TOMRMS Implementation Strategy · Ontario (AMCTO) and is a records retention schedule that describes and identifies the Municipality’s Official and Corporate records, as either

RecordsManagementManual&TOMRMSImplementationStrategy 2015

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RECORDS MANAGEMENT MANUAL AND

TOMRMS IMPLEMENTATION STRATEGY

Township of South‐West Oxford

Clerk’s Department

Authored by: Lisa VanderWallen

November 2015


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Table of Contents:

DESCRIPTION PAGE

INTRODUCTION 3

TOMRMS – THE ONTARIO MUNICIPAL RECORDS MANAGEMENT SYSTEM: 3

RECORDS – KEEP IT OR PITCH IT FLOW CHART 4

SITUATIONAL ANALYSIS –TOWNSHIP RECORDS: 5

IMPLEMENTATION OF TOMRMS SYSTEM 7

STAFF TRAINING 7

CORRESPONDENCE DECISION TREE 9

PHASE 1: COMPREHENSIVE ORGANIZATION OF PHYSICAL FILES 10

STANDARDIZED LABELS AND CONSISTENT FILE NAMES 10

END TAB FILE FOLDER SAMPLE 11

PHASE 2: CONVERTING EXISTING PHYSICAL RECORDS TO ELECTRONIC FORMAT 12

STRATEGY A: INPUTTING NEWLY CREATED DOCUMENTS IN ELECTRONIC FOMAT

AND ORGAZING INCOMING INFORMATION

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STRATEGY B: MANUALLY SCANNING EXISING FILES INTO AN ELECTRONIC STORAGE

SYSTEM AND DATABASE

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LASERFICHE ELECTRONICS MANAGEMENT BASIC PRINCIPLES 16

SCHEDULE A – RECORDS DISPOSITION CONSENT FORM 18

SCHEDULE B – RECORDS RETENTION AND LOCATIONS 19


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INTRODUCTION:

Required to support prompt and effective decision making, guard against legal, financial, and other

external interests, and critical to the operational and service delivery needs of the Township of South‐

West Oxford, a corporate wide records management system ensures that the municipality complies with

the requirements of the Municipal Act, Municipal Freedom of Information and Protection of Privacy Act

(MFIPPA), Personal Information Protection and Electronic Documents Act (PIPEDA) and any other

policies and legislation. Conceived as a mechanism to help staff implement a standard method to

manage corporate information in a secure and efficient manner, the records management manual and

TOMRMS Implementation strategy aims to provide clear direction to all staff in the corporation and

communicate the records management principles underlying the transmission of information through

the municipality. Questions regarding records management can be resolved by staff via the records

management manual and implementation strategy, however the Clerk is available to be contacted for

advice concerning various tenets of archival preservation and records management.

TOMRMS – THE ONTARIO MUNICIPAL RECORDS MANAGEMENT SYSTEM:

The Ontario Municipal Records Management System (TOMRMS) is a complete system for managing

paper and digital records and has been used by hundreds of municipalities in Ontario since 1990.

TOMRMS was developed in conjunction with the Association of Municipal Clerks and Treasurers of

Ontario (AMCTO) and is a records retention schedule that describes and identifies the Municipality’s

Official and Corporate records, as either temporary or permanent, and provides specific, mandatory

legislated instructions for the disposition of the records when they are no longer needed for current

Municipal business.

Adopted as part of the Municipality’s Record Retention By‐Law (No. 69‐2013), the Township has

provisions in place for retention periods for records and records disposition approved by Council and the

municipal auditors.

Given that the Records Retention By‐Law has already been passed, implementing TOMRMS across the

Township will involve a multi‐phased process consisting of two main steps. Considering that the

municipality has a hybrid filing system (records that are both physical and electronic), the organization

of files must address these two file types in concurrent phases. The first phase is classifying and

organizing physical records and the second phase is digitizing and categorizing all of these records.

Municipal staff must classify/code records with TOMRMS categories to determine whether the records

are temporary or permanent and how long the records must be retained before destruction or transfer,

in order to ensure efficient accessibility and viable transparency. The first step in assessing a document

is determining whether it is actually a record of the municipality, or if it is a transitory record, pursuant

to the Township’s Records Retention By‐Law.

While the process of initial analysis of a record can be a nuanced exercise, in its simplest form,

documents can be classified as either transitory/temporary records or official records following the

simplified flow chart below:


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Records: Keep it or Pitch it?

Step 1:

Is the record necessary for legal, financial, operational, historical or archival requirements?

OR

Does the record provide evidence of business activity, decision or transaction related to the functions and activities of the Township?

OR

Does the record protect the rights of the citizens and the Township?

Step 2:

Does it contain information that is only of immediate or short-term reference value and won’t be required in the future?

OR

Is it a duplicate (or cc) that was circulated to you for reference purposes and the master of the record been filed?

OR

Is it a draft version of a record that will have no further value once updated or when the final version of the record is produced?

It is an OFFICIAL Record: Keep it! Code & File it.

Yes

YesNo

No

It is a TEMPORARY Record: Pitch it!

Official Records (code and file these records) Records that have ongoing value or are necessary for legal, financial, operational, historical and other official requirements including:

all advice, recommendations and decisions along with complete supporting documentation.

interactions with clients, consultants, vendors,

partners, agents, etc. except those restricted to routine directions and advice.

legal agreements of any kind along with complete

supporting documentation.

any work done for the Township by consultants and others.

all policy and planning activities.

any transactions where payment is made and

services delivered or obligations incurred.

Temporary Records (discard these records after use) Records that have only temporary value:

miscellaneous notices or memoranda, such as “All Staff” e-mails, messages on upcoming special events, or memos on minor administrative details.

multiple copies of materials.

preliminaries drafts of letters, memoranda, reports,

etc. which do not form significant stages in the preparation of the final document.

duplicate copies of documents retained only for

distribution or convenience e.g. multiple copies of reports or memos.

personal messages or simple phone messages

e.g. “Let’s meet for lunch” or “Please return call…”.

publications e.g. administrative manuals, directories, catalogues, newsletter, pamphlets, periodicals.

unsolicited advertising e.g. brochures, flyers, etc.


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Once documents are classified as temporary (or transitory) records, they can be destroyed immediately

since they do not have any legal, financial, operational, historical, or archival value to the municipality.

All staff members are permitted to destroy transitory records without prior approval from department

heads and records of the transitory document disposition are not required pursuant to the Records

Retention By‐law.

Disposition of Official Records must comply with Section 4 of By‐law 69‐2013, which mandates the

Principles Governing the Destruction of Records. Among other conditions, according to the provisions in

the by‐law, in the simplest form, records cannot be destroyed until they are classified under the by‐law

and the retention period has expired. On top of documents being classified and passing their retention

period, there is a requirement for the Clerk to retain destruction notices for all disposed records. To

meet this provision of the By‐Law, the form established in Schedule A, Record Disposition Consent

Form of this policy shall be completed for all records to be destroyed in the Township.

Section 5 of By‐Law 69‐2013 sets out the procedures for the destruction of records and this policy serves

as an accompanying guide to meeting the provisions of the By‐Law. For the destruction of records, the

By‐Law explains that records, having met their disposition date, must be destroyed following a distinct

process: the Clerk (or designate) shall notify the appropriate signing authority (department head

responsible for record) in writing of the scheduled destruction date and include a list of records to be

disposed. The requirement of the By‐Law is met for paper records so long as these forms are retained

and disposition of records is completed by the appropriate approval authority, as determined by the

records retention by‐law.

TOMRMS records schedules are reviewed annually and updated as necessary. Staff must annually

review their departmental retention schedules and advise the Clerk’s Office of requested schedule

revisions.

SITUATIONAL ANALYSIS –TOWNSHIP RECORDS:

Like many small municipalities, the Township of South‐West Oxford has limited personnel in terms of

numbers, meaning that employees are required to be flexible and take on many roles. Often finding

time management spread across various time sensitive priorities, keeping records can be an item that is

not prioritized by Township staff, leading to inefficiencies later when staff is trying to locate a document.

Organizing information is a complex process and each individual may adopt a different system for

cataloguing and tracking information. Without a corporate wide adopted records retention manual and

strategy, information across the Township has been filed differently for each department. Personnel

changes within individual departments mean that continuity of cataloguing systems has not been

maintained.

Adopting the records management manual and complying with the records retention by‐law will mean

that the municipality has a corporate wide implementation and use of a single filing system (TOMRMS)

and is more easily able to respond to information requests made under the Municipal Freedom of

Information and Privacy Protection Act (MFIPPA), thereby avoiding potential litigation.


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As a starting point for the implementation strategy, the situational analysis of the Township’s record

keeping processes begins by looking at the existing strengths and weaknesses (internal factors within

the organization) and the opportunities and threats (external factors).

