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01-007 Records and Information Management Policy_20211-007 Page 1 of 8 ADMINISTRATIVE Policy 1 -007: Records and Information Management Policy Approval Date: November 23, 2015 Approval Authority: Council, Resolution Effective Date: November 23, 2015 Next Scheduled Review Year: 2025 Department: Office of the Clerk Last reviewed: 2021 Revision Date/s: Schedules: POLICY STATEMENT The Town of Tillsonburg is committed to promoting and facilitating a corporate-wide Records and Information Management Program to maintain, protect, retain and dispose of its records, regardless of format, throughout their life cycle in accordance with government regulations to support accountable and effective business practices, and to maintain a high level of customer service. PURPOSE The policy outlines consistent standards and practices of the life cycle management of all records and information in the care and custody of the Town of Tillsonburg. Information contained in records is a critical corporate asset. The policy supports the proper management, maintenance, and disposal of records in all forms. Complete accurate records aid in organizational efficiency and decision making, assist in business continuity and litigation support, satisfy legislative and regulatory requirements, and serve as the Town’s corporate memory by preserving organizational and operational history. The purpose of this policy is to document the provision of Records and Information Management as a whole, taking in to account all records regardless of format, the transfer to storage or alternate medium, retention, destruction or disposition and 1-007 Page 2 of 8 archival selection to ensure that all records and information are maintained with consistency. SCOPE The Town of Tillsonburg shall establish a Corporate Records & Information Management Policy, following the requirements of the Municipal Act, 2001, the Municipal Freedom of Information and Protection of Privacy Act, and the principles of The Ontario Municipal Records Management System (TOMRMS) for the management of records and information within the Municipality. This policy shall affect all records and information in the custody and control of the Town of Tillsonburg, including those produced or received within all Town departments. This policy regulates, for all departments, the creation of all documents and records, the maintenance of the records in the Corporate file classification system, preparation, issuance and updating of approved records retention schedules, management of inactive records and storage facilities, utilization of alternate medium, the identification and protection of vital and archival records, as well as the destruction of records in accordance with government regulations and legal requirements. In order to ensure that all departments maintain the Corporation’s records appropriately; the Town of Tillsonburg has enacted Records Retention By-Law 3933. DEFINITIONS This Policy may be cited as the “RIM Policy”. Active: “Active” refers to the time frame a record is actively used in the department and retained within the department. Auditor: “Auditor” means the person or firm appointed by Council from time to time to perform the annual audit of the records of the Town of Tillsonburg. Archival Selection: “Archival Selection” means to evaluate and appraise a record for permanent retention due to its historical value. Classification: “Classification” (as in records classification) means the systematic identification and arrangement of records into categories according to logically structures conventions, methods, and procedural rules, as represented in the classification scheme. Conversion: “Conversion” is the act of transferring recorded information from one physical medium or format to another. Destroy: “Destroy” means the process of eliminating or deleting data, documents and records so that the recorded information no longer exists. 1-007 Page 3 of 8 Destruction: “Destruction” means the final phase of a record’s life cycle. Disposition with respect to records: “Disposition with respect to records” means a range of processes; associated actions; implementation; retention; destruction; loss; or transfer of custody or ownership that are documented. Duplicate Record: “Duplicate Record” is a copy of a record containing information which is identical to that contained in the original record. Electronic Records: “Electronic Records” means data and information which is used to exchange text messages and computer files over a communications networks such as a local area network or the Internet usually between computers or terminals which shows evidence of actions and decisions occurring during the transaction of business. Files: “Files” has the same meaning as “records” and may be used inter-changeably. Imaging: “Imaging” means the process of capturing, processing, and managing documents by reproducing their appearance through photography, micrographics, or scanning to create copies or “images” of records. Inactive records: “Inactive records” means records that are no longer required for ongoing municipal business. These are records that are ready for final disposition; in other words, records for which the scheduled active retention period has lapsed. Information management: “Information management” means the systematic control of information from creation to storage and retrieval to dissemination, regardless of media or physical format. Integrity: “Integrity” is the quality of being whole and unaltered through loss, tampering, or corruption. In the context of records, integrity relates to the potential loss of physical or intellectual elements after a record has been created. As one of the components used to determine a record’s authenticity, integrity is a relative concept that assesses whether the essential nature of a record has changed. Laserfiche: “Laserfiche” is the Town of Tillsonburg’s electronic document management system. Medium/Media: “Medium/media” means the physical material which serves as a functional unit, in or on which information or data is normally recorded, in which information or data can be retained and carried, from which information or data can be retrieved, and which is non-volatile in nature. Metadata: “Metadata” means definition or description of data. Describes how and when and by whom a particular set of data was collected, and how the data is formatted. It is also known as the data about the record. 