Implementing the TBS Information Management … Eng - slides.pdfWorkshop Overview • What is the IM Common Core (IMCC) • IMCC deliverables • IMCC Tiger Team and IMCC Working Group

Implementing the TBS Information

Management Common Core (IMCC)Management Common Core (IMCC)

ARMA Workshop

Information Management Common Core (IMCC)

April 28, 2015

By: Joëlle Dagenais, Treasury Board Secretariat (TBS)

Workshop Overview

• What is the IM Common Core (IMCC)

• IMCC deliverables

• IMCC Tiger Team and IMCC Working Group

• Exercise 1 – Business requirement identification

• About the IMCC RM Classification File Plan for Common

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• About the IMCC RM Classification File Plan for Common Internal Services – 2015 Edition

• Break (15 min.)

• How to apply the IMCC RM Classification File Plan methodology in your department

• Exercise 2 – Building a Function Based Classification File Plan

• Exercise 3 – Building a Document Management / Enterprise Folder Structure

Background

• GCDOCS became the GC-procured solution for EDRMS in 2011;

it is managed by the GCDOCS Enterprise Program Management

Office (EPMO) - PWGSC.

• As business owner, the Information Management and Open

Government Division (IMOG) at TBS is responsible for

establishing a common configuration for GCDOCS that aligns

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establishing a common configuration for GCDOCS that aligns

with IM policy direction in the GC.

• IMOG working closely with the GCDOCS EPMO to ensure that IM

objectives are achieved through the implementation of

GCDOCS.

What is the Information Management

Common Core (IMCC)?

• A basic set of configuration rules for all GC EDRMS / GCDOCS

implementations.

• The default configuration of all instances of GCDocs

implemented through the GCDocs EPMO (PWGSC).

• Enables the Standard for Electronic Documents and Records

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• Enables the Standard for Electronic Documents and Records

Management Solutions (EDRMS):

“Ensuring common, consistent, and cost effective departmental implementation of EDRM

solutions to meet recordkeeping requirements” (requirement 6.1.2)

• Aligned with the IM Policy Suite and other relevant policy

instruments, including:

• Operational Security Standard: Management of Information Technology Security

(MITS)

• Standard on Enterprise Resource Planning Systems

• Security Organization and Administration Standard

IM Common Core

System Rules

IM Common Core (IMCC) Deliverables

Part 1: System Rules

• Describe the operations, definitions

and constraints that apply to the

system.

Part 2: Metadata

• Points to the mandatory recordkeeping

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IM Common Core

Metadata

File

Classification

Structure

• Points to the mandatory recordkeeping

metadata elements required in the

Standard on Metadata, Appendix B.

Part 3: IMCC – RM File Classification – Common Internal Services – 2015 Edition

• Provides a file classification structure

for implementing access rights,

retention schedules and disposition

activities.

Systems Rules - IM Common Core (IMCC)

Deliverables

SystemSystem

RulesRules

• 57 Rules grouped according to the information

management life-cycle:

•Collection, Creation Receipt and Capture

• Organization

• Use and Dissemination

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• Maintenance, Protection and Preservation

• Disposition

•Evaluation

• References to relevant policy instruments.

Systems Rules - IM Common Core (IMCC)

Deliverables

SystemSystem

RulesRules

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MetadataMetadata

Metadata - IM Common Core (IMCC)

Deliverables

• Mandatory recordkeeping metadata elements

as required by the Standard on Metadata,

Appendix B

• RK Metadata Suite of Tools:

• RK Metadata Element Set (RK MES)

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• RK Metadata Element Set (RK MES)

• RK Metadata Application Profile (RK MAP)

• RK Metadata Implementation Guide (RK MIG)

• Document Type Scheme for RK (RK Type)

MetadataMetadata

Metadata - IM Common Core (IMCC)

Deliverables

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File File

Classification Classification

StructureStructure

File Classification Structure - IM Common

Core (IMCC) Deliverables

• For GC Internal Services only.

• Based on PAA (April 2015) and LAC Generic

Valuation Tools (GVTs).

• 3 mandatory levels; other levels optional

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• 3 mandatory levels; other levels optional

and customizable.

• Organizations will be responsible to develop

4th levels if needed.