Strengths:

‐ As a key strength, the municipality has already passed a Records Retention By‐Law, which

included approval by both council and the municipal auditor. Having a comprehensive by‐law is

a critical first step in providing for a system of records management.

‐ Another strength is that the Township is a small municipality with a small staff so

communicating the plan is easy and end user training is achievable in the short term without the

use of external consultants or significant additional costs. Further, with a small staff, it is easier

to get all members to commit to the regulations of the by‐law.

‐ The municipality already has purchased sophisticated records management software

(Laserfiche), which is installed on end user computers and is set up for use by all staff members.

‐ Another strength at the Township is that there is a strong corporate history of preserving

records for many years and staff is well aware of the legislative requirements for retaining

corporate records.

‐ Critically, there is strong support from senior management and council to implement the tenets

in the records retention by‐law and a push towards digitizing documents to expedite locating

and using documents for operational purposes.

Weaknesses:

‐ Previous technologies did not allow for easy digitization of files, so the majority of records are

currently only in paper format, meaning that the information is not easily available in a database

for searching and the organization is inconsistent across different departments.

‐ With paper filing and different organization methods for each department unit, duplication of

files is common and version control can be problematic.

‐ Under the previous legislation, the ability to destroy records of the municipality was more

limited, so there are many outdated files that can be destroyed which creates a backlog for

space. The municipal offices are small, so having enough space for adequate storage and

archiving is critical.

‐ Having a small staff can mean that adding records management on top of additional

responsibilities can be taxing. All staff at the Township needs to complete records management

whereas larger organizations have personnel dedicated solely to records management.

Opportunities:

‐ A very critical external opportunity is the information technology support offered from the

County of Oxford. Staff members at the County of Oxford have undergone similar records

retention implementation systems and are very cooperative and willing to offer support,

especially in information technology facets.


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‐ Since many municipalities across the province are using the TOMRMS system, there is a wealth

of support through different professional organizations (AMO, AMCTO) and also through a

Clerks information sharing group.

‐ Many other municipalities in Oxford County are using Laserfiche & TOMRMS and have organized

a support group that meets quarterly to help with troubleshooting and searching innovating and

efficient ways to practice good records management.

Threats:

‐ Municipalities are now responsible for providing more services and the complexity of services

means that keeping records is critically important but more difficult. Changing legislation for

preserving records related to this complexity may mean that the records retention By‐law and

TOMRMS system need constant review.

‐ There is a growing emphasis on transparency and accountability in municipal governance

operations and municipalities are facing increased volume in terms of access to information

requests. The Township should be prepared for this reality.

‐ With an increasingly litigious society, the municipality should be prepared to defend against any

possible claims brought against the Township. Having properly maintained records is an

important guard against this external threat.

Implementation of TOMRMS System

A critical part of protecting the municipality against potential liability is the accurate protection and

retention of permanent files alongside an effective organization system to enable quick retrieval. Under

legislative requirements to access to information, the Township may be required to provide documents

and release them to the public within specific mandated timelines. Under the current record

organization structure, locating the files requested could take too long, making the Township possibly

liable to fines and other sanctions. From an operational perspective, organizing information in a

coherent and consistent way can help improve efficiencies. A benefit of implementing a corporate wide

record organization and retention system is that all staff members know the location of all files to aid

with retrieval while also ensuring that all filing is consistent. Schedule A outlines the proposed location

for paper versions of all files, to be amended as space limitations mean necessary changes.

On top of mandating the location of the paper files, this policy also aims to standardize the filing system,

so that all paper files have the same consistent filing mechanism across the entire corporation. The

TOMRMS filing system used across Ontario includes a standard to be easily implemented in the

Township of South‐West Oxford.

Staff Training:

Prior to working with sophisticated software and digitizing documents, staff must first understand the

principles of the TOMRMS system and the regulations for records disposition and organization of the


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records retention by‐law. Staff training for TOMRMS involved an interactive process and various

exercises brought to the biweekly meeting of office staff.

A TOMRMS activity box was presented to all office staff at their meeting on March 13, 2015 with

direction for four different activities to be completed to teach different elements of the retention by‐law

and TOMRMS system.

A first activity for all staff was to have them identify transitory records that are in their department.

Information was provided to teach all members of staff about the qualities that make a record transitory

compared to an official record. Staff was instructed to place these transitory records into a red file to be

brought back to the next meeting so that they could share the types of files that they identified as

transitory with the rest of the group.

A second activity provided staff members with blank legal pocket files and encouraged staff to create

three files using the TOMRMS system and using the correct stickers and labels for filing. Again, staff was

directed to make these files as part of their everyday operations of file creation and was asked to bring

them to the next meeting for sharing.

A third activity directed staff to identify official records that were past their retention lifecycle and

taught staff how to classify records using the TOMRMS file management mechanism. Staff was told to

find files that were ready for disposal and practiced completing the records disposition consent form as

outlined in Schedule A. A part of this training involved teaching managers about reviewing the consent

forms and providing their authorization for the destruction. Again, staff was taught that they cannot

destroy official Township records without completing the disposition consent forms and it was

emphasized that records disposition required approval from a manager. Staff brought items that they

identified for destruction to the next staff meeting and shared their findings with the group for

comparison.

A fourth and final activity was presented at the next staff meeting on March 27, 2015. Each staff

member was given a list of records categories (as outlined in TOMRMS) that relate directly to their

operations and was instructed to provide a recommendation as to the physical location of that type of

file for paper records. Staff was also asked about the status of the paper record, once it has been

converted to a digital format. Township staff was asked about whether the paper copy should be

retained for historical, legal, financial, archival, or operational purposes or if a digital copy of the

document would be sufficient to meet these needs. By seeking advice from the entire corporate body,

the implementation of a paper file reorganization will be more supported by various departments.

These recommendations are compiled under the “Location” and “Digital Consideration” columns in the

charts outlined in Schedule B of this implementation manual.

As part of their training, staff was also provided with a copy of the correspondence decision tree to help

in determining whether general correspondence constitutes an official municipal record.


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Correspondence Decision Tree

How to decide if a correspondence item is a record?


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Phase 1: Comprehensive Organization of Physical Files

As a first phase in the records management and organization system is the conversion of files to the

TOMRMS system and comprehensive re‐organization of the physical paper files in the Township

building. A part of this conversion involves a thorough inventory of all files and an analysis of storage

space available to determine where different categories should be physically stored in the building.

As part of their training, staff was consulted about their recommendations for the location of these

physical records. Considerations informing these recommendations included the final retention of

records, with permanent records and vital records (those essential to the operations of the municipality)

being prioritized in locations that are waterproof, fireproof, and secure. Staff also considered whether

the record would require frequent access, which meant that the files were located in an accessible area.

Contained in the “Location” column of the chart contained in Schedule B, the location of physical files is

established based on the TOMRMS filing system. Locations may be amended, subject to space

limitations, but are intended to guide the re‐organization of files. By organizing records according to the

TOMRMS filing system, future disposition will be much easier, since records will be clearly categorized

and labeled according to their classification and date, allowing for accountable disposition.

Working into the comprehensive organization of the physical file system, the files to be classified and

moved first are the permanent and vital records. Since these records are critical for the operational,

historical, financial, legal, and archival function of the municipality, they should be prioritized and

moved early.

Following the move of these records to their location as outlined in Schedule B, records with a high

retention period (those required to be kept for more than 10 years) will be moved next, followed by

those for a medium retention period (those required to be kept for 5 to 10 years), and then finally those

with a short retention (less than 5 years) will be moved. As files are moved, they will be converted to

TOMRMS labeling and as much as is practical, consistent file names will be used.

Standardized Labels and Consistent File Names

It is the responsibility of all Municipal staff who create records on their network drives, to capture and

classify records in accordance with the File Classification System (TOMRMS). Classifying all records

directly to TOMRMS ensures efficient access for search and retrieving Municipal documents.

The Municipality’s file classification system (TOMRMS) is Subject Numeric as follows: Primary Subject Headings

Primary subject Headings are indicated by an alphabetic character. Primary Subject Headings are

functional, not organizational or departmental.

Secondary Subject Headings


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Secondary subjects are indicated by a two digit number system (i.e. “01”, “02”, “03”, etc.) Each two digit

number has a subject heading assigned to it. These Secondary Headings have been developed in

accordance with municipal requirements identified by the Clerk and the municipal auditor. If a

department feels that they cannot find a suitable secondary heading in which to classify a record, they

should consult with the Clerk to apply for guidance or authorization of amendments to the schedule.

Tertiary Subject Headings

Tertiary Subject Headings or file label titles are assigned by individual Municipal departments. These

Tertiary Subject Headings are simply the name you apply to your file to more clearly describe its

content. When creating new folders, it is important to be consistent in your naming conventions (i.e. file

folder names).

