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HomeMy WebLinkAboutCLD-015-15 Clafillgtffll Clerk's Report If this information is required in an alternate accessible format, please contact the Accessibility Coordinator at 905-623-3379 ext. 2131. Report To: General Government Committee Date of Meeting: September 8, 2015 Report Number: CLD-015-15 Resolution: GG A File Number: By-law Number: \ Report Subject: Municipal Records Retention By-law Recommendations: That the General Government Committee recommends to Council: 1. That Report CLD-015-15, regarding the Municipal Records Retention By-law, be received; 2. That a new Municipal Records Retention By-law, attached to Report CLD-015-15 as Attachment 1, to retain and preserve records in the custody or under control of The Corporation of the Municipality of Clarington, be passed; and 3. That this By-law not take effect until approval from an external Auditor is received, in accordance with Section 255 of the Municipal Act, 2001. Municipality of Clarington Report CLD-015-15 Page 2 Report Overview Section 255 of the Municipal Act, 2001 provides that a municipality may, subject to the approval of the municipal auditor, establish retention periods during which the records of the municipality must be retained and preserved, and that except as otherwise provided, a record of the municipality may be destroyed if a retention period for the record has been established and the retention period has expired or the record is a copy of the original record. The Municipal Records Retention By-law establishes a schedule for the retention of records in the custody or under the control of the Municipality, and provides the Municipality with the legal authority to destroy redundant official and transitory records. 1 . Background The Municipality's current Records Retention By-law 92-139 was approved by Council in May of 1992. Since 1992, the diversity of information and how it is used has, and continues to change rapidly. As a result, traditional "subject based" records management systems are inadequate to meet today's legal requirements and business needs. The Municipal Clerk's Department, along with the Records Management Team, comprised of departmental liaisons, focused on developing a Retention Schedule that can easily adapt to our rapidly changing information management environment. The attached draft retention schedule is a culmination of efforts of the Records/Election Co-ordinator determining the record series values and requirements and working closely with the departmental liaison, experienced professional staff and all department heads in identifying and appraising the record groups/series for each department. The appraisal process involved examining the records through a series of interviews to determine the value of each record group/series based on the use of the records being evaluated. Municipal records fall into two main categories: those that are preserved permanently, and those that are disposed of at some time. Collaboratively, staff determined, for each of the record series whether the primary value is operational, fiscal, or legal. Many records also have a secondary historical or archival value. These values are the basis for determining the retention period of each record series before the legal requirements are determined. In addition to establishing the organizational value, legal requirements have also been identified to ensure compliance with federal, provincial, and municipal statutes and regulations, and in contemplation of the statute of limitations for certain business activities. The possibility of litigation and the need to support our position establishes the need to retain certain municipal records until the statute of limitations expires on that particular activity. In collaboration with the Legal Department, staff has researched the Municipality of Clarington Report CLD-015-15 Page 3 necessary legislation to determine the statutes and other recordkeeping requirements that apply to certain high risk records under the custody or control of the Municipality. At the conclusion of the comprehensive review of Clarington's records, it was determined that the existing By-law should be repealed and replaced by a new By-law. 2. Proposal This new proposed By-law preserves and protects records of value, limits liability, and facilitates access to records under the custody or control of The Corporation of the Municipality of Clarington while ensuring operational needs are met. The By-law shall require routine review and modification to ensure that changes to any legislated requirements and/or operational needs affecting our municipal records are incorporated. Such amendments, as deemed necessary by the Municipal Clerk, will be brought forward to Council as appropriate. This process ensures that the Municipal Records Retention By-law will continuously evolve to accommodate legislated changes and/or operational needs. 3. Concurrence This report and the sections of the draft By-law pertaining to their respective departments have been reviewed by all Department Heads and they concur with the recommendations. 4. Conclusion It is respectfully recommended that the draft Municipal Records Retention By-law be approved and become effective upon approval from the external Auditor, in accordance with Section 255 of the Municipal Act, 2001. 5. Strategic Plan Application Not applicable. Municipality of Clarington Report CLD-015-15 Page 4 tf j _yy Submitted by: e" </I- �;--��` `' Reviewed by: C.Anne-Greentree F Franklin Wu, Municipal Clerk Chief Administrative Officer Staff Contact: Christopher Rainville, Records/Elections, 905-623-3379 ext. 2104 or CRainville @Clarington.net Attachments: Attachment 1 — Proposed By-law to establish the retention periods for the municipal records of the Corporation of the Municipality of Clarington and Repeal Records Retention By-Law 92-139. Interested Parties Not Applicable Attachment 1 to Report CLD-015-15 THE CORPORATION OF THE MUNICIPALITY OF CLARINGTON BY-LAW NUMBER 2015 - i A by-law to establish the retention periods for the municipal records of the Corporation of the Municipality of Clarington and repeal By-Law 92-139. WHEREAS subsection 254(1) of the Municipal Act, 2001 provides that a municipality shall retain and preserve its records in a secure and accessible manner; WHEREAS subsection 255(3) of the Municipal Act, 2001 provides that a municipality may, subject to the approval of the municipal auditor, establish retention periods during which its records must be retained and preserved; WHEREAS subsection 255(2) of the Municipal Act, 2001 provides that a municipality's records may be destroyed if a retention period for the records has been established and the retention has expired; AND WHEREAS the Council of the Corporation of the Municipality of Clarington deems it desirable to adopt a new records retention by-law; NOW THEREFORE the Council of the Corporation of the Municipality of Clarington enacts as follows: PART 1 — INTERPRETATION Definitions 1.1 In this by-law, "Active record" means a Municipal Record that is referenced (used) on a regular basis in the performance of daily work; "Case" means any project, transaction, service or response that is opened and closed over a period of time to achieve resolution of a problem, claim, request, proposal, development or other complex activity. It is likely to involve multiple persons inside and outside of the Municipality; "Clerk" means the Municipal Clerk; "Inactive record" means a Municipal Record that is infrequently referenced and is no longer required for current business or operations; "Metadata" means information that defines and describes other information and it is used to aid the identification, description, location or use of information systems, resources and elements; I I Attachment 1 to Report CLD-015-15 "Municipal Act, 2001" means the Municipal Act, 2001, S.O. 2001, c.25; "Municipal Record" means any recorded information, regardless of form, that has been created or received as evidence and/or information by the Municipality in pursuance of legal obligations or in the transaction of municipal business; "Municipality" means the Corporation of the Municipality of Clarington; "Official copy" means the version of a Municipal Record deemed as the master record which is not a convenient or duplicate copy. Our Corporate Classification Scheme/Retention Schedule describes Official Municipal Records within the scope of a records series including a description, custodial rights and media type designation; "Originator" means the business unit which created or received the record and is deemed to be responsible unit responsible for the management of the official copy of the municipal record; "Record" means any recorded information regardless of form; "Responsible unit" means a business unit deemed responsible for the management of the official copy of the municipal record; "Record series" means a group of related records categorized as a unit for the purposes of establishing classification efficiencies and applying retention controls; "Transitory record" means a municipal record that is required only for a limited period of time, in order to complete a routine action or to prepare a subsequent record; "Vital record" means a municipal record that is essential for preserving, continuing or reconstructing the operations of the Municipality and protecting the rights of the Municipality, its employees, its customers and its stakeholders, without delay under abnormal conditions; and "Year" means a full calendar year commencing on January 1 and terminating on December 31. PART 2 — RETENTION AND DISPOSITION 2.1 Retention periods for all municipal records, shall be as set out in the Schedule "A", attached to and forming part of this by-law. 2.2 Upon the Clerk being satisfying that the relevant retention period established by this By-law has expired, and that no reason exists,for further retention, the Clerk may order the records to be destroyed, or to be set aside for permanent retention in an archival facility designated by the Clerk. i Attachment 1 to Report CLD-015-15 PART 3 — GENERAL Short Title 3.1 The short title of this by-law is the "Records Retention By-law". Repeal 3.2 By-law 92-139 of the former Corporation of the Town of Newcastle is repealed. Effective Date 3.3 This by-law shall be effective on approval of the Municipal Auditor. By-law passed this day of II Adrian Foster, Mayor Anne Greentree, Municipal Clerk Municipal Records Retention Schedule Schedule"A"to By-law 2015-xxx Class Responsible Inactive Function!Activity/Sub-Activity/Subject t Case Description Active Total Transitory Archival Remarks Series Unit total The function of managing records related to common activities that are required to be kept together for administrative filing purposes.This series is intended to group certain common AA Administrative Activities(AA) business activities primarily by document type rather than by municipal function. Excludes common activities that are required to directly support a municipal function,activity or sub- activity. The processes associated with the AA.05 Agreements establishment,maintenance,review and neciotiation of agreements. AA.05.01 Non-Significant Agreements Records relating to non-significant agreements Originator E+1 1 E+2 C+2 Y E=Expiry of agreement and related records. Includes,agreements. Records relating to significant agreements AA.05.02 Significant Agreements concerning municipal policies,procedures, Originator E+1 P P C+2 Y E=Expiry of agreement functions,obligations and liabilities. Includes, agreements. The activities associated with the management AA.18 Committee/Associations/Organizations Management of committees,associations or organizations. Excludes:Standing Committee or Special Committee of Council. Committee/Associations/Organizations Management- Agendas for committees,boards and AA.18.01 Advisory(Agendas) organizations who"advise"Council. Includes, Originator C+5 - C+5 C Y Administrative Value a endas. Committee/Associations/Organizations Management- Minutes of committees, boards and Municipal AA.18.02 Advisory(Minutes) organizations who"advise"Council. Includes, Clerk's P - P C Y Administrative Value minutes. Department AA.18.03 Committee/Associations/Organizations Management- Records relating to appointments. Includes, Originator C+5 - C+5 C Y Administrative Value Appointments appointments. Records relating to meeting arrangement AA.18.04 Committee/Associations/Organizations Management- activities committees,boards and Originator C+5 - C+5 C N Administrative Value Arrangements organizations. Includes,notice of meetings, correspondence. Records relating to organizations to which the AA.18.05 Committee/Associations/Organizations Management- Municipality does not appoint members, but for Originator C+5 - C+5 C Y Administrative Value Correspondence whom the Municipality does provide insurance coverage. Includes,correspondence. Committee/Associations/Organizations Management- Records relating to committees and boards AA.18.06 where Council appoints persons but do not Originator C+5 - C+5 C Y Administrative Value Non-Advisory "advise"Council. Includes,agendas,minutes. Legend: C - Creation Year; P - Permanent; S - Superseded; E - Event Required before calculating retention; Originator- Originated or acquired the record_ Page 1 of 126 Municipal Records Retention Schedule Schedule"A"to By-law 2015-xxx Class Responsible Inactive Function t Activity/Sub-Activity/Subject/Case Description Active Total Transitory Archival Remarks Series Unit -total Records relating to internal staff committees who do not"advise"Council.Also includes Committee/Associations/Organizations Management- records relating to external committees, AA.18.07 Internal&External associations and organizations to which staff Originator C+1 6 C+7 C Y Administrative Value belong or with which they communicated in the course of their duties. Includes,agendas, notices minutes. AA.48 Mailing The process of managing our internal and external mail services. Records regarding rates and courier services, mail and postage.Includes,Courierjob Municipal AA.48.01 Mailing-External Services sheets/receipts,mail received/dispatch register, Clerk's C+1 1 C+2 C Y facsimile confirmations, registered mail Department receipts. Municipal AA.48.02 Mailing-Internal Services Records regarding the inter-office mail system. Clerk's C+1 1 C+2 C Y Department Legend: C - Creation Year; P - Permanent; S - Superseded; E - Event Required before calculating retention; Originator- Originated or acquired the record- Page 2 of 126 Municipal Records Retention Schedule Schedule"A"to By-law 2015-xxx Class Responsible Inactive Series Function t Activity/Sub-Activity/Subject/Case Description Unit Active to i Total Transitory Archival "Remarks The activities associated with developing and establishing decisions,directions and AA.55 Policy precedents which act as a reference for future decision making,as the basis from which the organization's operating procedures are determined. Includes official copies of corporate and departmental policies.Excludes Official Land AA.55.01 Policy-Official Copies Use Plans.See DV.70.03 Clarington Land Use Originator S P P C+1 Y Plans. Includes,master signed copies of Corporate Policies, Master copies of policy circulars developed by the Municpality,. Facilitative records relating to the background, development and review of corporate and AA.55.02 Policy acilitative Records departmental policies.Also includes reference y material relating to policy matters. Includes, Originator C+1 4 C+5 C+1 N Administrative Value working papers, interim&draft reports,surveys &proposals not adopted. Standard methods of operating by an AA.56 Procedures organization according to formulated policy. See CG.69.03 Standards—Official Copies. Includes official copies of corporate and departmental procedures relating to AA.56.01 Procedures—Official Copies administrative and operational procedures. Originator S P P C+1 Y Includes technical procedures. Includes, workinq papers,procedure document. Facilitative records relating to the background, development and review of corporate and AA.56.02 Procedures—Facilitative Records departmental procedures.Also includes Originator C+1 - C+1 C+1 N reference material. Includes,working papers draft procedure. The process of designating and documenting AA-65 Scheduling times for business related meetings, inspections,court appearances and other activities.This includes electronic calendars. Records relating to the activities associated AA.65.01 Scheduling eneral with arranging appointments.Also includes g staff calendars. Includes,staff calendars, Originator C+1 C+1 C N appointment schedule. Legend: C - Creation Year; P - Permanent; S - Superseded; E - Event Required before calculating retention; Originator - Originated or acquired the record. Page 3 of 126 Municipal Records Retention Schedule Schedule"A"to By-law 2015-xoa .Glass _ Responsible .Inactive Function/Activity!Sub-Activity/Subject I Case Description Active Total Transitory Archival Remarks Series Unit total AA.76 Duplicating/Printing The activities involved in providing corporate printinq and copying services. Records relating to requests and memos regarding the printing and/or copying of Municipal AA.76.01 Duplicating/Printing-General corporate documents, publications,and forms. Clerk's C+1 4 C+5 C+1 N Also includes printing logs. Includes,requests, Department responses. Legend: C - Creation Year; P - Permanent; S - Superseded; E - Event Required before calculating retention; Originator - Originated or acquired the record. Page 4 of 126 Municipal Records Retention Schedule Schedule"A"to By-law 2015-)= Class Responsible