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New South Wales Custodianship Guidelines for Natural Resources Information
TABLE OF CONTENTS
EXECUTIVE SUMMARY
1. INTRODUCTION
2. PRINCIPLES OF CUSTODIANSHIP
3. RESPONSIBILITIES OF CUSTODIANS
4. RIGHTS OF CUSTODIANS
5. RIGHTS OF USERS
6. RESPONSIBILITIES OF USERS
7. ROLE OF COORDINATING AGENCY
8. SELECTING A CUSTODIAN
9. REVIEW OF CUSTODIANSHIP
10. IMPLEMENTATION ISSUES
GLOSSARY
New South Wales Custodianship Guidelines for Natural Resources Information - 14 August 1997 Version 1.0
EXECUTIVE SUMMARY
These Guidelines have been developed by the NSW Natural Resources Information Management Steering Group, established as part of the implementation of the NSW Natural Resources Information Management Strategy.
The principle of custodianship has been adopted by the New South Wales Government as the means of ensuring accountability for the care and maintenance of natural resources information within the public sector. Custodianship is seen as being at the core of efficient and effective natural resources information management.
The overriding philosophy in the activities associated with custodianship is that NSW custodian agencies manage the natural resources information as trustees in a partnership to enable the integration and wide spread use of natural resource information for the benefit of the wider community and the State of New South Wales.
The principle of custodianship assigns to an agency certain rights and responsibilities for the collection and management of natural resources dataset on behalf of the New South Wales Government and the community it serves. The rights and responsibilities include the right to set marketing conditions for the information and responsibilities regarding the maintenance and quality of the information. It also ensures accessibility of the information and provides a recognised contact point for the distribution, transfer and sharing of the information. Custodianship of a dataset will be endorsed by the CEO's.
Users of natural resource data have the right to access data and metadata and freely use this data within the limitations of access agreements. Users also must be consulted by the custodian about their needs. In return they have the responsibility to inform the custodian of any errors and omissions in the data.
There is a need to co-ordinate agency the wide range of custodians. An agency will be made responsible for assignment and review of custodianship. It will create and make widely accessible information about where to find existing natural resource datasets. Finally it will ensure State policies and standards align with those at national level.
1. INTRODUCTION
1.1 What is custodianship?
A custodian of a dataset, or a component of that dataset, is an agency having the responsibility to ensure that the dataset is collected and maintained according to specifications and priorities determined by consultation with the user community, and made available to the community under conditions and in a format that conform with standards and policies established for the national and NSW spatial data infrastructure.
The concept of custodianship assigns to an agency certain rights and responsibilities associated with the capture and management of information on behalf of the State of New South Wales. Custodianship is not synonymous with ownership. Rather, it views all information captured by a government agency as forming part of a State's corporate information resource, and custodians are appointed to manage information about that resource on behalf of the government.
Custodianship provides a means of achieving accountability for and reliability of information sources. While everyone has a right to capture information, this would result in unnecessary duplication and inconsistency in the way information is captured and maintained. It is therefore logical that information suppliers be made responsible for the care and maintenance of the information and that they share this information with others. The concept of custodianship is further expanded in the six basic principles (see 2. Principles of Custodianship)
The preferred custodians should be those which have the greatest need to guarantee the accuracy and the integrity of the information. Consequently, custodians are in the best position of being able to advise of the information's fitness for use.
Custodianship does not necessarily mean that all data is captured and maintained by the custodian, but the custodian maintains the responsibility for quality and availability of the data.
1.2 The need for and benefits of custodianship
The effective management of natural resources information is dependent upon reconciling the need to minimise duplication in information capture and maintenance and the need to maximise access to information. Custodianship is viewed as a key component in achieving effective management.
There are advantages in custodianship to be gained by agencies, the New South Wales Government and its clients.
In adhering to the responsibilities for custodianship as set out in these Guidelines, a custodian is most likely to become the preferred supplier for information under its custody, because it will have the most accurate and reliable information.
Custodianship also eliminates unnecessary duplication of capturing and maintaining information. This in turn allows funds previously spent on these activities to be reallocated to other projects within government, thus achieving the maximum benefit from investment.
Ultimately, users need to access and integrate information. Custodianship lessens the confusion regarding sources of accurate information relevant to their needs. It also means that the user can be confident that the information within government is accurate, complete, identifiable and accessible.
1.3 Custodianship guidelines within Australia
In April 1990, the Australia New Zealand Land Information Council (ANZLIC) published "Issues in Land Information Management, Paper No.1 - Data Custodianship/Trusteeship". The aim of the paper was to assist organisations, government agencies and jurisdictions to better manage their land information. A key element of the National Strategy on Land Information Management is the principle that land information is a corporate resource. Also effective and economical land information management requires that organisations involved in the collection and management of land related data, share and transfer that data.
