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HomeMy WebLinkAboutADM 060 Records Management Policy Policy Policy Title: Records Management Policy Number ADM 060 Reference Records Retention By-law Resolution #48/09 and #924/26 Date Originated (m/d/y) November 2008 Date Revised (m/d/y) June 8, 2009 January 26, 2026 Pages 11 Approval: Chief Administrative Officer Point of Contact City Clerk Policy Objective The Corporation of the City of Pickering (“the City”) is committed to establishing and maintaining a comprehensive Records management framework that ensures the right information is available to the right person at the right time. This framework supports transparency, accountability, and efficient administration across all City departments. The City will achieve this through compliance with the Records Management Policy and the Records Retention By-law, which together promote secure, accessible, and organized management of Records. These measures aim to reduce duplication, improve service delivery, and ensure consistent access to Records for Council, staff, and community stakeholders. All Records shall be retained and disposed of in accordance with the City’s Records Retention Schedule, applicable legislation, and best practices. Adherence to this Policy is mandatory for all departments and employees. Index 01 Definitions 02 Responsibilities 03 Creation/Collection 04 Classification 05 Retention 06 Disposition 07 Constituency Records Policy Title: Records Management Page 2 of 11 Policy Number: ADM 060 01 Definitions 01.01 Archives - means the designated repository for inactive or permanent Records that have met their retention requirements and are preserved for historical, legal, or administrative purposes. 01.02 City - means The Corporation of the City of Pickering. 01.03 City Clerk - means the Clerk of The Corporation of the City of Pickering (or their designate). 01.04 Classification - means the Records category where Records are organized based on their content, purpose, and business activities to facilitate efficient management, retrieval, and Disposition. 01.05 Electronic Document Records Management System (EDRMS) - means a content management system that refers to the combined technologies of document management and Records management as an integrated system. 01.06 Destruction Certificate - means a list of Records by department with expired Retention Periods which are to be prepared for destruction. Destruction Certificates must be signed off and approved by the responsible Department Director prior to the Record’s Disposition. 01.07 Disposition - means the documented process that changes the status of a Record including: retention, destruction, loss or transfer of custody or ownership. 01.08 Legal Hold - means a directive to preserve and suspend the normal Disposition of certain Records due to pending or reasonably anticipated litigation, audit, investigation, a Municipal Freedom of Information (FOI) request or an appeal to the Information and Privacy Commissioner (IPC). A Legal Hold ensures that any Records related to the matter are not destroyed or altered until the hold is lifted. 01.09 Life Cycle - means the life span or time period from the creation or receipt of a Record through its useful life to its final Disposition. The Life Cycle stages of a Record include: 1) creation or collection; 2) maintenance and use; 3) storage and retrieval; and, 4) retention and Disposition. 01.10 Record - means any information, however recorded, whether in printed form, on film, by electronic means or otherwise as defined in the Municipal Freedom of Information and Protection of Privacy Act (MFIPPA) and documents the City’s business functions, activities, transactions, rights, obligations or responsibilities or records information that was created, received, distributed or maintained by the City, and is in compliance with legal obligations. 01.11 Records Retention Schedule - means a document that describes the City’s Records by series and indicates the length of time that Records classified within each series shall be retained before their final Disposition. Policy Title: Records Management Page 3 of 11 Policy Number: ADM 060 01.12 Transitory Record - means a Record having only temporary value which is not required to meet statutory obligations, policy, establish guidelines or procedures, certify a transaction, become a receipt or provide evidence of legal, financial, operational or other decisions pertaining to the City. 01.13 Save and Except Listing - means a list of Records with postponed Disposition. The reason for postponing the destruction of a Record must be provided in writing to the City Clerk by the Department Director responsible for the Record. Postponement of Record Disposition is at the discretion of the City Clerk. 01.14 Vital Records - means Records that are essential to resume or continue critical City operations, to recreate the City’s legal and financial position, and/or to preserve the rights of the City, its employees, and stakeholders. Examples may include Council minutes, by-laws, and legal agreements that are essential for continuity of operations during a disaster or emergency. 02 Responsibilities 02.01 Members of Council: a) approve and support this Policy; and, b) approve amendments to this Policy as needed and as recommended by staff. 02.02 Chief Administrative Officer: a) support this Policy; and, b) approve amendments to this Policy for Council’s consideration. 02.03 Directors: a) actively support and enforce this Policy within their department, to ensure corporate-wide adherence to this Policy; b) appoint a departmental RMR and ensure the RMR performs the roles and functions identified in this Policy; c) advise the City Clerk of any pending or known issues and/or litigation that may result in the need to place a Legal Hold on a Record; d) approve the destruction of Records within their department in accordance with the City’s Records Retention Schedule; and, e) promote a culture of good recordkeeping and ensure that Records management requirements are integrated into departmental processes. 