CLERK-003 - Information Management Policy_2012
Information Management Policy for the City of Saint John
Document Title: Information Management Policy
Document Type: Policy No. of Pages: 10
Scope: Applies to the City of Saint John
Policy No.: Revision No.:
2012-08-27
Revision History:
Supersedes the Records Management Policy approved by Common Council on April 28, 2008
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Revises the Information Management Policy approved by Common Council on August 27, 2012
by replacing the term “GARP” with the term “The Principles”.
Date Created: Council Approval Date: Contact:
2012-09-24 Office of the Common Clerk
2012-09-18
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Information Management Policy for the City of Saint John
TABLE OF CONTENTS
1. PURPOSE ................................................................................................................................ 3
2. POLICY STATEMENT ................................................................................................................ 3
3. SCOPE ..................................................................................................................................... 3
4. POLICY CONTEXT .................................................................................................................... 3
5. LEGISLATION AND STANDARDS ............................................................................................... 4
6. INFORMATION MANAGEMENT PROGRAM.............................................................................. 5
7. INFORMATION MANAGEMENT SYSTEMS ................................................................................ 5
8. ROLES AND RESPONSIBILITIES ................................................................................................. 6
9. MONITOR AND REVIEW .......................................................................................................... 7
10. IMPLEMENTATION ................................................................................................................ 7
11. AUTHORIZATION................................................................................................................... 7
12. RESOURCES .......................................................................................................................... 8
13. PROCEDURES ........................................................................................................................ 8
14. GLOSSARY ............................................................................................................................. 8
15. INQUIRIES ............................................................................................................................10
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Information Management Policy for the City of Saint John
1. PURPOSE
Information is the cornerstone of a democratic, effective and accountable municipal government.
Information must be managed throughout its lifecycle, allowing for an effective and responsive
government. This policy will demonstrate that information management is a priority for the City.
2. POLICY STATEMENT
The objective of this policy is to achieve efficient and effective information management to support
program and service delivery; foster informed decision making; facilitate accountability; transparency,
and collaboration; and preserve and ensure access to information and records for the benefit of present
and future generations.
3. SCOPE
The Policy applies to all programs and services within the City; this includes programs and services
reporting to the City Manager, City Solicitor, Treasurer and Common Clerk.
The Policy applies to all aspects of the City’s programs and services, all records and information created
during business transactions, and all business applications used to create records and information.
4. POLICY CONTEXT
Information Management was recognized as part of the City’s responsibilities in the Royal Charter 1785,
and emerged as a distinct activity in a local government context in 1987, when the Provincial Archives
introduced a document entitled Authorities Governing the Retention and Disposition of Records of the
New Brunswick Municipalities. An Electronic Information Management System (EIMS) was introduced by
the City in 2005 using Laserfiche as the software technology. In 2012 further information management
responsibilities are required by the City to be compliant with the Right to Information and Protection of
Privacy Act.
Digital records and information management has been underdeveloped throughout the City and
information is not consistently lifecycle managed. In the electronic environment (e.g. e-administration,
e-government, e-commerce), records and information processes will increasingly be automated and
supported by automated records systems. This is apparent in several projects, such as the Saint John
Information Management (SJIM) project, the RTIPPA program, and recent acquisition of specialized
automated records systems such as Caseware (Audit Software) and Taleo (Performance Appraisal
software) to manage records. The City is embarking on a new approach to manage its information assets
in an EIMS that integrates Laserfiche with SharePoint 2010 (LfSP). There are approximately 600
employees using computers across the City and almost all of them creates or works with public records
and information. With the new strategy, employees will be required to work within the EIMS and be
accountable for accurately identifying information created and stored in the system.
Automated systems for managing information, such as but not limited to, the City Website (public
portal), Njoyn (Recruiting software), Taleo (Performance Appraisal software) Sungard HTE (Work Orders
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Information Management Policy for the City of Saint John
Software), Caseware (Audit Software), CLASS (Leisure Services contracts software), ATIPXpress (RTIPPA
software) will comply with International Standard Organization (ISO) functional requirements for
management systems for information and follow legislative and business requirements.
The Office of the Common Clerk will develop all information management strategies, and is responsible
for the design and review of all information management practices.
Implementation will be at the program and service level in accordance with the Policy and operational
requirements.
5. LEGISLATION AND STANDARDS
The City acknowledges the following laws that relate to records and information management:
Charter of The City of Saint John, 1785 (U.K.) Geo. III as amended
Archives Act, S.N.B. 1977, c.A-11.1 as amended
Community Planning Act, R.S.N.B. 1973, c.C-12 as amended
Electronic Transactions Act, S.N.B. 2011, c.145 as amended
Evidence Act, R.S.N.B. 1973, c.E-11 as amended
Municipalities Act, R.S.N.B. 1973, c.M-12 as amended
Official Languages Act, S.N.B. 2002, c.O.0.5 as amended
Personal Information Protection and Electronic Documents Act, R.S.C. 2000, c.5 as
amended
Public Records Act, S.N.B. 2011, c.212 as amended
Right to Information and Protection of Privacy Act, S.N.B, 2009, c.R-10.6 as amended
The Information Management Program will develop records and information management systems that
capture and maintain records and information with appropriate evidential characteristics in accordance
with its obligations under the above-noted statutes.
