Project Title and Purpose:



The Chart of Authorities form defines the authorities associated with supporting the operation of a computer application within the Office of the Chief Information Officer. This includes applications that are either: Developed within the OCIO (e.g. High School Certification Mainframe Application)Developed externally and then turned over to the OCIO to maintain (e.g. ORACLE Financial Management System)Pre-packaged/off-the-shelf applications that are purchased from 3rd party vendors and then stored/run using OCIO hardware (e.g. AccPac running from an OCIO server). This form consists of two separate documents, the Chart itself and a related Personnel Table, and serves several purposes:it identifies the name of the business owner and/or the alternate business owner for this application; it identifies the names of individuals who (on behalf of the business owner) can approve various types of changes associated with the operation and support of the application;it specifies the types of communication that is permitted between the client and OCIO personnel for approvals.Following are the instructions for how to fill out the various fields on this form. Please reference DOC04023/2008 Application Services Charts of Authorities Create Update Procedure for information on how to create, store, and update these charts of authorities within the OCIO. Explanation of form contentsFieldDescriptionTop block:Identifies the application and the sponsoring department and division. Department NameName of the sponsoring department that has ownership of the application. Division NameName of the division within the sponsoring department that has ownership of this application. Revised byPerson revising this chart. Application NameName of the application, for example, Provincial Collection System.Database NameName of the database that this application uses.Application Number and Instance Code Application number which is assigned to this application. The application number is the number assigned by Application Services division in their computer tracking system and is identified in the title of the application in TRIM.The instance codes are P – Production, TR – Training, C – Conversion, M – Maintenance, D – Development, and T – Testing. While many applications just have a production COA, many larger systems can have multiple instances involving multiple charts of authorities. Please note that additional instance codes can be identified as need be. (For example, if you have multiple test instances, the codes could be T1, T2, etc). Revision DateDate the form was last updated. Second Block Indicates who is authorized to request various types of changes within this application.FunctionsIdentifies the function for which approval would be required. Section 2 below gives examples of various functions that can be used in this column.Approving PersonnelIdentifies the position held by the person who is authorized to approve changes for the specified function. The position listed in position #1 is the primary contact for approval, #2 would be the secondary/backup contact, and #3 would be the alternate backup, etc. The names of the individuals currently filling the positions indicated in the Chart will be stored in a separate Personnel Table.The last function Chart of Authorities - Initial setup and changes is where the business owner and alternate business owner are named (as well as the OCIO approving personnel). By default the clients named here will automatically have authority to all functions listed in the chart. Therefore it is not necessary to list these names under every section. However, you can insert the business owner and/or alternate under any section you wish to clarify the order in which the client representatives should be contacted. At times it may be appropriate to request approvals by sending e-mail to the primary but copying (“CC”) the secondary and/or alternate backup person. Method of ApprovalThe four methods of approval indicated on the form are e-mail, fax, written, and verbal. Type Yes for each method that is acceptable, otherwise type No into the column. As common practice verbal requests are not acceptable, however there can be exceptions.Emergency After Hours Client Contact Information Some applications supported by OCIO receive after hours support. Periodically this may result in the need to contact the appropriate client personnel should there be a problem with the application on evening or weekends. For applications that have after hours support in place, identify the client contact information for the person who should be contacted if problems arise that require client input for resolution. NameName of after hours client contact.Phone NumberHome phone number for the client.Cell Phone NumberCell phone number (if available) for the client.Follow Up EmailSpecify Yes if the client requires follow-up emails be issued when verbal communication is used after hours.Approval signatures blockThis block contains spaces for the approval signatures Signature of Approver (sponsoring department)As common practice, the sponsoring department representative (i.e. business owner) should be someone at a manager or director level within the department. However there can be exceptions (e.g. sometimes