Inactive Series Function/Activity/Sub-Activity I Subject/Case Description Unit Active total Total Transitory Archival Remarks The function of managing,regulating and controlling domestic,non-domestic animals and exotic animals in order to maintain a safe and AM Animal Management(AM) healthy environment for the community.This includes registration,licensing,complaints, impounding of stray animals,enforcement and rosecutions. The activities associated with offering opinions AM.03 Advice by or to the organization as to an action or judgement. Includes the process of advising. Records relating to advice concerning routine Animal AM.03.01 Advice-Operational operational matters. Includes, recommendation Services C+1 - C+1 C Y letter,circulars(local animal agencies). Provision of high level advice,eg.To the Mayor,Chairperson or CAO, relating to Animal AM.03.02 Advice-High Level substantive aspect of municipal policies, Services C+1 4 C+5 C Y Administrative Value procedures,functions,obligations and liabilities. Includes, requests, responses. The activities associated with the pursuit of influencing outcomes on behalf of the AM.04 Advocating community where the Municipality acts as an advocate on issues of concern which may include political,economic,environmental or social issues that affect the community. Records that document interaction between the Animal AM.04.01 Advocating—Non-Significant Municipality and other bodies on non-significant Services C+1 - C+1 C N issues. Includes,requests, responses. Records relating to the interaction between the Municipality and other bodies on significant Animal AM.04.02 Advocating-Significant issues of public interest and debate,or of value C+1 9 C+10 C Y to the history of the Municipality. Includes, Services agreements. The activities involved in arranging for the AMA 1 Bookings usage, rental and loaning of facilities, equipment fleet and space. Records relating to the hire and use of Animal AM.11.01 Bookings-Equipment municipal equipment. Includes, registers, Services C+1 - C+1 C N forms. Legend: C - Creation Year; P - Permanent; S - Superseded; E - Event Required before calculating retention; Originator- Originated or acquired the record_ Page 5 of 126 Municipal Records Retention Schedule Schedule"A"to By-law 2015-xxx Class Responsible Inactive Series Function 1 Activity 1 Sub-Activity 1 Subject 1 Case Description Unit Active total Total Transitory Archival Remarks The activities associated with complying with mandatory accountability,fiscal,legal, regulatory,operational or quality standards or requirements to which the Municipality is subject. Includes compliance with legislation AM.20 Compliance such as Environmental Protection Act, Municipal Act,Taxation Act, Financial Administration Act,Highway Traffic Act, Occupational Health and Safety Act,Fire Protection and Prevention Act,Municipal Freedom of Information and Protection of P6vacv Act.etc Records relating to municipal compliance with mandatory requirements imposed by governing bodies. Includes proof of compliance with Animal AM.20.01 Compliance—Requirement internal and external standards,statutory and Services S 7 S+7 C y Administrative Value operational requirements.Includes,compliance certificates,municipal animal management plans. Records relating to serious breaches of AM.20.02 Compliance-Breach compliance requirements that lead to major Animal E+1 1 E+2 C y E=Remedy of breach public interest and debate or court action. Services or delivery of judgement Includes complaints,notices. Records relating to the activities involved with examining a person,group,system,process, project or product in order to determine Animal AM.20.03 Compliance—Verification(Internal Audit) whether or not compliance with a regulation, C+1 6 C+7 C y requirement,specification or imposed condition Services are being met.Includes,audit reports, surveillance/monitoring records. Legend: C - Creation Year; P - Permanent; S - Superseded; E - Event Required before calculating retention; Originator- Originated or acquired the record_ Page 6 of 126 Municipal Records Retention Schedule Schedule"A"to By-law 2015-xxx Class Responsible Inactive Series Function/Activity/Sub-Activity tSubject/Case Description Unit Active Iptal Total Transitory Archival Remarks The activities involved in arranging,procuring AM.23 Contracting and managing the performance of work or the provision of goods and services by an external contractor or consultant. Records relating to the hiring and use of consultants, contractors and suppliers which results in a major contract. Major contracts are Corporate AM.23.01 Contracting-Major contracts of a significant nature in terms of Services— E+1 P P C Y E=Expiry of contract dollar value,major public interest and debate Purchasing or of value to the history of the Municipality. Includes,contracts. Records relating to the hiring and use of AM.23.02 Contracting inor consultants,contractors and suppliers which g results in a minor contract as per the Originator E+1 6 E+7 C Y E=Expiry of contract Purchasing BV-law. Includes contracts. The process of handling public reaction to municipal policies, responsibilities or services. Includes anonymous letters, letters of AM.59 Public Reaction complaint and letters of congratulation or appreciation received from the public.This includes all customer action requests.Excludes animal complaints.See AM.62—Regulating for animal complaints AM.59.01 Public Reaction—General Records relating to public reaction. Includes, Animal C+2 - C+2 C Y working papers. Services The process of regulating statutory requirements.This is the enforcement of AM.62 Regulating regulatory responsibilities. Includes inspection, authorization,monitoring and enforcement of requirements under legislation. Regulating-Enforcement(Certificate of Offence, Part Records relating to office copies of Part I Animal AM.62.03 charges. Includes,certificate of offence, C+1 7 C+8 C Y Administrative Value I) re isters. Services Records relating to office copies of Part III AM.62.05 Regulating-Enforcement(Certificate of Offence, Part charges. Includes, certificate of offence, Animal E+1 9 E+10 C Y E=Case Closed 111) Services Administrative Value registers. Records relating to the enforcement of regulatory by-laws. Property Standards, =Delivery of judgment Zoning, Licensing,Signs, Long Grass& Animal E E close of file AM.62.06 Regulating-Enforcement(Case File) Weeds,Open Air Burning,'Noise,etc. Includes, Services E+1 6 E+7 C+1 Y Retention established as court records,judgements,occurrence reports, per Legal review photographs,subpoenas,orders, notices, complaints. Records relating to administered by the E=Expiry of license or AM.62.07 Regulating-Licence/Permit Administration Municipality.Also includes applications and Originator E+1 6 E+7 C+1 Y permit permits issued by the Municipality. Includes, Administrative Value licences permits application. Legend= C - Creation Year; P - Permanent; S - Superseded; E - Event Required before calculating retention; Originator- Originated or acquired the record_ Page 7 of 126 Municipal Records Retention Schedule Schedule"A"to By-law 2015-xxx Class Responsible Inactive Series Function!Activity J Sub-Activity 1 Subject/Case Description- unit Active total Total Transitory Archival Remarks The processes associated with initiating or providing a formal response to a situation or request(either internal,external or as a requirement of corporate policies),and to AM.63 Reporting provide formal statements or findings of the results of their examination or investigation. Includes agenda,briefing,business,discussion papers,proposals,reports, reviews and returns. AM.63.01 Reporting-Administrative Reporting Records relating to the reporting of non- Animal C+1 6 C+7 C Y Administrative Value significant programs,projects and events. Services Records relating to the reporting of significant Municipal AM.63.02 Reporting-Committee&Council programs,projects and events. Clerk's C+1 P P C Y Department Records relating to support documentation. AM.63.03 Reporting-Facilitative Records Also includes surveys and questionnaires. Animal E+1 5 E+6 C y E=Final report Includes,working papers,supporting Services completed documentation surveys discussion papers. The activities associated with the operations of AM.67 Sheltering the Animal Shelter including housing,feeding, care of animals,intake,rescue,transfer and adoptions. Records relating to the adoption activities of Animal AM.67.01 Sheltering-Adoption animals at our municipal shelter. Includes, Services C+1 6 C+7 C N applications. Records relating to the cleaning activities for Animal AM.67.02 Sheltering-Cleaning the animals being sheltered.Includes,cleaning Services C+1 1 C+2 C N schedule. Records relating to the activities related to Animal AM.67.03 Sheltering-Feeding feeding our animals. Includes,feeding Services C+1 1 C+2 C N schedule. E=Date animal was last AM.67.04 Sheltering—Animal Records Records relating to the recording medical and Animal E+1 5 E+6 C N in the shelter behaviour. Services Administrative Value Legend: C - Creation Year; P - Permanent; S - Superseded; E - Event Required before calculating retention; Originator - Originated or acquired the record_ Page 8 of 126 Municipal Records Retention Schedule Schedule"A"to By-law 2015-xxx "Glass Responsible Inactive Series Function I Activity I Sub-Activity I Subject I Case Description Unit Active total Total Transltory Archival Remarks' The function of providing corporate direction CG Corporate Governance(CG) and control by applying rules,practices and rocesses at a corporate level. The activities associated with offering or CG.03 Advice seeking opinions.Includes the process of advising or being advised.Excludes legal advice. Records relating to advice concerning routine Office of the CG.03.01 Advice-Operational operational matters. Includes, recommendation CAO C+1 - C+1 C Y letter, policV comments. Provision of high level advice,eg.To the Mayor,Chairperson or CAO, relating to Office of the CG.03.02 Advice-High Level substantive aspect of municipal policies, CAO C+1 4 C+5 C Y procedures,functions,obligations and liabilities. Includes requests responses. Legend: C - Creation Year; P - Permanent; S - Superseded; E - Event Required before calculating retention; Originator - Originated or acquired the record_ Page 9 of 126 Municipal Records Retention Schedule Schedule"A"to By-law 2015-xxx Class Responsible Inactive Function T Activity J Sub Activity/Subject/Case Description Active Total Transitory Archival Remarks Series Unit total The activity of compiling and administering guidelines on the consistency in written style, graphic design etc.within municipal CG.13 Branding documents. Includes designing logos, letterhead,stationery,publications,etc.that incorporate the corporate image of the municipality. Facilitative records relating to the development, selection and implementation of the corporate style for municipal documents,stationery and Communicatio E=Final version of CG.13.01 Branding—Facilitative Records publications. Includes the Coat of arms. ns&Tourism E+1 1 E+2 C Y branding standard Includes,designs,competition entries,drafts, Division completed unsuccessful submissions. Master copies of the corporate brand for municipal documents,stationery and ns&Tourism CG.13.02 Branding—Masters publications. Includes the Coat of arms. ns&Tourism S 5 S+5 C Y Includes coat of arms corporate logo. Division Legend: C - Creation Year; P - permanent; S - Superseded; E - Event Required before calculating retention; Originator- Originated or acquired the record. Page 10 of 126 Municipal Records Retention Schedule Schedule"A"to By-law 2015-xxx Class Responsible Inactive Function 1 Activity/Sub-Activity/Subject 1 Case Description Active Total Transitory Archival Remarks Series _Unit total The activities associated with complying with mandatory accountability,fiscal,legal, regulatory,operational or quality standards or requirements to which the Municipality is subject. Includes compliance with legislation such as Environmental Protection Act, CG.20 Compliance Municipal Act,Taxation Act,Financial Administration Act,Highway Traffic Act, Occupational Health and Safety Act,Fire Protection and Prevention Act, Municipal Freedom of Information and Protection of Privacy Act,Accessibility for Ontarians with Disabilities Act.etc. Records relating to municipal compliance with mandatory requirements imposed by governing CG.20.01 Compliance—Requirement bodies.Includes proof of compliance with Originator S+1 6 S+7 C Y Administrative Value internal and external standards,statutory and operational requirements. Includes,financial statements. Records relating to serious breaches of CG.20.02 Compliance-Breach compliance requirements that leads to major Originator E+1 1 E+2 C Y E=Remedy of breach public interest and debate or court action. or delivery of judgement Includes audit reports audit trails. Records relating to the activities involved with examining a person,group,system,process, CG.20.03 Compliance—Verification(Internal Audit) project or product in order to determine Originator C+1 6 C+7 C Y whether or not compliance with a regulation, requirement,specification or imposed condition are being met. Records relating to the activities involved with being examined by a person,group,system, process,project or product in order to CG.20.04 Compliance—Verification(External Audit) determine whether or not compliance with a Originator C+1 P P C Y regulation, requirement,specification or imposed condition are being met. Includes, audit reports. The activities involved in arranging,procuring CG.23 Contracting and managing the performance of work or,the provision of goods and services by an external contractor or consultant. Records relating to the hiring and use of consultants,contractors and suppliers which results in a major contract.Major contracts are Corporate CG.23.01 Contracting-Major contracts of a significant nature in terms of Services- E+1 P P C Y E=Expiry of contract dollar value,major public interest and debate Purchasing or of value to the history of the Municipality. Includes contracts. Legend: C - Creation Year; P - Permanent; S - Superseded; E - Event Required before calculating retention; Originator- Originated or acquired the record. Page 11 of 126 Municipal Records Retention Schedule Schedule"A"to By-law 2015-xxx Class Responsible inactive Function J Activity 1 Sub-Activity/Subject/Case Description Active Total Transitory Archival Remarks Series Unit total Records relating to the hiring and use of CG.23.02 Contracting-Minor consultants,contractors and suppliers which Originator E+1 6 E+7 C y E=Expiry of contract results in a minor contract as per the Purchasing BV-law. Includes contracts. The activities involved in the management of CG.57 Program Management an ongoing series of actions including planning, implementing, monitoring,and assessing a program. Records that document the activities involved CG.57.01 Program Management—Significant in operating significant programs. Includes, Originator C+2 P P C+1 y agreements,funding,proposals, registration of interest,reports,strategies. Records that document the activities involved CG.57.02 Program Management—Non-Significant in operating non-significant programs. Includes, Originator E+1 4 E+5 C+1 y E=Termination of agreements,funding, proposals, registration of program interest, reports,strategies. Legend: C - Creation Year; P - Permanent; S - Superseded; E - Event Required before calculating retention; Originator- Originated or acquired the record. Page 12 of 126 Municipal Records Retention Schedule Schedule"A"to By-law 2015-xxx Class Responsible Inactive Function/Activity!Sub-Activity 1 Subject/Case Description Active Total Transitory Archival ' Remarks Series Unit total The processes associated with initiating or providing a formal response to a situation or request(either internal,external or as a requirement of corporate policies),and to CG.63 Reporting provide formal statements or findings of the results of their examination or investigation. Includes agenda,briefing,business,discussion papers,proposals,reports,reviews and returns. Records relating to the reporting of non- Office of the CG.63.01 Reporting-Administrative Reporting significant programs,projects and events. CAO C+1 6 C+7 C Y Includes reports,dailV statements. Records relating to the reporting of significant Municipal CG.63.02 Reporting-Committee&Council programs,projects and events. Includes, Clerk's C+1 P P C Y reports. Department Records relating to support documentation. Also includes surveys and questionnaireso Final report . c CG.63.03 Reporting-Facilitative Records Originator E+1 5 E+6 C Y completed. Includes,working papers,supporting Administrative Value documentation,surveys,discussion papers. The process involving the identification of risks and the implementation of appropriate CG.64 Risk Management practices and procedures,which will reduce wastage and the impact of economic loss arising from an incident. Risk management plans and implemented disaster plans including plans for protection CG.64.01 Risk Management—Planning and re-establishment in case of a disaster. Finance S+1 6 S+7 C Y Includes post-disaster documentation. Includes record of actions,action plans. CG.64.02 Risk Management-Reporting Records relating to risk management review. Finance C+1 P P C+1 Y Includes risk management reports. Legend= C - Creation Year; P - Permanent; S - Superseded; E - Event Required before calculating retention; Originator- Originated or acquired the record- Page 13 of 126 Municipal Records Retention Schedule Schedule"A"to By-law 2015-)= Class Responsible Inactive Function/Activity/Sub-Activity Subject/Case. Description