Draft Classification Model MANAGEMENT OF INFORMATION TECHNOLOGY FUNCTION This model records classification structure addresses the Management of Information Technology function, the steps in the business process developed to fulfill the function (i.e., sub-functions), the activities associated with each of these sub-functions and the transactions of administrative business concerning the management of IT within the federal government as commonly conducted in and across all government institutions to facilitate the delivery of programmes and services. The four sub-functions of the Management of IT business process listed in order of a life-cycle concept of managing IT are: Management of Information Technology Plan Management of Information Technology Develop, Deploy, Dispose Management of Information Technology Support Management of Information Technology Measure, Evaluate As a business process, these sub-functions are arranged in the following sequence: Plan Measure, Evaluate Develop, Deploy, Dispose Support 6 February 2006 Page 1
MANAGEMENT OF INFORMATION TECHNOLOGY FUNCTION PRIMARY NUMBERS AND SUB-FUNCTIONS X.0 Management of Information Technology Comprehensive Matters X.1 Management of Information Technology Plan X.2 Management of Information Technology Develop, Deploy, Dispose X.3 Management of Information Technology Support X.4 Management of Information Technology Measure, Evaluate Note: the numeric coding system presented in this draft model classification structure is used for example purposes only. As of the date of this model, LAC has made no final decisions regarding the application of a standard coding system (including delimiters) to complement classification structures for common administrative records. 6 February 2006 Page 2
X.0 MANAGEMENT OF INFORMATION TECHNOLOGY COMPREHENSIVE MATTERS The Management of Information Technology Comprehensive Matters record grouping is reserved for records of activities and transactions that relate to, or affect, in a comprehensive manner, the Management of Information Technology function or the business process developed to fulfil that function (i.e., this record grouping is reserved for records of activities and transactions that relate to or affect all or most sub-functions of the Management of IT business process). Examples of such activities and/or transactions are: developing, applying, monitoring and/or evaluating policies, guidelines, systems, procedures, etc., that address or encompass all or most aspects of the Management of Information Technology function and/or business process (examples of record types include draft and approved policies, guidelines, procedures, and draft and final requirements definitions for comprehensive IT learning programs 1 ); group activities and initiatives (e.g., those of committees, project teams, delegations, etc.) that focus on all or most aspects of the Management of Information Technology function and/or business process (examples of record types include committee and/or work group meeting agenda and minutes, records of decisions, issue logs); liaison activities that address or encompass all or most aspects of the Management of Information Technology function and/or business process (examples of record types include documents of inter-organizational information sessions and/or collaborative initiatives); reporting activities that address or encompass all or most aspects of the Management of Information Technology function and/or business process (examples of record types include draft and final reports addressing the overall Management of Information Technology function and/or business process). 1 Note: for records of activities relating to the delivery of learning programs, see the model records classification structure developed for the Human Resources Management function. Note: Records of activities and/or transactions that related to specific subfunctions of the Management of Information Technology business process (i.e., planning; developing, deploying and disposing; supporting; measuring and evaluating) should be classified to those sections of this classification scheme. Records that simultaneously address two or more, but not all, sub-functions of the business process should be classified to one of those sub-functions and the existence of these records should be noted in the descriptions of the related sub-function, activity, and/or transaction records groupings or, if appropriate, in 6 February 2006 Page 3
the profiles of related individual documents (as a metadata cross-reference element). See next page for examples of information groupings. 6 February 2006 Page 4
Example information groupings for: Management of Information Technology Comprehensive Matters X.0-0 Management of Information Technology Comprehensive Matters Policy Matters (reserved for records related to developing, applying, monitoring and or/ evaluating policies that simultaneously address all or most sub-functions of the Management of Information Technology) X.0-1 Management of Information Technology Comprehensive Matters General Matters (reserved for records related to the Management of Information Technology Comprehensive Matters record grouping but for which no specific file or file groups has been created) X.0-2 Management of Information Technology Comprehensive Matters [Department/Sector/Branch] Management of IT Committee (reserved for records related to the deliberations of the [department/sector/branch] Management of IT Committee) X.0-3 Management of Information Technology Comprehensive Matters Liaison Activities (reserved for records related to internal or external relations on a spectrum of issues and/or initiatives that encompass more than one specific sub-function of Management of Information Technology) X.0-4 Management of Information Technology Comprehensive Matters Reporting Activities (reserved for records related to the activity of reporting to management on department/sector/branch information technology management matters of a comprehensive nature) 6 February 2006 Page 5