an assistant deputy minister will be the approver). Under the signature, fill in the full name and title of the approver signing the chart.The header and footer of the template should follow the same rules of ALL policy and procedure documents stored in TRIM. Examples of Functions You can customize the functions appropriate to the application. The following table show different functions that can be used. As well, you can search TRIM for charts of similar applications to get samples of the types of functions listed therein. The COA template shows five basic functions for any application: security, availability, batch schedule, application changes, procedures rerun, and chart setup. Typical xwave Chart of Authorities FunctionsSome Dept Chart of Authorities FunctionsApplication availability-- initial setup and changes to application availabilitySecurity access-- give access to new users-- update access for a user-- change roles/offices for a userBatch schedule-- initial setup and changes to batch schedule, special job runs, resolve batch/online conflictsChange management requests-- certify new exc, database changes, and conversionsSecurity-- provided ability to run VB script that creates/modifies/disables user access-- delete user access to production application databaseRole administration-- change screen/report access for a roleApplication changes-- request ‘exe’ creation/updates for metaframeDatabase management requests-- standard, exception, emergency changesSamples of Completed COA FormsThe example is for the CAPS Production system in the Advanced Education & Skills Department. This is a sample of a large system with many authorities. Additional rows were added to the authorities sections in order to accommodate the information.Main Chart of Authorities DocumentDepartment Name:Advanced Education & SkillsApplication Name:CAPS Division(s) NameIncome Support Division, Finance and General Operations DivisionDatabase Name:PAYP1Revised By:Glenn StokesApplication Number & Instance Code:123456 PRevision Date:2006-01-18FUNCTIONSAPPROVING PERSONNELMETHOD OF APPROVALEMAILFAXWRITTENREQUESTVERBALREQUESTSecurity Access (For District & Regional Roles)- Give Access to new users- Update Access for a user- Change roles/offices for a user#1Manager of Income SupportYesYesYesNo#2Director of Income SupportYesYesYesNo#3Security Access (For Provincial Office Program Roles)- Give Access to new users- Update Access for a user- Change roles/offices for a user#1Manager of Income SupportYesYesYesNo#2Director of Income YesYesYesNo#3Security Access (For Finance Roles & Internal Audit)Please note that the Financial Policy Manager has three variations. - One for PAU- One for case maintenance - One for no unitCheck with user for correct one(s).#1Manager of Income SupportYesYesYesNo#2Director of Income SupportYesYesYesNo#31. Certify new exe and conversions as meeting specs of HRLE and suitable for production deployment.2. Role Administration:Change screen/report access for a role3. Table Administration:- Change look up table values- Change benefit and bank information- Change approval levels etc under table maint.#1Manager of Income SupportYesYesYesNo#2Director of Income SupportYesYesYesNo #3Database Management Requests-standard, exception, and emergency changes#1Manager of Income SupportYesYesYesNo #2Director of Income SupportYesYesYesNo #3Application availability-- initial setup and changes to application availability #1Manager of IT ServicesYesYesYesNo #2DDirector of IT servicesYesYesYesNo#3Batch schedule-- initial setup and changes to batch schedule, special job runs, resolve batch/online conflicts #1Manager of IT ServicesYesYesYesNo #2DDirector of IT servicesYesYesYesNo#3Security-- provided ability to run VB script that creates/modifies/disables user access-- delete user access to production application database #1Manager of IT ServicesYesYesYesNo #2DDirector of IT servicesYesYesYesNo#3Application changes-- request ‘exe’ creation/updates for metaframe #1Manager of Income SupportYesYesYesNo #2Director of Income SupportYesYesYesNo#3Chart of AuthoritiesInitial setup and changes #1Manager of Income Support, and (Director of Application Services OCIO, or Manager of Application Services OCIO)YesYesYesNo #2Director of Income Support, and (Director of Application Services OCIO, or Manager of Application Services OCIO)YesYesYesNo#3Emergency After-hours Client Contact Information:NamePhone NumberCell Phone NumberFollow-up Email AcceptedValerie Gregory729-9999687-9999YesApproval Signatures:Signature of Approval: (Sponsoring Dept)Signature:Date Approved:Printed Name : Bill GossePosition: Director, Income SupportRelated Personnel TableDepartment Name:Advanced Education & SkillsApplication Name:CAPSRevised By:Gail JohnsonApplication Number & Instance Code:114006 PRevision Date:2012-01-16POSITION TITLE[As per Approving Personnel on Chart]APPROVING PERSONNELEFFECTIVE DATEManager of Income SupportValerie Brown2006-09-16Director of Income SupportBill Gosse2008-10-28Manager of IT ServicesElaine Fitzpatrick2007-05-30Director of IT ServicesDenise Gregory2009-02-15Manager of Application ServicesSonya Hayden2004-05-29Director of Application ServicesCathy Kendell2011-12-13 ................
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