Active Total Transitory Archival Remarks Series Unit total The process of developing or implementing CG.69 Standards Administration industry or municipal benchmarks for services and processes to enhance the quality and efficiencv of the Municipality. Records relating to accreditation with industry CG.69.01 Standards Administration—Accreditation standards, i.e.quality assurance. Includes, Originator S+1 9 S+10 C+1 Y audits,presentations,certifications. CG.69.02 Standards Administration—Facilitative Records Records relating to the development of Originator E+1 6 E+7 C+1 Y standards. Includes,working papers,drafts. Official copies of standards developed by or for the Municipality. Includes Customer Service E=Standard finalized CG.69.03 Standards Administration—Official Copies Originator S+1 P P C+1 Y standards. Includes,service standards,design Administrative Value standards, internal standards. The process of formulating ways in which CG.70 Planning strategic objectives can be achieved. Includes determination of services, needs and solutions to those needs. CG.70.01 Planning—Strategic Planning Records relating to annual business plans. Office of the S 7 S+7 C Y E=Completion of Includes final plan. CAO business plan Facilitative records relating to the development CG.70.02 Planning-Facilitative Records of business plans. Includes,working papers, Originator E 7 E+7 E Y Administrative Value d rafts. Legend: C - Creation Year; P - Permanent; S - Superseded; E - Event Required before calculating retention; Originator- Originated or acquired the record. Page 14 of 126 Municipal Records Retention Schedule Schedule"A"to By-law 2015-)= class Responsible inactive Function!Activity/Sub-Activity l Subject f Case Description . ,fictive Total Transitory Archival Remarks Series Unit -total The function of establishing rapport with the community and raising and maintaining the Municipality's broad public profile.Includes marketing,advertising,media liaison, exhibitions,celebrations,ceremonies, CR Community Relations(CR) speeches,official representation at functions and participation in community activities.Also includes relationships with professional bodies and industry,the management of customer services,handling reactions to those services, customer consultation and feedback. The activities associated with offering or CR.03 Advice seeking opinions. Includes the process of advising or being advised_Excludes legal advice. Records relating to advice concerning routine Communicatio CR.03.01 Advice-Operational operational matters. Includes, recommendation ns&Tourism C+1 - C+1 C Y letter,circulars. Provision of high level advice,eg.To the Mayor,Chairperson or CAO, relating to Communicatio CR.03.02 Advice-High Level substantive aspect of municipal policies, ns&Tourism C+1 4 C+5 C Y Administrative Value procedures,functions,obligations and liabilities. Includes requests responses. The activities associated with the pursuit of influencing outcomes on behalf of the CR.04 Advocating community where the Municipality acts as an advocate on issues of concern which may include political,economic,environmental or social issues that affect the community. Records that document interaction between the Communicatio CR.04.01 Advocating—Non-Significant Municipality and other bodies on non-significant ns&Tourism C+1 - C+1 C N issues. Includes, requests, responses. Records relating to the interaction between the Municipality and other bodies on significant Communicatio CR.04.02 Advocating—Significant issues of public interest and debate,or of value ns&Tourism C+1 9 C+10 C Y to the history of the Municipality. Includes, petitions,media clippings. Legend_ C - Creation Year; P - Permanent; S - Superseded; E - Event required before calculating retention; Originator- Originated or ,acquired the record- Page 15 of 126 Municipal Records Retention Schedule Schedule"A"to By-law 2015-xxx Class Responsible Inactive Function/Activity t Sub-Activity!Subject t Case Description Active Total Transitory Archival Remarks Series Unit total The activities associated with the issuing and receiving of awards in recognition of achievements,innovation,community service, performance and excellence.See CR.37— CR.10 Awards COMMUNITY RELATIONS—Event Management for ceremonies to present awards to members of the community.See HR.37— HUMAN RESOURCE MANAGEMENT—Event Management for ceremonies to present awards to personnel. Records relating to the successful nomination, CR.10.01 Awards-Successful Nominations endorsement, recommendation and actual Originator C+1 P P C+1 Y award. Includes,award certificate,letters. CR.10.02 Awards-Unsuccessful Nominations Records relating to unsuccessful nominations. Originator C+1 5 C+6 C+1 Y Includes letters. The activities involved in arranging,procuring CR.23 Contracting and managing the performance of work or the provision of goods and services by an external contractor or consultant. Records relating to the hiring and use of consultants,contractors and suppliers which Corporate CR.23.01 Contracting-Major results in a major contract. Major contracts are Services— E+1 P P C Y E=Expiry of contract contracts of a significant nature in terms of Purchasing dollar value,major public interest and debate or of value to the history of the Municipality.c Records relating to the hiring and use of CR.23.02 Contracting-Minor consultants,contractors and suppliers which Originator E+1 6 E+7 C Y E=Expiry of contract results in a minor contract as per the Purchasing BV-law. Includes contracts, The activities associated with the planning, CR.26 Customer Service monitoring and evaluating of services provided to customers bv the MunicipalitV. Records relating to the management of specialized customer services,eg help/information desks,web sites,interpreters, CR.26.02 Customer Service-Specialized Services facilities for disabled customers,changes to Originator C+1 5 C+6 C+1 Y Administrative Value opening hours,outreach services. See CG.69.03—Standards(Official Copies)for customer service standards. Includes,surveys, correspondence. Legend: C - Creation Year; P - Permanent; S - Superseded; E - Event Required before calculating retention; Originator - Originated or acquired the record_ Page 16 of 126 Municipal Records Retention Schedule Schedule"A"to By-law 2015-xxx Class ResponsibleInactive Series Function/Activity 1 Sub»Activity/Subject/Case Description Unit Active total Total Transitory` Archival Remarks The process of planning,managing, coordinating,assessing promoting and reporting on events.Events include ceremonies,celebrations,conferences and CR.37 Event Management functions.This includes events organized by the Municipality and the processes associated with approval and promotion of events held in the municipal area.This relates to events managed by the Municipality and includes civic receptions. Records relating to requests and approvals for events,filming, permission to land helicopters, skydivers within our municipal area.This Municipal CR.37.01 Event Management—External includes where the Municipality is required to Clerk's C+1 5 C+6 C+1 Y Administrative Value issue multiple approvals such as parking,food Department etc. Includes, requests, notices, responses, liabilitv insurance. Records relating to the consolidated CR.37.02 Event Management-Non-significant documentation of non-significant events. Originator C+1 1 C+2 C+1 Y Includes fairs parades,photographs. Records relating to the consolidated CR.37.03 Event Management—Significant documentation of significant events. Includes, final reports,invitations,photographs, Originator C+1 P P C+1 Y Administrative Value speeches. Records relating to promotional materials for municipal events. See CR.60.01 for master Communicatio CR.37.04 Event Management—Promotion copies of promotional material designed in- ns&Tourism C+2 - C+2 C+1 Y house. Includes,promotional material, Division correspondence. Activities associated with preparing and CRAG Greetings sending letters of appreciation or thanks, condolences or introductions. Includes mailing lists. CR.40.01 -Greetings Mailing List Address list for sending greetings. Includes, g g listin Originator C+1 - C+1 C Y Records relating to the preparation and CR.40.02 -Greetings Non-significant sending of all other greetings.Also includes g g greetings received by the Municipality. Originator C+1 - C+1 C Y Includes,correspondence,final letters,drafts. Records relating to the preparation and sending of greetings relating to high profile and CR.40.03 Greetings-Significant(High Profile) significant events and people.Also includes Originator C+1 5 C+6 C+1 Y Administrative Value greetings received by the Municipality. Includes,correspondence,final letters,drafts. Legend: C - Creation Year; P - Permanent; S - Superseded; E - Event Required before calculating retention; Originator- Originated or acquired the record. Page 17 of 126 Municipal Records Retention Schedule Schedule"A"to By-law 2015-xxx Series Class Function t Activity i Sub-Activity 1 Subject I case Description Respon�tsible Active Inactive Total Transitory Archival Remarks The activities associated with establishing a relationship between the media and the CR.51 Media Relations Municipality. Includes coordinating access to the media,authorizing and issuing press releases and briefings and organizing media interviews. Press cuttings and other media reports relating Communicatio to the Municipality and its activities. Includes CR.51.01 Media Relations—Clippings media monitoring reports. Includes, reports, ns&Tourism C+1 5 C+6 C Y Administrative Value. Division news clippings. Media releases relating to minor media releases prepared by or for the Municipality, eg.Correction of media reports or notification Communicatio CR.51.02 Media Relations—Minor of changes to minor services.For example ns&Tourism C+1 - C+1 C Y Division changes to office hours,amendment to waste collection. Includes,statements,notices. Municipality's media releases relating to major issues,eg. New or substantial changes to existing policies,major items of expenditure, Communicatio CR.51.03 Media Relations—Major senior appointments,disposal of well-known ns&Tourism C+1 5 C+6 C Y Administrative Value assets,or matters of considerable public Division interest and debate. Includes,statements, press releases. The process of handling public reaction to municipal policies,responsibilities or services. CR.59 Public Reaction Includes anonymous letters, letters of complaint and letters of congratulation or appreciation received from the public.This includes all customer action requests. CR.59.01 Public Reaction—General Records relating to public reaction.Includes, Originator C+1 1 C+2 C Y lworking papers. Legend: C - Creation Year; P - Permanent; S - Superseded; E - Event Required before calculating retention; Originator - Originated or acquired the record. Page 18 of 126 Municipal Records Retention Schedule Schedule"A"to By-law 2015-xxx Class Responsible Inactive Series Function!Activity/Sub-Activity lSubject/Case Description Active Total Transitory Archival >' Remarks unit Total The processes associated with initiating or providing a formal response to a situation or request(either internal,external or as a requirement of corporate policies),and to CR.63 Reporting provide formal statements or findings of the results of their examination or investigation. Includes agenda,briefing,business,discussion papers,proposals,reports, reviews and returns. Records relating to the reporting of non- Communicatio CR.63.01 Reporting-Administrative Reporting significant programs,projects and events. ns&Tourism C+1 6 C+7 C Y Administrative Value Includes, reports,daily statements. Division Records relating to the reporting of significant Municipal CR.63.02 Reporting-Committee&Council programs, projects and events. Includes, Clerk's C+1 P P C y reports. Department Records relating to support documentation. Communicatio CR.63.03 Reporting-Facilitative Records Also includes surveys and questionnaires. ns&Tourism E+1 5 E+6 C Y E=Final report completed Includes,working papers,supporting Division documentation surve s discussion papers. Legend: C - Creation Year; P - Permanent; S - Superseded; E - Event Required before calculating retention; Originator - Originated or acquired the record. Page 19 of 126 Municipal Records Retention Schedule Schedule"A"to By-law 2015->oa Glass Responsible Inactive Series Function(Activity i Sub-Activity!Subject/Case Description Unit Active total Total Transitory Archival Remarks The function of managing land use,population, housing,employment,general economic conditions and characteristics.Includes activities related to preparing,implementing DV Development(DV) and monitoring the Official Plan and other policy documents as well as regulating development activities within our community in accordance with planning legislation and the local plan that has been adopted by the M nici al'v. The activities associated with offering or DV.03 Advice seeking opinions.Includes the process of advising or be in advised. Records relating to advice concerning routine DV.03.01 Advice-Operational operational matters.Includes, response letter, Originator C+1 - C+1 C correspondence. Provision of high level advice,eg.To the Mayor,Chairperson or CAO, relating to Planning DV.03.02 Advice-High Level substantive aspect of municipal policies, C+1 4 C+5 C Administrative Value procedures,functions, obligations and Services liabilities. Includes requests responses. Legend: C - Creation Year; P - Permanent; S - Superseded; E - Event Required before calculating retention; Originator- Originated or acquired the record. Page 20 of 126 Municipal Records Retention Schedule Schedule"A"to By-law 2015-xxx Glass y p Responsible Function/Activifi t Sub-Activity!Subj ect 1 Case Description Active Inactive Total Transitory Archival Remarks Series Unit total The activities associated with the pursuit of influencing outcomes on behalf of the DV.04 Advocating community where the Municipality acts as an advocate on issues of concern which may include political,economic,environmental or social issues that affect the community. Records that document interaction between the Planning DV.04.01 Advocating—Non-Significant Municipality and other bodies on non-significant Services C+1 - C+1 C N issues. Records relating to the interaction between the Municipality and other bodies on significant Planning DV.04.02 Advocating-Significant issues of public interest and debate,or of value Services C+1 9 C+10 C y to the history of the Municipality. Includes, petitions,media clippings. The activities associated with complying with mandatory regulatory or operational standards or requirements to which the Municipality is subject. Includes compliance with legislation DV.20 Compliance such as Environmental Protection Act, Municipal Act,Highway Traffic Act, Occupational Health and Safety Act,Fire Protection and Prevention Act,Municipal Freedom of Information and Protection of Privacy Act,Building Code Act,etc. Records relating to municipal compliance with mandatory requirements imposed by governing DV.20.01 Compliance—Requirement bodies. Includes proof of compliance with Planning S+1 6 S+7 C y internal and external standards,statutory and Services operational requirements.Includes, regulations, standards. Records relating to serious breaches of DV.20.02 Compliance-Breach compliance requirements that leads to major Planning E+1 1 E+2 C y E=Remedy of breach public interest and debate or court action. Services or delivery of judgement Includes complaints notices. Records relating to the activities involved with examining a person,group,system,process, project or product in order to determine Planning DV.20.03 Compliance—Verification(Internal Audit) whether or not compliance with a regulation, C+1 6 C+7 C Y requirement,specification or imposed condition Services are being met. Includes,audit reports, surveillance/monitoring records. Legend: C - Creation Year; P - Permanent; S - Superseded; E - Event Required before calculating retention; Originator - Originated or acquired the record. Page 21 of 126 Municipal Records Retention Schedule Schedule"A"to By-law 2015-xxx Class Responsible Inactive Function t Activity J Sub-Activity/Subject I Case Description Active Total Transitory Archival Remarks Series �Unit total The activities involved in arranging,procuring DV.23 Contracting and managing the performance of work or the provision of goods and services by an external contractor or consultant. Records relating to the hiring and use of consultants,contractors and suppliers which results in a major contract.Major contracts are Corporate DV.23.01 Contracting-Major contracts of a significant nature in terms of Services- E+1 P P C+1 Y E=Expiry of contract dollar value, major public interest and debate Purchasing or of value to the history of the Municipality. Includes.contracts. Records relating to the hiring and use of DV.23.02 Contracting-Minor consultants,contractors and suppliers which Originator E+1 6 E+7 C+1 Y E=Expiry of contract results in a minor contract as per the Purchasin By-law. Includes contracts. Legend: C - Creation Year; P - Permanent; S - Superseded; E - Event Required before calculating retention; Originator - Originated or acquired the record. Page 22 of 126 Municipal Records Retention Schedule Schedule"A"to By-law 2015-)= Class Responsible Inactive .Function/Activity/Sub-Activity I Subject I Case Description Active Total Transitory Archival Remarks Series Unit total The activities associated to drawings pertaining to municipal base information(boundaries, roads,easements,etc.);plotting and maintenance of background data related to DV.50 Mapping various planning issues including,but not