Information technology(Technologies de
l'information) - refers to the scientific, technological and engineering
disciplines and to the management technologies used in information handling,
communication and processing; their applications; and associated software and
equipment, together with their interaction with humans and machines.
Although the above definition includes all information technology resources,
the application of specific aspects of the policy may be restricted in some
cases and will be the subject of bilateral agreements between the Treasury Board
Secretariat and institutions concerned. In the case of the Information
Management Plan, the annual instructions delineate the specific items to be
included.
The following terms are defined in the Treasury Board Project Management
policy: project, preliminary project approval, and effective project
approval.
Information technology project(Projet de
technologies de l'information) - refers to the aggregate package of
activities leading to the implementation of an information technology
application. This includes the design, development and acquisition of software,
including all implementation aspects (e.g. documentation, training, testing, and
installation), as well as the acquisition of hardware. This definition also
applies to replacements of, and enhancements to, existing applications and to
information technology components of larger projects that are not principally
information technology projects.
Existing automated system(Système automatisé
existant) - refers to an automated facility, service, or system that has
been in full operation for at least three years.
Comparable value(Valeur comparable) -
means that the estimated annual cost of the operation of the new system is no
greater than double the annual operating cost of the existing automated system.
2.1 General
The Strategic Direction for Information Management in Chapter 1-1
describes the evolution that is occurring with respect to information management
planning. Beginning with long-term plans for information technology, this
planning has placed increasing emphasis on information holdings. This and
converging technologies have led to greater coordination of the planning for all
information-based resources. This section provides a brief overview of the
strategic planning process in the government. Institutions should employ the
business-case approach (see section 3) as a methodology to carry out this
strategic planning.
Each institution should develop its Information Management Plan to meet its
particular requirements and circumstances. Figure 1 has been included to
show a typical example of an information management planning framework that
could be adopted by an institution.
The institution should first set objectives based on its mission and
operational plans. Once this is done, strategies describing how these objectives
can be achieved should be developed. To be most effective, these strategies
should be in such terms that they will remain valid for up to five years.
This phase should only need to be performed every three to five years.
The Information Management Plan is a multi-year plan that is normally updated
annually. The plan outlines the goals, actions, priorities, resources, policies,
standards, and procedures that are required to achieve the objectives. It can be
thought of as a prioritized action plan in terms of a moving three- to five-year
window. The last event is the production of specific performance targets, tasks,
schedules and resource requirements for the upcoming year.
Figure 1: A typical information management planning framework
The effectiveness of the institution's strategies and plans can be increased
by considering other factors such as: any overall government directions and
objectives as stated in "Enhancing Services Through the Innovative Use of
Information and Technology" (see Chapter 1-2); the strategies and
plans of the common-service organizations; human resource management processes
including training, classification, affirmative action and official languages;
applicable security requirements; compliance with approved government
information technology standards; and relevant items specifically agreed to by
the institution and the Treasury Board Secretariat.
2.2 Government-wide coordination of information management planning
To obtain full benefits, institutions and common-service organizations should
plan for information technology, and information management as it is
implemented, within a wider framework that includes other institutions and
common-service organizations. This is because an appropriate degree of
government-wide compatibility is necessary for organizations with different
equipment and software to exchange information and to obtain economies from
sharing facilities. This requires institutions and common-service organizations
to cooperate and accept the necessity to coordinate and standardize certain
aspects of their information-based resources. This coordination will be achieved
by continuing the government-wide consensus approach; i.e. all parties
participate in reaching a solution that balances the degree of government-wide
standardization against institution-specific needs, thus optimizing overall
benefits.
The coordination of plans for information technology has evolved over time
and can be expected to evolve to other information-based resources. It will
continue to adapt to changing circumstances. The following paragraphs describe
the activities involved in achieving government-wide coordination.
The Treasury Board Secretariat issues a statement of priorities and
government-wide issues in information management (e.g. "Enhancing Services
Through the Innovative Use of Information and Technology" - see
Chapter 1-2). This statement is developed with the advice and assistance of
institutions working primarily through the Advisory Committee on Information
Management. Institutions and common-service organizations should consider this
statement in their planning.
The Treasury Board Secretariat ensures that common-service organizations
coordinate their long-term strategies, develop a cohesive direction on
government information management issues, and adopt a shared foundation for
long-range planning. Institutions are advised about the plans of the
common-service organizations so that they can take them into consideration in
planning for their future needs.
Although their strategies and plans are primarily for their own use, once
institutions approve them, copies are provided to the Treasury Board Secretariat
so that their contents can be shared with other institutions and common-service
organizations.
Figure 2 illustrates the interactions that take place among the Treasury
Board Secretariat, institutions and common-service organizations to coordinate
government-wide information management.
Figure 2: Interactions that take place to achieve coordinated
government-wide information management planning
2.3 Benefits expected from government-wide coordination of information
management plans
The coordination of information management planning government-wide results
in benefits for all parties involved-institutions, central agencies and
common-service organizations.
Some of the benefits that accrue are:
- information management plans are linked to the institution's corporate and
operational planning processes and to overall government directions;
- information management investments are directly related to the
institution's program results;
- an assessment is made of the technology infrastructure; and
- the new investment is distinguished from the cost of maintaining the
operating "plant."
Central agencies and common-service organizations use government-wide
information management planning to:
- develop overall government directions;
- provide an overview and assessment of government-wide activity and trends;
- focus on information management as an essential element of program
delivery;
- obtain the information needed to be able to coordinate common-service
organizations;
- produce government-wide information necessary to support policy
development and monitoring;
- provide institutional and aggregate data allowing responses to be given to
concerns of the information technology industry, to parliamentary questions
and queries from the public; and
- provide a focus on selected "special interest" targets within
government information technology.
A major objective of the strategic planning process in institutions is to
involve senior and program managers in setting the objectives and strategies and
making the plans for information technology in their institution. In the
process, a concerted effort should be made to avoid technical language.
3.1 Introduction
Institutions invest in information technology to increase their productivity,
to reduce operating costs and to improve their service. Because they have
limited investment capacity, institutions want to be certain that they are
making the right investment choices.
The business-case approach is a framework for making these
decisions. It is based on the principles that a direct relationship exists
between every investment made by the institution and its programs or
"business" and that each investment should clearly demonstrate
benefits to the institution or the government as a whole.