1-007 Page 4 of 8 Microfiche: “Microfiche” is a rectangular sheet of transparent plastic having one or more miniaturized images usually arranged in a grid pattern, with a heading area across the top. Normal size is 148 x 105mm (6 x 4 inches). Microfilm: “Microfilm” is a fine-grain, high-resolution film used in micrographics containing an image greatly reduced in size from the source document. Microform: “Microform” a generic term covering any form, either film or paper that contains images greatly reduced in size. Microform may be produced through a photographic process or generated from a computer (computer output microform, also known as COMfiche/ COMfilm). MFIPPA: “MFIPPA” Ontario Municipal Freedom of Information and Protection of Privacy legislation which, with some limitations, provides the public with a right of access to records held by the Town and protects the privacy of personal and sensitive information. Non-record Material: “Non-Record Material” means copies of documents maintained in more than one location or materials available from public sources, which can be disposed of at the discretion of the user. OCR: “OCR” means optical character recognition, a technology that enables you to convert different types of documents, such as scanned paper documents, PDF files into editable and searchable data. Official Records: “Official Records” means recorded information in any format or medium that documents the company's business activities, rights, obligations or responsibilities or recorded information that was created, received distributed or maintained by the company in compliance with a legal obligation. Orphan Data: “Orphan Data” means data that is not machine readable because the data exists with no identifiable computer application or system that can retrieve it or the data is machine readable but does not have sufficient content, context or structure to render it understandable. Permanent: “Permanent” means information that retains its legal, administrative and historical value without any timeframe. Personal Information Bank (PIB): “Personal Information Bank” (PIB) as defined in the Freedom of Information and Protection of Privacy Act. A PIB is a collection of personal information that is organized or retrievable by the name of an individual or by an identifying number, symbol or other particular assigned to an individual. Records: “Records” means any recorded information, however recorded, whether in printed form, on film, by electronic means or otherwise, including correspondence, memoranda, plans, maps, drawings, graphic works, photographs, film, microfilm, 1-007 Page 5 of 8 microfiche, sound records, videotapes, Laserfiche, e-mail, machine readable records, and any other documentary material regardless of physical form or characteristics, and including “official records” and “transitory records”. Records Management Coordinator: “Records Management Coordinator” means the Clerk or designate. Responsible Department: “Responsible Department” identifies the department with the primary responsibility for retaining the record as noted in the retention table. Retention Period: “Retention Period” means the period of time during which the Town must keep records before they may be disposed of. Retention Schedule: “Retention Schedule” means a control document that describes the company’s records at a series level, and indicates the length of time that each series shall be retained before its final disposition. It specifies those records to be preserved for their archival or legal values, and authorizes on a continuing basis the destruction of the remaining records after the lapse of a specified retention period or the occurrence of specified actions or events. Signing Authority: “Signing Authority” means the Director of the responsible department or his/her designate. Town: “Town” means The Corporation of the Town of Tillsonburg. Transitory Records: “Transitory Records” means records kept solely for convenience of reference and of limited value in documenting the planning or implementation of Town policy or programs, such as: • copies of miscellaneous notices or memoranda concerning routine administrative matters or other minor issues; • information copies of widely distributed materials, such as minutes, agendas and newsletters, unless the information copy has been annotated to reflect significant input or for other program purposes; • preliminary drafts of letters, memoranda or reports and other informal notes which do not represent significant steps in the preparation of a final document and which do not record decisions; • duplicate copies of documents in the same medium which are retained only for convenience or future distribution; • voice-mail messages; • e-mail messages and other communications that do not relate to Town business; • copies of publications, such as, published reports, administration manuals, telephone directories, catalogues, pamphlets or periodicals; • duplicate stocks of obsolete publications, pamphlets or blank forms; • unsolicited advertising materials, including brochures, company profiles and price lists. 1-007 Page 6 of 8 Vital Record: “Vital Record” means a record of any form or format, containing information that is essential to continue the immediate operation of the Town and that is necessary to recreate its legal and financial position and to preserve its claims and rights and those of its stakeholders. IMPLEMENTATION PROCEDURE 1. The goals of the Records & Information Management Policy are: • to streamline information and record keeping systems to promote efficient and effective decision making; • to improve productivity and control costs by making records and information readily available to all users; and • to demonstrate judicial and legislative authorities that the municipality is making every reasonable attempt to retain and dispose of its records in a responsible manner and in accordance with applicable guidelines, legislation and good business practices. 