limited to,subdivisions,OPA's,waterfront, transportation planning, regional studies, . reference plans,mapping plans and aerial hoto raphv. Mapping and recording geographic features, including aerial photography;cartography;and Planning DV.50.01 Mapping-General GIS. Includes mapping information used to Services S P P C+2 Y support projects, reports,studies and policy. Includes,working papers, maps. The activities involved in the management of DV.57 Program Management an ongoing series of actions including planning, implementing, monitoring,and assessing a rogram. Records that document the activities involved DV.57.01 Program Management—Significant in operating significant programs. Includes, Planning C+2 P P C+1 Y agreements,funding, proposals, registration of Services interest, reports,strategies. Records that document the activities involved in operating non-significant programs. Includes, Planning E+1 4 E+5 C+1 Y E=Termination of DV.57.02 Program Management—Non-Significant agreements,funding,proposals, registration of Services program interest, reports,strategies. Facilitative records relating to the management Planning E=Termination of DV.57.03 Program Management—Facilitative Records of municipal programs. Includes,drafts, Services E+2 E+2 C+1 Y program research/studies,correspondence. The process of handling public reaction to municipal policies, responsibilities or services. DV.59 Public Reaction Includes anonymous letters, letters of complaint-and letters of congratulation or appreciation received from the public.This includes all customer action requests. DV.59.01 Public Reaction—General Records relating to public reaction. Includes, Planning C+2 - C+2 C Y Administrative Value complaints petitions,appreciation letters. Services Legend: C - Creation Year; P - Permanent; S - Superseded; E - Event Required before calculating retention; Originator- Originated or acquired the record. Page 23 of 126 Municipal Records Retention Schedule Schedule"A"to By-law 2015-057 Class Responsible Inactive Function l Activity/Sub-Activity/Subject I Case Description q Active Total Transitory Archival Remarks Series Unit total The process of regulating statutory requirements.This is the enforcement of DV.62 Regulating regulatory responsibilities. Includes inspection, authorization,monitoring and enforcement of requirements under legislation. Records relating to Development Applications for sites,buildings or infrastructures.This DV.62.01 Regulating-Applications Approved includes Land Division and Public Infrastructure Planning E+1 P P C+2 y E=Application decision development.See DV.62.09—Pre-Consultation Services for records relating to pre-development advice. Includes,applications,concept plans. Records relating to Development Applications for sites,buildings or infrastructure not approved, lapsed or withdrawn. This includes E=Application decision DV.62.02 Regulating-Applications Not Approved Land Division and Public Infrastructure Planning E+2 - E+2 C+1 y or no action within 15 development. See DV.62.09—Pre- Services Consultation for records relating to pre- years of application development advice. Includes,applications, concept plans. Regulating-Enforcement(Certificate of Offence,Part Records relating to office copies of Part I DV.62.03 I) charges. Includes,certificate of offence, Originator C+1 7 C+8 C+2 y Administrative Value registers. Regulating-Enforcement(Certificate of Offence, Part Records relating to office copies of Part III DV.62.05 III) charges. Includes,certificate of offence, Originator E+1 9 E+10 C+2 y E=Case Closed registers. Records relating to the enforcement of regulatory by-laws.Property Standards, E=Delivery of judgment Zoning, Licensing,Signs,Long Grass& or close of file Retention DV.62.06 Regulating-Enforcement(Case File) Weeds,Open Air Burning, Noise,etc. Includes, Originator E+1 6 E+7 C+1 y established as per Legal court records,judgements,occurrence reports, photographs,subpoenas,orders, notices, review com faints. Records relating to licences administered by the Municipality.Also includes applications and E=Expiry of license or DV.62.07 Regulating-Licence/Permit Administration permits issued by the Municipality such as Originator E+1 6 E+7 C+1 y permit. Administrative building permits. Includes, licences,permits, Value application. Records relating to development registers. Includes,application register,transferable floor DV.62.08 Regulating—Registers area register,land management agreements Originator P - P C+2 y register,significant tree register, heritage register,building register. Records relating to pre-consultation activities E=Application decision DV.62.09 Regulating—Pre-Consultation provided by the Municipality. Includes, Originator E+2 8 E+10 C+1 N or no action within 15 correspondence,meeting minutes, recommendation letter,concept plans. years of application Legend: C - Creation Year; P - Permanent; S - Superseded; E - Event Required before calculating retention;. Originator- Originated or acquired the record- Page 24 of 127 G Municipal Records Retention Schedule Schedule"A"to By-law 2015-xoa class Responsible Inactive Series Gait total Function/Activity/Sub-Activity 1 SubJect/Case Description Active, Transitory Archival Remarks Records regulating the construction Engineering E=Assumption of DV.62.10 Regulating-Construction requirements for new developments. Includes, E+2 8 E+10 C+1 N approvals,authorization,inspection notes. Services Council Legend: C - Creation Year; P - Permanent; S - Superseded; E - Event Required before calculating retention; Originator- Originated or acquired the record. Page 25 of 126 Municipal Records Retention Schedule Schedule"A"to By-law 2015-xxx Class Responsible Inactive Function/Activity t Sub-Activity t Subject t Case Description Active , Transitory Archival Remarks Series Unit otal The processes associated with initiating or providing a formal response to a situation or request(either internal,external or as a requirement of corporate policies),and to DV.63 Reporting provide formal statements or findings of the results of their examination or investigation. Includes agenda,briefing,business,discussion papers,proposals, reports, reviews and returns. Records relating to the reporting of non- DV.63.01 Reporting-Administrative Reporting significant programs,projects and events. Originator C+1 6 C+7 C Y Administrative Value Includes reports daiIV statements. Records relating to the reporting of significant Municipal DV.63.02 Reporting-Committee&Council programs,projects and events. Includes, Clerk's C+1 P P C Y reports. Department Records relating to support documentation. Also includes surveys and questionnaires E=Final report . DV.63.03 Reporting-Facilitative Records Originator E+1 5 E+6 C Y completed. Includes,working papers,supporting Administrative Value documentation surveys discussion papers. The activities associated with developing and DV.70 Planning establishing goals and policies that will guide future land use. Includes the official plan and approved amendments to the official plan.Also includes secondary plans and approved amendments, containing detailed objectives and policies DV.70.03 Planning—Land Use(Policy Framework) concerning the planning,development and Planning S P P C+1 Y redevelopment of specific planning districts. Services For approved and non-approved amendment applications see DV.62.03&DV.62.04— Regulating. Includes, master copies of the Official Plan,Official Plan amendments. Includes records such as background studies Planning—Land Use(Policy Framwork)Facilitative supporting development of the official plan and Planning E=Adoption of Land DV.70.04 Records review process as required under the Planning Services E+1 19 E+20 C+1 Y Use Policy document Act. Includes,correspondence,draft reports, surveys&proposals. Legend: C - Creation Year; P - Permanent; S - Superseded; E - Event required before calculating retention; Originator- Originated or acquired the record. Page 26 of 126 Municipal Records Retention Schedule Schedule"A"to By-law 2015-xxx Class Responsible inactive Function i Activity i Sub-Activity,/Subject i Case Description' Active Total Transitory Archival Remarks Series Unit total The process of consulting with others,seeking DV.74 Consultation comment/feedback on a range of services and issues.This includes requests for consultation from organizations,citizens and individuals. Environmental impact statements required for determining the outcome of a development application. Excludes other activities regarding Planning DV.74.01 Consultation-Environmental Impact Environmental Management.See EM.71 Services C+1 P P C+1 —Studies for Environmental studies conducted by the Municipality. Includes, impact statements,correspondence. Records relating to the preparation of surveys and questionnaires.Public Information Centre Planning DV.74.02 Consultation—Facilitative Records meeting documents. Includes,draft survey, Services C+1 4 C+5 C+1 draft questionnaire,correspondence. Records relating to responses to consultation including completed surveys and questionnaires.Also includes records relating Planning E=Completion of the DV.74.03 Consultation-Responses to gathering responses from Public Information Services E+1 5 E+6 C+1 Y consult report. Centres. Includes, returned surveys, returned questionnaires, responses,petitions. Records relating to the consultation process. Planning DV.74.04 Consultation-Official Copies Includes,final copy of survey,final copy of Services C+1 P P C+1 Y questionnaire reports. Legend: C - Creation Year; P - Permanent; S - Superseded; E - Event Required before calculating retention; Originator- Originated or acquired the record. Page 27 of 126 Municipal Records Retention Schedule Schedule"A"to By-law 2015-xxx Class Responsible Inactive Series Function/Activity I Sub-Activity/Subject/case Description Unit Active total Total Transitory Archival Remarks The activities associated with the analysis, DV.75 Demographics collection and compilation of demographic information. Records regarding trends in population growth, DV.75.00 Demographics-General census reports,density studies and Planning C+2 P P C+1 Y employment figures. Includes,correspondence, Services reports studies. The activities involving a defined series of actions relating to transportation design, - municipal infrastructure or development projects which includes records relating to the process of planning,monitoring and the final assumption of a project.Project files are DV.78 Project Management required to be kept together throughout the duration of a project plus an additional 2 years. This will facilitate a complete range of project documentation for proper decision making. Once the project file retention period has expired,the records will be appropriately coded according to the specific activity for which the records support. E=Post acceptance of Project files may include records such as the project. NOTE:A correspondence,inspections notes,surveys, single purge will be reports,designs,specifications,project undertaken to extract schedules,financial administration,contract Engineering transitory records and DV.78.01 Project Management—New Development administration,etc. Includes, legal surveys, Services E+2 - E+2 C+1 Y further classify any proposals,specifications,plans,engineers Department remaining records of reports,correspondence, progress reports, value once 2 years after studies. post acceptance of the project has been reached. Legend: C - Creation Year; P - Permanent; S - Superseded; E - Event Required before calculating retention; Originator- Originated or acquired the record. Page 28 of 126 Municipal Records Retention Schedule Schedule"A"to By-law 2015-xxx Class Res Responsible Inactive Series Unit total Function 1 Activity Sub-Activity!Subject/Case Descrlpfiiart Active Total Transitory Archival Remarks The function of acquiring,supplying, maintaining,repairing and disposing of equipment and consumables,stocked and EC Equipment,and Consumables(EC) used by the municipality. Items of equipment include instruments,implements,tools, machines,furniture and furnishings. Consumables include chemicals, hardware, medical supplies and stationery. The activities involved in arranging for the EC.11 Bookings usage,rental and loaning of equipment,fleet ands ace. EC.11.01 Bookings-Arrangements Arrangements for appointments. Includes, Originator C+1 - C+1 C N requests confirmations. Records relating to the hire and use of EC.11.02 Bookings-Equipment municipal equipment. Includes, registers, Originator C+1 2 C+3 C N Administrative Value forms. EC.11.05 Bookings-Misuse Records relating to the improper use of Originator C+1 - C+1 C N municipal equipment fleet item space etc. Legend: C - Creation Year, P - Permanent; S - Superseded; E - Event Required before calculating retention; Originator- Originated or acquired the record. Page 29 of 126 Municipal Records Retention Schedule Schedule"A"to By-law 2015-xxx Class Responsible Inactive Series Unit total Function I Activity t Sub-Activity 1 Subject I Case Description Active. Total Transitory. Archival Remarks The activities associated with complying with mandatory accountability,fiscal, legal, regulatory,operational or quality standards or, requirements to which the Municipality is subject. Includes compliance with legislation such as Environmental Protection Act, EC.20 Compliance Municipal Act,Taxation Act, Financial Administration Act, Highway Traffic Act, Occupational Health and Safety Act,Fire Protection and Prevention Act,Municipal Freedom of Information and Protection of P iv cv Act.et Records relating to municipal compliance with mandatory requirements imposed by governing bodies.Includes proof of compliance with internal and external standards,statutory and EC.20.01 Compliance—Requirements operational requirements.See FL.20— Operations S+1 6 S+7 C Y Administrative Value Compliance for registered vehicles or any item requiring registration under the Highway Traffic Act,R.S.O. 1990. Includes,diesel fuel certificates,fuel licences. Records relating to serious breaches of compliance requirements that leads to major E=Remedy of breach EC.20.02 Compliance-Breach public interest and debate or court action. Operations E+1 1 E+2 C Y or delivery of judgement Includes complaints notices. Records relating to the activities involved with examining a person,group,system,process, project or product in order to determine EC.20.03 Compliance—Verification(Internal Audit) whether or not compliance with a regulation, Operations C+1 6 C+7 C Y requirement,specification or imposed condition are being met. Includes,audit reports, surveillance/monitoring records. The activities involved in arranging,procuring EC.23 Contracting and managing the performance of work or the provision of goods and services by an external contractor or consultant. Records relating to the hiring and use of consultants,contractors and suppliers which results in a major contract. Major contracts are Corporate EC.23.01 Contracting-Major contracts of a significant nature in terms of Services- E+1 P P C Y E=Expiry of contract dollar value,major public interest and debate Purchasing or of value to the history of the Municipality. Includes contracts. Legend: C - Creation Year; P - Permanent; S - Superseded; E - Event Required before calculating retention; Originator - Originated or acquired the record. Page 30 of 126 Municipal Records Retention Schedule Schedule"A"to By-law 2015-xxx Class Responsible Inactive Function/Activity t Sub-Abtivity 1 Subject f Case Description Active Total Transitory Archival Remarks Series Unit total Records relating to the hiring and use of EC.23.02 Contracting-Minor consultants,contractors and suppliers which Originator E+1 6 E+7 C Y E=Expiry of contract results in a minor contract as per the Purchasing B -law. Includes, contracts. The process of disposing of equipment no longer required by the Municipality, by sale, EC.29 Disposal transfer,termination of lease,auction or destruction.Also includes disposal of consumables that have surpassed their usefulness. Records relating to the disposal of equipment owned by the Municipality.Also includes records relating to the disposal of technology and communication equipment such as computer hardware(computers,formatted hard Corporate EC.29.01 Disposal—Equipment(General) drives, printers,etc.)and communication Services- C+1 6 C+7 C+1 Y hardware(phones,switches,fax machines, Purchasing routers,etc.)owned by the Municipality.See FL.29.05 for records relating to the disposal of vehicles. Includes,destruction certificates, auction lists,authorization. The activities associated with managing money,items,artefacts or property donated to the Municipality or by the Municipality and/or EC.30 Donations personnel to charities,etc.Includes managing unsolicited donations and charitable appeals. Also includes sponsorship-Municipal sponsorship to events and sponsorship received by the Municipality. Records relating to equipment donations given E=Date donation was EC.30.01 Donations-Equipment to or issued by the Municipality. Includes, Originator E+1 6 E+7 C+2 Y made or after the period notifications,reports,acknowledgments, a gift has expired registers. The activities associated with the upkeep, EC.49 Maintenance repair,servicing and preservation of internal/external conditions of equipment. Includes office equipment and furniture. Records relating to maintenance programs and maintenance and use of equipment. Includes E—Disposal of EC.49.05 Maintenance—Equipment mobile,protective,playground and parks Originator E+1 - E+1 C+1 Y equipment. Includes,maintenance schedules, equipment service records, repair logs. Legend: C - Creation Year; P - Permanent; S - Superseded; E - Event Required