This process for selecting and approving investments allows senior managers
to determine the value of investments by understanding their impact on program
performance. Fundamental to this approach, therefore, is the premise that
information technology proposals are treated as investments rather than
expenditures.
Adopting a business-case approach as their strategic planning process for
information technology provides senior and program managers with the following
benefits:
- information technology management understands the institution's priorities
- program management understands the existing and potential contribution of
information technology to improved program performance and enhanced service;
- senior management can determine the optimum level of investment in
information technology, and can select and approve specific information
technology investments with confidence;
- performance and service improvements can be projected, monitored and
realized; and
- the extent to which the institution complies with government information
management policies and standards is known.
No particular methodology for the business-case approach is prescribed;
institutions decide for themselves how they implement it. However, institutions
are required to use a business-case approach for selecting and approving
information technology investments. Using a business-case approach is a key part
of the institution's processes for developing its Information Management Plan
(see section 2), Multi-Year Operating Plan and Long-Term Capital Plan, and
implementing the Treasury Board's Project Management and Project Approval
policies. Investments proposed by government institutions should also relate to
government-wide strategic directions (see Enhancing services through the
innovative use of information and technology in Chapter 1-2).
Senior and program managers of the institution have to be involved if the
business-case approach is to be implemented successfully. This will only happen
if it is conducted with a firm resolve to minimize technical terminology and
detail. Other factors critical to its success are:
- the institution must have clear, well-articulated corporate objectives and
principles;
- there must be active involvement and participation across the whole
institution;
- a strong sense of partnership must exist between the program and
information technology organizations, e.g. the information technology
mission should have a definite program-support focus and should be expressed
in business terms;
- investments must demonstrate a sound business justification including:
support of the institution's (and the government's) objectives and
priorities, opportunities offered, benefits, results, cost, and risk; and
- the institutions must manage the benefits from investments to ensure that
they are quantified and captured.
3.2 A business-case model for investment decisions
The following outline of a business-case approach describes a conceptual
process for assessing the current and potential contribution of information
technology to the institution; for developing information technology strategies
and plans; for establishing the appropriate level of investment in information
technology over the planning period; and, finally, for approving specific
investment projects.
3.2.1 Establish investment priorities
First, the business direction and strategies of the institution should be
clearly understood. Why is it in business? What factors, programs and activities
are most critical to its success? The activities of the institution should be
reviewed and rated according to their contribution to the key objectives of the
institution.
The adequacy of the existing information technology support should be
assessed for each activity. In addition, the overall user satisfaction with
their existing information technology support should be measured. These provide
the basis from which the optimum levels of information technology support can be
determined for each program and function.
The implications of new programs and major program changes should be
determined and analysed. A vision of how the organization wishes to
operate in the future should be developed along with an overall strategy for
getting there and for recognizing opportunities and obstacles along the way. A
review of information technology trends may suggest new opportunities to enhance
the services of the institution.
Each organization in the institution should propose initiatives, some
involving information technology, to improve the current performance and service
of the institution as well as the future directions defined in the business
strategy. Expected results should be expressed in terms of their anticipated
contribution to improved program performance and enhanced service, and their
predicted cost benefit. Using these preliminary assessments, the institution can
establish its investment priorities and make an initial ranking of competing
proposals.
3.2.2 Develop information technology strategies and plans
A strategic plan for the future evolution of information technology in the
institution can be developed from the investment priorities and initial set of
investment projects. Strategies should be derived from and strongly support the
institution's business directions and plans.
This business focus allows the institution to define target architectures
for information technology, that is, the long-range configurations of data,
applications, networks and computer technology (hardware and software) that will
best respond to the predicted needs and priorities of the institution.
Initiatives can be defined to move the institution from its existing information
technology architecture to the proposed new one. These architecture or
infrastructure initiatives should also support, albeit indirectly, the approved
business initiatives. The development of these architectures is evolutionary,
not a single project, and the target architectures should change over time to
reflect changed business priorities and new advances in information technology.
The linkage between the proposed architecture or infrastructure projects and
program-support projects should be clearly understood and their expected results
clearly defined in terms of their contribution to program performance and
improved service. Technology projects do not have to be described in
technological terms; they should be understood by all.
3.2.3 Establish expenditure levels
This analysis of information technology's role and contribution towards
improved program performance should result in a clearer recognition and
understanding of its importance to the institution. Senior management can
consider proposals with an understanding of their relative importance to the
institution as a whole. Management will also have an appreciation of the
projected impact of any proposals on program performance as well as their
linkage to the institution's Long Term Capital Plan, Multi-Year Operating Plan
and other planning processes. Proposed investment levels can be justified by
program managers based on expected results. From this analysis, an appropriate
information technology expenditure level for the institution can be established.
When determining the appropriate expenditure level for information
technology, senior management should also consider full life-cycle costs for
their investments, e.g. design and development, implementation, operation and
enhancements and eventual replacement. Experience has shown that operational
expenditures on information technology rise in proportion to the investment in
new systems. Often these costs are not budgeted for.
3.2.4 Approval of specific investment projects
A business-case approach should also be used to justify and approve specific
information technology investment proposals. Note, however, that the extent of
the justification required for an investment should reflect its size. The
justification for a microcomputer, for example, should be considerably less than
is required for a major investment. In many cases, a significant information
technology project may be part of what is essentially a non-information
technology project. Even though the overall project may be appropriately
justified, the information technology project component should still be reviewed
separately to optimize its contribution to the institution's goals and to ensure
that it is in accord with the institution's architectural strategies for
information technology.
This process can ensure that the optimum set of investment projects is
chosen. Projects that provide the best combination of performance and service
benefits include:
- improved service to the public;
- improved organizational effectiveness;
- maximized contribution to the institution's strategic objectives;
- improved response time;
- resource and cost savings;
- cost avoidance;
- revenue generation; and
- improved quality.
The main reasons for proposing the investment, how it links to the business
strategy or plan and how it is consistent with the information technology
architecture should all be stated. Whenever possible, expected business benefits
and impacts should be described by the users of the system. In addition, the
opportunities and risks of proceeding or not proceeding should be outlined.
A benefit and impact profile should be projected over several years.
