Technical Competency Framework

for Information Management (IM)

Office of the Chief Information Officer (OCIO)

June 15, 2009

Table of contents

IM Competency Framework ............................................................................................................................................................... 1

Competency 1: Information Management (IM) Practices.................................................................................................................. 3

Competency 2: Risk Management Competencies ............................................................................................................................ 7

Competency 3: Information Protection (IP) and Security Competencies........................................................................................... 10

Competency 4: Information Technology (IT) Competencies ........................................................................................................... 12

IM Competency Framework Final

IM Competency Framework

The framework contains four technical competencies, which are specific behaviours and skills that are generally relevant to all
Information Management (IM) positions irrespective of department/division/branch, work function and position.

The framework contains the following four competencies. These competencies have been adopted and modified from ARMA
International and industry research as well as internal focus groups and interviews to address the competency needs within the
Government of Newfoundland and Labrador.

• Information Management Practices: Knowledge and skills required to systematically manage information from creation or
receipt through processing, distribution, organization, storage and retrieval and disposition.

• Risk Management: Knowledge and skills necessary to proactively mitigate and manage the potential for damage or loss of
records and information.

• Information Protection (IP) Practices: Knowledge and skills required to manage the security, protection and integrity of
information, as well as the associated risks.

• Information Technology: Knowledge and skills necessary to develop, maintain, and use information processing systems,
software applications, supporting hardware and networks for the processing and distribution of data.

• Leadership and/or Management Competencies: http://www.intranet.gov.nl.ca/learning/lmdcourses.asp): The knowledge,

skills, and abilities necessary to successful performance as a leader and manager regardless of your department.

Each competency has several behavioural indicators associated with it which describe what the competency looks like in
practice. The indicators reflect the behaviours within the six newly classified IM positions. These include:

• IM Technician I;
• IM Technician II;
• IM Technician III;
• ECM Coordinator;
• IM Analyst; and
• Senior IM Analyst.

The behavioural indicators typically vary by position and level within the framework. The behaviours associated with a particular
position are generally cumulative of the behaviours associated with the position in a previous level within the same job family.

IM Competency Framework Final 1

The following table provides an overview of positions and the associated classification level.

IM Technician IM Technician ECM Senior IM

Level IM Technician I IM Analyst
II III Coordinator Analyst
Provides technical, Provides advanced Provides advanced Provides technical, Advisory and Advanced advisory
IM and technical, IM and technical, IM and advisory, analytical analytical and analytical
administrative administrative administrative and IM work professional professional
support support. Provides support. Provides
Overview supervision and
work flow
coordination, guidance to
guidance and/or employees
direction
Classification
GS-23 GS-28 GS-32 GS-34 GS-38 GS-40
Level

The following IM Technical Competency Profile diagram provides an overview of the competencies that are described in the
framework to follow.

4: Information
1: IM Practices 2: Risk Management 3: IP Practices 5. Core Competencies
Technology

IM Policy Development and
Application
IM Operational Processes
Organize, Analyze and
Evaluate Data and/or
Processes
Disaster Recovery Security Procedures Utilizing IT See Leadership and
Management Development
Maintain, Protect and Policy Development and Software Applications Strategy for Core
Preserve Information Application Competencies
Reprographics and Imaging
Risk Assessment / Audit Compliance Equipment

Manage IM Resource Tools

Knowledge Transfer

IM Competency Framework Final 2

Competency 1: Information Management (IM) Practices

1. IM Policy Development and Implementation: This competency includes the knowledge needed to support, develop,
implement and monitor IM policy, legislation and standards.

2. IM Operational Processes: This competency includes a wide range of behaviours from the implementation of existing
process to the development and management of these processes.

3. Organize, Analyze and Evaluate Data and/or Processes: This competency includes the ability to identify information needs,
analyze those needs, and recommend solutions that address users and/or department needs. It also includes the statistical
knowledge needed in analyzing and evaluating departmental IM needs.

4. Manage IM Tools and Resources: This competency includes the management and / or use of IM tools and resources. Tools
and resources include the system applications used to manage department information.