2. All records created or received by an employee of the municipality are considered property of the municipality and are subject to disclosure under the Municipal Freedom of Information and Protection of Privacy Act. 3. All employees who create, work with, or manage records shall: • comply with the Records & Information Management Policy and the retention periods for records as specified in the current Records Retention Schedule “A”; • ensure that official records in their custody or control are protected from inadvertent destruction or damage; and • ensure that non-records in their custody or control are destroyed when they are no longer needed for short-term reference. 4. There are three major categories of records and Records and Information Management covers all three categories of records as listed: 4.1. Paper Records (e.g., letters, reports, computer printouts, photographs) 4.2. Physical Media Records (e.g., video, audio tapes, CD, DVD, microfilm) 4.3. Electronic Records (e.g., emails, word processing, spreadsheet or database files, and pdf files). 5. The Implementation of the Records & Information Management Policy will ensure that: • There is Corporate compliance with the established File Classification System; • Filing and Storage space is economically utilized; • Vital and Archival records are protected; • Legal requirements are met; • Retrieval of records is simplified; • Staff turnover does not affect the corporate memory. 1-007 Page 7 of 8 6. In support of the municipality’s Records & Information Management Policy and procedures, the Clerk’s Office is responsible for: • the development, coordination and administration of records management policies and procedures in support of the records management program; • providing assistance to determine if material is an official record, non- record, or duplicate and ensuring that official records are preserved and disposed of in accordance with the Records Retention Schedule “A”, attached hereto; • in addition to providing day-to-day assistance to users in all aspects of the records management program, from records creation to final disposition of records, the Clerk’s Office is also responsible for identifying and assessing records and items of historical value and transferring archival materials; • the identification of records held in storage, which have fulfilled their retention requirements in accordance with records retention and obtaining departmental approvals prior to their destruction; • maintaining a list of all records of the municipality for use by all departments including all records that have been destroyed in accordance with this by-law or any predecessor records retention by-law; • the establishment and maintenance of the Records Classifications and Records Retention Schedule “A” in consultation with department heads and the municipal auditor; • the identification and protection of all records vital to the functioning of the municipality and for providing the municipality with a records recovery process to implement in the event of a disaster; • advising all departments of the municipality on the most appropriate and efficient ways to create, classify, handle, store, retrieve and dispose of records; • providing assistance to the municipality’s departments to comply with the Municipal Freedom of Information and Privacy Act, and any other federal or provincial legislation affecting records management practices. 7. The Records Management Coordinator shall administer this policy and shall ensure corporate compliance with the file classification system and retention periods for record and information in the custody and control of the Town of Tillsonburg. 8. In determining compliance, the Records Management Coordinator shall consider, in consultation with other Town employees, where appropriate: • The operational nature of the records, including the period of time during which the Town uses the records to perform its functions; • The legal nature of the records, including the period of time necessary to comply with statutory or regulatory requirements or requirements imposed by agreements, permits or similar documents, or to ensure that the records are available in case of investigation or litigation; 1-007 Page 8 of 8 • The fiscal nature of the records, including the period to time necessary for audit or tax purposes; and, • The historical nature of the records, including the long-term value of the records for documenting past events or the origins and history of the Town. 9. Employee Responsibility All Town employees who create, work with or manage records shall: • Comply with the file classification systems and retention periods and as specified in Schedule “A” attached hereto; • Ensure that official records in their custody or control are protected from inadvertent destruction or damage; • Ensure that transitory records in their custody or control are destroyed when they are no longer needed for short-term reference; • Maintain permanent records in an accessible manner; • And ensure that appropriate security measures are in place. 10. Records Management Coordinator The Records Management Coordinator shall: • Develop and administer policies and procedures for the Town’s records and information management program; • Periodically review and make recommendations with respect to this policy, including Schedule “A” attached hereto; • Facilitate training and conversion of files to the principles of the Records Management Classification System (TOMRMS); • Ensure that official records are preserved and disposed of in accordance with Schedule “A” attached hereto; and, • Satisfy him/herself that the retention period as set out in Schedule “A” has expired and disposal has been properly authorized by the department pursuant to Section 5 of the Records Retention By-Law 3933 and that all certificates of disposition have been prepared and preserved. 11. Related Procedures The following procedures provide step by step instruction in managing all aspects of the Records and Information Management Program at the Town of Tillsonburg: 11.1. Physical, Permanent & Vital Records 11.2. Electronic Records & Naming Convention 11.3. Vital Statistics 11.4. Electronic Email & Messaging Standards This policy shall be reviewed at least once every five years.