before calculating retention; Originator - Originated or acquired the record. Page 31 of 126 Municipal Records Retention Schedule Schedule"A"to By-law 2015-xxx Class Responsible Inactive Function I Activity I Sub-Activity/Subject/Case Description Active Total Transitory Archival Remarks Series Unit total The process of handling public reaction to municipal policies, responsibilities or services. EC.59 Public Reaction Includes anonymous letters, letters of complaint and letters of congratulation or appreciation received from the public.This includes all customer action requests. EC.59.01 Public Reaction—General Records relating to public reaction. Includes, Originator C+1 1 C+2 C Y working papers. The processes associated with initiating or providing a formal response to a situation or request(either internal,external or as a requirement of corporate policies),and to EC.63 Reporting provide formal statements or findings of the results of their examination or investigation, Includes agenda,briefing,business,discussion papers, proposals,reports, reviews and returns. Records relating to the reporting of non- EC.63.01 Reporting-Administrative Reporting significant programs,projects and events. Originator C+1 6 C+7 C Y Administrative Value Includes reports,daily statements. Records relating to support documentation. Also includes surveys and questionnaires. E=Completion of report. EC.63.03 Reporting-Facilitative Records Includes,working papers,supporting Originator E+1 5 E+6 C Y Administrative Value documentation surveys,discussion papers. Legend: C - Creation Year; P - Permanent; S - Superseded; E - Event Required before calculating retention; Originator- Originated or acquired the record. Page 32 of 126 Municipal Records Retention Schedule Schedule"A"to By-law 2015-xxx Class Responsible Inactive Function/Activity 1 Sub-Activity/Subject l Case Description Active Total Transitory Archival Remarks Series Unit total The function,of fostering economic growth and employment opportunities through the creation of an internationally competitive,diversified and economically sustainable range of businesses. This includes the process to promote,attract, support,and participate in tourism,visitor information centres,joint ventures,networking, vocational training,regional development and investment.Also to provide and create an ED Economic Development(ED) attractive,flexible and supportive operating environment for business. This includes agriculture,aquaculture,forestry,and manufacturing,including where these are evaluated or are joint ventures with the Municipality. Also includes where the Municipality generates income through fee for service activities or commercial activities, including retail shops,stockyards and municipal subsidiaries e.g. Electricity Provision. The activities associated with offering or ED.03 Advice seeking opinions_Includes the process of advising or being advised. Excludes legal advice. Records relating to advice concerning routine Clarington ED.03.01 Advice-Operational operational matters. Includes, recommendation Board Of C+1 - C+1 C Y letter,circulars. Trade Provision of high level advice,eg.To the Mayor,Chairperson or CAO, relating to Clarington ED.03.02 Advice-High Level substantive aspect of municipal policies, Board Of C+1 4 C+5 C Y Administrative Value procedures,functions, obligations and Trade liabilities. Includes requests,responses. The activities associated with the pursuit of influencing outcomes on behalf of the ED.04 Advocating community where the Municipality acts as an advocate on issues of concern which may include political,economic,environmental or social issues that affect the community. Records that document interaction between the Clarington ED.04.01 Advocating—Non-Significant Municipality and other bodies on non-significant Board Of C+1 - C+1 C N issues. Includes, requests, responses. Trade Legend: C - Creation Year; P - Permanent; S - Superseded; E - Event Required before calculating retention; Originator - Originated or acquired the record- Page 33 of 126 Municipal Records Retention Schedule Schedule"A"to By-law 2015-xxx Class Responsible inactive Function I Activity I Sub-Activity 1 Subject 1 Case Description Active Total 'Transitory Archival Remarks Series Unit total Records relating to the interaction between the Municipality and other bodies on significant Clarington ED.04.02 Advocating-Significant issues of public interest and debate, or of value Board Of C+1 9 C+10 C Y to the history of the Municipality. Includes, Trade petitions,media clippings. The activities involved in arranging,procuring ED.23_ Contracting and managing the performance of work or the provision of goods and services by an external contractor or consultant. Records relating to the hiring and use of consultants,contractors and suppliers which results in a major contract. Major contracts are Clarington ED.23.01 Contracting-Major contracts of a significant nature in terms of Board Of E+1 P P C Y E=Expiry of contract dollar value,major public interest and debate Trade or of value to the history of the Municipality. Includes contracts. Records relating to the hiring and use of ED.23.02 Contracting-Minor consultants,contractors and suppliers which Originator E+1 6 E+7 C Y E=Expiry of contract results in a minor contract as per the Purchasin. By-law. Includes contracts. The process of planning,managing, coordinating,assessing promoting and reporting on an event.Events include ceremonies,celebrations,conferences and ED.37 Event Management functions.This includes events organised by the Municipality and the processes associated with approval and promotion of events held in the municipal area.This relates to events managed by the Municipality and includes civic receptions and Mayoral Gala Performances. Records relating to the consolidated Clarington ED.37.03 Event Management-Non-significant documentation of non-significant events. Board Of C+1 1 C+2 C+1 Y Includes fairs parades, photographs. Trade Records relating to the consolidated Clarington ED.37.04 Event Management—Significant documentation of significant events. Includes, Board Of C+1 P P C+1 Y Administrative Value final reports,speeches,invitations, Trade photograph ,filming candidates lists. Event Management—Promotion(External Records relating to promotional material of Clarington ED.37.05 Organizations) other organization's events. Includes, Board Of C+1 4 C+5 C+1 Y promotional material. Trade Legend: C - Creation Year; P- Permanent; S - Superseded; E - Event required before calculating retention; Originator - Originated or acquired the record. Page 34 of 126 Municipal Records Retention Schedule Schedule"A"to By-law 2015-xxx Class Responsible Inactive Function!Activity/Sub-Activity/Subject i Case Description' Active Total Transitory 'Archival Remarks Series Unit total The activities associated with the processes ED.58 Promotion involved in endorsing,supporting and encouraging the advancement of a service, business enterprise,or organization. Records relating to arrangements of Clarington ED.58.01 Promotion-Arrangements promotional materials and activities. Includes, Board Of C+1 1 C+2 C+1 Y advertisements address lists. Trade Records relating to non-substantial promotional Clarington ED.58.02 Promotion-Non-Substantial materials for municipal activities,programs and Board Of C+1 4 C+5 C+1 Y events. Includes,brochures,action plans. Trade Records relating to substantial promotional Clarington ED.58.03 Promotion-Substantial materials for municipal activities, programs and Board Of C+1 9 C+10 C+2 Y events. Includes, brochures,action plans. Trade The process of handling public reaction to municipal policies, responsibilities or services. ED.59 Public Reaction Includes anonymous letters, letters of complaint and letters of congratulation or appreciation received from the public.This includes all customer action requests. Records relating to public reaction. Includes, Clarington ED.59.01 Public Reaction—General working papers. Board Of C+1 1 C+2 C Y Trade The processes associated with initiating or providing a formal response to a situation or request(either internal,external or as a requirement of corporate policies),and to ED.63 Reporting provide formal statements or findings of the results of their examination or investigation. Includes agenda,briefing,business,discussion papers, proposals,reports, reviews and returns. Records relating to the reporting of non- Clarington ED.63.01 Reporting-Administrative Reporting significant programs, projects and events. Board Of C+1 6 C+7 C Y Administrative Value Includes, reports,daily statements. Trade Records relating to the reporting of significant Municipal ED.63.02 Reporting-Committee&Council programs,projects and events. Includes, Clerk's C+1 P P C Y reports. Department Records relating to support documentation. E=Final report ED.63.03 Reporting-Facilitative Records Also includes surveys and questionnaires. Originator E+1 5 E+6 C Y completed Includes,working papers,supporting Administrative Value documentation,surve s discussion papers. Legend: C - Creation Year; P - Permanent; S - Superseded; E - Event Required before calculating retention; Originator- Originated or acquired the record- Page 35 of 126 Municipal Records Retention Schedule Schedule"A"to By-law 2015-xxx Glass -' Responsible Inactive Function I Activity I Sub-Activity I Subject I Case Description Active Total Transitory Archival Remarks Series Unit total The process of compiling additional information that may be required through the planning analysis,council deliberation,and/or public participation processes in determining the ED.71 Studies suitability and effectiveness of potential or existing programs,projects,items of equipment,systems or services in relation to meeting the needs of a given situation: Includes onaoina monitorina. Working copies of records relating to establishing a final report. Includes such things Engineering ED.71.01 Studies-Facilitative Records as responses to surveys/questionnaires and Services E+1 1 E+2 C+1 Y E=Completion of final research/reference material where results and Department report findings have been included in a report. Includes,survey,questionnaires,draft reports. Final report detailing the evaluation criteria,the ED.71.02 Studies—Official Copies study findings,and the recommendations. Originator C+1 4 C+5 C+1 Y Includes,feasibility studies,performance indicators,reports. Legend: C - Creation Year; P- Permanent; S - Superseded; E - Event Required before calculating retention; Originator- Originated or acquired the record. Page 36 of 126 Municipal Records Retention Schedule Schedule"A"to By-law 2015-xxx Class Function l Activity l Sub-Activity/Subject N Case Description Responsible Active Inactive Total Transitory Archival Remarks Series unit" total The function of maintaining,protecting, promoting and managing sustainable natural and urban environments.This includes the protection,rehabilitation and management of EM Environmental Management(EM) air,soil and water.Also includes the control of liquid,solid,visual pollution,noise pollution and fire prevention.This includes Waste Management,Recycling,Septic tanks, Common Effluent Drainage and Contaminated Land. The activities associated with offering or EM.03 Advice seeking opinions. Includes the process of advising or being advised.Excludes legal advice. Records relating to advice concerning routine EM.03.01 Advice-Operational operational matters. Includes, recommendation Originator C+1 - C+1 C Y letter,circulars. Provision of high level advice,eg.To the Mayor,Chairperson or CAO, relating to EM.03.02 Advice-High Level substantive aspect of municipal policies, Originator C+1 4 C+5 C Y Administrative Value procedures,functions,obligations and liabilities. Includes requests, responses. The activities associated with the pursuit of influencing outcomes on behalf of the EM.04 Advocating community where the Municipality acts as an advocate on issues of concern which may include political,economic,environmental or social issues that affect the community. Records that document interaction between the EM.04.01 Advocating—Non-Significant Municipality and other bodies on non-significant Originator C+1 - C+1 C N issues. Includes, requests, responses. Records relating to the interaction between the Municipality and other bodies on significant EM.04.02 Advocating-Significant issues of public interest and debate,or of value Originator C+1 9 C+10 C Y to the history of the Municipality. Includes, petitions,media clippings. Legend: C - Creation Year; P - Permanent; S - Superseded; E - Event Required before calculating retention; Originator- Originated or acquired the record. Page 37 of 126 Municipal Records Retention Schedule Schedule"A"to By-law 2015-xxx Class Responsible Inactive Function I Activity I Sub-Activity I Subject I Case _ Descripfion Active Total Transitory Archival Remarks Series Unit total The activities associated with complying with mandatory accountability,fiscal,legal, regulatory,operational or quality standards or requirements to which the Municipality is subject.Includes compliance with legislation EM.20 Compliance such as Environmental Protection Act, Municipal Act,Taxation Act,Financial Administration Act, Highway Traffic Act, Occupational Health and Safety Act,Fire Protection and Prevention Act,Municipal Freedom of Information and Protection of Privacy Act,etc Records relating to municipal compliance with mandatory requirements imposed by governing bodies. Includes proof of compliance with EM.20.01 Compliance—Requirement internal and external standards,statutory and Originator S 7 S+7 C Y Administrative Value operational requirements. Includes, compliance certificates, inspection reports,municipal environmental management plans,asbestos registers, permits. Records relating to serious breaches of EM.20.02 Compliance-Breach compliance requirements that leads to major Originator E+1 1 E+2 C Y E=Remedy of breach public interest and debate or court action. or delivery of judgement Includes,complaints notices. Records relating to the activities involved with examining a person,group,system, process, project or product in order to determine EM.20.03 Compliance—Verification(Internal Audit) whether or not compliance with a regulation, Originator C+1 6 C+7 C Y requirement,specification or imposed condition are being met. Includes,audit reports, surveillance/monitoring records. The activities involved in the preservation, EM.21 Conservation protection,maintenance,restoration and enhancement of our natural resources. Records relating to the Municipalities conservation plans for the preservation of our natural resources. See PF.21 -Conservation for records concerning the conservation of buildings and/or land.See IM.21 - EM.21.06 Conservation—Natural Resources Conservation for records concerning the Originator C+2 8 C+10 C Y Administrative Value conservation of information. See SC.21 - Conservation for records concerning the conservation of items of heritage significance such as artefacts. Includes, plans, submissions, reports, progress reports. Legend: C - Creation Year; P - Permanent; S - Superseded.; E - Event Required before calculating retention; Originator- Originated or acquired the record. Page 38 of 126 Municipal Records Retention Schedule Schedule"A"to By-law 2015-)= Class Responsible Inactive Series Function I Activity I Sub Activity/Subject I Case Description Unit Active total Total Transitory Archival Remarks The activities involved in arranging,procuring EM.23 Contracting and managing the performance of work or the provision of goods and services by an external contractor or consultant. Records relating to the hiring and use of consultants,contractors and suppliers which results in a major contract.Major contracts are Corporate EM.23.01 Contracting-Major contracts of a significant nature in terms of Services- E+1 P P C Y E=Expiry of contract dollar value, major public interest and debate Purchasing or of value to the history of the Municipality. Includes,contracts. Records relating to the hiring and use of EM.23.02 Contracting-Minor consultants,contractors and suppliers which Originator E+1 6 E+7 C y E=Expiry of contract results in a minor contract as per the Purchasin By-law. Includes contracts. The activities associated with the upkeep, EM.49 Maintenance repair,servicing and preservation of environmental structures/systems. Records relating to maintenance and cleaning of septic tanks,enviro-cycle systems,transfer EM.49.04 Maintenance-Environmental Structures/Systems stations and landfill and other environmental Originator C+2 P P C+1 Y structures. Includes, requests,completed actions, responses,permits. The process of handling public reaction to municipal policies, responsibilities or services. EM.59 Public Reaction Includes anonymous letters, letters of complaint and letters of congratulation or appreciation received from the public.This includes all customer action requests. EM.59.01 Public Reaction—General Records relating to public reaction. Includes, Originator C+1 1 C+2 C y workinq papers. The process of regulating statutory requirements.This is the enforcement of EM.62 Regulating regulatory responsibilities:Includes inspection, authorization,monitoring and enforcement of requirements under legislation. Records relating to the enforcement of regulatory by-laws.Property Standards, Zoning, Licensing,Signs, Long Grass& E=Delivery judgment le o EM.62.06 Regulating-Enforcement(Case File) Weeds,Open Air Burning, Noise,etc. Includes, Originator E+1 6 E+7 C+1 Y or close of file. Retention established as court records,judgements,occurrence reports, per Legal review photographs,subpoenas,orders, notices, complaints. Legend: C - Creation