Quantifiable benefits and costs should be calculated as an annual cash-flow
schedule and the net return or net cost summarized. The full costs of
undertaking the investment should also be shown as an annual cash-flow schedule.
Negative business impacts should appear in this analysis as costs.
Soft or intangible benefits should also be projected. Although this process
is subjective, this information should be available to decision-makers so they
can make an informed and effective decision regarding the investment.
If this detailed analysis of costs and benefits indicates that a proposed
project is less desirable than others being put forward, it should be delayed or
dropped, thereby allowing more attractive proposals to be selected.
3.3 Managing the benefits
Institutions should ensure that methodologies and controls are implemented to
realize the benefits set out in the investment business case. This implies
appropriate project management practices (refer to the Treasury Board Project
Management policy) to ensure the project is delivered within approved cost and
time limits and that projected benefits are achieved. If these projected
benefits are not achieved, applying the business-case approach at the investment
level serves little purpose. All returns on investments should be captured and
returned to the institution as a whole. In this way, senior managers can
re-investment these resource savings in new initiatives.
4.1 General
This section encompasses all information and technology standards and applies
to federal participation in all national and international information
technology standards activities.
A Treasury Board information or technology standard is one that has been
approved by the Treasury Board for mandatory use throughout the federal
government. Treasury Board approval will usually be based on the following
grounds:
- the standard represents a strategic direction that is in line with
national and international trends and government policies and objectives,
such as industrial development; or
- implementation of the standard will result in a significant benefit to the
government by promoting compatibility, competition and optimization in its
information technology.
The Treasury Board Secretariat is authorized to revise the technical content
of a Treasury Board information or technology standard, provided the revisions
are endorsed by the Advisory Committee on Information Management prior to their
reissue, and there is no change to its overall intent.
4.2 Objectives of the Government Information and Technology Standards
Program
The objectives of the Government Information and Technology Standards Program
are:
- to increase effectiveness and economy in acquiring and administering
information technology resources throughout government by promoting
compatibility and interchangeability of equipment, programs, data and the
characteristics of data. This, in turn, will extend the efficiency,
usefulness, and life of systems; minimize duplication of data; optimize
investments; facilitate information interchange; ensure proper security
safeguards including business resumption planning; and allow the orderly
replacement or upgrading of components;
- to establish a single process for developing, approving, implementing and
maintaining information and technology standards throughout government,
which includes a procedure to identify the need for and establish the
priorities of standards proposed for government use, a process that ensures
full institutional participation, and a mechanism to assign resources to
government standards projects;
- to reduce duplication of effort and optimization of resources in
government standards work;
- to increase the influence of the federal government, both as a user of
information technology and as a policy-maker, in national and international
standards organizations;
- to coordinate government participation in national and international
standards activities;
- to share information with all interested parties on current activities in
the field; and
- to improve and better coordinate strategies, based on common standards,
among government institutions, common-service organizations and industrial
development programs and policies.
The components of the Government Information and Technology Standards Program
are:
- to improve and better developing, approving, implementing and maintaining
federal government information and technology standards;
- as a user of information technology developing and presenting the federal
government's position on a proposed new standard;
- coordinating the participation of federal officers in national and
international standards work and the sharing of the resultant information;
and
- providing ongoing liaison with other governments and the private sector
where there is a common interest in standards issues.
4.3 The development, approval, implementation and maintenance of Treasury
Board Information and Technology Standards
Government policy promotes developing, distributing and using information and
technology standards to acquire, manage and use information technology
effectively and to protect investments.
Standards are implemented when they meet a government strategic direction or
result in a significant benefit. Whenever appropriate, Treasury Board
Information and Technology Standards are national or international standards.
The government develops new standards only when a need is specific to the
federal government or when the accredited standards writing agency cannot assign
sufficient priority to the proposal. When the decision is made to develop a new
standard independently of an accredited standards writing organization, the
standards developed by institutions such as other governments, NATO, and private
sector organizations are reviewed for relevance and, if appropriate, adapted or
adopted. As standards are approved for the government, institutions should make
this information available to their responsibility centres, as appropriate.
The development of standards is voluntary, and technical content is based on
the consensus of all the involved parties. In standardization practice,
consensus is achieved when substantial agreement is reached by concerned parties
involved in preparing a standard. Consensus includes an attempt to resolve all
objections; it implies much more than the concept of a simple majority, but it
does not necessarily mean there is unanimity.
This section describes a process that is based on consensus. This process
provides not only for developing and approving standards, but also for
implementing them throughout government, for the ongoing maintenance of existing
standards and for evaluating institutional compliance. Institutions participate
in the development of standards by identifying and reporting to the Treasury
Board Secretariat opportunities for standardization and by reviewing and voting
on proposed standards prior to Treasury Board approval.
Institutions are expected to develop plans to achieve full compliance with
Treasury Board standards once they have been approved. Each standard includes an
introductory section which, among other things, defines the application of the
standard and the anticipated length of time for full compliance to be reached
across government. These are based on institutional comments during the approval
process and the advice of the Advisory Committee on Information Management and
other advisory committees.
4.4 The federal government's participation in information and technology
standards activities as a user of information technology
The federal government maintains contact with standards user groups in other
governments and in the private sector to share information and, when
appropriate, to develop common positions on standards and their implementation.
Government policy requires that the activities of officers who represent the
government as a user when participating in information technology standards
activities be planned and coordinated. This will optimize the use of valuable
resources and ensure that information is shared among government information
technology managers.
Institutions should encourage their qualified officials to participate in
developing, implementing and evaluating standards important to them.
Institutions should also advise the Treasury Board Secretariat of personnel with
relevant expertise to participate in government, national or international
standards activities. In addition, institutions whose officers participate in
national or international standards work as representatives of the federal
government are responsible for ensuring that the federal government's position
is developed, coordinated and presented to the standards body according to
directives issued by the Treasury Board.
4.5 Coordination and monitoring of all federal government information
technology standards activities
Government policy requires that the participation and activities of officers
who represent institutions that are responsible for national programs or
policies involving information technology be coordinated. This will ensure that
all institutions with an interest in this work are involved and will keep
government users aware of these activities.
Federal institutions also participate in national and international standards
work within their mandates for national programs or policies. In this role, they
represent a constituency wider than federal government users. An institution
with such a mandate is responsible for selecting its participants and for
developing a position on a standard that is in line with government policy. Such
institutions should advise the Treasury Board Secretariat of their activities so
that government users can be kept up-to-date and provide feedback in return.
