- Policy Compliance
- What is the department or agency’s current level of recordkeeping maturity as identified through the Recordkeeping Assessment Tool ( RKAT )? Rationale: Provides an overview of the state of recordkeeping in the department or agency with the identification of progress, gaps and challenges in the implementation of the Directive on Recordkeeping. Calculation of measure: Results of the self-assessment using the Recordkeeping Assessment Tool posted on the TBS TAP Portal on or before October 31, 2016 .
The Directive on Recordkeeping compliance deadline was March 31, 2015 . The compliance threshold is 100%.
TBS to Provide Response
Document Limit: 0
- Management Performance
- Performance Indicator
- What percentage of planned disposition for paper information resources was completed in fiscal year 2015-2016? Rationale: Illustrates the extent to which the department or agency is applying its delegated authorities for disposition reducing the paper information glut in the department or agency. Also provides insight into the level of access to information (A TI ) and legal discovery risk the department or agency carries for disposition authorities not being applied. Calculation of measure: Total number of paper IRBV that were disposed of between April 1, 2015 and March 31, 2016 divided by Number of paper IRBV whose retentions expired on or before March 31, 2016 and for which the organization had the authority to dispose Note: If the department or agency does not have a formal documented disposition process for paper information resources applicable for 2015-2016, input zero (0) into the response. If a department or agency is unable to determine the number of paper IRBV for which retentions expired on or before March 31, 2016 and for which the organization had the authority to dispose, input zero (0) into the response. If a department or agency did not plan to undertake any formal paper disposition activities in 2015-2016, input zero (0) into the response. The disposition process document submitted as evidence for Question 3 will be used as evidence for Question 4.
Disposition Plan applicable for fiscal year 2015-2016
Paper Disposition Log / Activity Tracker for fiscal year 2015-2016
Document Limit: 2
- Management Performance
- Internal Services Measure
- What percentage of planned disposition for electronic information resources was completed in fiscal year 2015-2016? Rationale: Provides the extent to which the department or agency is applying its delegated authorities for disposition reducing the electronic information glut in the department or agency. Also provides insight into the level of access to information (A TI ) and legal discovery risk the department or agency carries for disposition authorities not being applied. Calculation of measure: Total number of electronic IRBV that were disposed of between April 1, 2015 and March 31, 2016 divided by Number of electronic IRBV whose retentions expired on or before March 31, 2016 and for which the organization had the authority to dispose Note: If the department or agency does not have a formal documented disposition process for electronic information resources applicable for 2015-2016, input zero (0) into the response. If a department or agency is unable to determine the number of electronic IRBV for which retentions expired on or before March 31, 2016 and for which the organization had the authority to dispose, input zero (0) into the response. If a department or agency did not plan to undertake any formal electronic disposition activities in 2015-2016, input zero (0) into the response. The disposition process document submitted as evidence for Question 3 will be used as evidence for Question 4.
Electronic Disposition Log / Activity Tracker for fiscal year 2015-2016
Document Limit: 1
IM program / service enablement
Outcome statement: Information resources are effectively leveraged to support the department’s or agency’s programs and services.
Rationale:
Confirms that one of the foundational elements of open government is in place to support further initiatives on accountability, transparency and informed decision-making.
Calculation of measure:
Data inventory released on open.canada.ca on or before October 31, 2016 .
Completed data inventories were to be released on open.canada.ca on or before October 31, 2016 .
TBS to Provide Response
Document Limit: 0
- Management Practice
- Policy Compliance
- How many datasets has the department or agency released via open.canada.ca? Rationale: Provides an overview of the progress of the department or agency in maximizing the release of GC data for Canadians. Calculation of measure: Total number of datasets posted by a department or agency to open.canada.ca, on or before October 31, 2016 .
It is expected the number of data sets released in 2016-2017will be greater than the number released in 2015-2016.