5. Knowledge Transfer: This competency includes various behaviours needed for informational exchange within IM positions.
Included in this competency, but not limited to, is coaching, classroom training, e-learning and desk-side support.

The following table provides a more detailed description of the information management practices needed within each IM
position.

Competency 1: Information Management Practices

IM Technician I IM Technician II IM Technician III ECM Coordinator IM Analyst Senior IM Analyst

1. IM Policy Demonstrate their Demonstrate their Demonstrate their Demonstrate their Demonstrate their Demonstrate their
Development knowledge of IM knowledge of IM knowledge of IM knowledge of IM knowledge of IM knowledge of IM
and policies, policies, procedures, policies, procedures, policies, procedures, policies, procedures, policies, procedures,
Implementation procedures, practices and practices and practices and practices and practices and
practices and legislation by: legislation by: legislation by: legislation by: legislation by:
legislation by: • Maintaining • Maintaining • Implementing • Developing, • Providing strategic
• Applying policies operational operational system policies recommending, direction on the
and procedures procedures procedures that ensure implementing and development, and
• Participating in • Maintaining • Supervising the consistency in administering IM implementation of
the maintenance policies and implementation of practice policies and IM policies and
of policies and procedures policies procedures procedures
procedures • Identifying • Updating policies • Ensuring best • Ensuring best
challenges within and procedures practices are practices are
IM and compliance with management applied when applied when
with legislation creating IM creating IM
policies policies
• Perceiving and
analyzing IM
policies

IM Competency Framework Final 3

Competency 1: Information Management Practices

IM Technician I IM Technician II IM Technician III ECM Coordinator IM Analyst Senior IM Analyst

2. IM Operational Demonstrate their Demonstrate their Demonstrate their Demonstrate their Demonstrate their Demonstrate their
Processes knowledge of knowledge of knowledge of knowledge of knowledge of knowledge of
classification, classification, classification, classification, classification, classification,
retention, and retention, and retention, and retention, and retention, and retention, and
disposal processes disposal processes disposal processes disposal processes disposal processes disposal processes
by: by: by: by: by: by:
• Ensuring • Sorting, • Ensuring efficient • Maintaining the • Providing • Providing
accurate classifying and operations of the configuration supervisory, supervisory,
application of the coding materials Records Centre/ elements for these advisory and advisory and
processing of • Performing Information processes consultative consultative
information departmental Service Centre (designing, services services
• Maintaining the requests • Sorting, developing, • Acting as the • Acting as the
physical • Locating and classifying and implementing and subject matter subject matter
condition of disseminating coding materials maintaining) expert for the expert for the
records records in • Performing department department
• Adhering to the accordance with departmental • Planning, • Leading and
process of departmental IM requests recommending, coordinating the
transferring policies • Participating in the implementing and planning,
records • Maintaining the development of monitoring the development and
records and the classification, processes implementation
information retention and • Working with • Working with
repository disposal plan for employees and employees and
integrity the department management in management in
• Ensuring ensuring the ensuring the
thoroughness of Supervising the integration of best integration of best
records and report Record Centre/ practices into the practices into the
findings Information Service operations and operations and
• Performing Centre employees work flow work flow
physical file and oversee its
maintenance operations The ability to provide
strategic direction on
IM departmental
process

IM Competency Framework Final 4

Competency 1: Information Management Practices

IM Technician I IM Technician II IM Technician III ECM Coordinator IM Analyst Senior IM Analyst