They may request the help of the Treasury Board Secretariat in identifying
suitable government experts to participate in standards work. These
participating institutions should inform all other institutions with relevant
national program or policy responsibilities of their activities. In this way,
these other institutions can become involved in the project if their interests
require them to do so.
4.6 The information and technology standards development process
Standards development should be voluntary and cooperative in nature. The
technical content should represent a consensus of the parties involved. This
principle of consensus should apply to government standards as well as to
national and international standards. This imposes a responsibility upon the
organizations that initiate, develop and approve standards. The process within
the federal government for developing, approving, implementing and maintaining
information and technology standards is as follows (see Figure 1).
The main objectives of the process are the approval of government standards
and confirmation that consensus has been reached. This process provides:
- a system to ensure that all interested parties are informed;
- balanced representation in working groups of those interested in the
subject;
- review cycles long enough to permit response; and
- appropriate coordination among the various disciplines within government.
The process consists of five phases.
4.6.1 Initiation
As stated earlier, standards are implemented when they meet a recognized
government strategic direction or will result in a significant benefit.
Standards projects can, therefore, be initiated either as a result of monitoring
national or international work or on the recommendation of any user institution
or common-service organization.
From information received from institutions, from consultation with industry
and from international standardization work, the Treasury Board Secretariat
maintains a government standardization work plan. Wherever feasible, existing
national or international standards are adopted or endorsed as federal
government standards. It may occasionally be necessary to develop standards
independently of accredited agencies, but normally this should happen only when
the need is specific to the federal government, or when an accredited agency
cannot give sufficient priority to the proposal.
Figure 1: The process for developing and approving government
information and technology standards
4.6.2 Development
The Treasury Board Secretariat normally convenes working groups from
institutions and members of appropriate advisory committees to undertake
specific tasks, such as defining requirements for government standards,
assessing the applicability of standards produced by other standards bodies, and
developing new standards. When deemed appropriate, working groups should include
industry representatives or other members from outside government. Working
groups should be dissolved when they have completed their assigned tasks.
To reach consensus, a working group may circulate several versions of a draft
standard to voting institutions for review. The reasons for which institution
have not accepted a draft are then used to develop the next one. After the
merits of the standard have been verified and consensus is reached, the working
group recommends the proposed standard and a general implementation schedule to
the Treasury Board Secretariat for formal approval.
4.6.3 Approval
If necessary, the Treasury Board Secretariat refers the proposed standard to
appropriate government advisory committees. Before Treasury Board approval, the
Advisory Committee on Information Management is asked to review the validity of
the development process and to comment on the impact of the standard and on the
proposed implementation schedule. After this review, the proposed standard is
submitted to the Treasury Board for approval.
4.6.4 Implementation
After the standard and its implementation plan have been approved, the
Treasury Board Secretariat is responsible for overseeing the implementation
plan. Typically, this requires institutions to develop timetables to comply with
the new standard in all of their activities. In some cases, several years may
elapse before equipment is replaced or large systems are converted as part of
the normal maintenance or refurbishing cycle. Institutions are expected to
report their progress towards compliance in their Information Management plans.
Periodically, internal audit groups review their institution's conformity with
Treasury Board standards.
4.6.5 Maintenance
Changes in technology or patterns of use may require changes to an existing
Treasury Board standard. All Treasury Board Information and Technology Standards
are reviewed when necessary, but at least once every five years. The action
taken following this review depends on the use being made of the standard and
the extent of technological change. Generally, the process for changing a
standard is the same as that for developing it. Similarly, standards are
cancelled when they are no longer relevant. When a Treasury Board standard is
changed, it is reissued as an amended Treasury Board information or technology
standard.
4.7 Approved information and technology standards
Chapter 2-1, Appendix C contains a list of the information and
technology standards approved for government use by the Treasury Board. For
specific details concerning these standards and their approved implementation
and application criteria, refer to the Treasury Board Information and Technology
Standard (TBITS) documents contained in the Information Technology Standards
volume of the Treasury Board Manual.
This policy requires common-service organizations and lead agencies in the
information management sector to obtain advice, guidance and feedback from their
clients. Common-service organizations and lead agencies are free to establish
whatever method they feel is most appropriate to achieve effective liaison with
their clients. To assist those in common-service organizations and lead agencies
who may be considering establishing a client liaison process, the following
general guidance is included. This may be adapted to particular circumstances.
Clients can provide the common-service organization or lead agency with
advice and assistance in long-range planning and government-wide coordination.
Good liaison will create feedback at a senior level by providing a forum for:
- exchanging information about the cost and effectiveness of services
received from the common-service organization or lead agency and other
sources;
- discussing major issues and problems affecting information management, and
for suggesting possible courses of action;
- encouraging the evaluation of major information management initiatives in
the government and the evaluation of present coordinating mechanisms in
government; and
- discussing proposals for changes in policy, directives and guidelines
regarding the planning, coordination, acquisition, operation, and evaluation
of information management in government.
6.1 Introduction
The use of information technology over the past few years has become
increasingly pervasive. In the past, a relative handful of technically qualified
and highly trained personnel were actually involved in applying technology. The
introduction of powerful personal computers and the continuing need to increase
both productivity and quality of service to the public mean that this technology
now has the potential to be used as an everyday working tool by virtually all
staff (employees, supervisors and managers) in the Public Service.
The challenge we have is to effectively integrate the skills and potential of
people with the tools provided by technology. The challenge should not be
limited to the technology itself, but should be clearly focused on the people
and their participation in change. We should accept the basic premise that
people, not technology, are the key to increasing productivity and the quality
of service to the public.
6.2 Purpose
In order to increase productivity and the quality of service to the public,
education and training should be viewed as an investment. The obvious need is to
create an environment where consultation and communication at all levels are
viewed as the prime factors of success.
6.3 Scope
All staff (employees, supervisors and managers), whether directly or
indirectly involved, will require varying degrees of education and training.
6.4 Information technology education and training guidelines
In order to clearly establish defined critical training points, the following
three-phase approach should be implemented:
Phase 1 - Pre-implementation
This is the period following the decision to introduce technology and prior
to the actual installation of equipment.