TBS to Provide Response
Document Limit: 0
Repositories
Volume in gigabytes ( GB ) of all designated corporate repositories for unstructured electronic information resources (e.g. GCDOCS, RDIMS)
Volume in GB of all repositories for unstructured electronic information resources (e.g. GCDOCS, RDIMS, shared/network drives, departmental collaboration tools such as SharePoint, active email boxes and legacy email boxes etc)
What percentage of unstructured electronic information resources are maintained in designated corporate repositories (e.g. in an Electronic Documents and Records Management Solution ( EDRMS ))?
Rationale:
Provides an overview of the implementation of a designated corporate repository, such as GCDOCS, which enables employees of a department or agency to effectively and efficiently create, retrieve, find, and share electronic records. Also provides insight into maturity of electronic recordkeeping practices.
Calculation of measure:
Volume in gigabytes ( GB ) of all designated corporate repositories for unstructured electronic information resources
divided by
Total volume in GB of all repositories for unstructured electronic information resources
Note:
The evidence submitted must be the department’s full inventory of repositories covering information in all formats. It must also include details of the size (e.g. GB , meters) of each repository enabling TBS to validate the response for Questions 7.1, 7.2, 7.3, and 8.
It is expected that organizations are able to report on the full size and scope of their unstructured electronic information holdings.
It is expected that organizations manage 100% of their unstructured electronic information resources in designated corporate repositories.
Inventory of Repositories
Document Limit: 1
- Management Performance
- Internal Services Measure
- What is the total length, in linear meters, of paper information resources in records rooms and off-site storage facilities? Rationale: Provides a consolidated view of the department’s or agency’s information footprint, maturity of recordkeeping practices, and insight into the level of ATI and legal discovery risk the department carries for disposition authorities not being applied. Calculation of measure: Total number, in linear meters, of paper information resource holdings found in records rooms and in off-site record storage facilities. Note: The evidence supplied for Question 7 will be leveraged to validate the response for Question 8.
It is expected that organizations are able to report on the full scope and size of their paper holdings.
Inventory of Repositories
Document Limit : 0
IT stewardship
Outcome statement: Departments and agencies develop and implement strategies and plans to effectively manage information and technology assets to deliver on programs, services and Government of Canada ( GC ) priority initiatives.
Rationale:
Provides confirmation that IT is integrated as part of business planning within the department or agency; is aligned to GC Enterprise IT Modernization priorities; and is balancing enterprise and program-driven priorities.
Calculation of measure:
Approved document and electronic versions of the 2016-17 IT Plan as per guidance with particular focus on complete information in the electronic plan for the three planning years, project entries that identify key attributes such as impacted applications, Run/Grow/Transform, and business capabilities.
All organizations are expected to provide an annual IT Plan.
Directive on the Management of IT , currently under revision as part of Policy Suite Renewal
TBS to Provide Response - IT Plan
Document Limit: 0
- Management Practice
- Policy Compliance
- Yes
- No
Rationale:
Provides a common and consistent indicator of IT expenditures across programs and internal services and is useful for benchmarking and investment decision planning.
Calculation of measure:
Based on a signed-off submission of the departmental 2015-16 IT expenditure report that contains complete and consistent financial information.
All organizations are expected to provide an annual IT Expenditure report.
Directive on the Management of IT , currently under revision as part of Policy Suite Renewal
TBS to Provide Response - IT Expenditures Report
Document Limit: 0
- Management Practice
- Policy Compliance
- Yes
- No
Rationale:
Provides insight into how the department or agency is managing its portfolio of IT applications, ensuring mission critical applications are adequately sustained, aging IT issues are identified, and remediation plans are in place.
Calculation of measure:
2016 APM submitted as per guidance with particular focus on complete aging and business value assessments for all server-based applications and identification of critical and essential services linked to mission critical applications.
All organizations are expected to provide an inventory of all applications.
Directive on the Management of IT , currently under revision as part of Policy Suite Renewal
TBS to Provide Response - Application Portfolio Management
Document Limit: 0
- Management Practice
- Policy Compliance
- Yes
- No
- N/A (no mission critical applications)
Rationale:
Provides insight into how the department or agency is managing its portfolio of IT applications, ensuring mission critical applications are adequately sustained, aging IT issues are identified, and remediation plans are in place.