3. Organize, • Ability to analyze • Ability to analyze • Ability to analyze • Ability to analyze
• Ability to conduct • Leading and
Analyze and and evaluate end and evaluate end and evaluate end and evaluate end research and conducting
Evaluate Data user needs for user needs for user needs for user needs for analysis to provide specialized
and/or information information information information departmental research and
Processes • Ability to locate • Ability to locate • Ability to locate • Ability to develop recommendations analysis to provide
and disseminate and disseminate and disseminate and maintain key on IM best strategic
records in records in records in configuration practices recommendations
accordance with accordance with accordance with elements of ECM • Ability to analyze to departmental
departmental IM departmental IM departmental IM system and evaluate IM processes
policies policies policies • Ability to develop usage and audit • Ability to analyze
• Ability to identify • Ability to identify • Ability to identify and implement reports in order to and evaluate
and correct and correct and correct metadata ensure efficiencies usage and audit
discrepancies in discrepancies in discrepancies in standards in work flow and reports in order to
records / records / records / • Ability to analyze create ensure efficiencies
information information information and evaluate recommendations in work flow and
• Ability to identify • Ability to identify usage and audit • Statistical create
issues that impact issues that impact reports in order toknowledge in the recommendations
efficient IM efficient IM ensure efficienciesarea of IM for • Ability to develop
processes and processes and in work flow and reports to and evaluate
report to report to create management and statistical reports
management management recommendations troubleshooting for management
• Statistical • Statistical and executive
knowledge in the knowledge in the review
area of IM area of IM for • Ability to
reports to recommend and
management and implement
troubleshooting strategic IM
decisions and
solutions
4. Manage IM Tools • Ability to • Ability to • Ability to • Ability to • Demonstrates the • Demonstrates the
and Resources effectively use effectively use IM effectively use and effectively use and ability to provide ability to provide
IM tools and tools and apply IM tools provide guidance advisory and advisory and
resources resources. This and resources on the use of IM consultative consultative
includes the ability • Ability to provide tools and services in the services in the
to collect and guidance to resources design, design,
provide management • Ability to lead the development, development,
transactional data related to the design, implementation, implementation,
to management procurement and development, maintenance and maintenance and
budget process for implementation enhancement of enhancement of
IM tools and and maintenance IM systems IM systems
resources of IM systems • Ability to prepare • Ability to prepare
and monitor a and monitor a
budget for the IM budget for the IM
and IP program and IP program
within the within the
department department

IM Competency Framework Final 5

Competency 1: Information Management Practices

IM Technician I IM Technician II IM Technician III ECM Coordinator IM Analyst Senior IM Analyst

5. Knowledge • Ability to provide • Ability to provide • Ability to provide • Ability to create • Ability to provide • Ability to provide
Transfer IM process IM process IM process and update advisory and advisory and
knowledge to knowledge to knowledge to manuals and consultative consultative
departmental departmental departmental guides for services services
clients clients clients employees on the • Ability to develop • Demonstrates the
• Ability to provide • Ability to lead and functionality and education ability to lead the
guidance and provide process process of ECM manuals, deliver development of
orientation to and technology system(s) seminars/ training the educational/
employees training and • Ability to lead and sessions training
orientation to provide training component of the
employees and support IM program
employees on the • Ability to provide
ECM system(s) guidance/
• Ability to interact coaching to
with system users employees
to provide support • Proactive in
and advice establishing
committees/
working groups as
required to obtain
input on IM
processes
• Ability to
communicate
legislation
expertise to the
department

IM Competency Framework Final 6

Competency 2: Risk Management Competencies

1. Disaster Recovery: This competency includes the ability to support, develop, implement and evaluate disaster recovery
plan as they relate to the management of information.

2. Maintain, Protect and Preserve Information: This competency includes the maintenance, protection and preservation of
information by compliance with relevant Government legislation and policies including the Management of Information and
Protection of Privacy Act and Access to Information Protection Act.

3. Risk Assessment / Audit: This competency includes the ability to implement established audit and quality controls, as well
as the ability to define, assess, analyze, recommend, implement, evaluate and monitor those controls.

The following table provides a more detailed description of the risk management competencies needed within each IM position.

Competency 2: Risk Management

IM Technician I IM Technician II IM Technician III ECM Coordinator IM Analyst Senior IM Analyst

1. Disaster • Demonstrate the • Demonstrate the • Demonstrate the • Ability to develop • Ability to develop • Ability to develop
Recovery ability to apply ability to apply ability to apply creative policies creative policies creative policies
knowledge of the knowledge of and knowledge of and and procedures for and procedures for and procedures for
disaster recovery implement implement the disaster the IM disaster the IM disaster
plan elements of the elements of the recovery plan for recovery plan recovery plan
disaster recovery disaster recovery an ECM system • Ability to apply • Ability to apply
plan plan innovative innovative
• Lead a team in solutions to solutions to
creative disaster challenges and challenges and
recovery response problems problems
• Ability to evaluate
the IM disaster
recovery plan