The Issues Paper is currently being reviewed by the ANZLIC Advisory Committee in light of the development of jurisdictional policies/guidelines since the paper was written in 1990. The NSW Guidelines align with new draft guidelines being prepared.
Guidelines for custodianship have already been prepared in Western Australia, Queensland, South Australia and Tasmania. Guidelines have also been developed for Commonwealth agencies by the Commonwealth Spatial Data Committee.
This paper is based on work by the Australia New Zealand Information Council (ANZLIC) and the Western Australian Land Information System (WALIS).
1.4 Scope of NSW guidelines
These guidelines establish a framework for the implementation of custodianship in NSW as part of the Natural Resource Information Management Strategy. Separate policies for data access (directories, licensing and pricing) and standards (description, quality and transfer) are being developed. Where relevant the custodianship guidelines need to refer to these policies.
In these guidelines no distinction is made between fundamental and other datasets. The establishment of custodianship for fundamental datasets has priority.
The scope of the Guidelines includes natural resource and other related information. It includes any information which is needed to manage natural resources. It is expected that the guidelines can easily be applied in other areas.
Identification of (fundamental) datasets and their custodians will result from these guidelines but is not part it.
The guidelines only relate to datasets collected in the public interest by NSW government agencies. The guidelines do not cover issues such as funding, cost, commercial exploitation of information and privacy. These are matters for individual custodians acting within policies set down by the NSW government.
2. PRINCIPLES OF CUSTODIANSHIP
The concept of custodianship is described in six basic principles:
2.1 Trusteeship
Custodians do not own the information but are the trustees on behalf of the State. The concept is designed to emphasise co-operation in sharing information among agencies, rather than competition between them.
The custodianship belongs to the agency, not the business unit that performs most of the tasks related to the custodianship on behalf of the agency.
2.2 Setting and use of standards
The use of standards to determine how the information will be collected, described and issued is the most important commitment that an agency makes when agreeing to become a custodian. Custodians should seek input from users to assist in defining appropriate standards for information in their custody. These include standards for the access, collection, classification, description, accuracy, quality, format and structure of the information. Custodians should set their standards within the state and national framework.
If an agency is designated the custodian for certain information but is not in a position to collect and maintain the information, it still has an obligation to establish the required information standards so that other agencies can commence collection of the information according to these standards.
2.3 Collection and maintenance of information
Custodian agencies maintain plans for information collection, conversion and maintenance in conformity with the needs of users. Consequently they should liaise with users and other affected parties when making any significant information management or dataset changes. The significance of any changes must be determined by the custodian, informed by their knowledge of stakeholder requirements. The custodian agency is also responsible for negotiating the terms and conditions under which other agencies collect and maintain the information on its behalf.
Custodians are not expected to collect information for which there is no internal requirement. They should justify the collection of information for which they are responsible in terms of their own needs. These will generally reflect either the agency's statutory responsibilities or Government priorities. If other agencies require more information, they may:
- wait until the custodian can justify the collection;
- contribute the required resources to the collection of the information on behalf of the custodian;
- contribute to a submission by the custodian for more funds for the collection of the
- required information; or,
- collect it themselves, to the standards identified by the custodian and integrate the data with the custodians dataset free of charge.
If a custodian has delegated responsibility for providing its information to another agency, or for producing a value added service or an information product, a formal agreement should be drawn up between the custodian and the other agency. As a minimum, it must provide the information the custodian agency with a copy free of charge, according to an agreed transfer standard and according to the custodian's standards.
2.4 Authoritative source
In acting as the authoritative source for information under its custodianship, the custodian agency becomes the preferred supplier of this information. This lessens confusion for users and overcomes the accuracy and reliability problems that may be encountered when supposedly identical information is held separately by several agencies, where several agencies contribute information to a common database, or where information provided by different agencies is combined. The custodian is also likely to have more up-to-date information than other agencies. As the agency responsible for setting the standards, the custodian is also in the position of being able to advise the client on the source, currency and completeness of the information.
2.5 Accountability
A custodian may delegate some or all of its responsibilities for a part of its natural resources information to another organisation. However the custodian cannot delegate its accountability for the integrity, quality and accessibility of that information. The custodian should ensure that its full responsibilities can still be met through any arrangement it may make with another organisation. Where a custodian agency agrees to another agency marketing its information, or producing a value added service or information product, it should draw up a formal agreement with the other agency.