File folders should follow the following naming convention, :

File Number_Project Name_Type of Information_Roll Number_Year

Individual File Names should follow the following naming convention, where practical:

File Number_Type of Document_Parties/Persons_Subject_Roll Nuber_Date

(Month Day Year)

This will facilitate efficient search and retrieval and eliminate the potential for duplication or misfiles.

This will also ensure all records or documents are scheduled and archived or destroyed on the correct

dates.

The following is an example of what an End Tab File Folder would look like. The classification code is

placed at the far left of the tab, and the file folder label is placed horizontally along the end tab (next to

the classification code).

PSB 11 – Police Service Board _

General Correspondence_2011


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Phase 2: Converting Existing Physical Records to Electronic Format

A second phase in the implementation of TOMRMS and electronic records management is the

conversion of existing physical records to electronic format for easier cataloguing and researching. To

facilitate a rapid conversion of physical records to electronic format, the Township approach will be two‐

pronged: the first strategy focuses on inputting newly created documents in electronic format and the

second strategy involves manually scanning existing files into an electronic storage system and

database.

Strategy A: Inputting Newly Created Documents in Electronic Format and Organizing Incoming

Information

According to the Natural Resources Defense Council (NRDC), a typical office disposes of about 350

pounds of wastepaper per employee per year. Identifying ways to reduce paper use can save money and

can lead to organization efficiencies since electronic documents are easier to browse in a database.

Operationally, reducing the amount of paper used is a smart decision for the Township since it will mean

meeting the mandate more easily to be a leader in the development and delivery of municipal services

for the growth and well being of our community. The Township will be able to work more effectively by

adapting electronic process and workflows and the environmental benefits could be significant.

According to the NRDC, the pulp and paper industry consumes 42 percent of all wood harvested for

industrial uses, contributing to the degradation of natural forest ecosystems around the world and the

pulp and paper industry is the single largest industrial consumer of water ‐ and water polluter ‐ in OECD

countries and it is the third biggest emitter of global warming pollution in industrialized nations.

On top of the environmental benefits of transitioning towards a less paper‐based office environment,

there are numerous other advantages including: labour savings, printing costs, photocopier costs, lost

and misfiled document costs, storage costs, improved customer services, improved document security,

and overall improved records management.

As much as is practical, the Township will strive to reduce the amount of printing as both a way to

contribute to sustainability practices and improve operational efficiencies. The following list has been

determined by staff as sources of significant paper printing in the office, which can be phased out by

only saving in electronic format.

Document Name Estimated Pages per Document

Proposed Electronic Only Phase In Date

Estimated Total Paper Savings Annually

Drainage Reports 50 Pages (multiplied by 15 reports that were provided to the Township)

2nd Quarter 2015 Between 3000 and 5000 pages (depends on number of drains per year)

Cash Receipts 2 pages per receipt (1 printed for customer and 1 kept on file)

2nd Quarter 2015 In 2014, the total printed cash receipts were over 10,000


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pages. Now, printed receipts are only provided to customer as requested and a paper copy is not kept on file.

Council Agendas 200 pages (five printed copies were produced per meeting at start of 2015)

2nd Quarter 2015 Now, only two paper copies are produced, meaning an estimated annual paper savings of over 13 000 pages

Accounts Payable Reports

Average batch is 120 pages printed at least 24 times per year

2nd Quarter 2015 Estimated savings of at least 2800 pages.

Staff Meeting Agendas and Minutes

3 pages total per meeting (multiplied by 10 staff members)

1st Quarter 2016 Estimated savings of over 600 pages

Senior Management Meeting Agendas

4 pages total per meeting (multiplied by 7 staff members)


Staff Reports (for Council Agenda)

Average estimate of 20 pages per council meeting


Committee Meeting Agendas and Minutes

Average of 50 pages per committee meeting


Pay Stubs Average of 1 page per pay period, per employee


Internal Memos and Correspondence (i.e. notices to staff, information items from Sunlife of EAP, human resource policies, etc).

Average of 2 pages per pay period, per employee; human resources policies depend on length

1st Quarter 2016 Estimated savings of over 2400 pages (minimum)

Tax Certificates Average of 10 tax certificates per month each is one page each

2nd Quarter 2016 Estimated savings of 120 pages

Electronic Funds Transfers and Receipts

1 page per banking institution containing EFT information

2nd Quarter 2016 Estimated savings of 2280 pages annually

Forms and Applications Dependent on type 2nd Quarter 2016 – Communications plan states that these be PDF fillable by deadline

Unable to estimate since too many different forms

Payroll Timesheets and Timecards

Average of 42 Time sheets submitted per month

3rd Quarter 2016 Estimated savings of 500 pages per year

General Journals Each journal is of a 4th Quarter 2016 Estimated savings of


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varying length over 500 pages per year

TOTAL ESTIMATED PAPER SAVINGS: 40,000 PAGES

While the chart above provides an aggressive plan for reducing paper usage, the positive cost savings

and reduced environmental footprint are significant and within reach for the municipality. Of course,

there may be instances when replacing a paper copy is not possible (i.e. if a resident requests a paper

copy or if a committee member needs a paper version), however Township staff will aim to commit to

the intention of the plan and attempt to provide greener options whenever possible.

As much as the Township is committed to transitioning to electronic documents, staff recognizes the

importance of certain physical records, which may be required to provide best possible evidence and for

archival purposes. Contained as part of Schedule B to this strategy, is a column dedicated to the

treatment of physical records once they are digitized.

On top of organizing and completely overhauling the records management and storage of existing

records, the strategy also addresses the mechanism for sorting and categorizing incoming information.

Incoming paper mail consists of a variety of different categories of communication; invoices received for

accounts payable; payments for various accounts receivables; correspondence intended for council and

elected members from various agencies and stakeholders; administrative correspondence for staff; and

other miscellaneous pieces of mail. While past practices have been to distribute the paper copies of the

mail to the various departments as a seemingly straightforward approach to getting information to

intended targets, the result is an inconsistent approach to maintaining correspondence records across

the Township, an unnecessary retention of paper copies, consistent duplication, and information may

not always meet all intended targets. Further, retrieving this information can be very difficult since

there is no cataloguing mechanism for correspondence received by the Township. Similarly, accounts

payable invoices received by the municipality account for a large portion of the paper documents

received by the municipality. Moving forward into the records retention implementation at the

Township, individual policies for incoming correspondence and accounts payable will be compiled and

included as addendums to this strategy.

Email Retention Responsibility

Historically, the municipality produced a lot more paper records since there were many printed internal

memos and written pieces of correspondence which are now replaced by e‐mails. While e‐mails are

more efficient and produce less paper, it is important to acknowledge that these items of

correspondence are records and it is equally important for staff to realize that e‐mails may be subject to

legal processes and may be disclosed to the public, based on the requirements of MFIPPA.

E‐mail messages like other business records have different values, some are needed for ongoing

business transactions/activities and others have only short‐term value, i.e. information only items or

personal messages. Accordingly e‐mail messages which have been deemed to be official documents and


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not transitory become official records, and must be retained in accordance with the approved retention

periods listed in the Records Retention By‐law.

For internally sent e‐mails, it is the sender’s responsibility to decide if the message is considered a

corporate record, and to make sure that these messages are saved in the electronics management

software (Laserfiche). This is because there is only one sender but there may be many recipients. It is

sufficient to keep the last e‐mail in the string and to destroy the others leading up to the final version.

For externally sent e‐mails, it is the receiver’s responsibility to save the e‐mail into the appropriate

electronic directory (Laserfiche).

Any unnecessary, transitory or copy e‐mail should be deleted. Unclassified e‐mails are considered to be

transitory records. Any unnecessary, transitory or copy e‐mail should be deleted. When e‐mails are

considered to be transitory, they should be deleted by the user when no longer needed for short‐term

reference. It is imperative that e‐mails be purged periodically to reduce the size of electronic data

storage required.

Strategy B: Manually Scanning Existing Files into an Electronic Storage System and Database

Critical to the overall implementation of TOMRMS and Electronic Records Management is the inclusion

of existing paper files into the electronic filing system. This will involve the manual scanning of these

paper files into the electronic records system. Committing to a software purchased jointly with the

County of Oxford and many of the lower tier municipalities, Laserfiche Rio Software, the Township has

access to an advanced electronic records management system. Prior to the hiring of the current Clerk,

the Township worked on a “Laserfiche Project” and began an implementation of the project and set up

of the software. Into 2015, the software was completely reassessed and set up to fit with the retention

periods and information security needs of the Township.

A critical first step was the development of a spreadsheet that outlined the various records class codes

and the access that each employee title would have within the software, given consideration to the

privacy concerns and record importance. Once this spreadsheet was developed and approved by the

management team at the Township, each record series in the Laserfiche software was manually set up

with the correct privacy parameters.