Calculation of measure:
Based on 2016-17 IT Plan document Sustainability Plan section and the electronic IT Plan at mid-year refresh with particular focus on funded sustainability projects/activities identified for all mission critical applications assessed as Attention Required and Immediate Attention Required.
Note:
This response should be aligned with the applications which have been identified as mission critical by departments or agencies when completing their submission for the TBS - CIOB Application Portfolio Management ( APM ) annual collection
All organizations are expected to provide a Sustainability Plan within their IT Plan.
Directive on the Management of IT , currently under revision as part of Policy Suite Renewal
TBS to Provide Response - IT Plan and Application Portfolio Management
Document Limit: 0
- Management Practice
- Policy Compliance
- Yes
- No
Rationale:
Provides insight into how the department or agency is managing its portfolio of IT applications, ensuring that mission critical applications are adequately sustained, aging IT issues are identified, and remediation plans are in place.
Calculation of measure:
Based on 2016-17 IT Plan document End-of-Life Application Retirement Plan section and the electronic IT Plan at mid- year refresh with particular focus on funded projects/activities identified for all server-based applications assessed as Migrate and Eliminate.
All organizations are expected to provide an End-of-Life Retirement Plan within their IT Plan.
Directive on the Management of IT , currently under revision as part of Policy Suite Renewal
TBS to Provide Response - IT Plan and Application Portfolio Management
Document Limit: 0
IT program / service enablement
Outcome statement: Technology resources are effectively leveraged to support the department’s or agency’s programs and services.
Rationale:
Demonstrates that the organization is regularly reporting the status of its IT -enabled projects to appropriate internal governance bodies.
Calculation of measure:
Two quarterly or two monthly reports from 2016-17 to the assigned project sponsor or executive-level steering committee on the status of active IT -enabled projects (scope, schedule and budget) to which the Standard for Complexity and Risk applies. Where more than one project applies, two projects are to be represented (as a minimum),
All organizations are expected to regularly report the status of IT -enabled projects to appropriate internal governance bodies.
Document Limit: 10
- Management Practice
- Practice
- Yes
- No
Rationale:
Provides confirmation that the organization is engaged with SSC as part of project planning and has a complete view of the project resources required.
Calculation of measure:
Based on 2016-17 IT Plan electronic version at mid-year refresh with the identification of projects/activities that require SSC services and those for which estimated costs have been identified by SSC .
All organizations are expected to identify estimated SSC service costs within their IT Plan.
Directive on the Management of IT , currently under revision as part of Policy Suite Renewal
TBS to Provide Response - IT Plan
Document Limit: 0
- Management Practice
- Policy Compliance
- Expectations for acceptable use
- Electronic network monitoring practices being applied
- Consequences for unacceptable use
Rationale:
Provides information on the level of awareness of acceptable use of GC electronic networks and devices as an indicator of risk to the organization and departmental users.
All organizations are expected to regularly inform authorized individuals on expectations for acceptable use; electronic network monitoring practices being applied; and the consequences for unacceptable use.
Guideline on Acceptable Network and Device Use
Document Limit: 3
Enterprise priorities alignment
Outcome statement: Information and Technology organizations are aligned and actively engaged in collaborative delivery of GC Enterprise priority initiatives
Rationale pertaining to questions below: Provides an understanding of the state of departmental progress on the GC IM / IT Enterprise IT Modernization priorities. Modernization priorities aim to increase efficiency and effectiveness of IT solutions in support of program and service delivery while reducing IT implementation and operations costs.
- How many Windows Server 2003 Operating System Instances ( OSI ) are there for the department? Calculation of measure: Based on central departmental reporting, the calculation is based on the sum of all Windows Server 2003 OSI s for all application, file and print servers, at the deadline for evidence upload and complete questionnaires on the MAF Portal.
This question is included to assess progress toward elimination of all Windows Server 2003 OSI s by March 31, 2017 .
TBS to Provide Response – Application Portfolio Management
Document Limit: 0
- Is the department-wide implementation of the common email solution ( ETI ) complete?
- Not participating
- Participating
- Users onboarded
- Legacy decommissioned
This question is included to assess overall progress toward completion across the Government of Canada.