File File

Classification Classification

StructureStructure

File Classification Structure - IM Common

Core (IMCC) Deliverables

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Additional IMCC Components

• The IMCC could be expanded to

include other components that will

help departments meet

onboarding timelines.

• New components may include

• Default configuration lists: IM Common

System Rules

Metadata

DM Standardized

folder structure

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• Default configuration lists:

• RK Document Types;

• Controlled vocabularies, such as

languages, countries, departments;

• Document Status;

• Business Roles;

• e-Disposition process;

• Document Management (DM)

standardized folder structure.

IM Common Core

File

Classification

Structure

RSIsBusiness Rules

E-Disposition Process

Sneak Peek – Records Series Identifiers (RSI)

1 Year after return or disposal of asset

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IMCC Tiger Team - IMCC Working Group

• IMCC Tiger Team are only meeting as needed.

• IMCC Tiger Team is now used for consultation, gathering

feedback, validation on draft tools for GCDOCS.

• IMCC Working Group met on a weekly basis from • IMCC Working Group met on a weekly basis from

September to December 2014.

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Next Steps

• EPMO new GCDOCS Project Manager– Confirm IMCC deliverable priorities and delivery dates.

– Confirm IMCC working group members, based on

deliverable to be addressed.

• Continue work on IMCC deliverables:• Continue work on IMCC deliverables:– Retention Series Identifiers (RSIs) for GCDOCS

– DM Standardized folder structure

– Business Rules

– E-Disposition process

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IMCC and linkages to GC IM Initiatives

• Directive on Recordkeeping

Ensure effective recordkeeping practices that enable

departments to create, acquire, capture, manage and

protect the integrity of information resources of business

value in the delivery of Government of Canada programs and

services.services.

• Open Government

The objective of the directive is to maximize the release of

government information and data of business value to

support transparency, accountability, citizen engagement,

and socio-economic benefits through reuse, subject to

applicable restrictions associated with privacy,

confidentiality, and security.

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• Work Place 2.0


• E-mail Transformation Initiative (ETI)

The Email Transformation Initiative will move 43 Government

of Canada partner organizations from numerous email

services to [email protected]@[email protected]@canada.ca, a common, modern,

consolidated, secure, more reliable and more cost-effective

email system17

• Destination 2020

To adapt to the rapid rate of change taking place in

the world and society, Public Service leaders

developed a plan to meet the challenges of the

future – Blueprint 2020.


future – Blueprint 2020.

• Blueprint 2020

The Blueprint 2020 vision foresees a capable and

high-performing Public Service that embraces

innovation, transformation and continuous

renewal.

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Exercise 1

Business Requirement Identification

• Work as a team to develop requirements for the

purchase of a dishwasher for your office 2.0. (10

min.)

• On your flip chart write your team’s requirements.

• Group discussion• Group discussion

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IMCC RM Classification File Plan for

Common Internal Services – 2015 Edition

• Target audience : IM/RM group.

• Not a tool for client users.

• Designed to be used in the RM module of

GCDOCS.

• Designed to be more simple and flexible.• Designed to be more simple and flexible.

• Must be linked to an Enterprise folder

structure/DM folder structure in GCDOCS.

• Function, sub-function and activity levels are

mandatory – Levels 1 to 3.

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Development of the IMCC RM

Classification File Plan for Common

Internal Services• Developed by the IMCC Working Group

– Small group, no more than ten (10) participants.

• Timeline

– September 2014 to January 2015 (5 months)

• Resources • Resources

– one (1) full time resource + weekly working group

meetings + weekly meetings with LAC representative.

– Important to identify the right resources with required

knowledge, experience and time to commit to active

participation.

• Validation and Approval – January to mid-February 2015

• IMCC Tiger Team (approx. 40 departments)

• TBS-IMD Director General

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Working Groups and Participants

• Modifications to the existing IMCC-GCDOCS Tiger

Team role.

• Creation of the IMCC-GCDOCS Working Group.

• Defining clear roles and responsibilities for all

involved.involved.

• Weekly in person meeting – IMCC-GCDOCS

Working Group – review of primary analysis.

• Weekly in person meeting – IMCC-GCDOCS Lead

Analyst and Library and Archives Canada (LAC)

Lead – Primary analysis.

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Setting up the IMCC Working Group

• Identify lead analyst.

• Identify the pen holder – who will create, modify

and circulate the information.