Following the set up of the record series for privacy, a staff wide training system was adopted. After the

TOMRMS training for all staff members, beginning on April 27 2015 and reaching into the first few

weeks of May, each user (there are 10 licenses) was provided with one‐on‐one training with the Clerk.

The Clerk identified a series of key aptitudes in Laserfiche and sat down for up to an hour with each user

to work with them on how to use the software. Each user was also provided with a “SCANNED” stamp

so that they could mark documents that are inputted into the software with a stamp (for tracking

purposes) and they were provided with a Laserfiche recycling box, which serves as a temporary hold for

documents that will be destroyed. As the Laserfiche software was taught to end users, some basic

principles were communicated to each user. These principles are below.


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LASERFICHE ELECTRONICS MANAGEMENT BASIC PRINCIPLES:

Laserfiche is intended for final versions of documents that are not to be edited

(therefore the format should be .PDFs, .TIFs, etc. and should not be .DOCs or .XLS, etc)

Working version of documents can be saved in the H: drive, but a final version should be

saved to Laserfiche, once converted to the proper format

Each user has a “Scan Inbox” which is to be used by the user for importing their

documents, but is a temporary holding location. Each file should be sorted into the

appropriate folder, pursuant to the records management retention schedule

All files that are inputted into Laserfiche should be OCR’d as soon as inputted into the

software (whether completed manually or automatically)

The first level of folders created under each Class Code are to be created ONLY by the

Clerk, since it is the Clerk responsibility to ensure that the correct retention period is

added to each folder; Subfolders under this level can be created by the end user.

Files in Laserfiche should, whenever possible, follow the same naming convention as

physical files and folders

Records in Laserfiche may have a template with Metadata created for them (to improve

database capabilities and searching abilities later) and managers may mandate that

users are to apply them to different files

All records that have a historical, operational, archival, or legal significance (including e‐

mails) should be filed in Laserfiche

Following the initial end user training, to motivate staff to start using the software, management hosted

a “Laserfiche Lunch Pizza Party” on June 1st and each end user set a Laserfiche goal that included

individual items that each person would prioritize and aim to complete by September 1, 2015.

Subsequent meetings will take place so that staff can continue to set goals and work on digitizing the

physical records.

Inputting physical files to digital form will be done systematically, so that those files with the greatest

organizational, legal, historical, and financial significance will be inputted first. The implementation of

physical files into Laserfiche will follow the same method as the reorganization of the physical files: the

files to be digitized first are the permanent and vital records, since these records are critical for the

operational, historical, financial, legal, and archival function of the municipality. Next records with a

high retention period (those required to be kept for more than 10 years) will be scanned, followed by

those for a medium retention period (those required to be kept for 5 to 10 years), and then finally those

with a short retention (less than 5 years).

Once documents are added to the records management software, there is a temptation to believe that

the original version of the document (the paper copy) can be destroyed. Digitizing the records has many


17

benefits: it allows for cataloguing and searching capabilities; it makes information easier to locate; and it

allows staff to easily apply a records retention schedule and exercise destruction. Reducing the volume

of paper and being able to shred documents is only one aspect of digitizing and staff recognizes the

importance of certain physical records, which may be required to provide best possible evidence and for

archival purposes. Contained as part of Schedule B to this strategy, is a column dedicated to the

treatment of physical records once they are digitized. Staff will refer to this column in Schedule B to

determine the digital consideration of the file.


18

SCHEDULE A: RECORD DISPOSITION – CONSENT FORM

Pursuant to section 5(q.) of the Township of South‐West Oxford By‐Law No. 69‐2013, the Clerk shall notify the

appropriate signing authority in writing of the scheduled destruction of a record, including a list of records to be

destroyed and the scheduled destruction date.

Please review Section A of this form and initial the below list of records to be destroyed on:

____________________, indicating that you agree to the proposed disposition. Should you require the record to

be retained past the scheduled destruction date, please complete Section B, provide reasoning for retaining the

record past the scheduled destruction date, and return to the Clerk.

SECTION A: RECORDS TO BE DESTROYED

ITEM #

CLASS CODE

RECORD DESCRIPTION EXPIRATION DATE

RESPONSIBLE DEPARTMENT

AUTHORIZING INITIAL

1

2

3

4

5

6

7

8

9

10

11

12

13

14

15

16

17

18

19

20

SECTION B: RECORDS TO BE RETAINED ITEM #

REASONING FOR FURTHER RETENTION

By singing below, I hereby give my consent to the destruction of the records listed in Section A of this form,

thereby agreeing to the permanent destruction of the records.

NAME: DATE


19

SCHEDULE B: RECORDS RETENTION AND LOCATIONS

PRIMARY HEADING ‐ ADMINISTRATION

SecondaryClassCode

SecondaryHeading&Description

ResponsibleDepartment

Retention Location DigitalConsiderationLR=Laserfiche&RetainLD=Laserfiche&Destroy

Remarks

A00 Administration – General Includes Admin. Records which cannot be classified elsewhere. Use only where no other heading is available.

All departments

1 Office Files LD

A01 Associations and Organizations Includes correspondence, minutes, agenda, notices, and reports regarding organizations and associations to which staff belong such as AMCTO, AMO, etc.

All departments

3 Office Files LD Excludes Membership Fees – See F01

A02 Staff Committees and Meetings Records re: the activities of staff committees and meetings, incl. notices of meetings, agendas, minutes, etc.

All departments

4* 3 LD Excludes Council Minutes and Agendas (see C03&04) and Council Committees (see C05&06)

A03 Computer/Information Systems Includes records re: all types of information systems in use. Includes computer hardware/software, system design and implementation, quality control, e‐mail management, etc.

I.T., Development & Communications

S+6 2 LD Excludes acquisitions – see F18. Excludes Reports (File by Subject).

A04 Conferences & Seminars Includes invitations, approvals, agendas, records re: conferences,

All departments

1 Office Files LD Excludes speeches and presentations (see M08),


20

conventions, seminars, special functions attended by staff, travel arrangements, accommodation, itineraries or sponsored by the Municipality.

Employee and Council expenses (F09), Invoices (F01), Ceremonies & Events (See M02), Invoices (See F01) and Rental Agreements (See L14)

A05 Consultants Includes correspondence, proposals, resumes, docs re: the selection, appointment, and monitoring of consultants.

All departments

2 Office Files LD Excludes Quotations and Tenders (see F18) and invoices (F1).

A06 Inventory Control Includes inventory statements and reports, records re: the control of supplies, fuel, and small equipment stock levels

All departments

6 3 LD Excludes Assets (see F06)

A07 Office Equipment and Furniture Includes records re: the design and maintenance of owned and leased office equipment and furniture. Chairs, desks, tables, copiers, printers, etc.

All departments

E+1 Office Files LD E=disposal of item Excludes computer software/hardware (see A03) and assets (see F06)

A08 Office Services Records re: rates and services provided by courier, mail, postage firms. Records re: inter office mail system, internal printing, etc.

Finance 1 Office Files LD

A09 Policies and Procedures Policy and procedure manuals, guidelines and directives

HR & any dept having its own policies/procedures

S+5* CAO Office LR

A10 Records Management Information regarding the management of corporate records,

Clerks P 1 LR Excludes retention bylaw (C01), policies and


21

regardless of medium. E.g. file listings, feasibility studies, records centre operations,

procedures (A09), records disposition (A11)

A11 Records Disposition Reports re: the disposition of records (disposal method, authorization for destruction)

Clerks P 1 LD

A12 Telecommunications System Includes records re: telephone systems, fax machines, towers, fire comm. Systems, and 911 emerg. systems.

DCS S 2 LD Excludes Assets (F06), long distance call records (F01), Agreements (L04 or L14)

A13 Travel & Accommodation Records re: travel arrangements, itineraries, maps, authorizations, reservations, rented vehicles.

All departments

2 Office Files LD Excludes employee and Council expenses (F09)

A14 Uniforms and Clothing Includes records re: uniforms and special clothing used by municipal staff such as fire fighters clothing & safety clothing.

All departments

S* 3 LD

A15 Vendors and Suppliers Records re: vendors and suppliers of goods and services (catalogues, price lists, bidders info sheets, correspondence)

All departments

2 2 LD Excludes purchase orders and requisitions (F17), office equipment (A07), fleet management (V01)

A16 Intergovernmental Relations General records re: the relationship between the municipality and all other levels of government (incl. contact info)

All departments

5* 3 LD Excludes legislation (L10 & L11)

A17 Accessibility of records (FOI)

Clerks E+2 1 LR E=completion of FOI


22

Includes documents re: MFIPPA, and handing of requests under this act

request Excludes copies of the Act (L11), Complaints and Inquiries (M04)

A18 Security Reports, request logs, security of offices, control of security passes or keys

All departments

5 Dwayne Office

LD Excludes vandalism reports (P05) and Computer Security (A03)

A19 Facilities construction & Renos Records re: the planning and construction of municipal facilities, includes site meetings, consultant’s reports, cost reports, drawings.

