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Schedule A to By-law 74-2024
1
Title
Records Management Policy
Effective Date
December 9, 2024
Revision Date
Approved By
Council of the Village of Merrickville-Wolford
Applies to
All Departments and Members of Council of the Corporation of the
Village of Merrickville-Wolford
Schedule A to By-law 74-2024
2
Table of Contents
1.
Policy Statement ............................................................................................................. 3
2.
Policy Definitions ............................................................................................................ 3
3.
Purpose of the Policy ...................................................................................................... 5
4.
Policy Application ........................................................................................................... 6
5.
Policy Requirements ....................................................................................................... 6
5.1
Records Management System ................................................................................. 6
5.2
Records Retention Schedule ................................................................................... 6
5.3
Records Classification System ............................................................................... 7
5.4
Records Format ....................................................................................................... 7
5.5
Vital Records ........................................................................................................... 8
5.6
Emails and Voicemails ............................................................................................ 9
5.7
Personal and Confidential Records ......................................................................... 9
5.8
Ownership of Records ............................................................................................. 9
5.9
Change of Custody, Control, or Ownership ........................................................... 10
5.10
Access to Records ................................................................................................. 10
5.11
MFIPPA or PHIPA Requests, Investigations, and Litigation .................................... 10
5.12
Disposition Procedures ......................................................................................... 11
5.13
Preservation of Archival Records .......................................................................... 12
5.14
Records Management Training .............................................................................. 12
5.15
Compliance and Audits ......................................................................................... 12
5.16
Contravention ....................................................................................................... 12
6.
Responsibilities ............................................................................................................ 13
6.1
Appointment of Designated Employees ................................................................ 13
6.2
Department Heads or Designated Employees ...................................................... 13
6.3
Employees............................................................................................................. 14
6.4
Clerk...................................................................................................................... 14
7.
Legislative Authority ..................................................................................................... 15
8.
References .................................................................................................................... 15
Schedule A to By-law 74-2024
3
1. Policy Statement
1.1 The records of the Corporation are valuable corporate assets needed to support
effective decision-making, meet operational requirements, protect legal, fiscal, and
other interests of the Corporation, preserve historically valuable information, and
adhere to the requirements of applicable legislation.
1.2 Effective records management makes program and service delivery more
efficient, supports transparency and collaboration across the Corporation, and
preserves historically valuable information.
2. Policy Definitions
For the purposes of this Policy, the following definitions shall apply:
2.1 Archival Record means a record that is to be retained on a permanent basis
due to its historic and research value.
2.2 Corporation means the Corporation of the Village of Merrickville-Wolford.
2.3 Disposition means the elimination or deletion of data, documents, and records
so that the recorded information no longer exists.
2.4 Electronic means created, recorded, transmitted, or stored in digital form or in
other intangible forms by electronic, magnetic, or optical means, or by any other
means that have capabilities for creation, recording, transmission, or storage
similar to those means, and "electronically" has a corresponding meaning.
2.5 Electronic Record means a record of information that is created, generated,
sent, communicated, received, or stored electronically.
2.6 MFIPPA means the Municipal Freedom of Information and Protection of Privacy
Act, R.S.O. 1990, c. F 31.
2.7 Municipal Act means the Municipal Act, 2001, S.O. 2001, c. 25.
2.8 Official Record means recorded information in any format or medium that
documents the Corporation's business activities, rights, obligations or
responsibilities, or recorded information that was created, received, distributed,
or maintained by the Corporation in compliance with a legal obligation.
2.9 PDF/A means a nonproprietary ISO 19905 standard providing for the longevity of
semantic electronic documents.
2.10 PHIPA means the Personal Health Information Protection Act, 2004, S.O. 2004,
c.3, Sched. A.
Schedule A to By-law 74-2024
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2.11 Physical Record means a record, such as paper, that can be touched and
which takes up physical space.
2.12 Record means information, however recorded or stored, irrespective of the
medium or form, by electronic means or otherwise, that includes, but is not
limited to, documents, financial statements, minutes, accounts, emails,
correspondence, memoranda, plans, maps, drawings, photographs, databases,
and films.
2.13 Records Classification System means a standardized system of identifying
and classifying records for ease of use, retrieval, and disposal.
2.14 Records Management System means a network, database systems, and any
document management systems using the Corporation's records classification
system.
2.15 Records Retention Schedule means a schedule indicating the length of time
that each category of records shall be retained before its final disposition. It
specifies those records to be preserved for their historic or legal values, and
authorizes on a continuing basis the destruction of the remaining records after
the expiry of a specified retention period or the occurrence of specific actions or
events. The records retention schedule serves as the legal authorization for the
disposal of the Corporation's records.