Year; P - Permanent; S - Superseded; E - Event Required before calculating retention; Originator - Originated or acquired the record- Page 39 of 126 Municipal Records Retention Schedule Schedule"A"to By-law 2015-xxx Class Responsible Inactive Series Function/Activity tSub-Activity 1 Subject/Case Description Unit Active total Total Transitory Archival Remarks The processes associated with initiating or providing a formal response to a situation or request(either internal,external or as a requirement of corporate policies),and to EM.63 Reporting provide formal statements or findings of the results of their examination or investigation. Includes agenda,briefing,business,discussion papers,proposals, reports, reviews and returns. Records relating to the reporting of non- EM.63.01 Reporting-Administrative Reporting significant programs, projects and events. Originator C+1 6 C+7 C Y Administrative Value Includes reports daiIV statements. Records relating to the reporting of significant Municipal EM.63.02 Reporting-Committee&Council programs,projects and events. Includes, Clerk's C+1 P P C Y reports. Department Records relating to support documentation. E=Final report EM.6103 Reporting-Facilitative Records Also includes surveys and questionnaires. Originator E+1 5 E+6 C Y completed. Includes,working papers,supporting Administrative Value documentation surveys discussion papers. The process of compiling additional information that may be required through the planning analysis,council deliberation,and/or public participation processes in determining the EM.71 Studies suitability and effectiveness of potential or existing programs,projects, items of equipment,systems or services in relation to meeting the needs of a given situation. Includes ongoing monitoring. Working copies of records relating to establishing a final report. Includes such things as responses to surveys/questionnaires and E=Completion of final EM.71.01 Studies-Facilitative Records research/reference material where results and Originator E+1 1 E+2 C+2 Y findings have been included in a report. report Includes,surveys,questionairres,drafts reports. Final report detailing the evaluation criteria,the E=Completion of final EM.71.02 Studies—Official Copies study findings,and the recommendations. Originator E+1 6 E+7 C+2 Y report Includes,final reports. Legend: C - Creation Year; P - Permanent; S - Superseded; E - Event Required before calculating retention; Originator- Originated or acquired the record. Page 40 of 126 Municipal Records Retention Schedule Schedule"A"to By-law 2015-xxx Class Responsible Inactive Function/Activity/Sub-Activity i Subject I Case Description Active Total Transitory Archival Remarks Series Unit total The function of managing the Municipality's financial resources. Includes establishing, operating and maintaining accounting systems, controls and procedures,financial planning, framing budgets and budget submissions, FI Financial Management(FI) obtaining grants,managing funds and revenue from charging{i.e.rates,fees and charges), trading and investments.Also includes the monitoring and analysis of assets to assist the delivery of economic and social services to government, industry and the community. The process of collecting,recording, classifying,summarising and analysing 171.01 Accounting financial transactions. Includes financial statements and the management of municipal accounting systems and internal controls. Excludes legal advice. Records relating to the management of funds payable by the Municipality. Includes paid F1.01.01 Accounting-Accounts Payable invoices,rebates, levies payable, reports, Finance C+1 6 C+7 C+1 Y membership fees,and telephone bills. Department Includes, invoices,expenses, cheque requisition tal1V sheets.cheques. Records relating to banking matters. Includes, FI.01.02 Accounting-Banking bank deposits,letters of credit,statements, Finance C+1 6 C+7 C+1 Y Administrative Value reconcilliations,credit card usage, Department cancelled/lost/replaced&dishonored cheques. Records relating to taxation payments for the harmonized sales tax(HST)including declarations and supporting documentation. Includes HST credit. Includes records relating FI.01.03 Accounting-HST to other forms of tax and rebates. Excludes Finance C+1 6 C+7 C+1 Y Administrative Value Payments or Grants in lieu of taxes...see Department F1.73.11 for Taxation—Payments/Grants in Lieu of Taxes. Includes,prescribed payments system,diesel fuel excise rebates,sales tax exemptions. Records relating to investments. Includes,risk FI.01.04 Accounting-Investments assessments,dividends, bonds,feasibility Finance E+1 6 E+7 C+1 Y E=Closure of account studies,statements, reserve funds, reports, Department Administrative Value investments,trust funds, reviews,debentures. Legend: C - Creation Year; P - Permanent; S - Superseded; E - Event Required before calculating retention; Originator - Originated or acquired the record. Page 41 of 126 Municipal Records Retention Schedule Schedule"A"to By-law 2015-xxx Class Responsible inactive Series Function/Activity I Sub-Activity/Subject I Case Description Unit Active total Total Transitory Archival Remarks Records relating to loans issued or procured by the Municipality. Includes, loan agreements FI.01.05 Accounting-Loans (issued&procured), loan discharge,extension Finance E+1 6 E+7 C+1 Y E=End of fiscal year request,certificate of discharge,debenture Department Administrative Value loans statements. Records relating to reports regarding Finance F1.01.06 Accounting-Reporting accounting activities. Includes,financial Department C+2 P P C+1 Y statements. Records relating to the management of revenue. Includes hard copy and computer output equivalents and receipt of levies and monies collected on behalf of the Municipality. Includes the distribution of development fees and other fees collected by the Municipality. Excludes Payments or Grants in lieu of FI.01.07 Accounting-Revenues taxes...see FI.73.11 for Taxation— Finance C+1 6 C+7 C+1 Y Administrative Value Payments/Grants in Lieu of Taxes. Includes, Department debtors invoice,cash book&journals, batch reports,cashier rolls,approvals,cash analysis, sales tax records,cash register tapes, development charges,claims&payment vouchers(incl.petty cash),transaction reports, open space contribution fund, reports, receipts issued,rent payments,cheques. Records relating to the management of unclaimed monies including all background F1.01.08 Accounting nclaimed Monies information and records relating to deficiencies Finance g and losses. Includes recovery of unpaid fines. Department C+1 6 C+7 C+1 Y Administrative Value Includes, lists, reports,cheques, registers, notifications. The process of gaining ownership or use of F1.02 Acquisition property and other items required for the conduct of business through purchase or requisitions.Excludes legal advice. Records relating to equipment,supplies, Corporate Administrative Value E F1.02.03 Acquisition-Purchase Order uniforms,clothing and materials inventories. Services- E+1 6 E+7 C+1 Y =Date of purchase or Includes, purchase orders blanket orders. Purchasing abandonment Records relating to request sent to the Administrative Value E F1.02.04 Acquisition-Purchase Requisition purchasing division to procure goods or Originator E+1 6 E+7 C+1 Y =Date of purchase or services. Includes,purchase requisitions. abandonment Records relating to successful and Corporate E=Date of purchase or F1.02.05 Acquisition-Proposal unsuccessful proposals. Includes, proposals, Services- E+1 6 E+7 C+1 Y advertising. I Purchasina I abandonment Records relating to quotes submitted by Corporate F1.02.06 Acquisition-Quotation successful and unsuccessful quotations. Services- E+1 6 E+7 C+1 Y E=Date of purchase or Includes quotes/bids. Purchasing abandonment Legend: C - Creation Year; P - Permanent; S - Superseded; E - Event Required before calculating retention; Originator - Originated or acquired the record. Page 42 of 126 Municipal Records Retention Schedule Schedule"A"to By-law 2015-xxx Class Responsible Inactive Series Function!Activity Sub Activity 1 Subject/Case Description Unit Active total Total Transitory Archival Remarks Records relating to tenders. Includes,tenders, Corporate E=Date of purchase or FI.02.07 Acquisition-Tenders advertising. Services- E+1 6 E+7 C+1 Y abandonment Purchasing The activities associated with offering or F1.03 Advice seeking opinions.Includes the process of advising or being advised.Excludes legal advice. Records relating to advice concerning routine Finance FI.03.01 Advice-Operational operational matters. Includes, recommendation Department C+1 - C+1 C Y letter,circulars. Provision of high level advice,eg.To the Mayor,Chairperson or CAO, relating to Finance FI.03.02 Advice-High Level substantive aspect of municipal policies, Department C+1 4 C+5 C Y Administrative Value procedures,functions,obligations and liabilities. Includes, requests,responses. The activities associated with the pursuit of influencing outcomes on behalf of the F1.04 Advocating community where the Municipality acts as an advocate on issues of concern which may include political,economic,environmental or social issues that affect the community. Records that document interaction between the Finance FI.04.01 Advocating—Non-Significant Municipality and other bodies on non-significant Department C+1 - C+1 C N issues. Includes, requests, responses. Records relating to the interaction between the Municipality and other bodies on significant Finance F1.04.02 Advocating-Significant issues of public interest and debate,or of value Department C+1 9 C+10 C Y to the history of the Municipality. Includes, petitions,media clippings. The activities involved in the management of all F1.08 Asset Management assets owned by the Municipality.Includes fixed and non-fixed assets. FI.08.01 Asset Management-Fixed Asset Register Asset Register. Includes,inventories, registers. Finance S+1 6 S+7 C+1 Y Administrative Value Department Records relating to inventories of equipment, Finance FI.08.02 Asset Management-Non-Fixed Asset Inventory consumables and assets. Includes,inventories, Department S+1 1 S+2 C+1 Y stocktake. Legend: C - Creation Year; P - Permanent; S - Superseded; E - Event Required before calculating retention; Originator - Originated or acquired the record- Page 43 of 126 Municipal Records Retention Schedule Schedule"A"to By-law 2015-xxx Class Responsible Inactive Function I Activity I Sub-Activity I Subject I Case Description Active Total Transitory Archival Remarks Series Unit total Records relating to the management of entries into the Municipalities official asset register.. Includes records of modifications to and F1.08.03 Asset Management-Register Administration maintenance of the asset register including Finance E+1 6 E+7 C+1 y E=Disposal of asset acquisition,depreciations,valuation,disposal, Department etc. Includes,periodic system reports, remittance slips,depreciations,identification sheets,fleet forms. Regular or periodic systems reports relating to fixed assets and accountable items,including Finance FI.08.04 Asset Management-Reporting acquisition,depreciations,valuation,disposal, Department E+1 6 E+7 C+1 y E=Disposal of asset etc. Includes,machinery hire, plant costing details, insurance valuation reports. The activities involved with planning the use of F1.14 Budgeting expected income and expenditure over a period of time. Records relating to the formulation and FI.14.01 Budgeting-Administration administration of the budget including budget Finance C+1 19 C+20 C+1 y Administrative Value review documents. Includes, line items reports, Department variation sheets,budget comparisons. FI.14.02 Budgeting-Annual Budget Annual budget document. Includes, budget Finance C+1 19 C+20 C+1 y Administrative Value document. Department Estimates regarding new proposals or FI.14.03 Budgeting=Proposals programs where details,justification,and Originator C+1 6 C+7 C+1 y Administrative Value background is provided. Includes, budget proposal. FI.14.04 Budgeting-Facilitative Records Draft budget document and working papers. Originator C+1 6 C+7 C+1 y Administrative Value Includes,draft working papers. Legend: C - Creation Year; P - Permanent; S - Superseded; E - Event Required before calculating retention; Originator- Originated or acquired the record_ Page 44 of 126 Municipal Records Retention Schedule Schedule"A"to By-law 2015-xxx Class Responsible inactive Series Function/Activity/Sub=Activity l Subject 1 Case Description Unit Active total Total Transitory Archival Remarks The activities associated with complying with mandatory accountability,fiscal,legal, regulatory,operational or quality standards or requirements to which the Municipality is subject. Includes compliance with legislation FI.20 Compliance such as Environmental Protection Act, Municipal Act,Taxation Act,Financial Administration Act,Highway Traffic Act, Occupational Health and Safety Act, Fire Protection and Prevention Act,Municipal Freedom of Information and Protection of Priva v A Records relating to municipal compliance with mandatory requirements imposed by governing FI.20.01 Compliance—Requirement bodies. Includes proof of compliance with Finance S+1 6 S+7 C y Administrative Value internal and external standards,statutory and Department operational requirements. Includes,financial statements. Records relating to serious breaches of FI.20.02 Compliance-Breach compliance requirements that leads to major Finance E+1 1 E+2 C Y E=Remedy of breach public interest and debate or court action. Department or delivery of judgement Includes complaints notices. Records relating to the activities involved with examining a person,group,system,process, project or product in order to determine Finance FI.20.03 Compliance—Verification(Internal Audit) whether or not compliance with a regulation, Department C+1 6 C+7 C Y requirement,specification or imposed condition are being met. Includes,audit reports,audit trails. Records relating to the activities involved with being examined by a person,group,system, process,project or product in order to Finance FI.20.04 Compliance—Verification(External Audit) determine whether or not compliance with a Department C+1 P P C Y regulation, requirement,specification or imposed condition are being met. Includes, audit reports. Legend: C - Creation Year; P - Permanent; S - Superseded; E - Event Required before calculating retention; Originator - Originated or acquired the record_ Page 45 of 126 Municipal Records Retention Schedule Schedule"A"to By-law 2015-xxx Class Responsible Inactive Function/Activity/Sub-Acfiivity 1 Subject/Case Description Active Total Transitory Archival Remarks Series Unit total The activities involved in arranging,procuring FI.23 Contracting and managing the performance of work or the provision of goods and services by an external contractor or consultant. Records relating to the hiring and use of Corporate FI.23.01 Contracting-Major consultants,contractors and suppliers which Services— E+1 P P C Y E=Expiry of contract results in a major contract requiring a by-law for approval. Includes contracts. Purchasing Records relating to the hiring and use of FI.23.02 Contracting-Minor consultants,contractors and suppliers which Originator E+1 6 E+7 C Y E=Expiry of contract results in a minor contract as per the Purchasing By-law. Includes contracts. The activities associated with managing money,items,artefacts or property donated to the Municipality or by the Municipality and/or F1.30 Donations personnel to charities,etc.Includes managing unsolicited donations and charitable appeals. Also includes sponsorship-Municipal sponsorship to events and sponsorship received by the Municipality. Records relating to monetary donations given to or issued by the Municipality.Excludes E=Date donation was Grants See FI.39.02 Financial Management— Finance made or after the period FI.30.01 Donations-Monetary Grant Administration-Funding.Includes, Department E+1 6 E+7 C+2 Y a gift has expired notifications, reports,acknowledgments, Administrative Value register. The activities associated with the application for and receipt of grants and subsidies.This F1.39 Grant Administration includes financial assistance grants issued by the Local Government Grants Commission, and the Municipality's support for funding for individuals and community groups. Records relating to the administration of grants and subsidies issued by the Municipality.Also FI.39.01 Grant Administration-Expenditures includes records that document the progress of Finance C+1 6 C+7 C+1 Y Administrative Value grants and subsidies issued by the Municipality. Department Includes,advertisements/notices,selection criteria,schedules. Records relating to grants and subsidies received by the Municipality. Including those Finance FI.39.02 Grant Administration-Funding C+1 6 C+7 C+1 Y received for specific purposes. Includes, Department a plications approvals, returns,reports. Records relating to unsuccessful applications Finance FI.39.03 Grant Administration-Funding Unsuccessful by the Municipality. Includes,applications, Department C+1 6 C+7 C+1 Y Administrative Value decline/refusals reports. Legend: C - Creation Year; P -Permanent; S - Superseded; E - Event Required before calculating retention; Originator - Originated or acquired the record_ Page 46 of 126 Municipal Records Retention Schedule Schedule"A"to By-law 2015-xxx Glass Responsible ' inactive Function/Activity i Sub-Activity/Subject/Case Description Active Total Transitory Archival Remarks Series Unit total The process of taking out premiums to cover loss or damage to property or premises,and to 17I.42 Insurance cover customers,elected members and personnel against injury