Facilities, various depts..

E+6* 3 LR E=project finished Specifications, architectural and engineering drawings to be kept permanently

A20 Building and Property Maintenance Records re: the maintenance of town buildings, including exterior maintenance (landscaping, grass cutting, interior design, floor layouts, office cleaning)

All departments

5 3 LR Excludes Parks Management (R04) and Rec Facilities (R05)

A21 Facilities Bookings Includes copies of permits and bookings issued for the rental of rec and admin. facilities for specific activities.

All departments

1 Treasurer Office

LD

A22 Accessibility Includes records relating to the accessibility of Town Buildings and info/programs and services to persons with disabilities.

All departments (mostly Clerks)

5 3 LD Excludes policies and procedures (A09), and Construction & Inspection records (A19).


23

PRIMARY HEADING – COUNCIL AND BY‐LAWS

SecondaryClassCode




Remarks

C00 Council & By‐laws – General Includes records re: Council, Boards, and Bylaws which cannot be classified elsewhere.

All departments

1 1 LR

C01 By‐laws Includes signed and final versions of the town’s bylaws along with amendments and attachments that are legally part of the bylaws

Clerks P 1 LR

C02 By‐law – other municipalities Includes final versions of bylaws of other municipalities which are of interest

All departments

S 1 LD Or as long as they are of value.

C03 Council Agenda Includes notices of meetings and agenda of Council meetings as well as working notes used in agenda preparation

Clerks S+5 1 LD Excludes committee agendas (C05)

C04 Council Minutes

Clerks P 1 LR Excludes committee minutes (C06)

C05 Committees of Council – agendas

Staff contact for each committee

‐ Destroy ‐ Transitory

Destroy ‐ Transitory

Transitory

C06 Council Committee Minutes

Staff contact for each committee

P 1 LR

C07 Elections – Management Records re: processes involved in management of the election, may

Clerks E+4* 1 LR E=election day Some items may be retained longer if


24

include voting locations, training manuals, communications, media management, applications to amend VL, etc.

valuable as templates for future elections

Elections – Personnel Records related to election personnel, including worker applications, letters of appointment, oaths, etc.

Clerks E+120 days 1 LD E=election day

Elections – Ward Boundaries Historical ward maps, ward profiles, town boundaries

Clerks P 1 LR

Elections – Candidates Records relating to candidates running for office of Mayor, councilor, trustee. Includes completed nomination forms, nomination withdrawal, signed oaths, financial statements, affidavits, correspondence

Clerks E+4 1 LR E= election day

Elections – Returns Includes records related to the town’s voting place documentation and materials, advance poll sheets, used, spoiled and cancelled ballot, voters lists.

Clerks E+120 days 1 LD E= date of election As per Elections Act, unless there is a court order to recount.

Elections – Recount All records related to a recount, or requested recount.

Clerks E+4 1 LR

Elections – Results Official election results including poll

Clerks P 1 LR


25

by poll results

C08 Goals & Objectives Includes records concerning strategic planning, goals and objectives, mission statements.

All departments

S* CAO office

LD

C09 Motions & Resolutions Final signed versions

Clerks P 1 LR

C10 Motions & Resolutions – other municipalities Final versions of other municipalities’ resolutions that are of interest

Clerks 1 Digital LD

C11 Reports to Council

All departments

P Digital LD

C12 Appointments to Boards and Committees

Clerks P 1 LD


26

PRIMARY HEADING – DEVELOPMENT & PLANNING

SecondaryClassCode




Remarks

D00 Development & Planning – General Includes records re: planning & development which cannot be classified elsewhere.

All departments

1 3 LD

D01 Demographic Studies Records re: trends in pop. growth, census reports, density studies, rate of growth, unemployment, workforce composition, etc.

DCS 10* 3 LD Excludes vital stats (see L12)

D02 Economic Development Records re: growth of economy, studies, stats, projections

Economic Development

10* 3 LD Excludes Demographic Studies (D01), residential development (D04), Tourism (D06), Industrial/Commercial Development (D21)

D03 Environmental Planning Records re: general environmental studies with long range planning emphasis (storm drainage, flood control, parks and open space planning, waste management planning)

Operations 10* 3 LD Excludes air quality monitoring (E05) and Waste Management (E06)

D04 Residential Development Records re: the availability of housing, incl. general assessments of the need for affordable housing, occupancy rates, housing cost stats., etc.

DCS 10* 3 LD

D05 Natural Resources Records re: the management and preservation of forests, the characteristics of

Operations 2* 3 LR


27

various minerals or deposits, and other natural resources info.

D06 Tourism Development Records re: the tourism industry and efforts made to promote and encourage tourism


5* 3 LD County

D07 Condominium Plans Records re: the approval of plans of condominium. Incl. drawings, technical reports, correspondence, written comments, working notes, background info, applications.

Clerks P 3 LR

D08 Official Plans Includes the official plan and amendments to it. Also, secondary plans and amendments containing detailed objectives and policies concerning planning, development, redevelopment, and specific planning districts.

DCS P 3 LR Excludes OP amendment applications – see D09

D09 OP Amendment Applications Incl. applications, staff reports, notices, resolutions, and decisions.

Clerks P 3 LR Excludes OMB hearing and decisions – see L01

D10 Severances Includes applications for consent and all related records.

Clerks P 3 LR Physically, these records are stored behind address file.

D11 Site Plan Control Records regarding the provision of services to individual land sites, including water, sewage, utility approvals, comments, and correspondence.

Clerks P 3 LR Excludes site plan agreements (L04) Physically, these records are stored behind address file.

D12 Subdivision Plans Records re: the approval of plans of subdivision (residential & commercial), incl. drawings, technical reports, correspondence, written comments, working notes, background info,

Clerks P 3 LR Excludes subdivision agreements (L04)


28

clearance letters, draft approved plans, red‐lined plans, applications, R‐plans, changes to approved plans, etc.

D13 Variances Records re: applications for variance in land use excl. zoning applications. Includes applications, drawings, notices, decisions etc.

Clerks P 3 LR Excludes budget variances (see F05) Physically, these records are stored behind address file.

D14 Zoning Includes records and re: the designation of zones for land use planning purposes, and records related to zoning applications.

Clerks E+2 3 LD E=final decision Excludes Zoning Bylaws – see C01 Physically, these records are stored behind address file.

D15 Easements All records on rights‐of‐way and easements concerning municipal ownership of private lands in order to maintain public service such as water and sewer lines that cross private property

Operations P Works Building

LD Excludes agreements (see L04)

D16 Encroachments Includes all records re: private properties encroaching on municipal lands including encroachment permits, also includes surveys and any other related docs.

Operations P Works Building

LD Excludes agreements (see L04)

D17 Annexation/Amalgamation Records pertaining to the annexing and amalgamating of lands adjacent to municipal lands to accommodate growth. Also includes amalgamation of municipalities.

Clerks P 3 LR

D18 Community Improvement Projects Records, studies, stats and any required background info on community improvement projects.


E+6 3 LD E=Termination/completion of project Excludes economic development (D02)


29

Includes applications and related records.

D19 Municipal Addressing Records re: requests for and assignment of new subdivisions and other street names and numbers. May includes reports, drawings, maps, etc.

Clerks P Works Building

LD

D20 Reference Plans Plans received from the registry office. Could be R‐plans, site plans, property survey plans, etc.

Clerks P 3 No Laserfiche (too large to scan)

Excludes property survey plans (F22)

D21 Industrial/Commercial Development Records re: promotion and development of industry and commerce. Records include studies, stats, projections, etc.


10* 3 LD Excludes agricultural development (D23)

D22 Digital Mapping All records used to produce maps and updates in a digital format.

County S* 3 LD Excludes the actual data residing on these systems Air photos subject to archival selection

D23 Agricultural Development All records regarding the development of agricultural growth.

DCS 10* 3 LD

D24 Background reports for Official Plan Includes reports pertaining to amendments and changes to the OP

E+5 3 LD E=final decision

D25 Part Lot Control Includes applications and records relating to exemption from Part Lot Control, under the Planning Act in order to create additional lots.

S 3 LD Final study is permanent


30

PRIMARY HEADING ‐ ENVIRONMENTAL SERVICES

SecondaryClassCode




Remarks

E00 Environmental Services – General Records re: environmental services which cannot be classified elsewhere.

All Departments

1 3 LD

E01 Sanitary Sewers Includes records re: the design, construction, and maintenance of sanitary sewers

Operations P 3 LR Excludes Waste Management (E07), Storm Sewers (E02), Treatement Plants (E03)

E02 Storm Sewers Includes records re: the design, construction and maintenance of storm sewers

Operations P 3 LR

E03 Treatment Plants Records re: the operation of sewage treatment and pumping stations and

lagoons.