• Establish frequency of the in person meetings

based on identified delivery date.based on identified delivery date.

• Decide if replacements are allowed or not.

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Methodology

• Function and sub-function identification –

Program Alignment Architecture (PAA)

• Activity identification – IRBV Inventories ex: GVTs

• ISDAs, DAs

• Primary objective is to stream line activities that • Primary objective is to stream line activities that

have the same retention period and disposition

trigger. If these activities also relate to the same

business process then these activities can most

likely be merged.

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Analysis

1. Identify functions and sub-functions.

2. Identify activities with same retention period.

3. Identify activities with same trigger.

4. Are the activities and IRBVs similar?

5. What is the source of the retention period and trigger:

a) Based on traditional retention practice applied to policy and procedure

IRBV of common administrative functions

b) Based on traditional retention practice applied to routine IRBV of b) Based on traditional retention practice applied to routine IRBV of

common administrative functions; assess business needs for

operational records.

c) Based on traditional retention practice applied to policy and procedure

IRBV for the Comptrollership function.;

d) Based on specific legislation

• (i.e.: Employment Equity Regulations, s. 12.1, Privacy

Regulations, s. 4, Canada Occupational Health and Safety

(COHS) Regulations, s. 14.49, etc.)

6. If activities were merged, would retention and disposition conditions be

respected?

7. If answer to question #6 is “Yes”, than merge and rename activities.25

Generic Valuation Tool (GVT)Generic Valuation Tool (GVT)Generic Valuation Tool (GVT)Generic Valuation Tool (GVT)

Management and Oversight ServicesManagement and Oversight ServicesManagement and Oversight ServicesManagement and Oversight Services

Common Business ProcessCommon Business ProcessCommon Business ProcessCommon Business Process

• Steps/actions that occur in the process• Steps/actions that occur in the process• Steps/actions that occur in the process• Steps/actions that occur in the processRecommendationsRecommendationsRecommendationsRecommendations

Information Resources of Business Value Retention

5. PROJECT MANAGEMENT 5. PROJECT MANAGEMENT 5. PROJECT MANAGEMENT 5. PROJECT MANAGEMENT

Assess organizational capacity Assess organizational capacity Assess organizational capacity Assess organizational capacity • Organization Project Management Capacity

Assessment (OPMCA) (submitted with Investment Plan

above)

10 years after Assessment (based on a 3-year planning

cycle, which would allow

Initiate project Initiate project Initiate project Initiate project

• Establish project objectives • Establish project objectives • Establish project objectives • Establish project objectives

• Business case/proposal

• Independent review

• Team roles and descriptions

• Briefing notes

• Meeting minutes

10 years after project completion

• Meeting minutes

• Record of consultation with TBS

• Approvals/documentation of governance decisions at

each stage

Plan Project Plan Project Plan Project Plan Project

• Establish level of complexity and risk • Establish level of complexity and risk • Establish level of complexity and risk • Establish level of complexity and risk

• Develop project plan • Develop project plan • Develop project plan • Develop project plan

• Perform risk assessments (see #7 below) • Perform risk assessments (see #7 below) • Perform risk assessments (see #7 below) • Perform risk assessments (see #7 below)

• Project Complexity and Risk Assessment (PCRA)

• Treasury Board Submission for approval (if required

after OPMCA and PCRA)

• Project Management Plan (PMP) including:

• Project brief (if required)

• Project charter

• Risk management plans

• Schedule

• Privacy Impact Assessment

• List of project team members, stakeholders, sponsors,

managers, etc.

• Work breakdown structure

• Risk response strategy


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Control and Monitor Project Control and Monitor Project Control and Monitor Project Control and Monitor Project

• Liaise with TBS and stakeholders • Liaise with TBS and stakeholders • Liaise with TBS and stakeholders • Liaise with TBS and stakeholders • Progress reports, updates, GANNT charts

• Minutes from project meetings

• Steering committee reports

• Correspondence with TBS or stakeholders

• Change request log

• Report of any changes to OPMCA

• Report of any changes to PCRA

• Issue logs

• Project metrics

• Performance parameters

• Dashboards

• Results of any reviews, evaluations or audits of project


Generic Valuation Tool (GVT)Generic Valuation Tool (GVT)Generic Valuation Tool (GVT)Generic Valuation Tool (GVT)