or death resulting from incidents on the Municipality's premises or during term of employment. Records relating to proof of insurance with third E=Superseded or FI.42.01 Insurance-Certificates party vendors/contractors,developments and Originator E+1 6 E+7 C+1 Y Expiry of contract events. Includes, insurance certificate. Records which provide evidence of the initiation,administration and resolution of E=Resolution of claim FIA2.02 Insurance-Claims Resolution insurance claims either by or against the Finance Department E+1 19 E+20 C+1 Y and all appeals Municipality. Includes,claims,advice, Administrative Value settlement evidence. Management of workers compensation insurance policies and levies covering municipal personnel against injury or death Corporate resulting from accidents or incidents whilst on Services— FI.42.03 Insurance-Personnel duty.Also includes records relating to income Human S+1 6 S+7 C+1 Y Administrative Value protection insurance policies taken out by the Resources Municipality to cover personnel. (Health,Group Life,AD&D, LTD.)Includes, policy documents, policy amendments,renewal certificates. Management of insurance policies covering clients or visitors against injury or death resulting from accidents or incidents on Finance E=Superseded or FI.42.04 Insurance-Liability municipal property. Includes, policy documents, Department E+1 P P C+1 Y Expiry of contract policy amendments,renewal certificates, insurance certificates. Management of insurance policies covering Finance FI.42.05 Insurance-Loss/Damage loss or damage to property. Includes, Department E+1 14 E+15 C+1 Y E=Expiry of policy appraisals. FI.45 Leasing The activities involved in leasing to or from another person or organization. Equipment,Vehicles and Real Property leasing documents including special leases,sub- leases, licences and other registered E=Disposal of documents. Includes supporting documentation Corporate equipment/vehicle/prope FI.45.01 Leasing-Equipment/Vehicles/Real Property and records relating to caravan park leases to Services- E+1 6 E+7 C+2 Y rty or termination of individual property holders. Includes, lease Purchasing lease documents, licences, lease registers, negotiation correspondence,supporting documents,agreements. Legend: C - Creation Year; P - Permanent; S - Superseded; E - Event Required before calculating retention; Originator- Originated or acquired the record. Page 47 of 126 Municipal Records Retention Schedule Schedule"A"to By-law 2015-xxx Class Responsible Inactive Series Function tActivity iSub-Activity/Subject 1 Case Description Unf Active total Total Transitory Archival Remarks The process of managing payment of salaries to personnel.This section excludes records FI.53 Payroll Administration required to calculate leave including long service leave entitlements.See HR.46-Human Resource Management—Leave. Corporate FI.53.01 Payroll-Attendance Reporting Records relating to personnel attendance. Services— C+1 1 C+2 C+1 y Payroll Municipality's copies of group certificates and Corporate FI.53.02 Payroll-Reporting(Certificates&Statements) personnel termination payment statements. Services— C+1 5 C+6 C+1 y Includes,group certificates,statements. Payroll Regular or periodic system reports relating to personnel salaries and entitlements,including Corporate FI.53.03 Payroll-Reporting(System Reports) progress reports on municipal liability.Includes, Services— C+1 5 C+6 C+1 y payroll journals,exeption forms,forecast of Payroll entitlements. Records relating to personnel salaries. Includes positions,substantive salaries,allowances, overtime,penalties,deductions,pension contributions, leave,adjustments,variations, etc.includes,labour&overtime,pay drafts, Corporate FI.53.04 Payroll-Personnel Salaries payroll bank deposit listings,payroll deduction Services— C+1 5 C+6 C+1 Y listings, payroll electronic fund transfer, Payroll standing data charges,payroll worksheets, pension contribution reports,year to date registers,taxation payments,income protection claim's and oavments. Legend: C - Creation Year; P - Permanent; S - Superseded; E - Event Required before calculating retention; Originator - Originated or acquired the record. Page 48 of 126 Municipal Records Retention Schedule Schedule"A"to By-law 2015-xxx Class I Responsible Inactive Function/Activity!Sub-Activity Subject I Case Description Active Total Transitory Remarks Series Unit total The process of handling public reaction to municipal policies,responsibilities or services. FI.59 Public Reaction Includes anonymous letters, letters of complaint and letters of congratulation or appreciation received from the public.This includes all customer action requests. FI.59.01 Public Reaction—General Records relating to public reaction. Includes, Finance C+1 1 C+2 C Y working papers. Department The processes associated with initiating or providing a formal response to a situation or request(either internal,external or as a requirement of corporate policies),and to FI.63 Reporting provide formal statements or findings of the results of their examination or investigation. Includes agenda,briefing,business,discussion papers,proposals, reports, reviews and returns. Records relating to the reporting of non- Finance FI.63.01 Reporting-Administrative Reporting significant programs,projects and events. Department C+1 6 C+7 C Y Administrative Value Includes, reports,daily statements. Records relating to the reporting of significant Municipal F1.63.02 Reporting-Committee&Council programs,projects and events. Includes, Clerk's C+1 P P C Y reports. Department Records relating to support documentation. Also includes surveys and questionnaires. Finance E=Final report FI.63.03 Reporting-Facilitative Records E+1 5 E+6 C Y completed Includes,working papers,supporting Department documentation surveys discussion papers. Administrative Value Legend: C - Creation Year; P - Permanent; S - Superseded; E - Event Required before calculating retention; Originator- Originated or acquired the record_ Page 49 of 126 Municipal Records Retention Schedule Schedule"A"to By-law 2015-xxx Class - Responsible Inactive Series Function/Activity/Sub-Activity i Subject I Case Description Unit Active total Total Transitory Archival Remarks The activities associated with all aspects of the management of a system of taxation based on FI.73 Taxation the value of land within the Municipality.This includes the setting,declaring and collection of rates and charges. Series of client files relative to Commercial, Industrial and Multi-residential(CIM)properties. FI.73.01 Taxation-Assessment Changes(Complex) Records include supporting documentation Finance C+1 6 C+7 C+2 Y Administrative Value regarding complex changes in assessment. Department Includes, notices,correspondence,supporting documents. Includes taxation records of long term F1.73.02 Taxation—Assessment&Collectors Rolls importance such as the actual assessment rolls Finance S P P C+2 Y and tax collector's rolls. Includes,assessment Department roll,collector's roll. Records relating to cancellation, reduction and refund of taxes.Records include S.354.356, 357,358,359 applications,write-offs,notices Taxation-Cancellation, Reduction and Refund"Write- of decision, hearings and reconsiderations, Finance FI.73.03 C+1 6 C+7 C+2 Y O 'Records apportionments relating to the process of Department ff assessment reductions and the relevant journal entry binders. Includes,summary reports, notifications.applications. Records relating to change of ownership of properties from MPAC and lawyers for incorporation into Assessment Rolls.Also Finance FI.73.04 Taxation-Change of Ownership/Mailing Address includes correspondence from owners advising Department C+1 6 C+7 C+2 Y of mailing address changes. Includes,transfer deeds,correspondence relating to change of ownership/address,sales listings. Records relating to all tax billing and any FI.73.05 Taxation-Tax Levies supporting documentation. Includes,tax billing Finance C+1 6 C+7 C+2 Y journals,supporting documents.Includes,tax Department billing journals,supporting docuements. Records relating to adjustments on tax accounts,tax certificates and supporting FI.73.06 Taxation—Tax Account Journals,Tax Certificates and documentation. Includes,balance adjustment Finance C+1 6 C+7 C+2 Y Tax Rebates journals,vacant unit rebate, charitable rebate, Department rent reductions,tax certificates,supporting documents. Legend: C - Creation Year; P - Permanent; S - Superseded; E - Event Required before calculating retention; Originator- Originated or acquired the record. Page 50 of 126 Municipal Records Retention Schedule Schedule"A"to By-law 2015-xxx Class Responsible Inactive. Function l Activity/Sub-Activity/Subject!Case Description Active Total Transitory Archival Remarks Series Unit total Records relating to local improvements indexing rates,correspondence and petitions for work.Records include project details,notice FI.73.07 Taxation-Local Improvements to taxpayers and listing of all assessment roll Finance C+1 9 C+10 C+2 Y numbers affected and the local improvement Department rolls. Includes, notices,assessment role number listings, local improvement roles, correspondence,supporting documents. Month-end reports generated regarding the Finance F1.73.08 Taxation-Month-end Reports and Penalty Journals Tax Payments including penalties,status of Department C+1 6 C+7 C+2 Y accounts in arrears and the A/R&GL reports. Records include correspondence and computer Finance F1.73.09 Taxation-Mortgages reports relating to mortgages and owners of Department C+1 6 C+7 C+2 y multiple properties. Records relating to those who make payments Taxation—Cash Receipts and Payment/Grants in Lieu or grants to the Municipality in lieu of taxes. Finance FI.73.10 of Taxes Department Includes,pre-authorized payment records, C+1 6 C+7 C+2 y payment journals,payment records,supporting documents. Records relating to assessment review, Finance FI.73.11 Taxation—Assessment Base Management analysis and pro-active appeals. Includes, Department C+1 6 C+7 C+2 Y w papers,supporting documents. Legend: C - Creation Year; P - Permanent; S - Superseded; E - Event Required before calculating retention; Originator- Originated or acquired the record. Page 51 of 126 Municipal Records Retention Schedule Schedule"A"to By-law 2015-xxx Class Responsible inactive Function I Activity I Sub-Activity!Subject I Case Description Active Total Transitory Archival Remarks Series Unit total Records relating to collection of tax arrears. Finance FI.73.12 Taxation—Collections Includes,correspondence, registration Department C+1 6 C+7 C+2 Y documents, bailiff warrants,arrears notices. Records relating to support documentation. FI.73.13 Taxation-Facilitative Records Also includes surveys and questionnaires. Finance C+1 1 C+2 C Y Includes,working papers,drafts,surveys, Department discussion papers. Legend: C - Creation Year; P - Permanent; S - Superseded; E - Event Required before calculating retention; Originator- Originated or acquired the record. Page 52 of 126 Municipal Records Retention Schedule Schedule"A"to By-law 2015-)oa Class Responsible Inactive Series Function!Activity 1Sub-Activity/Subject/Case Description Unit Active total Total Transitory Archival Remarks The function of acquiring,managing, maintaining and repairing and disposing of vehicles.Vehicles are any means of FL Fleet Management conveyance owned or used by the Municipality to transport people or items. Includes work vehicles not classed as Equipment& Consumables,(e.g.tractors,street sweepers, trucks,ride on mowers). The activities involved in arranging for the FL.11 Bookings usage, rental and loaning of facilities, equipment,fleet ands ace. FL.11.01 Bookings-Arrangements Arrangements for appointments. Includes, Operations C+1 - C+1 C N requests confirmations. Department Records relating to the use of municipal fleet (equipment requiring vehicle registration such FL.11.04 Bookings-Fleet as ride on mowers,wood chippers,trailers, Operations C+1 - C+1 C N boats,etc.)where the personnel is identified. Department This also includes the use of cars and trucks. Includes, registers,forms. Records relating to the improper use of Operations FL.11.05 Bookings-Misuse municipal facilities,equipment,fleet item, Department C+1 - C+1 C N space etc. Legend: C - Creation Year; P - Permanent; S - Superseded; E - Event Required before calculating retention; Originator- Originated or acquired the record_ Page 53 of 126 Municipal Records Retention Schedule Schedule"A"to By-law 2015-xxx Class Responsible Inactive Function/Activity!Sub-Activity!Subject 1 Case Description Active Total Transitory Archival Remarks Series Unit total The activities associated with complying with mandatory accountability,fiscal, legal, regulatory,operational or quality standards or requirements to which the Municipality is subject. Includes compliance with legislation FL.20 Compliance such as Environmental Protection Act, Municipal Act,Taxation Act,Financial Administration Act, Highway Traffic Act, Occupational Health and Safety Act,Fire Protection and Prevention Act,Municipal Freedom of Information and Protection of riv cv Act.etc. Records relating to Municipal compliance with mandatory requirements imposed by governing FL.20.01 Compliance—Requirement bodies. Includes proof of compliance with Originator S+1 6 S+7 C Y internal and external standards,statutory and operational requirements. Records relating to serious breaches of FL.20.02 Compliance-Breach compliance requirements that leads to major Originator E+1 1 E+2 C y E=Remedy of breach public interest and debate or court action. or delivery of judgement Includes com faints notices. Records relating to the activities involved with examining a person,group,system,process, project or product in order to determine FL.20.03 Compliance—Verification(Internal Audit) whether or not compliance with a regulation, Originator C+1 6 C+7 C y requirement,specification or imposed condition are being met. Includes,audit reports, surveillance/monitoring records. Legend: C - Creation Year; P - Permanent; S - Superseded; E - Event Required before calculating retention; Originator - Originated or acquired the record. Page 54 of 126 Municipal Records Retention Schedule Schedule"A"to By-law 2015-xxx Class Responsible Inactive Series Function/Activity/Sub-Activity l Subject/Case Description Unit A total 'Active Total Transitory Archival Remarks The activities involved in arranging,procuring FL.23 Contracting and managing the performance of work or the provision of goods and services by an external contractor or consultant. Records relating to the hiring and use of consultants,contractors and suppliers which results in a major contract. Major contracts are Corporate FL.23.01 Contracting-Major contracts of a significant nature in terms of Services- E+1 P P C Y E=Expiry of contract dollar value,major public interest and debate Purchasing or of value to the history of the Municipality. Includes,contracts. Records relating to the hiring and use of FL.23.02 Contracting-Minor consultants,contractors and suppliers which Originator E+1 6 E+7 C Y E=Expiry of contract results in a minor contract as per the Purchasing By-law. Includes contracts. The process of disposing of property and other items no longer required by the organization, by sale,transfer,termination of lease,auction FL.29 Disposal or destruction.Also includes destruction or transfer to archives,and the program of activities to facilitate the orderly transfer of inactive records from current office space into archival storage. Records relating to the disposal of vehicles Corporate controlled by the Municipality. Includes, E=Disposal of vehicle FL.29.05 Disposal-Vehicle expression of interest,auction list, returns, Services- C+1 6 C+7 C+1 Y Administrative Value schedules. Purchasing FL.49 Maintenance The activities associated with the upkeep, repair,servicin q of municipal vehicles. Records relating to the maintenance of FL.49.09 Maintenance-Vehicles municipal vehicles. Includes,maintenance Originator E+1 - E+1 C+1 Y E=Disposal of vehicle records, registers,service records, log books, fuel issues/consumption. The process of handling public reaction to municipal policies,responsibilities or services. FL.59 Public Reaction Includes anonymous letters, letters of complaint and letters of congratulation or appreciation received from the public.This includes all customer action requests. FL.59.01 Public Reaction—General Records relating to public reaction. Includes, Operations C+1 1 C+2 C Y 1working papers correspondence. Department Legend: C - Creation Year; P - Permanent; S - Superseded; E - Event.Required before calculating retention; Originator- Originated or acquired the record. Page 55 of 126 Municipal Records Retention Schedule Schedule"A"to By-law 2015-xxx Class Responsible Inactive. Series Function I Activity I Sub-Activity l Subject I Case Description Unit Active total Total Transitory A.rct ival Remarks The processes associated with initiating or providing a formal response to a situation or request(either internal,external or as a requirement of corporate policies),and to FL.63 Reporting provide formal statements or findings of the results of their examination or investigation. Includes agenda,briefing,business,discussion papers,proposals,reports,reviews and returns. Records relating to the reporting of non- Operations FL.63.01 Reporting-Administrative Reporting significant programs,projects and events. Department C+1 6 C+7 C Y Administrative Value Includes reports,daily statements. Records relating to support documentation. E=Final report FL.63.03 Reporting-Facilitative Records Also includes surveys and questionnaires. Operations E+1 5 E+6 C Y completed Includes,working papers,supporting Department Administrative Value documentation surveys,discussion papers. Legend: C - Creation Year; P - Permanent; S - Superseded; E.