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BASCS Guidance

Management of an Information Management Function Model

Introduction

This section covers the Management of an Information Management Function, sub-functions, processes, activities, and transactions of common administrative business, commonly conducted in and across all government institutions to facilitate the delivery of programmes and services.

Links to relevant Management of an Information Management policies and legislation

The Management of an Information Management function has been modeled according to specific policies, legislations or documents related to Management of an Information Management within the Government of Canada, in addition to a number of common laws, policies and publications that relate to all common administrative functions addressed within this BASCS Guide.

Common legislation:

Common Treasury Board Secretariat policies and publications:

A search for other links to policies that may relate to the Management of an Information Management function can be undertaken by accessing the Treasury Board website, while links to related legislation can be further researched on the Justice Canada website.

Management of an Information Management Function Business Process Model

According to our research and consultation process, we have identified a number of sequential sub-functions within the Management of an Information management business process model. These sub-functions, shown in black text in the diagram below, provide a foundation for BASCS classifications related to the Management of an Information management function.

Image 1


Management of an Information Sub-function Business Process Model

A number of sequential activities in each sub-function management were identified for the Management of an Information process. These activities, shown in black text in the diagram below, provide the next level of BASCS classifications related to the Management of an Information management function.

Image 2

Management of an Information Management Function Draft Classification Model

This model records classification structure addresses the management of a function for managing information, the steps in the business process developed to fulfill the function (i.e., sub-functions), and some examples of the activities associated with each of these sub-functions - 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 IM business process listed in order of a life-cycle concept of managing an IM function are:

Management of IM - Plan
Management of IM - Develop an IM Infrastructure
Management of IM - Provide IM Services
Management of IM - Evaluate the IM Function

As a business process, these sub-functions are arranged in the following sequence:

Image 3

MANAGEMENT OF AN IM FUNCTION

PRIMARY NUMBERS AND SUB-FUNCTIONS

X.0 Management of IM - Comprehensive Matters

X.1 Management of IM - Plan

X.2 Management of IM - Develop (an IM infrastructure)

X.3 Management of IM - Provide (IM services)

X.4 Management of IM - Evaluate (the IM function)

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.



X.0 MANAGEMENT OF IM - COMPREHENSIVE MATTERS

The Management of IM - Comprehensive Matters record grouping is reserved for records of activities and transactions that relate to or affect, in a comprehensive manner, the Management of an IM 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 IM 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 an IM function and/or business process (examples of record types would be: draft and approved comprehensive IM policies, guidelines, procedures; draft and final requirements definitions for IM information technology systems1; and requirements definitions for comprehensive IM learning programs2);
  • group activities and initiatives (e.g., those of committees, project teams, delegations, etc.) that focus on all or most aspects of the Management of an IM 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 an IM 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 an IM function and/or business process (examples of record types include draft and final reports addressing the overall management of an IM function and/or business process).

1 Note: for records of activities relating to IM information technology systems, see the model records classification structure developed for the Management of Information Technology function.

2 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 sub-functions of the IM management 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; 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 the profiles of related individual documents (as a metadata 'cross-reference' element).

Example information groupings for: Management of IM - Comprehensive Matters

X.0-0  Management of IM - 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 IM)

X.0-1  Management of IM - Comprehensive Matters - General Matters (reserved for records related to the Management of IM - Comprehensive Matters record grouping but for which no specific file or file groups has been created)

X.0-2  Management of IM - Comprehensive Matters - [Department/Sector/Branch] Management of IM Committee (reserved for records related to the deliberations of the [department/sector/branch] Management of IM Committee)

X.0-3  Management of IM - Comprehensive Matters - Liaison Activities (reserved for records related to internal or external relations on a spectrum of issues and/or initiatives that encompass all or most aspects of the Management of IM function)

X.0-4  Management of IM - Comprehensive Matters - Reporting Activities (reserved for records related to the activity of reporting to management on department/sector/branch IM management matters of a comprehensive nature)



[back to Management of an IM Function - Primary Numbers and Sub-functions]

X.1 MANAGEMENT OF IM - PLAN

This sub-function encompasses activities and transactions that relate to or affect, in a specific manner, planning how information and information management activities will be used to achieve goals and objectives (as prescribed by the legal and policy framework for managing information in the Government of Canada).