2.16 Retention Period means the period of time during which the Corporation shall
keep records before they may be disposed of.
2.17 TOMRMS means the Ontario Municipal Records Management System, a
standardized classification system that was designed specifically for municipal
records.
2.18 Transitory Record means records for which there is no legal, regulatory, policy
obligation or recordkeeping directive to preserve according to a set retention
period and disposition instructions including, but not limited to:
a) Copies of miscellaneous notices or memoranda concerning routine
administrative matters or other minor issues;
b) Duplicates of documents;
c) 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;
d) Voicemail messages;
e) Emails and other communications that do not relate to the Corporation's
business;
Schedule A to By-law 74-2024
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f) Copies of publications, such as published reports, administration manuals,
telephone directories, catalogues, pamphlets, or periodicals;
g) Duplicate stocks of obsolete publications, pamphlets, or blank forms;
h) Unsolicited advertising materials, including brochures, company profiles, and
price lists.
2.19 Vital Record means a record of any form or format, containing information
essential for the continuation of the immediate operation of the Corporation and
necessary to recreate its legal and financial situation and to preserve its claims
and rights and those of its stakeholders.
3. Purpose of the Policy
3.1 The purposes of this Policy are:
a) To ensure that the records in the custody or under the control of the
Corporation regardless of their physical format or medium, are organized,
retained, managed, and disposed of in accordance with applicable legislation
including, but not limited to, the Municipal Act, MFIPPA, PHIPA, the
Corporation's Records Retention Schedule adopted as the Corporation's
Records Retention, and the principles of TOMRMS;
b) To apply systematic controls and standards to the creation, security, use,
retention, conversion, management, and disposition of records in every
Department of the Corporation;
c) To ensure that the records in the custody or under the control of the
Corporation are retained and preserved in a secure and accessible manner;
d) To protect the integrity and authenticity of records so that they may be relied
upon as evidence of organizational activity and administrative decisions and
thereby meet legal and evidential requirements;
e) To foster government accountability and transparency by promoting and
facilitating good recordkeeping;
f) To promote organizational efficiency and economy through sound
recordkeeping practices, including reducing storage costs through the use of
an electronic records management system or other technologies;
g) To enhance collaboration across the Corporation; and
h) To establish and define responsibility and roles in terms of records
management.
Schedule A to By-law 74-2024
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4. Policy Application
4.1 This Policy applies to all Departments and Members of Council of the
Corporation.
4.2 This Policy applies to all records in the custody or under the control of the
Corporation, regardless of their physical format or medium, including, but not
limited to, the records created, received, retained, managed, or disposed of by all
employees, Departments, committees within the Corporation, or by Members of
Council in the course of carrying out their duties as Elected Officials.
5. Policy Requirements
5.1
Records Management System
5.1.1 The Corporation maintains a decentralized records management system
where the Corporation's Departments are responsible for managing the
records retained within their respective Department in accordance with the
Corporation's Records Management By-law and this Policy.
5.1.2 The Corporation's records management system includes physical records and
electronic records.
a) Physical Records
i.
All Departments shall classify and store their physical records in a
secure manner, as described in this Policy, and in accordance with
the Corporation's Records Management By-law.
b) Electronic Records
i.
All Departments shall retain their electronic records in the
authorized software, systems or services as approved by the
Corporation.
ii.
Department Heads or designated employees shall consult with the
Information Technology Service of the Corporation prior to the
purchase of software, systems or services to ensure they are
consistent with the standards and provisions of this Policy and the
Records Management By-law. Software, systems, or services that
meet specific requirements, such as having unalterable records,
unalterable audit log of actions on records, and retention or
disposition functionality, may be designated as acceptable.
5.2
Records Retention Schedule
5.2.1 The Corporation's Records Retention Schedule is based and structured in
accordance with TOMRMS, although some minor variations exist.
Schedule A to By-law 74-2024
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5.2.2 When establishing the Records Retention Schedule, the Clerk shall consider,
in consultation with Department Heads or designated employees, the
following points:
a) The operational value of the record;
b) The legal value of the record;
c) The fiscal value of the record; and
d) The historic value of the record.
5.2.3 All Official Records shall be retained in the most cost-effective manner, and
only for as long as needed, in accordance with the Corporation's Records
Retention Schedule. The Corporation maintains the authority to retain records
for longer periods than indicated within the Retention Schedules if it is
deemed necessary.
5.3
Records Classification System
5.3.1 The Corporation shall categorize records, regardless of medium or format, as
either Transitory Records or Official Records.