Management should ensure that a total awareness and sensitization program is
implemented that has as its focus the need to:
- provide clear and direct information about the proposed
change - questions regarding the what, why, when, where, and who
should be addressed in detail;
- enhance confidence and motivation;
- foster participation and encourage creativity;
- provide an overview of the change, along with its expected benefits and
possible effects and impact on people and work processes; and
- develop the necessary skills in managing, coaching, and using the
equipment and software.
Phase 2 - Implementation and installation
This refers to the time at which those persons directly and indirectly
affected by the technology are expected to use the system (i.e. after delivery
or installation of the equipment).
Management should ensure that this phase addresses:
- the further development of competence and comfort in working with the new
system;
- the creation of an environment that will encourage feedback from and to
all staff;
- the further enhancement of understanding, knowledge, and skills;
- the need for additional skills training at all levels (managing, working)
when and where needed; and
- the need to help all staff be effective in using the new system by
providing adequate training.
Phase 3 - Post-implementation
This is the time when monitoring the effect of the change upon the
organization from a people and systems point of view is taking place, and
necessary adjustments are made.
Management should ensure that this phase addresses:
- the maintenance of effectiveness and job satisfaction;
- the continuance and enhancement of feedback from and to all staff;
- the need to make necessary adjustments so that skills training for
managers, supervisors and employees continues; and
- the provision of ongoing training support.
7.1 Introduction
In recent years, there has been increasing pressure to improve productivity
in the Public Service as well as in the private sector. The effective use of
technology is certainly one means to this end. Technology, however, has not
always yielded the predicted results. Many studies describe why the results of
technology sometimes fall short of expectations. More often than not, the
problems are related to human factors. The people who use the new tools have
rarely been consulted and there has been little effective strategic planning
that would have assessed the implications on the work force. Training often
consists of hands-on operation with little follow-up or coaching.
The challenge for managers is to achieve the best combination of human skills
and tools provided by technology to realize the full potential of people.
Implementing new technology is more than just installing equipment and software.
It is, above all, an exercise in managing people, in guiding change, and in
reshaping the work environment.
7.2 Purpose
The purpose of this guide is to increase government managers' awareness of
some of the people issues that should be considered at the planning stage in
order to realize the full potential benefits of information technology.
7.3 Planning for technological change
Experience has shown that information technology can improve productivity if
its introduction has been carefully planned. Within the federal Public Service,
planning strategies should concentrate primarily on:
- the mission and goals of the government and of the institution;
- the objectives of the change, organizational values and specific work
environment; and
- the resources required to accomplish the task effectively.
Moreover, the planning process should take place in the broader context of
the government legislative framework, policies, regulations and existing
collective agreements. Managers should be familiar with all pertinent provisions
in collective agreements relating to technological change. The participation of
employees and their representatives in the consultation process will greatly
facilitate the effective introduction of information technology in the
workplace.
Since planning is a dynamic process, it should be based broadly enough to
take into account some of the government-wide priorities such as improvement in
the quality and level of service to clients, employee satisfaction and
motivation, official languages, employment equity, human rights and
revitalization of the Public Service. The challenge for managers at the planning
stage is to integrate the technology factor with the people factor. When these
two factors interact harmoniously, the result is a better motivated work force
and a more effective and productive organization.
The approach used in this guide is based on a practical strategic planning
model that incorporates human-resource issues at each stage. A complementary
approach to implementing new technology at the project-planning stage is
described in Changing Technologies: Human Resource Management Considerations,
a 1984 Treasury Board Secretariat publication. Although the strategic- and
project-planning approaches focus on information technology management, both
models are generic and can be applied to any workplace where change is a major
factor. The strategic planning process outlined in this guide, and illustrated
in Figure 1, calls for these questions to be addressed:
- where are we now? (assessing the situation);
- where do we want to go? (setting strategic objectives);
- how do we get there? (developing a strategy);
- how do we make it happen? (formulating the plan);
- how do we put the plan into action? (implementing the plan); and
- are we doing the right things? (measuring progress against the plan).
7.4 Stage 1 - Where are we now? (Assessing the situation)
The response to the question, "Where are we now?" involves a
thoughtful assessment of the situation in which the institution currently finds
itself. This is the logical point of departure in the planning process, and the
following questions should be asked:
- what are the institution's missions and goals?
what are the organization's strengths and weaknesses?
what opportunities does the change offer and what risks are involved?
Figure 1: Strategic planning model to address the issues affecting
people when there is technological change
- how does the proposed change correspond to institutional objectives and
strategies, and is the change reasonably achievable?
- are management, employees and union representatives ready to endorse the
change?
- to what extent will the change affect people, jobs and work relationships?
- is the organization ready for change? and
- who are the beneficiaries and who stands to lose as a result of the
change?
Managing change effectively may require challenging existing values, as well
as the culture within the organization. It should, therefore, involve careful
consideration of the social, institutional and technical aspects of change to
optimize the effectiveness of the change itself.
7.4.1 Management considerations
Change always has an impact on people. The effects differ according to such
factors as age, education, experience and readiness. Managing change effectively
goes beyond acquiring new skills and knowledge; it depends on recognizing
individual employee needs, including official language considerations.
Institutional policies may need to be reviewed and some of them changed.
Institutional policies should provide clear statements of intent. They are
essential to setting objectives, making decisions and taking action. They should
be so structured and worded as to reduce confusion and uncertainty among staff
who are affected by the change. They should also act as catalysts for developing
innovative ways of meeting goals and objectives.
7.5 Stage 2 - Where do we want to go? (Setting the strategic
objectives)
Projects involving the introduction of new technologies often fail or fall
short of expectations because they lack focus, are not part of an overall,
well-defined strategy and lack any real involvement of the people affected. It
is important, therefore, to take into consideration the long-term goals of
improved institutional effectiveness and service to the public, as well as the
continuing objective of enhanced employee satisfaction. Without a strategy to
unify these factors, the process may become fragmented and ineffective. Managers
should, at this stage, set objectives that will answer the following:
- in what direction should the institution move to ensure that project
objectives are consistent with major long-term operational goals?
- how can the change be managed to ensure that it remains consistent with
and relevant to the strategic objectives of the institution?
- how can new technology be used to realize these objectives?
- how long will the current institutional goals remain relevant? and
- what kind of investment should we make in new technology?
