Information Management Legal and Regulatory Framework

Matrix Template and Example

Legal and regulatory items that have information management requirements and that are owned by or applicable to the department or other public body should be detailed using the below matrix.

[ Department/Public Body XYZ ] IM Legal and Regulatory Requirements	Oversight Entity	Description	Deputy Minister, CEO, etc. (head of public body)	ADM, VP, or other responsible for IM	Director or equivalent responsible for IM	ATIPP Coordinator or equivalent	Legal Counsel or equivalent	Other 1	Other 2	Individual
This should be a sample of what to include for each section generally and in the template we should complete for all common IM components. Consider the below review tactics when assessing materials for IM legal and regulatory requirements. create and/or collect manage distribute protect disposition	Summary: Suggestions:

[ Department/Public Body XYZ ] IM Legal and Regulatory Requirements	Oversight Entity	Description	Deputy Minister, CEO, etc. (head of public body)	ADM, VP, or other responsible for IM	Director or equivalent responsible for IM	ATIPP Coordinator or equivalent	Legal Counsel or equivalent	Other 1	Other 2	Individual
Management of Information Act http://www.assembly.nl.ca/Legislation/sr/statutes/m01-01.htm Section 6 A permanent head of a public body shall develop, implement and maintain a record management system for the creation, classification, retention, storage, maintenance, retrieval, preservation, protection, disposal and transfer of government records. A system required under subsection (1) shall provide for retention periods and disposition by destruction, or transfer to the archives, in accordance with the guidelines and schedules established by the Government Records Committee established under section 5.1. A permanent head of a public body shall ensure that the retention, disposal and removal of government records is carried out in accordance with this Act.	OCIO	Summary: Deputy Minister is responsible by operational delegation from Minister Suggestions: Director responsible for IM be formally delegated responsibility	X	X
Access to Information and Protection of Privacy Act, 2015 https://www.assembly.nl.ca/Legislation/sr/statutes/a01-2.htm Section 110 The head of a public body shall designate a person on the staff of the public body as the coordinator to receive and process requests made under this Act; co-ordinate responses to requests for approval by the head of the public body; communicate, on behalf of the public body, with applicants and third parties to requests throughout the process including the final response; educate staff of the public body about the applicable provisions of this Act; track requests made under this Act and the outcome of the request; prepare statistical reports on requests for the head of the public body; and carry out other duties as may be assigned. The head of a public body may delegate to a person on the staff of the public body a duty or power of the head under this Act.	JPS	Summary: Under this Act, the head of a public body has a number of responsibilities with respect to managing access to information and the protection of privacy: Suggestions: Director Responsible for IM, or Access and Privacy Coordinator (or ATIPP Coordinator), who reports to the Director responsible for IM	X	X	X
Information Management and Protection Policy https://www.gov.nl.ca/exec/ocio/files/im-im-ip-policy.pdf Section 8 – Roles and Responsibilities Government of Newfoundland and Labrador Departments and Public Bodies (“Government”) Comply with the Information Management and Protection policies, directives, standards and guidelines (except in cases where the Legislature or the Courts may be determined to be exempt). Comply with Section 6 of the Management of Information Act, which states: ‘a permanent head of a public body shall develop, implement and maintain a record management system.’ Develop departmental or organizational procedures complementary to the policies, directives, standards and guidelines. Government employees and contractors Comply with the Management of Information Act and the Access to Information and Protection of Privacy Act, 2015. Comply with the Information Management and Protection Policy.	OCIO	Summary: Roles and Responsibilities – GovNL Departments and Public Bodies Comply with the IM&P policies, directives, standards and guidelines (except in cases where the Legislature or the Courts may be determined to be exempt). Comply with Section 6 of the Management of Information Act, which states; ‘a permanent head of a public body shall develop, implement and maintain a record management system’. Develop departmental or organizational procedures complementary to the policies, directives, standards and guidelines. Suggestions: Director responsible for IM as well as “Employees”	X	X	X	X
Electronic Commerce Act https://assembly.nl.ca/Legislation/sr/statutes/e05-2.htm	SNL	Summary: This Act provides direction on the use and validity of electronic information, and is generally applicable across the GNL. Suggestions: If there are elements relevant to the department or other public body, it should be included in the organization’s IM policy instruments.	X	X	X
Business Electronic Filing Act https://assembly.nl.ca/Legislation/sr/statutes/b12.htm	SNL	Summary: This Act concerns the filing of electronic information for business purposes. It is applicable to departments and other public bodies who receive electronic submissions and filings. Suggestions: If there are elements relevant to the department or other public body, it should be included in the organization’s IM policy instruments.	X	X	X
Rooms Act	TCII	X	X	X
Transparency and Accountability Act	EC w/FIN
Evidence Act	JPS
Financial Administration Act	FIN w/EC
Public Procurement Act	PPA
Email Policy	OCIO	X	X	X	X
Instant Messaging Directive	OCIO	X	X	X	X
Acceptable Use of the Government Network and Information Technology Assets Directive	OCIO	X	X	X	X
Mobile Devices for Government Employees Directive	OCIO	X	X	X	X
Use of Non-Government Email Accounts for Work Purposes Directive	OCIO	X	X	X	X
Corporate Records and Information Management Standard (C-RIMS) Standard	OCIO	X	X	X	X
Records Retention and Disposal Schedules (RRDS) Standard	OCIO	X	X	X	X
One Time Disposal Standard	OCIO	X	X	X	X
+ Federal/Provincial Legislation
+ Federal/Provincial Regulations
+ GNL Policy Instruments (e.g., policy, directive, standard, procedure, etc.)
+ Contractual Requirements and Agreements (e.g., contract, information sharing agreements, memorandum of understanding, etc.)