County 5 3 LR County

E04 Trees Includes records of tree removal, planting, trimming, pruning, and preservation.

Parks & Rec 5 3 LD

E05 Air Quality Monitoring Records regarding the routine monitoring of air quality as well as responses to interference with quality or quantity.

All departments

40* 3 LR Excludes bylaw enforcement (P01) and complaints & inquiries (M04)

E06 Utilities Maps and location drawings provided to the municipality from utility companies such as telephone

Operations 5* 3 LD Excludes site plans(D11) Located are only valid for 30 days


31

lines, gas mains, power lines, water mains etc.

E07 Waste Management Records re: the collection and disposal of waste, source separation, collection services and composting.

County 5 Works Building

LD Excludes private sewage disposal systems (E12)

E08 Water Works Records re: the design, construction and maintenance of watermains, tanks, pipelines and related facilities and equipment. Includes water meter registration numbers.

County 5 3 LR Excludes water pumping stations (E03)

E09 Drains Design, construction, and maintenance of drains. Includes engineer reports, petitions, assessments, generation specifications and correspondence.

Drainage 5 Drainage Super‐ intendent Office

LR Specifications are kept permanently

E10 Pits & Quarries Records re: the design, construction, maintenance of all pits and quarries. Includes engineer’s reports, assessments, general specifications and correspondence.

Operations P Office – Outside Vault 1

LR

E11 Nutrient Management Records re: the management of livestock and crop planning and regulations pertaining to the operations. Control of storing/spreading/using liquid manure on land near waterways, runoff, etc.

5* 3 LR

E12 Private Sewage County/ S 3 LD County


32

Disposal Systems Records re: the design, construction and maintenance of sanitary sewers and septic systems.

Building

E13 Water Monitoring Records re: the routine monitoring of water quality or quantity, annual reports, chemical samples, monitoring and control of creeks and floods, weeds, noise, erosion, top soil and stormwater.

County 15 3 LR Excludes bylaw enforcement (P01) and Complaints & Inquiries (M04)

E14 Water sampling Operational checks, weekly and monthly sampling and testing, report of analysis, notices to Ministry, etc.

County 15 3 LD Excludes bylaw enforcement (P01) and Complaints & Inquiries (M04)

E15 Chemical Sampling Chemical samples collected and tested, organic and inorganic, related engineer reports, etc.

County 2 Works Building

LD

E16 Backflow Prevention and Cross Connection Control Incl. cross connection surveys, test reports, test results, inspection reports, compliance tracking, work orders, copies of invoices, fee structures, any type of media related to blackflow prevention

County P 3 LD

E17 Storm Water Management Ponds Records related to construction and maintenance of stormwater management ponds

Works P 3 LR


33

PRIMARY HEADING ‐ FINANCE AND ACCOUNTING

SecondaryClassCode




Remarks

F00 Finance and Accounting – General Records re: finance and accounting which cannot be classified elsewhere

All departments

1 Office Files

LD Do not file accounting records required for tax purposes in this class code

F01 Accounts Payable Includes records documenting funds payable by the municipality, such as invoices, receipts, copies of cheques issued to pay account, rebates, levies payable, reports, phone bills, membership fees.

Finance 7 2 LD Excludes cancelled cheques (F07) and Employee and Council expenses (F09)

F02 Accounts Receivable Records documenting funds owing to the municipality such as invoices, billing listings, recoveries reports. Includes correspondence related to tax collection and supporting documentation.

Finance 7 2 LD Excludes write‐offs (F23) and tax assessments, rolls, and arrears (F22)

F03 Audits Includes records re: internal and external financial audits of accounts.

Finance 7 2 LR Excludes operational audits, and audited financial statements (F10)

F04 Banking Includes records regarding banking transactions and relationships with

Finance 7 2 LD Excludes banking statements (F07)


34

banks, includes deposit records,

F05 Budgets and Estimates Includes departmental and corporate budgets, both capital and operating. Also budget variances.

Finance E+6 2 LR E=end of the last year in which the capital budget is expended

F06 Assets Includes records re: current and fixed assets. Inventories, records of initial expenditure, depreciation, amortization, disposal.

Finance E+6 3 LR E=disposal of asset Excludes land acquisition and sale (L07)

F07 Cheques All cancelled cheques issued. Also, cheque requisitions, cheque listings, supporting docs used to authorize issuance of cheques, NSF cheques, and bank statements.

Finance 7 2 LR Excludes banking (F04)

F08 Debentures and Bonds Records re: debentures and bonds, info re: initial issuance of the debenture or bond as well as all records of payments made to investors.

Finance P 1 LR Excludes debenture registers(F14)

F09 Employee and Council expenses Travel and meeting expenses, receipts submitted, may include travel and expense statements.

Finance 7 2 LD

F10 Financial Statements Includes the balance sheet,

Finance P 1 LR Excludes working notes, calculations, and


35

income statement, statement of source and application of funds.

background documentation (see F26)

F11 Grants and Loans Includes records re: revenue generated in the form of grants –in‐lieu, provincial and federal grants, loans, subsidies, also includes submissions, acknowledgements,

reports.

Finance E+7 1 LR

F12 Investments Includes records re: the town’s investments, term deposits, and promissory notes.

Finance 7 1 LR

F13 Journal Vouchers Includes completed journal voucher forms, input forms, background documentation used to substantiate journal entries.

Finance E+7 2 LR E=completion of transaction

F14 Subsidiary Ledgers, Registers, and Journals Includes all subsidiary ledger, registers, and journals such as payment and receipt journals, payroll registers, and debenture registers.

Finance E+7 Payroll registers = P

4 LD E=completion of transaction Excludes documents and vouchers used to support entries

F15 General Ledgers and Journals All records in the Books of Original Entry

Finance P 4 LR

F16 Payroll Includes all records

Finance/HR P 3 LD Excludes payroll


36

of payments of salary, wages, deductions. Includes pay lists, T4 slips, also honoraria and fees to Council. Also includes individual timesheets.

registers (F14)

F17 Purchase Orders and Requisitions

Finance E+7 3 LD E=expiry of contract Excludes quotations and tenders (F18)

F18 Quotations and Tenders Incl. RFPs, RFQs, tenders, proposals, submissions, all documentation regarding selection process

Finance 7 (successful) 2 (unsuccessful)

3 LR Excludes agreements (see L04 or L14)

F19 Receipts Includes receipts issued for payment of items such as licenses, rentals, and taxes

Finance 6 2 LD

F20 Reserve Funds Includes records documenting obligatory and/or discretionary reserve funds such as reserves for working funds, contingencies, future capital projects, info systems. Etc.

Finance 6 2 LR

F21 Revenues Includes records regarding the generation of revenues other than taxes (e.g. development charges, development application fees)

Finance 6 2 LD

F22 Tax Rolls and records Assessment rolls, tax sale records, tax sale deeds,

Finance P 4 LR Excludes accounts receivable (F02)


37

property tax registrations, tax arrears

F23 Write Offs Includes accounts receivable that have been written off as uncollectable. Also includes records of bankruptcy.

Finance 6 2 LD Excludes accounts receivable (F02)

F24 Trust Funds Records re: funds established by the municipality for money held in trust

Finance 7 2 LD

F25 Security Deposits Includes development deposits, letters of credit, records related to release of securities.

Finance 7 1 LD

F26 Working Papers Includes all budget working papers, working notes, calculations, background documentation used to calculate financial statement such as the monthly trial balance.

Finance 7 2 LD


38

PRIMARY HEADING – HUMAN RESOURCES

SecondaryClassCode




Remarks

H00 Human resources – General Includes records re: human resources which cannot be classified elsewhere.

All departments

1 CAO Office LD

H01 Attendance and scheduling Records re: employee attendance, shift scheduling, vacation schedules, hrs of work. Etc.

HR 4* CAO Office LD Excludes individual time sheet s(F16)

H02 Benefits Includes brochures, rates, quotes, correspondence and explanatory documents re: benefits offered to employees, such as group insurance, dental plans, etc.

HR S Payroll/Benefit Administrator Office

LD Excludes payroll (F16)

H03 Employee Records Includes records re: the employment history of municipal employees. Incl. initial resumes and applications, performance evaluations, employee assistance. Includes part time and student employees.

HR E+10 CAO Office LD E=date employee ceases to be employed with the Town


39

H04 Health & Safety Records re: occupational health & safety of staff. Also, accident reports, information on health and safety programs, and H&S inspections on Town Property.

HR 7* 3 LD Excludes accidents to the public (P05), Lost time reports and claims (H13)

H05 HR Planning Includes records of succession planning, retirement programs, staff turnover rates, annual hire/promotion targets, recruitment freezes, employment equity, performance management, etc.