5.3.2 All Official Records shall be classified with file codes based on their
associated business functions and activities, in accordance with the
Corporation's Records Retention Schedule, in order to indicate how long they
must be retained.
5.3.3 There are no requirements to classify or retain Transitory Records unless an
employee has become aware that such records may be subject to a MFIPPA
request or an investigation or litigation.
5.4
Records Format
5.4.1 Duplicates of the same Official Records shall be avoided at all times because
this cause confusion as to which duplicates constitute the original copy of the
record. Consequently, Official Records shall be retained either in physical or
electronic format, but not both at the same time wherever possible.
5.4.2 When an Official Record is initially produced in physical format, the original
copy shall be retained in physical format unless it is converted into an
electronic format in accordance with the below-mentioned principles. If this is
the case, the electronic records will thereafter be considered as the original
copy of the said record:
a) The conversion to electronic format shall be an accurate reproduction with
the intention of taking the place of the physical record.
Schedule A to By-law 74-2024
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b) The conversion to electronic format shall provide the same information as
the physical record.
c) The significant details of the conversion to electronic format shall not be
obscured because of limitations in resolution, tonality, or hue.
d) The final record format shall be in PDF or PDF/A depending on the
remaining lifecycle to the record:
i.
Fewer than 12 years: PDF
ii.
12 years and more: PDF/A
e) After the electronic record is safely stored, the original physical record
shall be destroyed in a secure manner in accordance with this Policy.
f) If the Department Head or designated employee decides to convert
physical records of a certain record category to electronic records:
i.
A decision shall be made as to how far back in time the physical
records will be converted to electronic records; and
ii.
A going-forward date must be chosen after which all records
belonging to that records category shall be converted to an
electronic format.
g) If the conversion of physical records to electronic records is outsourced to
a scanning provider, the provider shall comply with the above
requirements.
5.4.3 When an Official Record is initially produced in electronic format, the original
copy shall be retained in an accessible and readable electronic format. The
Electronic Record shall be in PDF or PDF/A depending on the lifecycle of the
document:
a) Fewer than 12 years: PDF
b) 12 years and more: PDF/A
5.5
Vital Records
5.5.1 All the Corporation's records which have been deemed as Vital Records by
the Clerk, in collaboration with Department Heads or designated employees,
shall be identified as vital in the Corporation's Records Retention Schedule.
5.5.2 The records identified as Vital Records will be appropriately identified,
protected, and preserved.
Schedule A to By-law 74-2024
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5.6
Emails and Voicemails
5.6.1 The Corporation's electronic mail (email) system is not part of the records
management system of the Corporation and shall not be used for the storage
of records.
5.6.2 Emails deemed Transitory Records shall be deleted by the Corporation's
employees in accordance with this Policy.
5.6.3 Emails deemed Official Records shall be classified in accordance with the
Corporation's Records Classification System and filed within the Corporation's
records management system. Once the email has been saved, classified, and
filed, the copy residing within the Corporation's email system may be treated
as a Transitory Record and destroyed accordingly.
5.6.4 The Corporation's voicemail system is available for day-to-day operations, is
not part of the Corporation's records management system, and shall not be
used for the storage of records.
5.7
Personal and Confidential Records
5.7.1 Access restrictions and security measures shall be applied to records
containing sensitive, personal, or confidential information in order to comply
with access and privacy provisions outlined in the MFIPPA, PHIPA, or other
applicable legislation.
5.7.2 Every employee entrusted with personal and confidential records shall ensure
that the confidentiality of such records is maintained at all times.
5.7.3 The Corporation shall collect and retain only necessary personal information.
5.7.4 Records containing personal information shall be identified in the
Corporation's Records Retention Schedule.
5.8
Ownership of Records
5.8.1 All records created, received, or maintained by an employee or a Member of
Council of the Corporation in the course of carrying out their duties are the
property of the Corporation. This includes records held on personal electronic
devices. Care must be taken to avoid the use of personal electronic
communication devices, particularly as these may be held in the case of a
legal hold or a MFIPPA request.
5.8.2 Any employees or Members of Council leaving their position are required to
leave all records for any successors.
Schedule A to By-law 74-2024
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5.8.3 Records in the custody of consultants, contractors, and private-service
providers performing work for the Corporation may be under the control of the
Corporation and may be subject to this Policy, the Records Management By-
law, and the provisions of MFIPPA.
5.8.4 Records created or received by volunteers or part-time works performing
work under the direction of an employee of the Corporation are records
subject to this Policy, the Records Management By-law, and the provisions of
MFIPPA.