X.1 MANAGEMENT OF INFORMATION TECHNOLOGY PLAN The Management of Information Technology Plan sub function record grouping is reserved for records of activities and transactions that relate or affect, in a specific manner, determining how information technology will be used to achieve goals and objectives. Activities associated with the Management of Information Technology Plan sub-function may have a sequential relationship as follows: Define Assess Report Cost Management of Information Technology Plan entails the activities of: defining current and future information technology business requirements (including business continuity requirements) against mandated goals and objectives; assessing the feasibility, capability, architecture, policies, standards and priorities (i.e., determining what is achievable using available information technology resources); costing and forecasting all aspects of defined and assessed requirements (i.e., determining what level of information technology resources is needed); and reporting to the appropriate authorities the results of planning exercises for the IT business plan, strategic plan, operational agreements, project charters, businesses cases, MOUs, and service level agreements. See next page for examples of information groupings. 6 February 2006 Page 6
Example information groupings for: Management of Information Technology Plan X.1-0 Management of Information Technology Plan Policy Matters (reserved for records related to developing, applying, monitoring, and/or evaluating policies that address the planning sub-function of Management of Information Technology) X.1-1 Management of Information Technology Plan General Matters (reserved for records related to the Management of Information Technology Plan sub-function record grouping but for which no specific file or file grouping has been created) X.1-2 Management of Information Technology Plan Government Planning Process (reserved for records related to the Government of Canada and institution-specific planning processes that have management of information technology planning implications) X.1-3 Management of Information Technology Plan IT Planning Committee (reserved for records related to the deliberations of a [departmental/sector/branch] management of information technology planning committee) X.1-4 Management of Information Technology Plan Define (reserved for records related to the activity of defining information technology requirements including strategy and risk assessments and business continuity planning) X.1-5 Management of Information Technology Plan Assess (reserved for records that relate to the activity of prioritizing and assessing the feasibility of implementing the defined requirements as well as records relating to the capacity, capability, architecture, policies and standards necessary for the successful implementation of information technology projects) continued next page 6 February 2006 Page 7
Example information groupings for: Management of Information Technology Plan, continued X.1-6 Management of Information Technology Plan Cost (reserved for records related to the activity of estimating the costs of information technology projects through such activities as forecasting and budgeting) X.1-7 Management of Information Technology Plan Report (reserved for records related to the activity of reporting to management on such planning exercises as the IT business plan, the IT strategic plan, operational agreements, project charters, businesses cases, MOUs and service level agreements) 6 February 2006 Page 8
MANAGEMENT OF INFORMATION TECHNOLOGY DEVELOP, DEPLOY, DISPOSE The Management of Information Technology Develop, Deploy, Dispose sub function record grouping is reserved for records of activities and transactions that relate to, or affect in a specific manner, the process of developing, deploying and/or disposing of information technology to achieve mandated goals and objectives. Activities associated with the Management of Information Technology Develop, Deploy, Dispose sub-function may have a sequential relationship as follows: Manage Change Design Manage Configuration Manage Release Management of Information Technology Develop, Deploy, Dispose entails the activities of: managing change to ensure the organization uses standard methods and procedures for handling all production environment changes in order to minimize the impact of change related problems on service delivery; designing the release; managing releases to allow validation of a functional version of component, service function or end to end state; and managing configuration to centrally register, track and report on each IT infrastructure component under configuration control. See next page for examples of information groupings. 6 February 2006 Page 9
Example information groupings for: Management of Information Technology Develop, Deploy, Dispose X.2-0 Management of Information Technology Develop, Deploy, Dispose Policy Matters (reserved for records related to developing, applying, monitoring, and/or evaluating policies that address the development, deployment, disposal sub-function of Management of Information Technology) X.2-1 Management of Information Technology Develop, Deploy, Dispose General Matters (reserved for records related to the Management of Information Technology Develop, Deploy, Dispose sub-function record grouping but for which no specific file or file grouping has been created) X.2-2 Management of Information Technology Develop, Deploy, Dispose Government Process (reserved for records related to the Government of Canada and institution-specific development, deployment and/or disposal processes that have Management of Information Technology implications) X.2-3 Management of Information Technology Develop, Deploy, Dispose Committee (reserved for records related to the deliberations of a [departmental/sector/branch] management of information technology development, deployment, disposal committee) X.2-4 Management of Information Technology Develop, Deploy, Dispose Manage Change (reserved for records related to the activity of managing change to ensure the organization uses standard methods and procedures for handling all production environment changes in order to minimize the impact of change related problems on service delivery) continued next page 6 February 2006 Page 10
Example information groupings for: Management of Information Technology Develop, Deploy, Dispose, continued X.2-5 Management of Information Technology Develop, Deploy, Dispose Design (reserved for records that relate to release design, build or buy options) X.2-6 Management of Information Technology Develop, Deploy, Dispose Manage Release (reserved for records related to the activity of validating a functional version of component, service function or end-to-end state) X.2-7 Management of Information Technology Develop, Deploy, Dispose Manage Configuration (reserved for records related to the activity of centrally registering, tracking and reporting on each IT infrastructure component or configuration item under configuration control) 6 February 2006 Page 11