02.04 City Clerk: Policy Title: Records Management Page 4 of 11 Policy Number: ADM 060 a) provide leadership for the implementation of the Records Management Policy, and training as an integral part of the City’s usual and ordinary course of business; b) approve the creation and updates of all related procedures to this Policy; c) approve changes to the Records Retention Schedule; and, d) maintain a thorough knowledge of this Policy and all relevant legislation governing Records. 02.05 Deputy Clerk: a) maintain a thorough knowledge of this Policy and all relevant legislation governing Records; b) provide advice to the City Clerk on policies, procedures, guidelines, standards, and best practices for Records management; c) support training and guidance to staff within their area of responsibility to ensure compliance with this Policy; d) maintain the integrity of the City’s Records management program; e) establish standards and procedures for ensuring appropriate public access to Records through active dissemination and routine disclosure; f) oversee the storage, preservation, and Disposition of Records and maintain an inventory of Records in Archives; g) in cooperation with the Information Technology (IT) Division, establish standards for the application of the City’s EDRMS; h) administer the City’s EDRMS, including managing the file structure development and metadata templates. In coordination with IT, manage user accounts, user access permissions, and security for Records stored in the EDRMS; i) maintain Records management documentation and resources on the City’s intranet to ensure staff have access to current information; and, j) in coordination with IT, ensure that all Vital Records are protected in an appropriate manner to ensure access and use in the event of disaster. 02.06 Records, Privacy & Elections Coordinator: a) create, maintain, and recommend updates to this Policy and the Records Retention Schedule and By-law; b) serve as the City’s subject matter expert on Records management matters; Policy Title: Records Management Page 5 of 11 Policy Number: ADM 060 c) ensure that Record transfers to Archives and Record Dispositions are carried out in accordance with the City’s Records Retention Schedule and By-law; d) provide ongoing training, guidance, and support to all City staff to ensure compliance with this Policy; e) establish regular communication with all departments regarding Records management matters and serve as a resource for resolving issues related to the management of Records; f) assist and coordinate with designated RMRs in implementing the Records management program within each department; and, g) maintain Records stored in the City’s Archives and facilitate the Disposition of Records. 02.07 Records Management Representative (RMR): a) serve as the primary link between their department and Legislative Services Division in relation to Records management matters; b) attend training and meetings, as required, to represent their department’s interests in corporate Records initiatives; c) liaise with the Records, Privacy & Elections Coordinator regarding any changes in their department’s functions or organization as it relates to Record keeping needs; d) promote and communicate the requirements of this Policy and the Records Retention Schedule and By-law within their Department; e) coordinate the annual or periodic transfer of inactive Records from the department to the Archives. This involves preparing and verifying Records transfer lists, obtaining the required approvals, and ensuring Records are boxed and labeled according to related standard operating procedures; and, f) in cooperation with the Records, Privacy & Elections Coordinator, facilitate the review and destruction of Records that have met their retention requirements. This includes verifying the accuracy of Destruction certificates, obtaining approvals from their Directors to ensure that secure destruction is carried out for authorized Records. 02.08 Information Technology (IT) Division: a) maintain familiarity with this Policy as it pertains to electronic information systems to ensure they have capabilities to create, extract, and protect Records; Policy Title: Records Management Page 6 of 11 Policy Number: ADM 060 b) ensure that the management of electronic Records (including email, digital databases, etc.) is conducted in a consistent and secure manner in line with the principles of this Policy and the Records Retention Schedule and By-law; c) coordinate with the Deputy Clerk to ensure electronic Records, stored in the City’s EDRMS, are retained and disposed of in accordance with the Records Retention Schedule and By-law. This includes the secure deletion of electronic Records, held in the City’s EDRMS, when authorized. d) ensure that the City’s EDRMS is functional, up-to-date, and meets the requirements of this Policy and the Records Retention Schedule and By- law; e) manage the security of electronic Records systems by administering user access controls, permissions, and other security features in coordination with the City Clerk’s office; f) protect the City against unauthorized access, breaches, or data loss pertaining to electronic Records; and, g) consult with the City Clerk/Deputy Clerk prior to the acquisition of new electronic systems or decommissioning of electronic systems to ensure that Records are preserved based on this Policy and the Records Retention Schedule and By-law. 02.09 All City Staff: a) recognize that Records are a corporate asset; b) adhere to the requirements of this Policy; c) create and maintain Records in good order and in accordance with this Policy, to ensure the integrity, reliability, and completeness of those Records; d) file or store Records in physical filing systems or designated electronic systems; e) liaise with their department’s RMR or the City Clerk’s Office regularly, especially when uncertain about Classification, retention, or proper handling of a Record; f) suggest new Classifications or potential changes to retention requirements if existing schedules do not include a specific Record series; g) routinely dispose of Records that are considered Transitory or duplicate in nature once they are no longer required; Policy Title: Records Management Page 7 of 11 Policy Number: ADM 060 h) protect Records in their custody from damage or loss, and ensure that sensitive or confidential information is secure from unauthorized access; and, i) report to their supervisor and RMR any incident of lost, misfiled, or accidentally destroyed Records, or any barriers to following this Policy, so that corrective action can be taken as soon as possible. 