City Forms Policy. Policy No. RIM107 Version 1.0. May 18, 2010 City Clerk s Office

Transcription

1 City Forms Policy Policy No. RIM107 Version 1.0 May 18, 2010 City Clerk s Office

2 Table of Contents 1. INTRODUCTION PURPOSE AUTHORITY AND BACKGROUND CORE PRINCIPLES POLICY STATEMENT APPLICATION AND SCOPE DEFINITIONS AUTHORITATIVE FORM CITY LOGO GRAPHIC IDENTIFIER PUBLIC SERVICE FORM FORM NOTICE OF COLLECTION STATEMENT RECORDS LEGISLATED FORM FORMS MANAGEMENT PROGRAM ROLES AND RESPONSIBILITIES CITY CLERK S OFFICE RECORDS AND INFORMATION MANAGEMENT (RIM) DIVISION HEADS BUSINESS UNIT CORPORATE ACCESS AND PRIVACY (CAP) LEGAL SERVICES WEB COMPETENCY CENTRE DESIGN, PRINT AND MAIL APPLICABLE LEGISLATION, POLICIES AND GUIDELINES POLICY APPROVAL AND REVIEW...10 Forms Policy Page 2

3 1. Introduction Forms are a part of everyday business life and are often the first point of contact for the public to access City services. Forms are the vehicle that carry information through business processes and require City-wide standards to ensure a consistent presentation for the public. 82% of Canadians surveyed ranked simplifying forms and reducing red tape as the number one customer priority for improving government service delivery... Citizens First, 2000 ( Forms management is a key facet of information management. Information management is the discipline of applying best practices, standards, and technology to ensure that information is properly managed throughout its lifecycle. The City of Toronto is establishing a Forms Management Program and accompanying Policy to ensure a disciplined and coordinated approach in managing the City of Toronto's forms. 2. Purpose This policy establishes requirements, accountability and responsibility for the management and use of the City s paper and electronic forms. 3. Authority and Background In 2007, the City completed a report called the Organizational Alignment Review of the City s Design, Web, Photo, Video and Pre-Press Services ( The scope of the report included a review of forms development and management within the City of Toronto. The review found that, The City currently does not have a forms management policy that addresses the privacy, record retention, corporate identity, and usability requirements for all City forms and outlines the necessary procedures related to managing a City form through its lifecycle. The report recommended that as a first priority the City Clerk, in consultation with the cluster financial administrative areas, Strategic Communications and other key internal stakeholders develop a forms policy for the organization. It also stated that, The City s Forms Policy should meet the recommendations and best practices outlined in the Canadian Forms Standards currently being developed by the Canadian General Standards Board. This policy takes into account recommendations on forms management based on best practices outlined in the CGSB Forms Management Standard - CAN/CGSB ( Forms Policy Page 3

4 4. Core Principles The following are the core principles of the City's vision for the management of its forms in a disciplined and coordinated manner: Compliance the collection of information, regardless of what channel is used to collect it, must be harmonized, user friendly, consistent and compliant with related legislation, policies and standards; Accountability all program areas and staff are responsible for their role in managing their forms; Quality a Forms Management Program will ensure forms are compliant, in good consistent quality, legible, appear in a professional manner adding value and integrity to the organization; Collaboration a coordinated model of forms management achieves cost savings, leverages technology and improves administrative; Information Management forms are a corporate asset and the effective management of forms contributes to the government s goal of strengthening its information management capacity; Authoritative - Properly designed, authoritative forms result in better data and information collection. Forms Policy Page 4

5 5. Policy Statement The management and use of City forms to support City's business will meet the following requirements: Forms shall satisfy a valid business need for information collected. The form shall only collect information that is necessary to accomplish the administrative and operations requirements of the City and its services; All City forms must comply with MFIPPA or PHIPA ; Not all City forms are required to have an approved Notice of Collection statement. A Notice of Collection Statement is required if the form collects personal information. In addition, forms that are collected under PHIPA (mostly Public Health forms) do not need the statement; All City forms must adhere to the Corporate Identity Program manual which provides guidelines for forms design: o All City forms shall use approved graphic identifiers (only when applicable); o All City forms shall use approved City logo(s); All online forms must be provided in an accessible format or formats that comply with City guidelines and standards. They must be clear, concise, logical and accessible to the greatest number of website users as required by the Ontario Human Rights Code and the Accessibility for Ontarians with Disabilities Act (AODA), and by applying Web accessibility guidelines established by the W3C (World Wide Web Consortium); o All City forms shall be available in all type of media (print and electronic) at all times. Divisional, program or business unit identifiers on public service forms are not permissible; o The City shall create and maintain an inventory and accessible central forms repository of all internal and public service forms; o The City shall designate key responsibilities to ensure that all forms are published in adherence to all requirements as outlined in this policy including legal, business, and legislative requirements; Wherever practical, use electronic forms to reduce costs associated with printing and storage; All forms shall align with City of Toronto green initiatives and the City's Environmentally Responsible Procurement Policy. Forms created by City staff are the property of the City of Toronto. Forms Policy Page 5