7.5.1 Management considerations
Establish what will be done about the people affected. Ensure that training,
retraining, job and organization redesign will be considered as priorities, and
that information will be available about the nature of the change.
Well-informed, involved employees feel more secure, are better motivated and
more open to change than those who are uninformed. Performance also improves as
employees realize the potential of a new and challenging work environment for
which they have been well prepared.
Integrate the strategic objectives with current realities; for example, where
employees need new skills to operate the technology involved, training is
essential. There may also be a need to redesign jobs and relationships to create
a more effective organization.
Develop a training and retraining strategy, but recognize that training alone
will not bring about all the solutions to achieving organizational change.
Training is costly, labour-intensive, time-consuming and can be disruptive to
the operation. Nevertheless, training is also an investment. Its results often
determine where people will best fit into a renewed organization and how their
individual potential can best be developed.
7.6 Stage 3 - How do we get there? (Developing a strategy)
The major aspects of change should, at this stage, be reduced to workable
components that are easily understood and accepted. These components should be
small, manageable and specific, and should demonstrate short-term results. Once
the direction is set, it also becomes easier to assign priorities and resources.
Action plans will emerge from this process, together with performance indicators
and expected results. Questions at this stage might include:
- how can we ensure that the objectives are easily converted into
activities, performance targets and planned completion dates?
- what communications plan do we require to allow employees to understand
and participate in the change process? Who will be responsible for it? Is a
policy decision needed?
- are there appropriate consultative groups in place?
- does the organization have effective ways and means of getting employee
input? and
- who are the responsible managers, consultants, stakeholders and
beneficiaries important to the project? What will their respective roles be?
7.6.1 Management consider
An incremental approach to implementation will allow policies and procedures
to be developed and adjusted gradually for the users. Change ought to be
carefully considered and gradual, giving people as much time as possible to
adapt.
A well-designed office environment in which people can make the best use of
equipment and facilities in performing their duties will ease the transition
from the old to the new work environment. Equipment design, furniture heights,
levels of artificial lighting, ventilation, temperature, natural lighting,
acoustics and privacy should be accorded particular attention. Employee
performance also depends on a sense of well-being and comfort in the workplace.
For example, any task that requires employees to remain in the same position for
long periods of time will generate stress and physical strain that, in turn,
will adversely affect productivity.
Provide employees with equipment and systems that accommodate their language
of choice. This will also contribute to effective employee performance.
7.7 Stage 4 - How do we make it happen? (Formulating the plan)
To be successful, the strategic plan should become a road-map where reference
points, milestones and general directions taken by the planners will be
communicated to people. These people will, in turn, have or be given
opportunities to influence decisions. Questions at this stage become even more
practical and are usually based on short-term expectations.
- what is the best way to include people in teams organized to solve
problems? Who will be included?
- how can effective team leadership be created?
- how can training programs be used to prepare employees for the change?
Management cons
The human-resource management plan should take into account all changes that
will affect employees collectively and individually, notably:
- technical requirements;
- new job content - changes in attitudes and work relations;
- new skills and knowledge requirements (including language requirements);
- social needs; and
- any additional requirements that may create problems for the organization
as it adapts to new techniques and ways of doing work.
It is essential to anticipate the effects of innovation on individual workers
and to understand that individuals will have to develop new skills to adapt to
change. A sound human-resource plan permits resources to be redeployed to
anticipate any work-force or other difficulties well in advance of
implementation.
Constant communication should be maintained with unions, service users and
other agencies. Feedback mechanisms should be established to provide advice,
information and support. The workplace should function in a climate of mutual
trust, respect and loyalty. It is the responsibility of managers to create a
climate of openness among all participants.
Employees and their representatives should be involved in the innovation
process. Employees tend to be more committed to decisions in which they have
participated. When staff are offered the opportunity to respond, to understand
and cooperate, bad feelings, problems, grievances and disputes are less likely
to arise. Allowing employees to participate in decision-making also provides a
systematic way to tap their experience and expertise. Failing to consult with
employees creates communication problems, increases anxiety, intensifies
frustrations and ultimately lowers employees' acceptance of change.
Training and education programs should be carefully planned. As the new work
requirements become more specific, employees requiring training and their
training needs should be identified. It is important to provide this training in
the employee's choice of official language. Well-prepared, informed employees
accept change more readily than uninformed employees. Training also reduces
stress, supplements employees' qualifications, and encourages staff to become
more versatile and useful to the employer and more confident in themselves.
Ensure that training budgets and plans are respected. Although training is
usually planned for, the costs are often underestimated. If budget cuts have to
be made, it is preferable to consider phasing in the systems over a longer
period rather than reducing training. We should not trade off equipment for
training.
7.8 Stage 5 - How do we put the plan into action? (Implementing
the plan)
As noted earlier, the implementation of technological change should provide
opportunities for organizational renewal, individual job enrichment and personal
growth for those involved. Highly motivated people, challenged by change, can
accomplish results beyond anyone's initial expectations. In particular,
individuals cooperating as a team can collectively generate superior results.
Whether the earlier objectives, strategies and operational plans were
well-conceived will inevitably show up in the implementation stage in response
to the following questions:
- can supporting systems, procedures, project controls and reviews be
successfully incorporated into the change process?
- have the major training and development needs and requirements been met?
- do we have the financial and human resources needed for successful
implementation?
- can senior staff provide sufficient informed leadership and management?
- how can people communicate their accomplishments and help to correct
problems? and
- have the implementation milestones been identified and the reporting
responsibilities been redefined?
The Treasury Board publication, Changing Technologies: Human Resource
Management Considerations, will be most helpful at this stage. It can be used by
managers as a checklist of key human-resource management issues they may want to
consider in the change process.
7.8.1 Management considerations
Identify and redesign jobs that are affected; assist people in anticipating
change that will almost certainly affect their career development plans. People
prepared for change are more amenable to it. They are less apprehensive about
how it will influence their lives.
Help design new work arrangements to accommodate the new technology.
Part-time work and job sharing, as employment options, may reduce costs, permit
flexibility in job scheduling, meet individual employee's needs and satisfy new
management priorities.
Develop and provide sustained training at every step of implementation. Part
of what people learn is often lost if training is given too early or too late.
Furthermore, people can only absorb a given quantity of knowledge at any one
time.
