumption and re-use of information’. In response, the Cabinet Office committed ‘to unlock the value of the information we collect on behalf of citizens; to deliver better public services; and to support world-class innovation that underpins a growing part of our knowledge economy’.16 Other initiatives include a campaign for government to free up data,17 and mysociety.org,18 a project of the UK Citizens Online Democracy, which ‘builds websites that give people simple, tangible benefits in the civic and community aspects of their lives’, for example, TheyWorkForYou.

OPEN ACCESS

There is increasing international demand for governments to provide data in readily usable or re-usable formats. A US Open Government Working Group, comprising 30 invited attendees from influential US organisations, has released a set of principles for open government data19. In Canada, the Citizens for Open Access to Civic Information and Data group is advocating that all levels of government make ‘civic’ information and data accessible at no cost in open formats to their citizens. They believe ‘this is necessary to allow citizens to fully participate in the democratic process of an ‘information society’20.

COPYRIGHT AND LICENSING

Licensing approaches which clarify copyright ownership and usage are required by the OECD and the EU. The Queensland Government Information Licensing Framework is based on open access principles and is currently being tested within the statistical office in the Queensland Treasury.21, an information-centric, highly transactional operating central government environment. 145

PRICING AND FUNDING

Both the OECD and the EU require transparent and consistent pricing which they anticipate will encourage competition.

Revenues to the UK Government from the sale and licensing of public sector information are around £340 million per year22. The Ordnance Survey estimates23 that public sector information underpins £100 billion per year of economic activity in the UK and the total market for public sector information stands at £590 million per year. Yet, direct revenues from UK public sector information are considered to be only a fraction of the wider value that this information creates.

In 2008 Cambridge University investigated the impact of adopting different models for the provision of public sector information by trading funds24. It examined the costs and benefits for society, and the effects on government revenue of different charging policies, ranging from profit maximisation through to zero cost. The UK Treasury has commissioned a further report to analyse the argument that the wider economy would benefit from making government-collected raw data free for re-use to see how this would affect some of the biggest trading funds, including the Ordnance Survey, Met Office, UK Hydrographic Office and the Land Registry25.

In the US, government data collection is funded with money from the general budget, appropriated by Congress. The private sector is encouraged to use raw content to create new information services at no more than the cost of dissemination and without any government copyright restrictions. Information intensive industries, particularly in the geographic information and environmental services sectors, have led to increased tax revenues.26.

ADOPTION OF EU DIRECTIVE

The EU is now reviewing progress made by Member States in adopting its 2003 Directive 2003/98/EC.27 All 27 EU Member States have transposed the Directive into their legislation, and the ePSIplus program has recommended28 to the European Commission Directive 2008 Review group that it considers: 146

• independent channels for redress for re-users29
• how to stop persistent discriminatory practices in the licensing of data
• the creation of a suitable set of standards, an infrastructure and an action plan which brings about steadily improving discovery of access to the full range of public sector information
• the creation of practical initiatives to create ‘asset registries’, or other public sector information infrastructures supporting re-use
• ways of stimulating the private sector to act
• an intensification of work to establish and disseminate the economic case for low or no charges conclusively.

These recommendations cover matters and areas not included in New Zealand’s PFGHI.

ISSUES TO BE ADDRESSED IN AN UPDATED POLICY FRAMEWORK FOR GOVERNMENT-HELD INFORMATION

The table below sets out each PFGHI principle and notes issues to be considered, including potential gaps or alternative approaches.

NEXT STEPS DISCUSSION

WAY FORWARD

The reasons for developing the PFGHI in the 1990s are still relevant today. These included ‘concerns that a culture has evolved that locks government-held information away as a specific departmental asset’.31

In the 21st century information environment, where technology has made access to digital information much easier, key considerations are:

• making public information accessible to everyone in a way that people want it and when they want it;
• government providing secure personalised interaction between government and individuals; and
• opening up authoritative data sources for others to use, while protecting privacy and the security of information.32

These reasons for an updated New Zealand government information policy framework are summarised as:

Providing updated principles and best practice advice for the management of New Zealand’s government-held information; and

Creating the conditions that encourage use and re-use of open New Zealand government data for the benefit of the New Zealand economy and New Zealanders, whilst ensuring the integrity and privacy of personal information.

Cross-government participation and consultation with users of government-held information will be essential for achieving a comprehensive framework which will be relevant to the changing information environment and endure for at least five years.

UPDATING THE PRINCIPLES AND DEVELOPING BEST PRACTICE ADVICE

This process will require a comprehensive analysis of the current PFGHI, development of updated principles and best practice advice, and wide consultation across government ahead of submission to Cabinet. The framework needs to be written in language that is commonly understood across all the sectors which manage government-held information, and include supporting best practice and guidance. Extending its mandate beyond public service departments is a critical element of this work.