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Competency 2: Risk Management

IM Technician I IM Technician II IM Technician III ECM Coordinator IM Analyst Senior IM Analyst

2. Maintain, • Ability to identify • Ability to identify • Ability to execute • Ability to design, • Ability to develop • Ability to develop
Protect, and sensitivity levels sensitivity levels and supervise implement and creative creative
Preserve and access control and access control procedures to maintain system procedures to procedures to
Information for managing for managing maintain, protect protocols for maintain, protect, maintain, protect,
information information and preserve maintaining, and preserve and preserve
information protecting and information information
preserving • Knowledge in • Knowledge in
information protection and protection and
preservation preservation
solutions solutions
• Ability to support • Ability to prepare
highly confidential highly confidential
documentation for documentation for
management and management and
executive review executive review
• Ability to evaluate
the approach for
the preservation
and maintenance
of information
• Ability to create
strategies to
maintain, protect,
and preserve
information

IM Competency Framework Final 8

Competency 2: Risk Management

IM Technician I IM Technician II IM Technician III ECM Coordinator IM Analyst Senior IM Analyst

3. Risk • Ability to ensure • Ability to ensure • Ability to ensure • Auditing • Auditing • Auditing
Assessment/ quality assurance quality assurance quality assurance knowledge in the knowledge in the knowledge in the
Audit is maintained at is maintained at is maintained at area of IM for area of IM for area of IM for
all times through all times through all times through troubleshooting troubleshooting troubleshooting
the the the system protocols system protocols system protocols
implementation of implementation of implementation of and performing and performing and performing
established audit established audit established audit risk assessments risk assessments risk assessments
controls controls controls to address to address to address
• Knowledge of potential liabilities potential liabilities potential liabilities
auditing processes • Ability to work • Ability to perceive • Ability to perceive
in the area of IM with management and analyze and analyze
in performing an processes and processes and
IM assessment to procedures, procedures,
ensure data analyze analyze
integrity and alternatives for alternatives for
security. potential benefits potential benefits
• Ability to develop and risks, and risks,
audit and recommend and recommend and
assessment implement implement
reports decisions and decisions and
solutions solutions
• Ability to develop • Ability to develop
audit and audit and
assessment assessment
reports reports

IM Competency Framework Final 9

Competency 3: Information Protection (IP) and Security Competencies

1. Information Protection (IP) and Security Procedures: This competency includes the skills necessary to protect and secure
information.

2. IP and Security Policy Development and Application: This competency includes the knowledge needed to support, develop,
implement and monitor IP and security policy, legislation and standards.

3. Compliance: This competency includes various behaviours needed for compliance to IP and security policies and procedures
within Government’s IM positions.

The following table provides a more detailed description of the risk management competencies needed within each IM position.

Competency 3: Information Protection and Security

IM Technician I IM Technician II IM Technician III ECM Coordinator IM Analyst Senior IM Analyst

1. Information • Ability to • Ability to • Ability to • Ability to design • Ability to provide • Ability to provide
Protection (IP) implement IP and implement IP and implement IP and and administer the recommendations strategic
and Security security protocols security protocols security protocols security of IM to management recommendations
Procedures systems on IP and security to management
• Ability to advise IT procedures on IP and security
on IP and security procedures
protocols for
system design and
maintenance
2. IP and Security • Ability to • Ability to • Ability to • Ability to • Ability to develop, • Ability to initiate,
Policy implement IP and implement IP and implement IP and implement IP and recommend, lead and
Development security policies, security policies, security policies, security policies, implement, coordinate the
and Application procedures, procedures, practices and practices and administer and development,
practices and practices and legislation and legislation and monitor IP and implementation
legislation legislation ability to maintain ability to maintain security policies and maintenance
operational operational and procedures of IP and security
procedures procedures policies and
• Ability to develop, procedures
recommend and • Ability to provide
implement system IP and security
policy to ensure strategic
adherence to IP recommendations
and security to management
policies and
consistency in
practice