Train motivated or key end-users first. They usually become steadfast
advocates of the change and effective leaders in the change process.
Integrate new management and supervisory practices such as employee
participation. Employees should cooperate to combine new skills and knowledge
and to teach each other.
7.9 Stage 6 - Are we doing the right things? (Measuring progress
against the plan)
Throughout the implementation phase, progress should be monitored and
compared with expected results, and corrective action taken as required.
Progress should be assessed by comparing measurable indicators of performance
against established targets.
At this stage, it is vitally important that managers be well-informed of the
findings in order to effectively implement recommended corrective measures.
Subsequently, results would again be evaluated and further corrective action
taken, if necessary, until all functions are working smoothly.
Again, participation and involvement of employees will pay dividends. Highly
motivated, enthusiastic people with focused objectives can solve problems
creatively with minimal intervention. Uninformed employees, on the other hand,
can create crises and cause constant difficulties. It is clearly the manager's
responsibility to correct any deviation from the basic objectives by responding
to such critical questions as:
- what criteria are required to assess overall quality and productivity
improvement?
- have assessment, evaluation and audit activities been properly identified
and defined?
- to what extent has change been effectively achieved? and
- what interventions are needed to correct deficiencies?
7.9.1 Management considerations
Build results of the implementation review into an action plan to maintain
the new activities in an operational environment. This ensures a smooth
transition of responsibility from those who plan and implement the project to
those involved in managing it on an ongoing basis.
Review objectives and set measurable targets and indicators to ensure that
people are functioning productively in the new work for which they have been
trained.
Communicate results of assessment and evaluation reviews to those involved.
This will provide opportunities for people to make their own adjustments and to
contribute to further improvements in work methods.
Ensure that training is kept as an ongoing priority.
8.1 Background
Inexpensive, yet increasingly powerful, multi-functional office-support
systems with a wide choice of software products that can be used quickly and
easily by novice users are being promoted by vendors as the answer to many
problems faced by managers. In spite of their affordability and ease of use,
their acceptance has resulted in two major concerns. Firstly, they are
proliferating rapidly and, if order and control are absent, major problems
requiring expensive solutions can develop. Secondly, the impact of these systems
on the organization can be enormous.
8.2 General principles
All office-support systems, including personal computers, word-processing
systems or terminals, fall within the purview of the Treasury Board Management
of Information Technology policy. The various constituent elements of
office-support systems are to be considered within the perspective of overall
institutional use and management of information technology. Acquiring and
managing information technology continues to be delegated to institutions.
8.3 Potential benefits
Office-support systems provide important benefits to any organization because
of:
- the relatively low cost of an office-support system that can usually be
justified by a single application;
- limited risk associated with experimentation and imaginative use of the
equipment, provided that the success of such projects is reviewed after a
fixed period;
- the ease of installation and use; no special physical environment is
necessary;
- the ready availability of hardware and a wide variety of software, which
eliminates the long lead times associated with larger scale systems;
- the capability to act as a terminal to corporate mainframes and
minicomputers as well as outside databases; and
- the fact that office-support systems can be used for specialized and
ad-hoc requirements, thus allowing central computing power to be used more
consistently for corporate applications.
8.4 The need for institutional action
The relatively low cost of office-support systems has been used to argue that
such acquisitions should be free of controls of any kind. While that approach
might be defensible on a small scale, experience has shown that this view
ignores a number of important considerations.
8.4.1 The true cost of office-support systems
The initial cost of an office-support system is only a small part of its
ultimate true cost to the institution. Additional expenses have been found, by
experience, to be from two to six times the initial cost of the hardware.
These expenses include training (including the cost of employee time while on
training), additional software, additional peripherals, additional furniture and
office space, charges for access to public databases, work to provide the
appropriate telecommunications infrastructure, work in the institutional data
centre to make data accessible to office-support system users, the provision of
advisory services, arrangements for back-ups, maintenance, and additional costs
for subsequent physical moves.
Compatibility and the capability of integrating systems into larger networks
are important considerations that should be dealt with early in the planning
stages. This is necessary to ensure that the equipment will be utilized to its
full potential and to avoid redundant capital investment as institutional
requirements change.
The government's long-term strategies of having interconnecting open systems
and portable applications should be considered, and compliance with approved
government standards is required in applicable procurements. Where existing
investments in proprietary architectures are significant, institutions should
develop plans that permit them to use conforming items as soon as possible.
8.4.2 Concerns regarding the security and integrity of information
As with conventional paper records, information stored on computer media
should be carefully indexed, filed, and protected. It is important that the
reliability, integrity and security of data stored in office-support systems be
maintained. This is particularly true for information that is input directly
into these systems and not stored in non-electronic form. The policies and
practices that have been developed in this area by the institutional information
technology centres need to be adapted and applied in the context of
office-support systems. Guidance on this subject is also available from National
Archives of Canada and security offices.
Corporate information needs can be compromised by the improper use of
office-support systems for end-user computing. If managers can satisfy their own
personal requirements with an office-support system, they may give only
secondary attention to institution-wide systems, thus inadvertently undermining
the need for information at the institutional executive level. The requirements
of the Management of Government Information Holdings policy and the government
Security policy are to be applied to office-support systems.
8.4.3 Providing continuity
The need for adequate documentation of operational systems that are developed
and run on office-support systems is often not recognized; as a result, the
continuity of the function is seriously threatened when the originators of the
system leave the organization.
8.4.4 The impact on employees and the organization
Managers should consider the effects of introducing office-support systems
into an office so that anticipated benefits are not cancelled out by unforeseen
problems. The impact of office-support systems on employees' work habits,
quality of work and job functions, on the organization, and also the potential
for job displacement or job change all need to be considered before
office-support systems are acquired. It is important that employees are fully
informed and participate, as appropriate, so that fears based on misinformation
do not develop. For additional guidance on this topic, refer to sections 6
and 7.
8.4.5 The need to provide training
Although a good case can be made for controlled experimentation, there is
also a risk of inexperienced users in many areas duplicating the efforts of
others and re-inventing the wheel. Inexperienced users tend to overestimate the
expected benefits. At the same time, they underestimate the effort required to
enter large amounts of data into a system and the amount of training required to
be able to perform effective data retrieval and to generate reports. It is not
uncommon for disillusioned users who do not receive adequate support to give up
trying to use their office-support systems after a few months of frustration.