International practice indicates clear worth in setting national instruments. For example, each EU jurisdiction now uses national instruments to apply the 1993 EU Directive locally, and regular monitoring is carried out.

Creating conditions that encourage open use and re-use of government-held information

Parallel work which develops new principles and best practice advice on open use and re-use of government-held information will also need to address pricing, funding, copyright, licensing, and potentially machinery of government matters. This will require a full understanding of the

150Treasury charging guidance, information economics arguments, and be informed by the experience of agencies which have opened up access to their information33 and the requirements of users of government-held information and data.

There has been little detailed analysis of the issues relating to funding the creation, management and any opening up of access to government-held information. The 2008 Treasury paper Innovation and Productivity: Using Bright Ideas to Work Smarter34 does start this examination. It discusses the characteristics of knowledge and notes that ‘these characteristics create the potential for markets on their own to fail to deliver the best outcome. First, knowledge can ‘spill over’ to those who did not create it, resulting in a social return to knowledge creation that is greater than the private return. Secondly, the non-rival nature of knowledge suggests it ought to be made widely available once it has been created’.

It concludes that ‘given these features, there is likely to be less investment in new knowledge and less spreading of it compared to what would be best for society as a whole’. It states that there is ‘an important and potentially quite active role for government to create the best conditions for innovation, ranging from subsidising public- and private-sector R&D, ensuring that institutions for intellectual property rights and higher learning work well, and encouraging strong links between private-sector firms that apply knowledge and public research organisations that create it’.

There has been no quantitative assessment of the potential to create value and growth in the New Zealand economy from an increase in availability of government held information, and this may be an area where further work is required.

The analysis may also extend to considering machinery of government matters. Section 107 of the Crown Entities Act 2004 provides the capability for the Minister of State Services and the Minister of Finance to jointly direct certain categories of Crown entities to comply with specified requirements for the purpose of both supporting a whole of government approach; and either directly or indirectly, improving public services. E-government is cited as an example. Section 7 of the State Owned Enterprises Act 1986 states that ‘Where the Crown wishes a State enterprise to provide [non-commercial] goods or services to any persons, the Crown and the State enterprise shall enter into an agreement under which the State enterprise will provide the goods or services in return for the payment by the Crown of the whole or part of the price thereof’.

Crown copyright and information licensing best practice advice is an essential part of this stream of work. Agencies are seeking advice on whether to, or how to, apply licences such as Creative Commons across New Zealand’s government-held information.

Investigating mechanisms for presenting and linking information in an online environment in a consistent way that ensures discoverability is also necessary.

POTENTIAL NEW PRINCIPLES

As well as the influence of international policy and initiatives, informal discussions across government have identified a need for the updated framework to include new or more explicit principles which cover: 151

• Security
• Paper reduction
• Management of indigenous information held by government.

A new security principle would acknowledge the Confidence stream of the newly released Digital Strategy 2.0, in particular, ‘that private information and sensitive data held online is protected, that the online experience will be safe and secure, and that government law enforcement agencies are well-equipped to combat cyber-crime’35.

A new principle supporting paper reduction, and considering information sustainability issues (not preservation) would support the intent of the draft Digital Continuity Strategy.

Management of indigenous information held by government is a potential new focus for the PFGHI. Detailed discussion with key agencies including the Te Puni Kōkiri (Ministry of Māori Development), National Library of New Zealand and Archives New Zealand is needed ahead of a decision to include a new principle.

FUTURE GOVERNANCE

Once there is consensus on the new set of principles, agency ownership of each principle needs to be agreed. In some cases, the Government CIO in the State Services Commission will continue to own a principle. Experience since 1997 indicates that ownership of some principles could be transferred to other public service agencies. However, the Government CIO will continue to retain overall accountability for the policy framework.

NEXT STEPS

The following next steps are proposed by the State Services Commission for updating the policy framework and carrying out an associated work program which will give effect to the commitments of the Digital Strategy 2.0:

1. Providing updated principles and best practice advice for the management of New Zealand’s government-held information
2. Create the conditions that encourage use and re-use of open New Zealand government data for the benefit of the New Zealand economy and New Zealanders, whilst ensuring the integrity and privacy of personal information.

EDITORIAL NOTE:

On 27 August 2009, the New Zealand Government released an open access and licensing framework draft (NZGOAL) for public feedback. The framework is aimed towards enabling greater access to public sector copyright works and non-copyright material by encouraging the New Zealand State Services agencies to license material for reuse on liberal terms, and recommends Creative Commons as an important tool in this process.36