HR 2* CAO Office LD Excludes employee records (H03)

H06 Job Descriptions

HR S+1 CAO Office LD

H07 Labour Relations Incl. collective bargaining, correspondence with unions, etc.

HR E+10 CAO Office LD E=expiry of contract Excludes collective agreements (L04)

H08 Organization Records re: reporting relationships, re‐orgs, org charts, etc.

All departments

S+6 CAO Office LD Excludes employee records (H03)

H09 Salary Planning Records re: the planning and scheduling of salaries such as job evaluations, job classification systems, salary surveys and schedules, etc.

HR S+4

CAO Office LD Excludes employee records (H03)

Pay Equity HR P CAO Office LR


40

H10 Pension Records Includes records detailing obligations under OMERS. Incl. pension info. of retired personnel, incl. registration and records.

HR P Payroll/Benefit Administrator Office

LR

H11 Recruitment Includes records re: the recruitment of staff such as job postings, copies of advertisements, competitions and unsuccessful applications

HR E+1 CAO Office LD E=close of competition

H12 Training & Development Courses offered to employees, info. on career and professional development programs, also includes orientation materials.

HR S* CAO Office LD Excludes employee records (H03)

H13 Claims Claims to WSIB or insurance carriers for lost time incidents, accidents, STD or LTD

HR E+7 CAO Office LR E=resolution of claim Excludes non‐lost time incidents or accidents (H04) or self‐insured STD ( H01)

H14 Grievances Records dealing with grievance complaints filed against the Town such as the initial complaint, investigation, reports, and final resolution.

HR E+7* CAO Office LR E=resolution of claim.


41

H15 Harassment and Violence Complaints by or against employees. Includes docs such as the initial complaint, investigation, reports, and final resolution.

HR 3 CAO Office LR Excludes grievances (H14)

PRIMARY HEADING – LEGAL AFFAIRS

SecondaryClassCode




Remarks

L00 Legal Affairs – General Records re: legal affairs which cannot be classified elsewhere.

All departments

1 5 LR

L01 Appeals and Hearings All transcripts and related documentation re: appeals, hearing, and legal proceedings. Includes final judgments. Includes zoning appeals, official plan appeals, COA appeals. Includes orders issues by regulatory bodies and boards.

All departments

P 5 LR Excludes litigation (L02‐L03)

L02 Claims against the Municipality Includes all litigation made by other parties against the municipality

Finance E+4 5 LR E=resolution of claim and all appeals Excludes appeals and hearings (L01)

L03 Claims by the Finance E+4 5 LR E=resolution


42

Municipality All litigation made against other parties by the municipality

of claim and all appeals Excludes appeals and hearings (L01)

L04 Contracts and Agreements – under seal All agreements which require a bylaw for approval.

Clerks P 1 LR Excludes Site Plan, severance and Subdivision agreements. Stored electronically in D10, 11 & 12

L05 Insurance Appraisal Appraisals of municipal property for insurance purposes.

Finance E+15

1 LR E=change of appraisal value

L06 Insurance Policies Municipal insurance policy documents, such as vehicle, liability, theft and fire insurance.

Finance E+15

1 LR E=expiry of policy Excludes employee group insurance (H02)

L07 Land Acquisition and Sale Records re: real estate transactions, and conveyance of land such as lot sales, alley closings, and allowances through voluntary transactions or expropriations. Includes leases, deeds, purchase letters, appraisals.

Finance & DCS

E+10 5 LR E=disposal of property or termination of lease

L08 Opinions and Briefs Copies of legal opinions and briefs prepared by the municipality’s

Department that sought opinion

S* 5 LR


43

legal council on specific issues and bylaws.

L09 Precedents Includes records re: judgments and decisions which may affect the municipality’s position in actual or potential legal matters.

All departments

S 5 LR

L10 Federal Legislation Records re: bills, acts, and regulations enacted by the Ontario legislature which affect or are of interest to the municipality.

All departments

S 5 LD

L11 Provincial Legislation Records re: bills, acts, and regulations enacted by the Ontario legislature which affect or are of interest to the municipality.

All departments

S 5 LD

L12 Vital Statistics Registers of births, deaths, and marriages

Customer Service/Clerk

P 5 LD Excludes population stats (See D01). Marriage license applications are two years retention, not P

L13 Prosecutions Records re: prosecutions to enforce bylaws and federal and provincial legislations

Bylaw enforcement

E+7 5 LR E=Delivery of Judgment

L14 Contracts and Agreements‐ simple Contracts and

All departments

E+6 5 LR E= expiry of contract


44

agreement which do not require bylaw approval, such as equipment rental and service contracts, vehicle lease, purchase agreements, street sweeping, gravel, etc.


45

PRIMARY HEADING – MEDIA AND PUBLIC RECORDS

SecondaryClassCode




Remarks

M00 Media and Public Relations – General Includes records re: media and public relations with cannot be classified elsewhere.

All departments

1 Clerk Office LD

M01 Advertising/Marketing Includes records re: public advertising in newspaper, magazines, radio, TV, etc.

DCS/Economic Development

1* Clerk Office LD Excludes news releases (M06), Recruitment (H11), or Elections (C07)

M02 Ceremonies and Events Records re: participation in special events, openings, anniversaries. Also includes the setup and running of special events.

All departments

5* Clerk Office LD

M03 Charitable Campaigns Records re: the raising of funds and donations for the municipality, programs, or charitable orgs, such as United Way, interest groups, etc.

All departments

E+1 Clerk Office LD E=end of campaign

M04 Complaints, commendations, and inquiries Very general inquiries and complaints. Concerns about service, inquiries about Council proceedings, congratulatory letters, etc.

All departments

1* Clerk Office LD Excludes items logged in ACR, FOI Requests (see A17)

M05 News Clippings From newspapers, info journals, or other printed media.

All departments

1* Clerk Office LD

M06 News Releases Final versions of news releases (media releases) issued.

All departments

1* Clerk Office LD

M07 Publications All S* Clerk Office LD


46

Typed manuscripts, artwork, regarding the publication of tourism information, trade shows, current events, industrial directories, business directories, maps.

departments (primarily Economic Development)

M08 Speeches and Presentations Final versions of speeches, presentations, and news conferences given by elected and non‐elected officials.

All departments

3* Clerk Office LD

M09 Website Records relating to the Town website, its design, site map, web team minutes, workplans, etc.

DCS/Webteam S+5 Clerk Office LD S=new website


47

PRIMARY HEADING: PROTECTION AND ENFORCEMENT SERVICES

SecondaryClassCode



Retention

Location DigitalConsiderationLR=Laserfiche&RetainLD=Laserfiche&Destroy

Remarks

P00 Protection and Enforcement – General Protection and enforcement records which cannot be classified elsewhere.

All departments 1 3 LD

P01 By‐law Enforcement Records of municipal efforts to enforce bylaws such as orders to comply,

Bylaw enforcement

E+6 By‐Law Enforcement Office

LR

P02 Daily Occurrence Logs Daily logs e.g. fire assistance calls maintained by CBO and Fire Dept.

All departments 5* Fire Chief & CBO Office

LD

P03 Emergency Planning Records re: the planning and rehearsal of emergency measures.

All departments S* Fire Chief Office

LR

P04 Hazardous Materials Info and reports on chemicals and substances that pose fire hazards. Also includes records dealing with toxic substance control, transportation and effects.

All departments S* 3 LR Excludes staff safety training (H04) E+5 for PCB material storage records (E=material removed from site)

P05 Incident/Accident Reports Includes vandalism and security incident reports and reports of accidents that occur at recreational facilities and other municipal properties.

All departments E+25 3 LR E=date of accident


48

P06 Building/Structural Inspections Inspection reports such as building, plumbing, fire prevention, etc.

Building/Fire S 3 LD E+2 for inspections, maintenance, and testing related to fire code

P07 Fire Safety Inspections Inspection reports conducted or performed by Fire Services on private, public and commercial properties

Fire S 3 LD

P08 Investigations Records of investigations pertaining to law enforcement, traffic incidents, and firefighting activities.

All departments 10* 3 LD Excludes Bylaw enforcement (P01)

P09 Licenses Records re: licenses administered by or required by the municipality, or required by the province, such as licensing for dogs, cats, liquor, businesses, lotteries, etc.

Clerks/Customer Service

E+2 Clerk Office LD E=expiry of license Excludes marriage licenses (L12)

P10 Building Permits Permits issued to builders, contractors, and residents giving them permission to build or renovate.

Building P 3 LR Excludes all other permits (P11)

P11 Permits, Other Applications and copies of permits issued by other government bodies within the municipality, as well as permits issued giving permission to hold special events, transport oversize loads, erect signs, park on the street, etc.