IM Competency Framework Final 10

Competency 3: Information Protection and Security

IM Technician I IM Technician II IM Technician III ECM Coordinator IM Analyst Senior IM Analyst

3. Compliance • Demonstrates • Demonstrates • Demonstrates • Demonstrates • Demonstrates • Demonstrates
compliance with IP compliance with IP compliance with IP compliance with IP compliance with IP compliance with IP
and security and security and security and security and security and security
policies and policies and policies and policies and policies and policies and
procedures and procedures and procedures and procedures and procedures and procedures and
the ability to the ability to the ability to the ability to the ability to the ability to
transfer transfer transfer transfer transfer transfer
knowledge to knowledge to knowledge to knowledge to knowledge to knowledge to
department users department users department users department users department users department users
• Ability to support
Privacy Impact
Assessments (PIA)
and Privacy
Capacity checks
and monitor all
issues identified

IM Competency Framework Final 11

Competency 4: Information Technology (IT) Competencies

1. Utilizing IT: This competency includes the knowledge and skills necessary within the IM position to effectively use, design,
develop, implement and / or maintain IT.

2. Software Applications: This competency includes the knowledge and skills necessary within the IM position to effectively
use, design, develop, implement and / or maintain IM software applications.

3. Reprographics, Imaging and Other Office Equipment: This competency includes various behaviours needed for compliance
to IP and security policies and procedures within Government’s IM positions.

The following table provides a more detailed description of the risk management competencies needed within each IM position.

Competency 4: Information Technology

IM Technician I IM Technician II IM Technician III ECM Coordinator IM Analyst Senior IM Analyst

1. Utilizing IT • Demonstrate • Demonstrate • Demonstrate • Ability to manage • Demonstrate • Demonstrate
ability to utilize ability to utilize ability to utilize and utilize ability to utilize ability to utilize
technology technology technology technology technology technology
effectively in effectively in effectively in effectively in effectively in effectively in
support of a support of a support of a support of a support of a support of a
records and records and records and records and records and records and
information information information information information information
management management management management management management
program program program program program program
• Ability to consult • Ability to consult • Ability to consult
with IT with IT with IT
employees on the employees on the employees on the
development and development and development and
maintenance of maintenance of maintenance of
IM systems IM systems IM systems
• Ability to manage • Ability to manage • Ability to lead the
the development the development development and
and maintenance and maintenance maintenance of
of IM systems of IM systems IM systems

IM Competency Framework Final 12

Competency 4: Information Technology

IM Technician I IM Technician II IM Technician III ECM Coordinator IM Analyst Senior IM Analyst

2. Software • Knowledge of IM • Knowledge of IM • Knowledge of IM • Knowledge of IM • Knowledge of IM • Knowledge of IM
Applications software software software software software software
applications applications applications. applications for applications applications
• Ability to use • Ability to use • Ability to use set up, design, relevant to relevant to
systems to systems to systems to configuration and records and records and
research, identify research, identify research, identify maintenance information information
and compile and compile and compile • Ability to lead the systems systems
records records records for development, • Ability to plan • Ability to provide
management implementation and coordinate a strategic direction
reports and daily departmental IM and coordination
operations of a system for a
department’s • Ability to develop, departmental IM
ECM system maintain, provide system
• Ability to manage advisory/ • Ability to develop,
the development consultative maintain, provide
and maintenance services and advisory/
of an ECM system manage the consultative
• Ability to provide selection, design, services and lead
advisory and modification, and the selection,
consultative maintenance of design,
services in the IM systems modification, and
maintenance of maintenance of
an ECM system IM systems
3. Reprographics, • Ability to operate • Ability to provide • Ability to provide • Ability to plan • Ability to assess • Ability to assess
Imaging and reprographic, supervision for supervision for and coordinate current current
Other Office imaging and the operations of the operations office equipment environment and environment and
Equipment other office reprographic, and budgetary needs provide provide strategic
equipment for IM imaging and recommendations • Ability to assess recommendation recommendation
needs other office for the current for future needs for future needs
equipment procurement of environment and • Ability to manage • Ability to manage
reprographic, provide budget budget
imaging and recommendation
other office for future needs
equipment

IM Competency Framework Final 13