The City acknowledges the following standards that relate to records and information management:
CGSB-72.11.93 Microfilm and Electronic Images as Documentary Evidence, Canadian
General Standards Board
CGSB-72.34-2005 Electronic Records as Documentary Evidence, Canadian General
Standards Board
ISO 15489-1:2001 Information and documentation – Records management Part 1:
General, International Organization for Standardization
ISO 15489-2:2001 Information and documentation – Records management Part 2:
Guidelines, International Organization for Standardization
ISO/TR 15801-2006 Electronic Imaging – Information Stored Electronically –
Recommendations for Trustworthiness and Reliability
ISO 19005-1:2005 PDF/A, International Organization for Standardization
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Information Management Policy for the City of Saint John
ISO 23081-1:2006 Records Management Metadata, International Organization for
Standardization
ISO 30300:2011 Information and documentation – Management systems for records –
Fundamentals and vocabulary
ISO 30301:2011 Information and documentation – Management systems for records -
Requirements
DoD 5015.2-STD Electronic Records Management Software Application Design Criteria
Standard, USA Department of Defense
The Sedona Canada E-Discovery Principles, the Sedona Conference
The City acknowledges the following best practices that relate to records and information management:
Local Government Resource Manual, Section 6 - Records Management, Province of New
Brunswick
Guideline for Outsourcing Records Storage to the Cloud, ARMA International, 2010
Guideline for Evaluating Offsite Records Storage Facilities, ARMA International, 2007
Website Records Management, ARMA International, 2009
Generally Accepted Recordkeeping Principles (The Principles), ARMA International, 2011
6. INFORMATION MANAGEMENT PROGRAM
The Information Management Program provides strategic guidance and support to the City to achieve a
service-based, results oriented, high performance public service organization. The Information
Management Program can improve the efficiency and effectiveness of the operations of the City by:
providing better use of resources (space, time, people, money) as valuable time and energy can
be wasted trying to find information when there is not an adequate filing system in place
meeting operational requirements (e.g. number of years minutes, financial records are kept)
meeting administrative requirements (day to day activities)
meeting legal requirements (for compliance with laws and for protection and support during
litigation)
meeting fiscal requirements (records required for audit)
preserving valuable information
The Information Management Program will provide the right information to the right person at the right
time. The Information Management Program also includes a records management service, archives
service, records filing centre service, and forms management service.
7. INFORMATION MANAGEMENT SYSTEMS
The City’s information management systems are dedicated to the creation, maintenance and protection
of authentic, reliable and usable records and information for as long as they are required to effectively
and efficiently support business functions and activities.
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Information Management Policy for the City of Saint John
The City adopts the Municipal Records Authority for New Brunswick, developed by the Provincial
Archives of New Brunswick and the Association of Municipal Administrators of New Brunswick, as the
uniform classification system and records retention and disposition schedule for records in all formats.
The information management systems will manage the following processes:
creation, receipt or capture of information within the information management system
storage of information
protection of information integrity and authenticity
security of information
access to information
disposal of information in accordance with the approved disposal authority
The City will consistently and uniformly manage information in all formats throughout its life-cycle from
creation and receipt to final disposition.
The City recognizes that the vast majority of its records and information are “born digital” and that the
primary information management system is therefore an Electronic Information Management System
(EIMS). Paper-based records of the City will be captured within this system through digital imaging. This
EIMS is to be used in all programs and services of the City.
8. ROLES AND RESPONSIBILITIES
The Office of the Common Clerk is responsible for developing Information Governance policy, directives,
standards and guidelines and tools. The Common Clerk is accountable for the Information Governance
Policies and Program and delegates the day to day administration and implementation to the Corporate
Records Manager. The Common Clerk is also the designated Head of the Right to Information and
Protection of Privacy Act (RTIPPA) for the City.
The Corporate Records Manager is responsible for overseeing the design, implementation, and
maintenance of the Policy, administering the Information Management Program, overseeing lifecycle
management of corporate records, stewardship of the SharePoint 2010 working architecture, control
over the EIMS systems including quality assurance and metrics reporting, providing Records and
Information Management training and awareness sessions as well as monitoring compliance.
The Access and Privacy Officer is responsible for administering the Right to Information and Protection
of Privacy Program; ensuring that privacy implications are considered in all the City’s activities; advising
the City on the appropriate privacy safeguards that need to be implemented when the City is collecting,
using, disclosing and disposing of personal information; providing training and awareness sessions; and
monitoring compliance.
The Manager of Information Technology Services has the responsibility for the management of
technology in service delivery for the City including responsibility for security such that the integrity and
authenticity of records are maintained and for providing IT training to employees. The Manager of
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Information Management Policy for the City of Saint John
Information Technology Services is also responsible for providing adequate technological infrastructure
to ensure the integrity of all electronic information assets.
