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The following departments were also included in the audit because they play a central role in the delivery of the Government of Canada Information Management Strategy:
Sources of Criteria
The objective of this audit was to determine whether LDAs and departments that have a central role are fulfilling the requirements of the IM policy suite, with a particular focus on electronic recordkeeping.
Sub-Objectives | Criteria |
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Departments have governance structures in place to effectively support an IM strategy and IM outcomes. |
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Departments are developing highly skilled workforces to ensure that capacity exists to deliver IM outcomes. |
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Departments are developing information architecture and processes that respect their IM risks and controls and operational requirements. |
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IM tools are developed and implemented that respect appropriate control requirements of the department and of the business users, and are compliant with the information architecture within and across departments. |
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Recordkeeping practices ensure that information is timely, accurate and accessible for departments in the delivery of Government of Canada programs and services. |
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The applicability of the following recommendations to each department is subject to variability. Some departments may not have begun addressing some these recommendations; others may be closer to implementing a final action required.
Recommendations | LDAs | Departments That Play a Central Role | |||||||||||||||||
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ACOA | CBSA | CNSC | CSIS | CSA | CIC | CSC | CAS | DFAIT | DND | PCO | PS | RCMP | SSHRC | TC | TBS | TBS | LAC | PWGSC | |
1. LDAs should develop performance indicators to assist in monitoring the implementation of their IM plans. | A | A | A | A | N/A | A | A | N/A | A | A | A | A | A | A | N/A | A | N/A | N/A | N/A |
2. LDAs should define information of business value for their organization and develop methods to ensure that it is tracked and stored in an effective manner. | A | A | N/A | N/A | N/A | A | A | A | A | A | A | A | A | A | N/A | A | N/A | N/A | N/A |
3. LDAs, in collaboration with LAC, should develop formal retention and disposition processes that can be followed by all departmental staff. | A | A | N/A | N/A | N/A | A | A | A | A | N/A | A | A | A | A | N/A | A | N/A | N/A | N/A |
4. LDAs should perform departmental staff training needs analyses and implement any actions required. | A | A | N/A | N/A | N/A | N/A | A | A | A | A | A | A | A | A | N/A | A | N/A | N/A | N/A |
5. LDAs should develop strategies to increase the use of enterprise-wide electronic recordkeeping systems by LDA staff. | A | A | N/A | A | N/A | A | A | A | A | A | A | N/A | A | A | N/A | A | N/A | N/A | N/A |
Legend
The following table presents the recommendations and assigns risk rankings of high, medium or low. The risk rankings were determined based on the relative priorities of the recommendations and the extent to which the recommendations indicate non-compliance with Treasury Board policies.
Recommendations | Priority |
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1. LDAs should develop performance indicators to assist in monitoring the implementation of their IM plans. | High |
2. LDAs should define information of business value for their organization and develop methods to ensure that it is tracked and stored in an effective manner. | High |
3. LDAs, in collaboration with LAC, should develop formal retention and disposition processes that can be followed by all departmental staff. | High |
4. LDAs should perform departmental staff training needs analyses and implement any actions required. | Medium |
5. LDAs should develop strategies to increase the use of enterprise-wide electronic recordkeeping systems by LDA staff. | High |
[1]. The Office of the Comptroller General has not undergone an external assessment of its audit activity at least once in the past five years to confirm its conformance with these standards.