Activities associated with the Management of IM - Plan sub-function may have a sequential relationship as follows:

Image 4

'Management of IM - Plan' entails the activities of:

  • defining Information Management requirements against mandated goals and objectives, while taking into account the results of the measurement and evaluation of previous performance - to incorporate lessons learned;

    Note: the activity 'define IM requirements' should entail an environmental scan against either the following nine elements: business context; information requirements (and the management of those requirements); information resources (what is needed to satisfy information requirements); information management activities; information management roles, standards, education and training; information and information management technology; recorded information (date, records, information); architecture optimization; or against the six requirements identified by the Canada School of Public Service: legislation and policy; business mandate; user empowerment; interdependencies; constraints; and opportunities.
  • analysing options for helping to achieve departmental business goals and objectives, while taking into account IM related legislative / policy constraints;
  • designing and developing a departmental Information Management plan;

    Note: the activity 'designing and developing' an IM plan entails the development phases of determining resource requirements, making propositions and recommendations, consulting and negotiating, finalising, and so forth. For example, the 'determining resource requirements' phase would involve defining what level of financial, human and material resources would be needed. Performance indicators, by which the plan is to be evaluated, would also be determined this point.
  • having the Information Management plan validated by stakeholders to ensure their awareness, understanding and support;
  • packaging and preparing the plan for presentation to, and approval by, management.

Example information groupings for: Management of IM - Plan

X.1-0  Management of IM - Plan - Policy Matters (reserved for records related to developing, applying, monitoring, and/or evaluating policies that address the 'planning' sub-function of the Management of IM)

X.1-1  Management of IM - Plan - General Matters (reserved for records related to the Management of IM - Plan sub-function record grouping but for which no specific file or file grouping has been created)

X.1-2  Management of IM - Plan - Government Planning Process (reserved for records related to Government of Canada and/or institution-specific planning processes that have management of IM implications)

X.1-3  Management of IM - Plan - IM Planning Committee (reserved for records related to the deliberations of a [departmental/sector/branch] management of IM planning committee)

X.1-4  Management of IM - Plan - Define (reserved for records related to the activity of defining Information Management requirements against mandated goals and objectives, while taking into account the results of performance measurement and evaluation - to incorporate lessons learned from previous experience)

X.1-5  Management of IM - Plan - Analyse (reserved for records that relate to the activity of analysing options for helping to achieve departmental business goals and objectives, while taking into account IM related legislative/policy requirements)

X.1-6  Management of IM - Plan - Design (reserved for records related to the activity of designing and developing a departmental Information Management plan)

X.1-7  Management of IM - Plan - Validate (reserved for records related to the activity of having a proposed Information Management plan validated by stakeholders - to ensure their awareness, understanding and support)

X.1-8  Management of IM - Plan - Approve (reserved for records related to the activity of packaging and preparing a proposed Information Management plan for presentation to management, and obtaining their approval of it)



[back to Management of an IM Function - Primary Numbers and Sub-functions]

X.2 MANAGEMENT OF IM - DEVELOP

The Management of IM - Develop sub function record grouping is reserved for records of activities and transactions that relate to, or affect in a specific manner, the development of an Information Management infrastructure having the capacity to respond to the departmental Information Management plan - which features standards, systems, tools, processes, etc., to ensure the quality, validity, credibility and persistency of governmental information. Activities associated with the Management of IM - Develop sub-function may have a sequential relationship as follows:

Image 5

'Management of IM - Develop' entails the activities of:

  • planning and assessing the requirements of an appropriate departmental Information Management infrastructure encompassing the tools, protocols and guidelines, etc, required to fulfil current and anticipated mandated goals and objectives;
  • designing a departmental Information Management infrastructure (tools, standards, programmes, coordination protocols, security, etc.);
  • implementing the IM infrastructure;
  • evaluating the effectiveness of the IM infrastructure.

Example information groupings for: Management of IM - Develop

X.2-0  Management of IM - Develop - Policy Matters (reserved for records related to developing, applying, monitoring, and/or evaluating policies that address the 'develop' sub-function of the Management of IM)

X.2-1  Management of IM - Develop - General Matters (reserved for records related to the Management of IM - Develop sub-function record grouping but for which no specific file or file grouping has been created)

X.2-2  Management of IM - Develop - Government Process (reserved for records related to Government of Canada and/or institution-specific development processes that have management of IM implications)

X.2-3  Management of IM - Develop - Committee (reserved for records related to the deliberations of a [departmental/sector/branch] IM infrastructure development committee)

X.2-4  Management of IM - Develop - Plan/Assess (reserved for records related to the activity of planning and assessing the requirements of an appropriate departmental IM infrastructure encompassing the tools, protocols and guidelines, etc., required to fulfil current and anticipated mandated goals and objectives)

X.2-5  Management of IM - Develop - Design reserved for records that relate to the activity of designing a departmental IM infrastructure encompassing tools, standards, programmes, coordination protocols, security measures, etc.)