5.9
Change of Custody, Control, or Ownership
5.9.1 When physical custody of records is transferred to another institution not
covered by this Policy, an agreement must be in place. The agreement must
identify the records in question, define the rights retained by the Corporation,
and ensure that the records will be managed in accordance with the
Corporation's Records Management By-law, this Policy, and other applicable
legislation.
5.10
Access to Records
5.10.1 The Corporation's employees are to ensure that Official Records within their
custody and under their control remain accessible to other employees
designated as requiring access in order to perform the function of their job
and retrievable for the entire period set out within the Corporation's Records
Retention Schedule. However, access restrictions will be applied to records
where specifically required by the Department and in order to comply with
access and privacy provisions outlined in the MFIPPA, PHIPA, or other
legislation.
5.10.2 Requests from the public for access to the Corporation's records shall be
provided in accordance with the MFIPPA or PHIPA.
5.11
MFIPPA or PHIPA Requests, Investigations, and Litigation
5.11.1 No Transitory Records or Official Records pertaining to an access request
under the MFIPPA or PHIPA, or to an investigation or litigation shall be
destroyed by any employees of the Corporation who have such records in
their custody or under their control until the request, investigation, or litigation
pertaining to those records has concluded.
5.11.2 The Clerk shall provide notice of any MFIPPA or PHIPA requests,
investigations, or litigation to the Department Head or designated employee of
the affected Department in order to ensure that any records relevant to the
request, investigation, or litigation are not being destroyed.
Schedule A to By-law 74-2024
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5.12
Disposition Procedures
5.12.1 Keeping everything forever is not effective, economical, or legally wise, and
the Corporation's Records Management By-law guards against this practice.
5.12.2 As such, all the Corporation's Departments shall adhere to the following
disposition procedure:
a) Transitory Records
i.
Transitory Records may be disposed of in a manner that is
appropriate for their level of confidentiality once they have fulfilled
their purpose.
b) Official Records
i.
Records that have fulfilled their total retention period according to
the Corporation's Records Retention Schedule shall be destroyed
promptly in accordance with this Policy and the Records
Management By-law. Exceptions to this planned destruction
process include records that are subject of a request under the
MFIPPA and PHIPA, as well as records required for ongoing legal
purposes, as described in section 5.11 of this Policy;
ii.
The Department Head or designated employee shall provide the
Clerk with a written notification prior to the scheduled destruction
date of any records that should be retained for a longer period and
the reason for the extension. Then, the Clerk, in consultation with
the Department Head or designated employee who is requesting
the extension, shall establish a new destruction date;
iii.
Records shall be destroyed using a method appropriate for their
medium, format, and content, which may include, but are not limited
to, deletion, garbage, shredding, and paper recycling;
iv.
Destruction operations must maintain the confidentiality of
information and protect the privacy of individuals whose personal
information may be contained in the records;
v.
No records are to be disposed of or otherwise destroyed by any
person without the written approval of the Clerk and the
Department Head or designated employee and without first
ensuring that the records have been documented on a Destruction
Notice;
vi.
Whenever possible, records are to be disposed of as part of an
annual disposal process, as opposed to being randomly destroyed;
Schedule A to By-law 74-2024
12
vii.
Should the Clerk deem the Official Records to have archival value,
the disposal process will be stopped, and the Archival Records
shall be removed and placed with other records having archival
value;
viii.
The Destruction Notice Form that shall be used when disposing of
Official Records is attached to this Policy as Appendix A; and
ix.
All Original Destruction Notices shall be provided to and retained
permanently by the Clerk's Office.
5.13
Preservation of Archival Records
5.13.1 Archival Records will be stored in formats that ensure the longest possible life
of records or of the information contained in them. They will be handled and
stored in a manner that minimizes damage and deterioration while in use.
5.14
Records Management Training
5.14.1 Ongoing training shall be offered to all employees involved in records
management.
5.14.2 The objective of employee training is to enable the Corporation to implement,
use, and maintain a standardized Records Management System.
5.14.3 Training must be appropriate for the level of involvement with records
management. This involves basic training for all employees and specialized
training for designated employees responsible for records management.
5.15
Compliance and Audits
5.15.1 Compliance with the Corporation's Records Management By-law will be
reviewed on a scheduled and random basis by the Clerk.
5.16
Contravention
5.16.1 Subsection 48(1) of the MFIPPA clearly states that no person shall alter,
conceal, or destroy a record, or cause any other person to do so, with the
intention of denying a right under this Act to access the record or the
information contained in the record.
5.16.2 Subsection 48(2) of the MFIPPA provides that evert person who contravenes
subsection 48(1) is guilty of an offence and could be subject to a fine up to
$5,000.