6 6. Application and Scope This policy applies to all City of Toronto divisions and employees of the City. The policy does not apply to legislated forms, and forms used by the City s Special Purpose Bodies. The policy applies to all City of Toronto forms used to collect and transmit information, regardless of format (including e-forms) or location, that are created, used, filed or retrieved (databases, file cabinets, database management systems, etc.). It establishes form requirements, including forms creation, privacy rules, records management rules, corporate identity, clear and plain language, and web content requirements. Within the scope of this policy, a form is a structured template or tool, irrespective of the media in which it appears, used to capture, compile, transmit, communicate and record specific business information that causes an action to occur as defined in the Definitions section. 7. Definitions 7.1 Authoritative Form Forms that are managed in the central forms repository the Forms Inventory Tool (FIT). 7.2 City Logo The logo consists of the symbol of City Hall combined with the Toronto watermark. 7.3 Graphic Identifier Other than the City logo, any graphic used to signify a governing body (division, business unit, sponsors). 7.4 Public Service Form A Public Service Form is a data collection tool that enables service provided or supported by a government or its agencies. Forms Policy Page 6

7 7.5 Form A structured template or tool, irrespective of the media in which it appears, used to capture, compile, transmit, communicate and record specific business information that causes an action to occur. CGSB Forms Management Standard - CAN/CGSB ( 7.6 Notice of Collection Statement A Notice of Collection Statement is the portion of the form which provides the user of the legal authority for the collection of information, the purposes for which the collected information is being collected, and provides the user with the contact information of an individual who may answer questions concerning the collection of the information. 7.7 Records A record means information however recorded or stored, whether in printed form, on film, by electronic means or otherwise, and includes documents, financial statements, minutes, accounts, correspondence, memoranda, plans, maps, drawings, photographs and films;. S. 3 of City of Toronto Act, Legislated Form A legislated form is a form with a format established and fixed by the level of government having legislative jurisdiction over the matter to which the form relates. Authority to effect any change to such a form rests with the government entity that holds the legal authority to establish the form. 7.9 Forms Management Program The practices and procedures for the continuing, systematic review, and control of all forms and related procedures. CGSB Forms Management Standard - CAN/CGSB ( Forms Policy Page 7

8 8. Roles and Responsibilities 8.1 City Clerk s Office The City Clerk s Office is responsible for ensuring the mandatory requirements of this policy. 8.2 Records and Information Management (RIM) The Director of RIM will be responsible for: 1. Providing leadership and support to staff on the Forms Management Program and procedures; 2. Ensuring the City Forms Policy and the Forms Management Program operates within its mandate and remains current; 3. Validating accurate Notice of Collection Statements in consultation with Corporate Access and Privacy (CAP); 4. Ensuring a record class is assigned to all internal and external forms so they can be managed through all the stages of the lifecycle, from planning to disposition; 5. Ensuring authoritative forms are available in the Central Forms Repository; 6. Maintaining and recommending improvements on the Central Forms Repository, including the forms source files and metadata; 7. Providing advice and recommendations on forms design; 8. Reviewing and assessing the business unit s requirements for a new or revised form; 9. Ensuring when creating paper or electronic versions of forms, they comply with the City Forms Policy as outlined in this document; 10. Complying with the Corporate Identity Program standards; 11. Ensuring all forms are approved by an appropriate authority within the business unit i.e. manager or supervisor level; 12. Ensuring that all forms legislative and regulatory obligations are met; Forms Policy Page 8

9 13. Consulting with the appropriate compliance offices; 14. Ensuring public service forms are reviewed and posted on the City's internet site. 8.3 Division Heads 1. Division Heads are responsible to confirm approval of new public service, and where applicable, internal forms, to the Forms Management Program; 2. Prior to confirming approval to the Forms Management Program, Division Heads shall ensure confirmation of the accuracy of information to be supplied regarding legal authority and purpose for the information collection, requesting Legal Services provide analysis and consultation as required, and shall ensure identification of a person able to answer questions about the collection. 3. Division Heads are responsible to ensure tracking and documentation of legal authority, and where available legal analysis, for all business operations in support of forms management. 8.4 Business Unit Business units are responsible to advise the Director of RIM of any revisions or new forms within their business unit. 8.5 Corporate Access and Privacy (CAP) 1. CAP will review privacy compliance for all forms sent to the Forms Management Program and will make recommendations to the Forms Analyst. 2. CAP will review the Notice of Collection related information that Divisional staff provide to the Forms Analyst for forms that collect personal information. CAP will be responsible to conduct further inquiry with Divisional staff if unable to verify accuracy or if information is incomplete. CAP will then develop a recommended Notice of Collection statement for the Forms Analyst. 8.6 Legal Services 1. Provide legal analysis and consultation to Divisions as per current practice. 2. Divisional Legal representatives will consult on access and privacy issues as required with CAP staff and CAP's Legal representative. Forms Policy Page 9

10 8.7 Web Competency Centre Web management is responsible for posting public use forms on City's internet site by using link/file source from authoritative source, the forms inventory tool, (FIT). 8.8 Design, Print and Mail Design, Print and Mail will create and update form templates as required as part of the Corporate Identity Program manual, which provides standards for most common applications under the City of Toronto Corporate Identity Program. The Design, Print and Mail unit will assess form printing requests submitted to them and provide expert advice to business units on their printing needs: 9. Applicable Legislation, Policies and Guidelines City of Toronto Act, 2006: Corporate Identity Program: Human Rights Code, Accessibility for Ontarians with Disabilities Act : Acceptable Use Policy Records retention Bylaws Records Classification Standard Municipal Freedom of Information and Protection of Privacy Act Personal Health Information Protection Act Personal Information Protection and Electronic Documents Act Privacy Guidelines $file/privacy%20guidelines.pdf 10. Policy Approval and Review This policy is reviewed yearly or sooner if necessary. Approval follows the process in effect at the time of review. Forms Policy Page 10