Refer to sections 6 and 7 for additional guidance on this subject.
8.4.6 Institutional policies
Institutions should include reference to office-support systems in their
information technology policies. While each institution will wish to address its
specific concerns and reflect its own management philosophies in formulating its
office-support system policy, institutions may find the following guidelines
useful.
8.4.7 Inventories and acquisition
Institutions should maintain an inventory of the various elements (e.g.
hardware, software, and networks) of their office-support systems as part of
their overall computer inventory. Office-support system equipment and software
should be defined as an institutional resource.
To reduce acquisition costs, institutions should purchase office-support
system equipment and software from national master standing offers or should
establish their own individual standing offers.
8.4.8 Support for Canadian industry
In meeting their specific needs, institutions should address their
requirements for office-support systems in generic terms, as much as possible,
to encourage the consideration of office-support system products that maximize
benefits to Canadian industry.
8.4.9 Justification of the acquisitions
Institutions should ensure that, depending upon the type of acquisition (e.g.
pilot project or system implementation), an appropriate business-case analysis
that addresses such aspects as the cost-benefit, compatibility with other
equipment, productivity pay-backs and impacts is carried out before
office-support systems are acquired. In particular, the acquisition should be
explicitly linked to the institution's Information Management Plan. Institutions
should also ensure that the extent of these studies is reasonable for the
expenditure involved, keeping in mind that the ultimate cost may be two to
six times the initial investment, that the acquisition may be only the
first of several for that office and that the acquisition should be supportive
of institutional productivity-enhancement programs and operational plans.
8.4.10 End-user programming
Institutions should prepare guidelines for users on the expected level of
end-user programming. It is not generally cost-effective for users to devote
extensive time to programming their applications. Professional programmers
should be responsible for such programming, while users employ the
office-support system as a tool to assist them in their function. The use of
commonly available software packages should be encouraged and the duplication of
software development should be minimized. Turnkey (i.e. ready-to-use)
application software should be supplied to non-expert users whenever possible.
8.4.11 Documentation of operational systems
Institutional standards should stipulate the documentation that is required
for continuing operational uses of office-support systems to ensure data
security, data integrity and continuity of use of the application if trained
personnel leave.
8.4.12 Standards for interconnection and portability of applications
The benefit of office-support systems is generally much greater when these
are networked together. When appropriate, institutions should adopt standards
for interconnecting open systems and portable applications between
office-support systems, networks (public and private) and the institution's
central databases and systems to ensure mutual compatibility. Although
office-support systems may be purchased as stand-alone units, all such
acquisitions should conform to these standards (i.e. the question of
interconnection and portability should be examined), not just those that have
been initially identified as being linked together. Guidance in this area is
available from the Government Information and Technology Standards Program.
8.4.13 Security
Institutions should ensure that adequate security provisions are put into
place and maintained for all micro-based applications for both equipment and
data. These provisions should recognize that there is likely a lack of knowledge
and expertise in this type of security in user areas. Advice should be sought
from the institution's security officer.
In particular, institutions should advise computer users on practices and
procedures to protect their systems and data from computer viruses. Computer
viruses are malicious programs which can attach to other programs or data and
propagate copies of themselves. These copies then infect other programs or data
and, after some predetermined event, execute their malicious code. To guard
against damage from viruses, institutions should ensure that virus scanning
programs are widely available and distributed to users. These programs are
inexpensive and available off-the-shelf. In addition, users should:
(a) avoid practices that allow viruses to spread such as:
- introducing programs or data from questionable sources such as computer
billboards (suspicious items should be tested on a dual floppy machine
without a hard disk);
- trying problem programs on other machines to see if errors repeat; or
- transferring files from other computers (a home computer, for example)
that are not as well safeguarded as their computers at work;
(b) be alert to any suspicious happening on their computer such as unexpected
disk activity, files that change in size for no reason, or any unexplained
errors; and
(c) immediately quarantine any computer suspected of having been infected by
a virus until it has been checked and cleared by an expert (refer to the
institution's security officer).
8.4.14 Priority given to productivity improvement projects
Institutional procedures should give priority to proposed acquisitions that
promise definite productivity improvements in terms of reduced resources,
measurable improvements in approved service levels, or offsets to justifiable
future resource requirements. Subsequent reviews of implementation should
ascertain that these improvements were achieved or should identify the reasons
why they were not achieved. These experiences should be fed back into the
institution's planning and approval process, including budgetary incentives or
constraints, as required.
8.4.15 Transfer of knowledge among employees
Institutions should develop procedures to allow knowledge of office-support
systems and software products gained by employees to be transferred to other
employees. Where size warrants, institutions may find it appropriate to set up a
small office-support system advisory or training group to provide this function;
otherwise, an expert user should be appointed as a coordinator. Other
institutions may contact the Management of Information Technology, Office of
Information Management, Systems and Technology, Treasury Board Secretariat,
which will assist in locating sources of expertise. To facilitate the training
and sharing of expertise, institutions may wish to standardize or restrict the
range of office-support system products that may be acquired, and may wish to
establish Information centres.
8.4.16 Involvement of information management common-service organizations
Information management common-service organizations have acquired
considerable expertise in many areas common to both large computers and
office-support systems such as telecommunications, electronic mail, data and
records management, security, software, standards and documentation. This
expertise should be used to solve office-support system issues. In particular,
they have the knowledge to consider alternatives that can achieve cost savings
and operational benefits, and minimize risks of failure.
8.4.17 Management of risk
In developing policies and in establishing institutional standards and
procedures, institutions should recognize that office-support systems represent
a new, rapidly evolving technology. It is important to provide an environment
that encourages creativity, where some experimentation can be fostered. However,
to counter the risks implicit in this approach, institutions should maintain an
overall perspective of the implementation of various office-support systems that
are under way. These should be reviewed periodically so that the equipment from
unsuccessful projects can be recycled, and an overall direction may evolve and
be developed.
8.4.18 Software copyrights
The institution's office-support system policy should contain specific
directives to respect the copyright on computer software, specifically by
prohibiting illegal copying of software. To reduce the cost of individual
purchases of copies of the same software package, and thereby discourage illegal
copying, institutions should try to negotiate site licences or discounted bulk
purchases.
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