MANAGEMENT OF INFORMATION TECHNOLOGY SUPPORT The Management of Information Technology Support sub function record grouping is reserved for records of activities and transactions that relate or affect in a specific manner in determining how the support of service levels and operations for information technology will be used to achieve goals and objectives. Activities associated with the Management of Information Technology Support sub-function may have a sequential relationship as follows: Operate Anticipate Management of Information Technology Support entails the activities of: operating the information technology service in a reactive manner, including providing help desk support, systems and applications maintenance, providing preventative maintenance, and managing incidents to ensure service availability and minimise service disruption; and anticipating operational needs in a proactive manner by, for example, addressing root causes of incidents or by continuously defining, tracking and controlling service capacities to confirm that service workloads are positioned to meet changing business requirements. See next page for examples of information groupings. 6 February 2006 Page 12
Example information groupings for: Management of Information Technology Support X.3-0 Management of Information Technology Support Policy Matters (reserved for records related to developing, applying, monitoring, and/or evaluating policies that address the support sub-function of Management of Information Technology) X.3-1 Management of Information Technology Support General Matters (reserved for records related to the Management of Information Technology Support sub-function record grouping but for which no specific file or file grouping has been created) X.3-2 Management of Information Technology Support Government Process (reserved for records related to the Government of Canada and institution-specific service support processes that have management of information technology implications) X.3-3 Management of Information Technology Support Committee (reserved for records related to the deliberations of a [departmental/sector/branch] management of information technology support committee) X.3-4 Management of Information Technology Support Operate (reserved for records related to the activity of managing service support in a reactive manner, including providing help desk support, systems and applications maintenance as well as providing preventative maintenance, and managing incidents to ensure service availability and to minimise service disruption) X.3-5 Management of Information Technology Support Anticipate (reserved for records related to anticipating operational needs in a proactive manner by, for example, addressing root causes of incidents or by continuously defining, tracking and controlling service capacities to confirm that service workloads are positioned to meet changing business requirements) 6 February 2006 Page 13
MANAGEMENT OF INFORMATION TECHNOLOGY MEASURE AND EVALUATE The Management of Information Technology Measure, Evaluate sub function record grouping is reserved for records of activities and transactions that relate to or affect in a specific manner how well information technology and the departmental IT infrastructure are contributing to the achievement of mandated goals and objectives. Activities associated with the Management of Information Technology Measure, Evaluate sub-function may have a sequential relationship as follows: Monitor Report Assess Management of Information Technology Measure, Evaluate entails the activities of: monitoring and collecting systems and usage data for the purpose of measuring performance against mandated goals and objectives; assessing performance and quality of service against mandated goals and objectives, identifying gaps and developing appropriate responses; and making summary reports and recommendations to the appropriate authorities and providing input to departmental and/or enterprise performance reporting. See next page for examples of information groupings. 6 February 2006 Page 14
Example information groupings for: Management of Information Technology Measure, Evaluate X.4-0 Management of Information Technology Measure, Evaluate Policy Matters (reserved for records related to developing, applying, monitoring, and/or evaluating policies that address the measure, evaluate sub-function of Management of Information Technology) X.4-1 Management of Information Technology Measure, Evaluate General Matters (reserved for records related to the Management of Information Technology Measure, Evaluate sub-function record grouping but for which no specific file or file grouping has been created) X.4-2 Management of Information Technology Measure, Evaluate Government Process (reserved for records related to the Government of Canada and institution-specific measurement and evaluation processes that have management of information technology implications) X.4-3 Management of Information Technology Measure, Evaluate Committee (reserved for records related to the deliberations of a [departmental/sector/branch] management of information technology measurement / evaluation committee) X.4-4 Management of Information Technology Measure, Evaluate Monitor (reserved for records related to the activity of monitoring and collecting systems and usage data for the purpose of measuring performance against mandated goals and objectives) X.4-5 Management of Information Technology Measure, Evaluate Assess (reserved for records that relate to the activity of assessing the performance and quality of service against mandated goals and objectives, identifying gaps and developing appropriate responses) continued next page 6 February 2006 Page 15
Example information groupings for: Management of Information Technology Measure, Evaluate, continued X.4-6 Management of Information Technology Measure, Evaluate Report (reserved for records related to making summary reports and recommendations to the appropriate authorities and providing input to departmental and/or enterprise performance reporting) 6 February 2006 Page 16