TBS to Provide Response - GC Enterprise Priority lead
Document Limit: 0
- Is the department-wide implementation of my GCHR complete?
- Not participating
- Participating
- Users onboarded
- Legacy decommissioned
This question is included to assess overall progress toward completion across the Government of Canada.
Directive on the Management of IT , currently under revision as part of Policy Suite Renewal
TBS to Provide Response - GC Enterprise Priority lead
Document Limit: 0
- Is the department-wide implementation of Enterprise GCDOCS complete?
- Not participating
- Participating
- Users onboarded
- Legacy decommissioned
This question is included to assess overall progress toward completion across the Government of Canada.
Directive on the Management of IT , currently under revision as part of Policy Suite Renewal
TBS to Provide Response - GC Enterprise Priority lead
Document Limit: 0
IM / IT leadership and workforce capacity
Outcome statement: Information Management and Technology organizations have the leadership capacity to achieve GC enterprise transformation objectives and address departmental priorities
-
What percent of the department or agency’s IM / IT executive cadre completed the IM / IT Talent Management sub-questionnaire?
Rationale:
The data from the OCHRO executive talent management system enables CIO and IM / IT executive talent and ensures IM / IT leadership and workforce capacity through enterprise succession planning activities.
Calculation of measure:
Percentage of IM / IT executives that completed the IT sub-questionnaire (a component of OCHRO ’s Talent Management Questionnaire, which is contained within the Executive Talent Management System) divided by the total number of IM / IT executives (number provided by departments, in question 21.3)
ETMS Questionnaire:
The IM / IT sub-questionnaire is completed if respondents:
- identify as a member of the functional community; or,
- are interested in gaining experience in the functional community. Note that this reflects a change in the sub-questionnaire from the previous year.
As a best practice, 100% of the organization’s IM / IT executives are expected to have completed the IM / IT Talent Management sub-questionnaire
TBS to provide response - OCHRO Executive Talent Management System ( ETMS ) data
Document Limit: 0
- Management Performance
- Performance Indicator
- Yes
- No
Rationale:
The data from the OCHRO executive talent management system enables CIO and IM / IT executive talent and ensures IM / IT leadership and workforce capacity through enterprise succession planning activities.
Calculation of measure:
OCHRO ’s Talent Management Questionnaire (contained within the Executive Talent Management System) is the data source.
ETMS Questionnaire:
The IM / IT sub-questionnaire is completed if respondents:
- identify as a member of the functional community; or,
- are interested in gaining experience in the functional community. Note that this reflects a change in the sub-questionnaire from the previous year.
As a best practice, 100% of the organization’s IM / IT executives are expected to have completed the IM / IT Talent Management sub-questionnaire
TBS to provide response - OCHRO Executive Talent Management System ( ETMS ) data
Document Limit: 0
- Management Practice
- Practice
Number of IM / IT executives in place as of March 31, 2016 , not the number of IM / IT boxes available in the organizational chart (descriptive statistic).
Rationale:
The data from the OCHRO executive talent management system enables CIO and IM / IT executive talent and ensures IM / IT leadership and workforce capacity through enterprise succession planning activities.
Calculation of measure:
Departments to provide the number of IM / IT executives in place as of March 31, 2016 .
ETMS Questionnaire:
The IM / IT sub-questionnaire is completed if respondents:
- identify as a member of the functional community; or,
- are interested in gaining experience in the functional community. Note that this reflects a change in the sub-questionnaire from the previous year.
As a best practice, 100% of the organization’s IM / IT executives are expected to have completed the IM / IT Talent Management sub-questionnaire
Departments to provide the number of IM / IT executives in place as of March 31, 2016
- Does your department or agency have a strategic succession plan in place for the position of Chief Information Officer?
- Yes
- No
Rationale:
Sustained capacity is required to ensure continuity and an adequate supply of qualified individuals with the right skills and experience to enable GC enterprise transformation objectives.
Calculation of measure:
OCHRO ’s Talent Management Questionnaire contains the question “Do you have a longer term succession plan in place for this position?” This response is the data source for the question.