Schedule A to By-law 74-2024
13
5.16.3 If an employee is guilty of an offence that results in a fine under the MFIPPA,
the employee must pay the fee in whole and assume the consequences
related to this violation, which involves a range of disciplinary measures.
6. Responsibilities
6.1 Appointment of Designated Employees
6.1.1 Each Department may designate an employee by filling out the Appointment
of a Designated Employee Form, attached to this Policy as Appendix B, who
will act as a liaison between the Clerk's Office and the Department in terms of
records management.
6.1.2 The designated employee will be responsible for ensuring compliance with
the Corporation's Records Management By-law and this Policy, as well as for
providing assistance with regard to the correct use and application of the
records management system. The designated employee should have a
thorough knowledge and understanding of records management and
administrative operations of their respective Department.
6.1.3 If a Department does not designate an employee, the Department Head is by
default the person responsible for records management within the
Department.
6.2 Department Heads or Designated Employees
6.2.1 Department Heads or designated employees shall:
a) Ensure that all employees of their Department are aware of their
responsibilities under this Policy;
b) Demonstrate support and compliance with this Policy;
c) Address any non-compliance with the Policy;
d) Ensure that records are maintained and disposed of in accordance with
this Policy and the Corporation's Records Management By-law
e) Fill out the Destruction Notices when disposing of Official Records;
f) Provide the Clerk with Destruction Notices once they are filled out and
signed; and
g) Act as the signing authority in terms of records management for their
Department.
Schedule A to By-law 74-2024
14
6.3 Employees
6.3.1 All employees shall:
a) Familiarize themselves with this Policy;
b) Comply with this Policy;
c) Report any violation of this Policy to the Department Head or designated
employee;
d) Create, classify, retain and dispose of records in accordance with this
Policy and the Corporation's Records Management By-law;
e) Ensure that records are created and maintained to effectively and
accurately document and provide evidence of the Corporation's business
transactions and activities in which they are involved in the performance of
their duties and the services offered by their Department;
f) Identify and distinguish Official Records and Transitory Records;
g) Ensure that Transitory Records in their custody or control are destroyed
when they are no longer needed for short-term reference;
h) Ensure that emails are classified and saved within the Corporation's
records management system;
i) Ensure that Official Records in their custody or under their control are
protected from inadvertent destruction or damage and properly preserved
throughout their lifecycle;
j) Protect records from unauthorized use or access; and
k) Maintain the confidentiality of confidential records.
6.4 Clerk
6.4.1 The Clerk shall:
a) Develop and administer this Policy and the Corporation's Records
Management By-law in accordance with legislative requirements and
industry best practices;
b) Review the Records Retention Schedule annually and reference any
amendments made to ensure that the Schedule remains compliant with all
legislative requirements and industry best practices;
c) Develop and communicate processes which enable Departments and
employees to maintain compliance with this Policy; and
d) Provide records management training to employees.
Schedule A to By-law 74-2024
15
7. Legislative Authority
7.1.1 Sections 254 and 255 of the Municipal Act state that a municipality shall retain
and preserve the records of the municipality in a secure and accessible
manner and may only destroy a record of the municipality if a retention period
for the records has been established.
8. References
8.1.1 Notice of Destruction Form
8.1.2 Appointment of a Designated Employee Form
8.1.3 Municipal Freedom of Information and Protection of Privacy Act, R.S.O. 1990,
c. M.56
8.1.4 Municipal Act, 2001, S.O. 2001, c. 25
8.1.5 Personal Health Information Protection Act, 2004, S.O. 2004, c. 3, Sched. A
Appendix A - Destruction Notice Form
Date of Notice: _____________________________
Responsible Department: _____________________________
Department Head or Designated Employee: _______________________________
Class Code
Secondary Heading
Description of Records
Total
Retention
Date of Records
Department Head's or Designated Employee's Signature: __________________________________________
Clerk's Signature: _______________________________________________
Appendix B - Designated Employee Nomination Form
I, ______________________________________ (Name of Department Head), hereby
designate ________________________________ (Name of Designated Employee):
- To act as a liaison between the Clerk's Office and the Department,
___________________________ (Name of Department) in terms of records
management.
- To be responsible for ensuring compliance with the Corporation's Records
Management By-law and this Policy; and
- To provide assistance with regard to the correct use and application of the
records management system.
____________________________ _____________________________
Name of Department Head
Name of Designated Employee
(please print)
(please print)
___________________________ _____________________________
Department Head's Signature
Designated Employee's Signature
___________________________ _____________________________
Date
Date
___________________________
_____________________________
Name of Clerk (please print)
Clerk's Signature
___________________________
Date