2.6 Maintain Access
Where an agency has been appointed as the custodian of the dataset, it must ensure that access to the information is maintained. If an agency out sources the collection of information for which it is a custodian, it should ensure that the information continues to be collected and maintained according to agreed specifications and access is maintained.
3. RESPONSIBILITIES OF CUSTODIANS
To achieve the purposes of custodianship custodian is responsible and accountable for:
- consulting users prior to developing or defining appropriate standards and the planning of maintenance and acquisition of information in its custody. The custodian should understand the clients needs for information;
- informing users on data collection and maintenance plans and their progress;
- compliance with relevant state and national standards and policies;
- maintaining the quality of the information assigned to them in terms of accuracy, integrity, currency, standardisation and completeness according to its standards;
- maintaining metadata for the information in its custody and compliance with state and national metadata standards.
- providing access to its metadata for all users. The NSW Natural Resources Data Directory is the accepted register in which all NSW metadata is to be lodged;
- ensuring appropriate storage, maintenance, security and archival procedures for the information in its custody;
- correcting faulty data brought to its attention and notifying affected parties;
- identifying for the prospective users issues of quality including accuracy, levels and limitations on the use of the data;
- providing a mechanism to facilitate easy access to information in its custody through appropriate promotion and nominating a single point of contact for inquiries about the information under its custody;
- acting as the authoritative source for the information in its custody;
- ensuring that the source of information is cited on all information being supplied;
- safeguarding the Government's and public's interest in the use of its information through licensing agreements or letters of understanding to protect privacy and confidentiality and interpretation of the information.
4. RIGHTS OF CUSTODIANS
Custodians have the right to enter into agreements with other agencies or providers on the collection, management and distribution of the information under their custody. The custodian remains responsible for the quality, currency, completeness and availability of the information.
Custodians have the right to set marketing conditions within Government policies for the promotion and sale of the information under their custody.
Custodians have the right to establish agreements with value adding resellers. Agencies that have significantly contributed to the compilation the information should get a proportional share of the financial benefits of such agreements.
5. RIGHTS OF USERS
User agencies gain from better access to quality information. In turn they give up part of their ability to meet their own needs from internal resources. To ensure that user agencies have influence on the information management process they must be consulted by custodians so they can state their information needs. The custodian has to consider these needs together with those of other users and its own needs when planning data maintenance and collection.
User agencies must be informed by the custodian on the planning and progress of data collection and maintenance.
User agencies have free access to the metadata on the information held by the custodian.
User agencies can use the information within their agency as they wish considering the limitations of use as described by the custodian.
User agencies may contribute to periodical review of a custodian's performance.
6. RESPONSIBILITIES OF USERS
User agencies have responsibilities towards the custodian agencies:
- They advise custodians of any errors and omissions in data they have received;
- They advise custodians of future requirements;
- They only use information according to licence agreements e.g.. not release to a third party;
- User agencies must cite the source of information when using the information in any way;
- If a user agency develops a value-added service for a dataset it will enter a formal agreement with the custodian of that dataset;
- If a user agency collects specific information on behalf of the custodian it should do this according to standards set by the custodian.
7. ROLE OF COORDINATING AGENCY
To ensure that the implementation of the custodianship policy is successful a co-ordinating agency must be appointed. There are certain tasks that cannot be performed by an individual custodian or an user agency.
The co-ordinating agency has the following responsibilities:
- Draft and maintain custodianship guidelines and consult agencies;
- Draft and seek approval of custodianship policy and related policies (e.g. pricing, licensing);
- Identify datasets that require a custodian;
- Appoint a custodian for each dataset in consultation with user agencies;
- Establish formal custodianship agreements;
- Review custodians every two years;
- Ensure State policies, standards and datasets align with those at national level;
- Create, maintain and give access to NSW Natural Resources Data Directory;
- Develop appropriate NSW Standards.
8. SELECTING A CUSTODIAN
The allocation of custodianship is designed to:
- provide a recognised contact point for the distribution, transfer and sharing of information;
- facilitate access to information;
- eliminate duplication in the capture and maintenance of information within the NSW government;
- simplify legal aspects of the production and management of information products;
- facilitate the collection of datasets and information.
Within NSW custodianship is assigned through an invitation to an agency by a co-ordinating body.
The criteria (not in any order of priority) used to assign custodianship are situations where an agency:
- has sole statutory responsibility for the capture and maintenance of the information;
- has the greatest operational need for the information;
- is the first to record changes to the information;
- is the most competent to capture and/or maintain the information;
- is in the best economic position to justify collection of the information at source;
- requires the highest integrity and accuracy of the information;
- is able to meet the responsibilities of the custodianship.