Organizations are expected to have a strategic succession plan in place for the position of Chief Information Officer.
TBS to provide response - OCHRO Executive Talent Management System ( ETMS ) data
ETMS Questionnaire:
“Do you have a longer term succession plan in place for this position?”
Document Limit: 0
Service performance
Outcome statement: Achieve excellence in IT services to ensure they are client-centred and efficient.
Rationale pertaining to questions below: Measurement of service performance is essential for maintaining efficient and effective client-centred services that support achievement of program delivery objectives.
- What is the department’s mean time to resolve ( MTTR ) for workplace technology device ( WTD ) related incidents? Hours: Rationale: Shorter resolution times lead to increased workforce productivity to deliver on programs and services. Calculation of measure: Total elapsed time to resolve WTD incidents (business hours) divided by Total number of WTD incidents Note: The calculation should include all WTD incidents received within the time period of the past year.
Organizations should strive for short times to repair workplace technology device related incidents.
Document Limit: 1
- Management Performance
- Performance Indicator
- What is the department’s % of incidents resolved by 1 st level support for workplace technology device related incidents? %: Rationale: Higher resolution rates by 1 st level support can lead to shorter issue resolution times and lower overall support costs. Calculation of measure: Total WTD incidents resolved by 1 st level support divided by Total number of WTD incidents
Organizations should strive to have a high percentage of incidents resolved by 1 st level support for workplace technology device related incidents.
Document Limit: 1
- Management Performance
- Performance Indicator
- What is the Application Portfolio Health Indicator (APHI) value for the department’s inventory of applications? %: Rationale: Provides an overall indication of the health of the department’s or agency’s portfolio of applications which can be monitored over time and inform investment decisions. Calculation of measure: Evaluation based on risk level and criticality of all applications, i.e. (No Attention Required applications plus Minimal Attention Required applications) divided by Total number of Application
Organizations should strive for a high value for health of the inventory of applications
TBS to provide response - Applications Portfolio Management
Document limit: 0
Glossary
Disposition Plan Internally approved documented business processes that outline the methodology for disposing of information resources of business value ( IRBV ) in all formats. It may also include variations in rules and steps for specific information resources. See: Guidance on Information Management: Disposition Disposition Log/Activity Tracker Evidence which quantifies progress on the implementation of a department’s or agency’s documented disposition plan for IRBV with expired retention periods and for which the department or agency has the authority to dispose. See : Guidance on Information Management: Disposition Corporate Repository A designated corporate repository is one that is available to all employees and in which information resources of business value ( IRBV ) are captured, preserved, and managed throughout the entire lifecycle (e.g. RDIMS, GCDOCS). SharePoint is a collaboration tool, not a corporate repository. See : Guidance on Information Management: Repositories Unstructured Information Digital information that is often created in free-form text using common desktop applications such as e-mail, word-processing, or presentation applications. A “mission critical application” A business application that is, or supports, a critical service. A “critical service” is a service whose compromise in terms of availability or integrity would result in a high degree of injury to the health, safety, security or economic well-being of Canadians, or to the effective functioning of the government. Enterprise Initiative Priority status Not Participating department has opted out of the initiative or is not engaged with the initiative lead with plans for adoption of the initiative Participating Plans for adoption are approved and resourced or a commitment has been made for adoption based on an agreed to future schedule Users onboarded All departmental users have access to and are utilizing the functionality considered essential to obtaining the benefits of the initiative on the enterprise solution Legacy decommissioned systems and infrastructure that the adoption of the initiative replaces have been shut down or repurposed Workplace Technology Devices ( WTD ) Includes end-user devices such as personal computers, laptops and tablets and printing products such as printers and scanners. It also includes software for the operation and support of devices, connectivity, office productivity suite and security, to provide the basic functionality needed by users. Mean time to resolve ( MTTR )
A service level metric for desktop support that measures the elapsed time from when an incident is reported until the incident is resolved, business hours and not clock hours.
First level (first-line) support is the first level in a hierarchy of support groups involved in the resolution of incidents. Each level contains more specialist skills, or has more time or other resources. First level is the central point of contact for all IT issues.