Management and Oversight ServicesManagement and Oversight ServicesManagement and Oversight ServicesManagement and Oversight Services

Close Project Close Project Close Project Close Project • Project close-out plan

• Project close/completion report

• Outcome realization report


• “Lessons learned” reports

• Best practices reports

10 years after last administrative use

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File Plan Result

Level 2Level 2Level 2Level 2

(Sub(Sub(Sub(Sub----Function)Function)Function)Function)

GCGCGCGC----1111----050050050050 Project ManagementProject ManagementProject ManagementProject Management

Level 3

(Activity)

GC-1-050-01 Assessing organizational capacity 10 years after Assessment (based on

a 3-year planning cycle, which would

allow reference to the IR for two

previous cycles)

GC-1-050-02 Project management

This classification merges five activities


This classification merges five activities

from the LAC document "Generic Valuation

Tool (GVT) MANAGEMENT AND OVERSIGHT

SERVICES". The five merged GVT activities

are “Initiate Project”, “Plan Project”,

“Control and monitor project”, "Close

project" and " Reporting risks". Please

consult the Management and Oversight

Services GVT for more detailed definitions

of these activities and their lists of

corresponding IRBVs.

Note: If the project involves

procurement, refer to the

Acquisitions Services section.

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Implementing the IMCC RM File Plan

for Internal Services – 2015 Edition

• Alignment with the 2015 edition of the IMCC File

Plan.

• Mapping.

• Using the IMCC File Plan when sections apply to

your operational file plan.your operational file plan.

(i.e.: SSC – IT Services, PWGSC – Real Property,

Acquisition)

• Migration strategy – plan.

• GCDOCS gold build implementation.

• GCDOCS standalone implementation.

• Document Management (DM) or Enterprise folder

structure. 30

GCDOCS – DM Folder Structure link to

RM Classification Structure

Client / User

DM Folder Structure

RM Specialist

Function Information

TechnologyClassification # de

dossier Retention Disposition CISD

Sub-function Plan and Organize

Sub-function Monitor and Evaluate

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Sub-function Service Level

Management

Sub-function Availability

ManagementInformation

Technology

GC-020-

040

2 years after last

administrative

Destroy DES-

LASTEDITDAT

E-2

Sub-function Capacity

Management

Sub-function IT Service Continuity

Management

How to apply the IMCC RM Classification File How to apply the IMCC RM Classification File How to apply the IMCC RM Classification File How to apply the IMCC RM Classification File

Plan methodology in you departmentPlan methodology in you departmentPlan methodology in you departmentPlan methodology in you department

• Must be based on the department’s functions

– Based on your department’s Program Alignment

Architecture (PAA).

– Leveraging from Library and Archives Canada’s

(LAC) Generic Valuation Tools (GVTs).(LAC) Generic Valuation Tools (GVTs).

– Leveraging from the Recordkeeping Initiative’s

outputs:• IRBV inventory;

• Identified business functions and activities;

• Departmental Records Disposition Authorities (RDAs) or

Disposition Authorities (DAs);

• IMCC RM Classification File Plan.

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Exercise 2

Developing a Function Based Classification

File Plan

• Groups by table.

• Proceed to the analysis of the GVT documents.

• Produce a streamlined section for your file plan –• Produce a streamlined section for your file plan –

on flip charts.

• Group discussion.

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Exercise 3

Developing a DM or Enterprise folder structure

• Based on the IT, Acquisition or Financial Management

sections for the IMCC RM Classification File Plan for Internal

Services.

• Develop the folder structured for activities.Client / User

DM Folder Structure

RM Specialist

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RM Specialist

Function Information

TechnologyRM Classification File

Number Retention Disposition RSI

Sub-function Plan and Organize


Sub-function Service Level

Management

Sub-function Availability

ManagementInformation

Technology

GC-020-

040

2 years after last

administrative

Destroy DES-

LASTEDITDAT

E-2

Sub-function Capacity Management

Sub-function IT Service Continuity

Management

Contacts

• Further information on the IMCC is available on GCPEDIA:

http://www.gcpedia.gc.ca/wiki/Information_Management_Common_Core_(I

MCC)_to_Support_EDRMS_Implementation

• Questions can be sent to [email protected].

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