In agreeing to become a custodian, an agency needs to take into account the roles and responsibilities of being a custodian, and whether it is appropriate for the agency to take on these responsibilities. If it cannot meet these requirements, or finds that by meeting these requirements it constrains the operation of its activities, the agency should consider relinquishing its custodianship to another agency.
In the interests of maintaining completeness in the information holdings within the State, the agency relinquishing its custodianship has the responsibility of working with the co-ordinating agency in finding another agency to take on the role of custodian. This responsibility is particularly important in the situation where the information has a status of being a fundamental dataset.
Assignment of custodianship
In the process of appointing a custodian the following steps can be identified:
1. Identification of data sets and their major users;
2. Initial assessment of potential custodians against selection criteria;
3. Facilitated discussion between potential custodians;
4. Select custodian based on selection criteria and consultation with user agencies;
5. Negotiate the conditions for custodianship;
6. Custodian and the Steering Group sign an agreement.
The agreement between the custodian and the Steering Group will cover:
- the purpose and duration of the agreement;
- the rights and responsibilities of the custodian;
- the right and responsibilities of user agencies;
- the rights and responsibilities of the co-ordinating agency;
- specific conditions for licensing and pricing (not covered by standard policies);
- specific conditions for marketing (if needed).
9. REVIEW OF CUSTODIANSHIP
The custodian will :
- provide the NRIMS Steering Group with an annual report on what actions they have taken on exercising their custodianship. Information will be provided on client base, number of inquiries and the changes in content of the data;
- address and report to the NRIMS Steering Group on problems identified through the review process;
- provide a management plan for the coming year.
The NRIMS Steering Group in its periodical review will, with the assistance of the custodian:
- ensure that the original criteria for custodianship are still relevant;
- ascertain whether the custodian has exercised all its responsibilities;
- ascertain whether the custodian has resolved problems identified in the review process;
- obtain views of users as to whether their needs are being met by the custodian.
The NRIMS Steering Group will then determine whether custodianship will be renewed or revoked.
10. IMPLEMENTATION ISSUES
Identification of datasets.
To assist users to access information relevant to their needs and to lessen confusion regarding what datasets it consist of, it is important that all datasets are precisely defined, documented and named by the custodian.
Standards for datasets
Custodians and end users should establish agreement on:
- data standards;
- data quality, currency and completeness;
- data maintenance;
- data transfer
in line with the whole of government guidelines.
GLOSSARY
Agency
Any department, instrumentality, statutory authority, commission or such organisations established by or under legislation and/or subject to government financial and accountability legislation.
Collection
The initial acquisition of information, and the subsequent addition of this to the same specification, including quality assurance processes.
Copyright
The exclusive right to reproduce, publish, broadcast or adapt a work.
Custodian
A custodian of a dataset, or a component of that dataset, is an agency having the responsibility to ensure that the dataset is collected and maintained according to specifications and priorities determined by consultation with the user community, and made available to the community under conditions and in a format that conform with standards and policies established for the national and NSW spatial data infrastructure.
Custodian agency
An agency assigned accountability and responsibility for certain information.
Custodianship
The act of ensuring appropriate care and maintenance of the information.
Dataset
A dataset is a structured collection of (digital) information which describes certain common properties of entities using an agreed set of attributes and standards. A dataset can be a (spatial) database, inventory, index, map, collection of models, photographs or other images, or a separately available layer in, or component of, a layer system.
Datasets in NRIMS are:
- structured (one set of attributes)
- at least partly digital
- predominantly spatial
- primary information (not an end product like a report, e.g. State of the Rivers)
- related to a certain entity or properties of that entity (e.g.. road, water quality, soil type, flora species)
- describe common properties but not necessarily all properties (a dataset for trees might have species and height as attributes, but not diameter)
- not an activity that produces information (wetland monitoring, mapping) nor a system (Hunter integrated Telemetry System) or a generic database (Riverine Corridor Database).
Fundamental dataset
A dataset that cannot be derived from another dataset and is used in a number of agencies; or a dataset that cannot be derived from another dataset and other agencies derive significant benefit from using it.
Information
Data that has been processed into a form that is meaningful to the recipient. It can be presented in voice, digital, printed, pictorial, image, graphical or numerical form.
Natural Resources Information
Information needed to manage natural resources themselves. It may include economic and social information as well as physical and environmental information.
Maintenance
A process that ensures that the information conforms to a specification.
Metadata
Summary information about data - not the data itself. Metadata may cover the type of information, its history, coverage, availability etc.
Users
End consumers of the information resource; those who use information as input to solve problems and/or make decisions.
Last updated 12 November 1998
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