X.2-6  Management of IM - Develop - Implement (reserved for records related to the activity of putting the IM infrastructure into place, e.g., advising staff of the infrastructure and of its various components and training them in its use)

X.2-7  Management of IM - Develop - Evaluate (reserved for records related to the activity of testing and evaluating the effectiveness of the IM infrastructure prior to and following its implementation)



[back to Management of an IM Function - Primary Numbers and Sub-functions]

X.3 MANAGEMENT OF IM - PROVIDE

The Management of IM - Provide sub function record grouping is reserved for records of activities and transactions that relate to or affect, in a specific manner, the provision of Information Management support and services to clients as prescribed by the departmental IM plan and by employing the departmental IM Infrastructure. Activities associated with the Management of IM - Provide sub-function may have a sequential relationship as follows:

Image 6

'Management of IM - Provide' entails the activities of:

  • planning the actual delivery of Information Management services (within the context of the departmental IM plan and infrastructure) by addressing issues such as resource development and allocation, scheduling, etc.;
  • delivering IM services in support of business goals and objectives and in light of IM related legislative/policy requirements and IM principles/best practices associated with the information management lifecycle (i.e.: collection, creation, receipt, capture; organisation; use, dissemination; maintenance, protection and preservation; and disposition);
  • promoting use of IM services and/or the application of IM principles/best practices (through the provision of advice, guidance and training); and
  • evaluating the effectiveness of IM services and their delivery mechanisms.

Example information groupings for: Management of IM - Provide

X.3-0  Management of IM - Provide - Policy Matters (reserved for records related to developing, applying, monitoring, and/or evaluating policies that address the 'provide' sub-function of the Management of IM)

X.3-1  Management of IM - Provide - General Matters (reserved for records related to the Management of IM - Provide sub-function record grouping but for which no specific file or file grouping has been created)

X.3-2  Management of IM - Provide - Government Process (reserved for records related to Government of Canada and/or institution-specific service provision processes that have management of IM implications)

X.3-3  Management of IM - Provide - Committee (reserved for records related to the deliberations of a [departmental/sector/branch] IM services committee)

X.3-4  Management of IM - Provide - Plan (reserved for records that relate to the activity of planning the actual delivery of Information Management services [within the context of the departmental IM plan and infrastructure] by addressing issues such as resource development and allocation, scheduling, etc.)

X.3-5  Management of IM - Provide - Deliver (reserved for records that relate to the activity of delivering IM services - in support of business goals and objectives and in light of IM related legislative/policy requirements and IM principles/ best practices associated with the information management lifecycle, i.e.: collection, creation, receipt, capture; organisation; use, dissemination; maintenance, protection and preservation; and disposition)

X.3-6  Management of IM - Provide - Evaluate (reserved for records that relate to the activity of evaluating the operational effectiveness of IM services and their delivery mechanisms)



[back to Management of an IM Function - Primary Numbers and Sub-functions]

X.4 MANAGEMENT OF IM - EVALUATE

The Management of IM - Evaluate sub function record grouping is reserved for records of activities and transactions that relate to or affect in a specific manner the evaluation of the departmental Management of Information Management function. Activities associated with the Management of IM - Evaluate sub-function may have a sequential relationship as follows:

Image 7

'Management of IM - Evaluate' entails the activities of:

  • measuring performance against performance indicators determined during the Management of IM - Plan sub-function and as documented in the departmental Information Management Plan;
  • analysing findings;
  • developing recommendations relating to the departmental Information Management infrastructure; and
  • reporting performance measurement findings and recommendations for improvements to the appropriate authorities.

Example information groupings for: Management of IM - Evaluate

X.4-0  Management of IM - Evaluate - Policy Matters (reserved for records related to developing, applying, monitoring, and/or evaluating policies that address the 'evaluate' sub-function of Management of IM)

X.4-1  Management of IM - Evaluate - General Matters (reserved for records related to the Management of IM - Evaluate sub-function record grouping but for which no specific file or file grouping has been created)

X.4-2  Management of IM - Evaluate - Government Process (reserved for records related to Government of Canada and/or institution-specific evaluation processes that have management of IM implications)

X.4-3  Management of IM - Evaluate - Committee (reserved for records related to the deliberations of a [departmental/sector/branch] IM evaluation committee)

X.4-4  Management of IM - Evaluate - Measure (reserved for records related to the activity of measuring performance against performance indicators determined during the Management of IM - Plan sub-function and as documented in the departmental Information Management Plan)

X.4-5  Management of IM - Evaluate - Analyse (reserved for records that relate to the activity of analysing the findings of performance measurement)

X.4-6  Management of IM - Evaluate - Recommend (reserved for records related to the activity of developing recommendations for modifying the departmental IM Plan or IM Infrastructure, based on performance analysis)

X.4-7  Management of IM - Evaluate - Report (reserved for records related to the activity of reporting performance measurement findings and recommendations to the appropriate authorities)

[back to Management of an IM Function - Primary Numbers and Sub-functions]

Legislative and Government Policy Requirements for BASCS Management of an Information Management Draft Classification Model

Click here to check the status of the legislative and government policy requirements for BASCS Management of an Information Management draft classification model.

Sample Conversion Plans for Management of an Information Management Records

Sample conversion plans for Management of an Information Management records will be appended as they become available. Click here to check the status of sample conversion plans.

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