03 Creation/Collection 03.01 City staff shall create and store Records that accurately document decisions, actions, and transactions related to City business. All Records created or received in the course of City operations are corporate assets. 03.02 Official City business must be conducted using City-provided email addresses and systems to ensure Records are stored in approved repositories. Personal accounts, devices, or applications shall not be used for the creation or storage of City Records. 03.03 Records must include sufficient detail and context to support accountability and future reference. Electronic Records shall be created in approved formats that ensure long-term accessibility. 03.04 Each Record shall be classified and labeled in accordance with the City’s Records Retention By-law. 03.05 The creation of duplicate and Transitory Records shall be minimized and shall be disposed of promptly once their purpose has been served. 03.06 Routine digitization of paper Records to electronic Records is an accepted business practice whereby the electronic Record becomes the Record and removes the need to retain the physical copy. The digitization of the Record shall ensure the authenticity, integrity, reliability, and ultimate legal defensibility of the electronic Record. 04 Classification 04.01 Classification categories and the Records Retention Schedule are established through by-law. The Records Retention Schedule is based on an approved corporate file classification scheme and defines the management of all Records, regardless of their format, from the beginning to the end of the Record Life Cycle. 04.02 Classification categories will be added or amended based on legal, operational, and historical needs. The City Clerk is delegated authority by Council to update the Records Retention Schedule on an as-needed basis to ensure accuracy and relevancy. Policy Title: Records Management Page 8 of 11 Policy Number: ADM 060 04.03 All Records shall be classified and indexed using the City’s Records Retention Schedule to ensure consistency and ease of retrieval. All electronic Record directories and/or EDRMS folders shall mirror the Classification categories set out in the City’s Records Retention Schedule. 05 Retention 05.01 All Records shall be retained in accordance with the City’s Records Retention Schedule, which specifies retention periods based on legal, operational, and historical requirements. 05.02 Records must not be destroyed until their retention period has expired and proper authorization for Disposition is obtained. 05.03 Active Records are those required for current business. Inactive Records are those that are no longer needed on a daily basis but must be retained until the end of their retention period. Departments shall transfer inactive Records to the City’s Archives in accordance with related standard operating procedures and in coordination with the Coordinator, Records, Privacy & Elections. 05.04 Records must be stored securely to preserve integrity and accessibility throughout their Life Cycle. Sensitive or confidential Records require restricted access and compliance with MFIPPA. 05.05 Transitory Records are exempt from formal retention requirements and should be disposed of promptly once their immediate purpose has been served. 05.06 Legal Holds override the City’s Records Retention Schedule and By-law. Records subject to litigation, audit, investigation, FOI requests, or appeals to the IPC must not be destroyed until the Legal Hold is lifted. 06 Disposition 06.01 Disposition is the final stage of the Record’s Life Cycle, when Records are either securely destroyed or permanently preserved depending on retention requirements. 06.02 Records shall only be destroyed in accordance with the City’s Records Retention Schedule and with proper authorization. A Destruction Certificate must be completed, reviewed, and signed by the Department Director or designate before destruction. 06.03 Destruction of Records must be secure and irreversible to ensure compliance with the City’s Records Retention Schedule and By-law. 06.04 Records designated as permanent or archival shall be transferred to the City Archives in accordance with related standard operating procedures. 06.05 Where a Record is retained for a further period after the destruction date, the department responsible shall notify the City Clerk in writing before the Policy Title: Records Management Page 9 of 11 Policy Number: ADM 060 destruction date. This process shall be conducted by a Save and Except List and include the proposed new destruction date for the Records and the rationale for further retention. The Save and Except List shall be signed off by the Director of the department responsible. Any decision to retain a Record for a further period is at the discretion of the City Clerk. 07 Constituency Records 07.01 Information that relates to the personal or political activities of an elected official, and that are not related to the discharge of official Council duties, are considered personal and are not subject to this Policy, the Records Retention Schedule, or MFIPPA. 07.02 Records that do pertain to a Councillor’s role in the course of conducting City business, and/or are in the City’s custody or control, are considered City Records and are subject to the provisions of this Policy and MFIPPA. 07.03 In order to determine whether information is classified as a constituency record, consultation shall occur with the Coordinator, Records, Privacy & Elections and/or the Deputy/City Clerk who may refer to decisions and publications of the IPC to make such determination on these types of records. Appendices Appendix 1 Destruction Certificate Template Appendix 2 Save & Except List Template Policy Title: Records Management Page 10 of 11 Policy Number: ADM 060 Appendix 1 Policy Title: Records Management Page 11 of 11 Policy Number: ADM 060 Appendix 2