Departments that issue permits

E+4 1 LD E=expiry of permit Excludes building permits (P10), Encroachment permits (D16), and burial permits (S09)

P12 Warrants

Bylaw enforcement


LR E=execution of warrant


49

P13 Criminal Records All documentation relating to individuals with a history of criminal activity

Bylaw enforcement


LR E=occurrence/investigation closed or dispotion of charge Excludes investigations (P08) and prosecutions (L13)

P14 Animal Control Records re: the control of household pets, strays, livestock and wildlife and livestock evaluation reports. Also, records re: the administration of shelter programs including rabies clinics and volunteer programs.

Bylaw Enforcement


LD E=date animal was last in the pound Excludes dog/cat licenses (P09)

P15 Community Protection Programs Records on community protection, fire and crime prevention such as community policy, victim services, neighbourhood watch, block parents, etc.

Fire, Police, Bylaw enforcement.

S+2* Fire Chief Office

LD

P16 Emergency Services Records re: land ambulance, fire, and rescue services.

Fire, Police S+2 Fire Chief Office

LD

P17 Parking Tickets Bylaw Enforcement

2 By‐Law Enforcement Office

LR

P18 By‐law Enforcement Tickets

Bylaw Enforcement

2 By‐Law Enforcement Office

LR


50

PRIMARY HEADING – RECREATION, HERITAGE AND CULTURE

SecondaryClassCode




Remarks

R00 Rec, Heritage and Culture – General Incl. records regarding recreation, heritage and cultural services which cannot be classified elsewhere.

All departments 1 Front Office Cabinet

LD

R01 Heritage Preservation Includes records and info. regarding local history, listings, and designations of individual properties and districts on the municipal register, private and abandoned cemeteries, miscellaneous TACAC materials

Clerks/Planning P Front Office Cabinet

LR Excludes designation bylaws (C01), and TACAC minutes & agendas (C04, C05)

R02 Archeology Includes property assessment reports, provincial clearance letters and assessment guidelines, miscellaneous artifact collections, and any other information or reports related to archaeology.

Planning P Front Office Cabinet

LR

R03 Built Heritage Built heritage resources inventories, miscellaneous info on the

DCS P Front Office Cabinet

LR


51

documentation and recording of built structure, info or reports related to built heritage.

R04 Parks Management Includes correspondence, descriptions, reports and other records dealing with the management design, setup, landscaping and maintenance of specific municipal parks,. Incl. maps and plans. Also incl. info dealing with maintenance of playground equipment.

Parks & Rec/Facilities

5* Front Office Cabinet

LD Playground equipment maintenance records are retained permanently Excludes Building and property maintenance (A20)

R05 Recreational Facilities Includes correspondence, descriptions, reports and other records dealing with the management, operation and design of specific municipal rec facilities such as arenas, rinks, pools, fitness centers, etc.

Parks & Rec/Facilities

5* Front Office Cabinet

LD Excludes Facilities Construction (A19), and Building and Property maintenance (A20)

R06 Recreational Programming Includes correspondence, applications, registrations, and general info regarding the development and delivery of rec programs to the community such as youth, sports and fitness, adult education, crafts and other programs.

Parks & Rec 5* Front Office Cabinet

LD


52

PRIMARY HEADING – SOCIAL AND HEALTHCARE SERVICES

SecondaryClassCode




Remarks

S00 Social and Healthcare Services – General Records re: social and healthcare services which cannot be classified elsewhere.

All departments

1 County LD

S01 Children’s Day Nursery Services General program info re: childcare programs such as municipal and private day care and day nursery services.

County 1 County LD County?

S02 Elderly Assistance General program info. regarding programs intended to improve the quality of life for senior citizens such as home care, housing, and transit subsidies. Includes any homes for the aged as well as general resource info. used in counseling seniors.

County 5 County LD

S03 Homes for the Ages Residents Includes records re: individual residents of homes for the aged.

County 1 County LD County

S04 Social Assistance Programs Includes general



53

program info. re: social assistance programs. Also includes general resource info. used in counseling recipients of social assistance and info. pertaining to Employment Support Programs and Community Support Services. Also, records re: subsidized housing.

S05 Ontario Works Case Records


S06 Medical Case Records Case records re: communicable diseases, venereal diseases, dental care, maternal care, etc.


S07 Children’s Services Includes general program information regarding programs benefitting developmentally handicapped children, abused children, and other children’s programs


S08 Public Health Includes records re: public health programs such as health and safety education, school health programs, family planning and disease control including immunization.

County 1 County LD

S09 Cemetery Records Includes burial permits, maps, plot ownership records,

Cemetery P 5 LR


54

internment registers, and indexes for municipal cemeteries.

S10 Day Nursery Case Records Application for enrolment, child’s name and address, date of birth, phone numbers of parents, etc.



55

PRIMARY HEADING: TRANSPORTATION

SecondaryClassCode




Remarks

T00 Transportation – General Records re: transportation which cannot be classified elsewhere.

All departments 1 3 LD

T01 Illumination Records and studies regarding the installation and repair of equipment used to illuminate roads such as street lights, pedestrian crossing lights, and records on power consumption.

Works E+6 3 LR E=completion of project

T02 Parking Includes records and studies re: municipal parking issues such as handicapped parking, lot and garage operations, fire routes, and employee parking.

Operations E+6 3 LR E=closure of lot or space

T03 Public Transit Records re: transit systems, includes schedules, routes, maps and similar information. Also includes project records re: the construction of bus shelters, route administration and planning, fare policies, access for persons with

n/a E+1* County County County E=closure of route/ shelter/stop


56

disabilities.

T04 Road and Sidewalk Construction Includes records and studies re: construction projects on roads. Incl. the construction of new roads and major improvements to existing roads and sidewalks, such as resurfacing, widening, bridges, retaining walls, etc.

Works E+1* 3 LR E=project finished Excludes simple agreements (L14), Design & Planning (T05), and routine maintenance or minor improvements to road systems (T06)

Design Studies Planning P 3 LR

T05 Road and Sidewalk Design and Planning Includes estimates, studies, and other records re: the design and planning of specific road construction projects, also includes the design of curbs and sidewalks, cycle‐ways, footpaths, walkways, trails, etc.

Works E+1* 3 LR E=project finished Specifications are kept permanently

T06 Road and Sidewalk Maintenance Incl. records and studies re: the inspection and maintenance of roads, includes the installation of culverts, minor repairs to the road surfaces, curbs and sidewalks, cycle‐ways, footpaths

Operations/Works E+6* 3 LR E=project finished Specifications are kept permanently


57

and walkways, trails, includes grading an ploughing and sanding of roads and snow removal and cleaning.

T07 Signs and Signals Includes records and studies re the manufacture and installation of signs and signals.

Works E+1 3 LR E=removal of sign/signal

T08 Traffic Records and studies re: the flow of traffic on roads, including intersection drawings, pedestrian crossovers, crossing guards, traffic counts, accident stats, and temporary road closures for special events.

Works E+1* 3 LR E=project finished

T09 Roads and Lane Closures Includes records on roads and lanes closed on a permanent or regular basis. Includes reports, appraisals, correspondence and district court applications. As well as records related to requests to open road and street allowances.

Works E+1* 3 LR E=project finished Excludes temporary road closures (T08), land sales (L07), Road closing bylaws (C01)

T10 Field Survey/Road Survey Books Includes engineering field survey notes as well as books

Operations E+6* Works LR E= project finished

T11 Bridges Includes

Operations E+1 3 LR E= project finished


58

estimates, studies and other records re: projects specifically for bridge construction, also includes bridge repairs and maintenance.

Specifications and Engineering Structural Assessment Reports (Bridges)

Operations P Works LR


59

PRIMARY HEADING – VEHICLES AND EQUIPMENT

SecondaryClassCode




Remarks

V00 Vehicles and Equipment – General Records re: vehicles and equipment which cannot be classified elsewhere.

All departments

1 Works LR

V01 Fleet Management Records of all vehicles currently leased or owned, operated, and maintained by the town. This includes vehicle history files, and vehicle maintenance, registration and disposal.

Works/Fleet E+1 Works LR E=termination of lease or disposal of vehicle Excludes Insurance policies (L06), Accident claims (L02, L03), Lease/Contracts (L14)

V02 Mobile Equipment Includes records re: mobile equipment used in conjunction with vehicles. Also includes maintenance and history files on equipment such as generators, pumps, snow blowers, sanders, etc.

Operations E+6 Works LR E=as long as the device is in service

V03 Transportable Equipment Maintenance and history files on equipment such as lawnmowers, hoses, weed‐eaters, drills and rescue

Operations E+6 Works LD E=as long as the device is in service


60

equipment.

V04 Protective Equipment Records re: protective equipment used by the municipality. Also includes maintenance and history files on equipment such as breathing apparatus, breathing tanks, alarms, etc.

Operations, Fire

E+6 Fire Chief Office

LD E=as long as the device is in service