Ultimate accountability for holding employees responsible for complying with the City’s policies
including the privacy policies, standards and applicable legislation rests with the City Manager, City
Solicitor and Common Clerk. Commissioners and Service Managers must provide management support
and leadership by ensuring:
that employees are working with the EIMS and are held accountable for accurately identifying
information created and appropriately stored;
effective organization of information throughout their units;
the sound implementation of investment decisions in the management of information and
technology;
the ongoing performance measurement of the management of information;
employee compliance competency assessment in annual performance reviews;
that Records Coordinators with a sound knowledge of the information are assigned in the
business unit; it is not suitable to assign casuals or summer students to perform the tasks of
Records Coordinators as they lack the requisite knowledge to manage the unit’s information
and to make decisions concerning the lifecycle management and protection of the business
units information assets;
that Records Coordinators (identified and designated at the business unit level) and
Commissioners are responsible for supporting records and information management practices
as defined by the Policy within their respective areas; and that
City employees are responsible for protecting all information within their realm of responsibility
as defined by City policies, standards, guidelines, and applicable legislation.
9. MONITOR AND REVIEW
The Policy is subject to review within two years from approval date. The Information Management
Program will be subject to review and audits will be conducted by an audit committee established by the
Office of the Common Clerk. The audit committee may be comprised of a cross-departmental internal
committee or by an independent third party.
10. IMPLEMENTATION
The Policy will be implemented upon approval by Common Council.
11. AUTHORIZATION
This Policy has been approved by Common Council on September 18, 2012.
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Information Management Policy for the City of Saint John
12. RESOURCES
Print Resources
The Municipal Records Authority for New Brunswick (MRA), Municipal Records Management Steering
Committee of the Provincial Archives, and the Association of Municipal Administrators of New
Brunswick (2011), Fredericton: Government of New Brunswick
Office of the Common Clerk (2007), ERMS (MRA/RME Integration): File Plan and Disposition Instructions.
Saint John: City of Saint John
Human Resources
The City recognizes that a Records and Information Implementation Team initially comprised of the
Corporate Records Manager, Access and Privacy Officer and Records Coordinators will evolve into
corporate Records and Information Management Committee as the program is introduced to business
units across the organization.
13. PROCEDURES
Information Management procedures will be developed in consultation with the Corporate Records
Manager.
14. GLOSSARY
Asset
Anything that has value to an organization
Capture
A deliberate action which results in the registration of information into an information management
system. For certain business activities, this may be designated into electronic systems so that the
capture is concurrent with the creation of records.
Classification / Classification System
The systematic identification and arrangement of business activities and/or records into categories
according to logically structured conventions, methods, and procedural rules represented in a
classification system.
Disposal /Disposition
Refers to the range of processes associated with implementing information retention, destruction or
transfer decisions which are documented in authorities or other instruments
Disposition Schedule
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Information Management Policy for the City of Saint John
The records retention and disposition schedule gives the City authority to dispose of records it no longer
requires. Also known as a retention schedule.
Electronic Information Management System (EIMS)
A recordkeeping system that manages electronic records and information throughout their lifecycle,
from creation, receipt and capture through to their destruction or permanent retention and retains their
integrity and authenticity while ensuring that they remain accessible. Also referred to as Electronic
Management System for Records (EMSR), Electronic Records Management System (ERMS), Electronic
Document and Records management System (EDRMS)
Information
Information generated or received by the City or its employees and used in the operation of our
organization. Business information includes records, data, and documents stored in any form (e.g.,
paper, electronic, audio and video recordings, and imaging media).
Information Management
A discipline that directs and supports effective and efficient management of information in an
organization, from planning and systems development to disposal or long-term preservation.
Lifecycle of a Record
The stages of activity between the creation or receipt of a record and its final disposition. There are five
stages in the lifecycle of a record; namely, the creation, receipt, active use, semi-active use, infrequent
(inactive) use and final disposition. Records are also said to have three ages based upon their reference
or use: active, semi-active, and inactive.
Provincial Archives of New Brunswick (PANB)
The body responsible for selecting, acquiring, preserving records of historical or continuing value and
making them available for future posterity. The PANB has determined the classification scheme and the
records retention and disposition schedules for municipalities.
The Municipal Records Authority for New Brunswick (MRA)
The classification plan and mandatory retention schedule for municipalities in the Province of New
Brunswick.
Public Record
The books, papers and records kept by or in the custody of an officer of the Province, a municipality or a
rural community in the carrying out of his or her duty as that officer are vested in Her Majesty the
Queen and her successors.
Record
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Information Management Policy for the City of Saint John
Record means a record of information in any form, and includes information that is written,
photographed or stored in any manner, on any storage medium or by any means, including by graphic,
electronic or mechanical means, but does not include electronic software or any mechanism that
produces records.
15. INQUIRIES
For more information on the Policy, please contact the Corporate Records Manager in the Office of the
Common Clerk.
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