- Event Required before calculating retention; Originator - Originated or acquired the record. Page 56 of 126 Municipal Records Retention Schedule Schedule"A"to By-law 2015-xxx Class Responsible Inactive Series - Unit Function/Activity/Sub-Activity 1 Subject/Case Description Active total Total Transitory Archival Remarks The function of administering the formal relationship between the Municipality and those processes of government not covered by other general administrative or functional keywords. Includes the Municipality's relationship with GR Government Relations(GR) Ministers and Members of Parliament and the political processes of Government,liaison with bodies carrying out investigations such as the Ombudsman and relationships with other Local,Provincial,Federal or overseas aov rnm n The activities associated with offering or GR.03 Advice seeking opinions. Includes the process of advising or being advised.Excludes legal advice. Records relating to advice concerning routine Communicatio GR.03.01 Advice-Operational operational matters. Includes,recommendation ns&Tourism C+1 - C+1 C y letter,circulars. Division Provision of high level advice,eg.To the Mayor,Chairperson or CAO,relating to Communicatio GR.03.02 Advice-High Level substantive aspect of municipal policies, ns&Tourism C+1 4 C+5 C y Administrative Value procedures,functions, obligations and Division liabilities. Includes requests,responses. The activities associated with the pursuit of influencing outcomes on behalf of the GR.04 Advocating community where the Municipality acts as an advocate on issues of concern which may, include political,economic,environmental or social issues that affect the community. Records that document interaction between the Municipal GR.04.01 Advocating—Non-Significant Municipality and other bodies on non-significant Clerk's C+1 - C+1 C N issues. Includes, requests, responses. Department Records relating to the interaction between the Municipality and other bodies on significant issues of public interest and debate,or of value Municipal GR.04.02 Advocating-Significant to the history of the Municipality. Includes final Clerk's C+1 9 C+10 C Y versions of motions and resolutions of other Department municipalities. Includes,petitions,media clippings,motions/resolutions(other municipalities) Legend: C - Creation Year; P - Permanent; S - Superseded; E - Event required before calculating retention; Originator- Originated or acquired the record- Page 57 of 126 Municipal Records Retention Schedule Schedule"A"to By-law 2015->oa Class Responsible Inactive Function/Activity!Sub-Activity/Subject i Case Description Active Total Transitory Archival Remarks Series Unit total The process of planning,managing, coordinating,assessing promoting and reporting on an event.Events include ceremonies,celebrations,conferences and GR.37 Event Management functions.This includes events organised by the Municipality and the processes associated with approval and promotion of events held in the Municipal area.This relates to events managed by the Municipality and includes civic receptions and Mayoral Gala Performances. Records relating to the consolidated GR.37.03 Event Management-Non-significant documentation of non-significant events. Originator C+1 1 C+2 C+1 Y Includes fairs parades,photographs. Records relating to the consolidated documentation of significant events. Includes, GR.37.04 Event Management—Significant final reports,speeches, promotional material, Originator C+1 P P C+1 Y Administrative Value invitations,photographs,filming, candidates lists. Records relating to promotional material of Communicatio GR.37.05 Event Management—Promotion other organization's events. Includes, ns&Tourism C+1 1 C+2 C+1 Y promotional material. Division Legend: C - Creation Year; P - Permanent; S - Superseded; E - Event Required before calculating retention; Originator- Originated or acquired the record. Page 58 of 126 Municipal Records Retention Schedule Schedule"A"to By-law 2015-> a Class Responsible Inactive Series Function!Activity/Sub-Activity t Subject I Case Description Unit Active total Total Transitory Archival Remarks Activities associated with preparing and GR.40 Greetings sending letters of appreciation or thanks, condolences or introductions. Includes mailing lists. GR.40.01 Greetings-Mailing List Address list for sending greetings. Includes, Originator S - S C Y listing. Records relating to the preparation and GRA0.02 Greetings-Non-significant sending of all other greetings.Also includes Originator C+1 - C+1 C Y greetings received bV the Municipality. Records relating to the preparation and GR.40.03 Greetings-Significant(High Profile) sending of greetings relating to high profile and Originator C+1 3 C+4 C+1 Y significant events and people.Also includes greetings received by the Municipality. The activities associated with liaising with bodies carrying out inquiries,and participating in them. Inquiries are investigations carried out by persons or bodies that have been GRAI Inquiries empowered to inquire and report on a subject, such as Royal Commissions,Parliamentary and Ombudsman's inquiries.Includes the Municipality's participation in the inquiry by providing evidence in the form of records, submissions or personnel. Records relating to inquiries, including GR.41.01 Inquiries-General recommendations. Includes, requests, Originator C+1 6 C+7 C+1 Y Administrative Value investigations notifications responses. Copies of reports of Commissions and Inquiries GR.41.02 Inquiries-Resources kept for information purposes. Includes, Originator C+1 6 C+7 C+1 N reports. Legend: C - Creation Year; P - Permanent; S - Superseded; E - Event Required before calculating retention; Originator- Originated or acquired the record. Page 59 of 126 Municipal Records Retention Schedule Schedule"A"to By-law 2015-xxx Class Responsible Inactive Function/Activity/Sub-Activity/Subject i Case. Description Active. Total Transitory Archival Remarks Series Unit total The process of handling public reaction to municipal policies, responsibilities or services. GR.59 Public Reaction Includes anonymous letters,letters of complaint and letters of congratulation or appreciation received from the public.This includes all customer action requests. GR.59.01 Public Reaction—General Records relating to public reaction. Includes, Originator C+1 1 C+2 C Y workinq papers. The processes associated with initiating or providing a formal response to a situation or request(either internal,external or as a requirement of corporate policies),and to GR.63 Reporting provide formal statements or findings of the results of their examination or investigation. Includes agenda,briefing,business,discussion papers,proposals,reports,reviews and returns. Records relating to.the reporting of non- Communicatio GR.63.01 Reporting-Administrative Reporting significant programs,projects and events. ns&Tourism C+1 6 C+7 C Y Administrative Value Includes, reports,daily statements. Division Records relating to the reporting of significant Municipal GR.63.02 Reporting-Committee&Council programs,projects and events. Includes, Clerks C+1 P P C Y reports. Department Records relating to support documentation. Communicatio E=Final report GR.63.03 Reporting-Facilitative Records Also includes surveys and questionnaires. ns&Tourism E+1 5 E+6 C Y completed Includes,working papers,supporting documentation surveys discussion papers. Division Administrative Value Legend: C - Creation Year; P - Permanent; S - Superseded; E - Event Required before calculating retention; Originator - Originated or acquired the record. Page 60 of 126 Municipal Records Retention Schedule Schedule"A"to By-law 2015-xxx Class Responsible Inactive Function/Activity/'Sub-Activity/Subject i Case Description Active" Total Transitory Archival Remarks Series Unit total The function of recruiting,managing,training and providing for municipal personnel. Personnel include permanent,contract, temporary and part-time,trainees,apprentices, HR Human Resources(HR) scholarships,job creation scheme participants and volunteers.Includes recruitment,hours of work,occupational health safety and welfare, industrial relations,position descriptions, pay equity,etc. The activities associated with offering or HR.03 Advice seeking opinions. Includes the process of advising or being advised.Excludes legal advice. Records relating to advice concerning routine Human HR.03.01 Advice-Operational operational matters. Includes, recommendation Resources C+1 24 C+25 C Y letter,circulars. Provision of high level advice,eg.To the Mayor,Chairperson or CAO, relating to Human HR.03.02 Advice-High Level substantive aspect of municipal policies, Resources C+1 4 C+5 C Y Administrative Value procedures,functions,obligations and liabilities. Includes, requests responses. The activities associated with the pursuit of influencing outcomes on behalf of the HR.04 I Advocating community where the Municipality acts as an advocate on issues of concern which may include political,economic,environmental or social issues that affect the community. Records that document interaction between the Human HR.04.01 Advocating—Non-Significant Municipality and other bodies on non-significant Resources C+1 - C+1 C N issues. Includes, requests, responses. Records relating to the interaction between the Municipality and other bodies on significant Human HR.04.02 Advocating-Significant issues of public interest and debate,or of value C+1 9 C+10 C Y to the history of the Municipality. Includes, Resources petitions,media clippings. Legend: C - Creation Year; P - Permanent; S - Superseded; E - Event Required before calculating retention; Originator- Originated or acquired the record. Page 61 of 126 Municipal Records Retention Schedule Schedule"A"to By-law 2015-> a Glass Responsible Inactive Function/Activity 1 Sub-Activity t Subject/Case Description Active Total Transitory Archival Remarks Series Unit total The activities of providing compensation to personnel injured during working hours or on municipal premises. Includes Volunteers.Also HR.19 Compensation includes return to work of injured workers. See LS.47.04&LS.47.05 LEGAL SERVICES— Litigation Dispute Resolution—Claim Resolution for compensation claims by members of the ublic. Municipal records relating to personnel Human HR.19.01 Compensation-Benefits benefits. Includes,correspondence,supporting S 7 S+7 C+1 Y Administrative Value documentation. Resources Management of claims under the Workplace Safety Insurance Board(WSIB). Includes incident reports,medical reports,advice, Human E=Cessation of HR.19.02 Compensation-Claims(WSIB) E+1 49 E+50 C+1 Y employment appeals, litigation, payments and other Resources information related to the case. Includes, Administrative Value claims supporting documentation. Municipal records relating to Workplace Safety E=Cessation of Insurance Board(WSIB), relating to specific Human HR.19.03 Compensation-Appeals(WSIB) compensation cases. Includes,appeals, Resources E+1 49 E+50 C+1 Y employment Administrative Value cumentation. _ HR.19.04 Compensation-WSIB Register(WSIB) Register of Workplace Safety Insurance Board Human S - S+7 C+5 Y (WSIB).Includes, register. I Resources Legend: C - Creation Year; P - Permanent; S - Superseded; E - Event.Required before calculating retention; Originator - Originated or acquired the record. Page 62 of 126 Municipal Records Retention Schedule Schedule"A"to By-law 2015-xxx Class Responsible Inactive Series Unit total Function/Activity I Sub-Activity/Subject/Case Description Active Total 'Transitory Archival Remarks The activities associated with complying with mandatory accountability,fiscal,legal, regulatory,operational or quality standards or requirements to which the Municipality is subject Includes compliance with legislation HR.20 Compliance such as Environmental Protection Act, Municipal Act,Taxation Act, Financial Administration Act,Highway Traffic Act, Occupational Health and Safety Act, Fire Protection and Prevention Act,Municipal Freedom of Information and Protection of Privacv Act.etc. Records relating to municipal compliance with mandatory requirements imposed by governing bodies. Includes proof of compliance with internal and external standards,statutory and operational requirements.Management of complaints,accidents and injuries by staff Human HR.20.01 Compliance—Requirement about OH&S matters affecting them personally. Resources S 7 S+7 C Y Includes objections to undertaking hazardous Department duties and/or working in an unsafe or unhealthy environment. Including Asbestos related complaints. Includes, hazard reports, injury reports,complaints, material safety data sheets,accident reports. Records relating to serious breaches of Human HR.20.02 Compliance-Breach compliance requirements that leads to major Resources E+1 1 E+2 C Y E=Remedy of breach public interest and debate or court action. Department or deiivery of judgement Includes complaints, notices. Records relating to the activities involved with examining a person,group,system,process, project or product in order to determine Human HR.20.03 Compliance—Verification(Internal Audit) whether or not compliance with a regulation, Resources C+1 6 C+7 C Y requirement,specification or imposed condition Department are being met. Includes,audit reports, surveillance/monitoring records. Legend: C - Creation Year; P - Permanent; S - Superseded; E - Event Required before calculating retention; Originator - Originated or acquired the record_ Page 63 of 126 Municipal Records Retention Schedule Schedule"A"to By-law 2015-xxx Class Responsible Inactive Function/Activity 1 Sub Activity i Subject!Case Description Active Total Transitory Archival Remarks Series Unit total The activities involved in arranging,procuring HR.23 Contracting and managing the performance of work or the provision of goods and services by an external contractor or consultant. Records relating to the hiring and use of consultants, contractors and suppliers which results in a major contract.Major contracts are Corporate HR.23.01 Contracting-Major contracts of a significant nature in terms of Services- E+1 P P C Y E=Expiry of contract dollar value, major public interest and debate Purchasing or of value to the history of the Municipality. Includes contracts. Records relating to the hiring and use of HR.23.02 Contracting-Minor consultants,contractors and suppliers which Originator E+1 6 E+7 C y E=Expiry of contract results in a minor contract as per the Purchasin B -law. Includes, contracts. The activities and actions associated with the HR.28 Discipline discipline process. Includes investigations, charges,formal inquiries,disciplinary measures and appeals. Records relating to cases where personnel are E=Cessation of formally disciplined. Includes records relating to Human employment or removed HR.28.01 Discipline-Action internal inquiries and ongoing disciplinary Resources E+1 14 E+15 C+2 y upon agreement with action. Includes appeals. Includes,case files, employee in conjunction reports,appeals,investigations. with Union Agreement Records relating to work-related criminal Human E=Cessation of HR.28.02 Discipline—Criminal Conviction convictions of personnel. Includes,copy of E+1 49 E+50 C+2 y employment court files csae files. Resources Administrative Value Records relating to cases where no action is Human E=Cessation of HR.28.03 Discipline-No action taken. Includes,case files, reports, E - E C y employment investigations. Resources Administrative Value The activities associated with managing the HR.35 Employment Conditions general conditions of employment for personnel. HR.35.01 Employment Conditions-Clothing Allowance Records relating to corporate wardrobe. Originator C+1 4 C+5 C+1 N Administrative Value Includes,authorization, reimbursement claims. Legend: C - Creation Year; P - Permanent; S - Superseded; E - Event Required before calculating retention; Originator- Originated or acquired the record_ Page 64 of 126 Municipal Records Retention Schedule Schedule"A"to By-law 2015-xxx Class Responsible Inactive Series Function/Activity 1 Sub-Activity i Subject/Case Description Unit Active total Total Transitory Archival Remarks The activity of establishing formal relations with municipal personnel and their representatives to achieve a harmonious workplace.Includes negotiations conducted to obtain HR.44 Labour Relations determinations,agreements or awards; Industrial disputes settled within the Municipality or by an external arbitrator,and Reports on the state of industrial relations within the Munici alit . Records relating to negotiation and Human implementation of Collective Agreements. E=Expiry of contract HR.44.01 Labour Relations-Collective Agreement Includes,agreements,memoranda of Resources E+15 P P C+2 Y Administrative Value understanding to roll over agreement. Department Records relating to disputes and/or grievances. Human E=Resolution of dispute HR.44.02 Labour Relations-Disputes Includes,requests, responses. Resources E 35 E+35 C+2 Y or grievances Department Working papers and reference copies of Human HR.44.03 Labour Relations-Negotiations material accumulated during the bargaining Resources S+10 25 S+35 C+1 Y Administrative Value process. Includes, proposals,draft agreements. Department Records relating to personnel precedence in rank by reason of a longer span of service. Human HR.44.04 Labour Relations-Seniority Lists Resources S+3 - S+3 C+1 Y Includes records such as seniority lists. Department Includes,seniority list. The process of administering leave for which HR.46 Leave personnel are eligible. Includes unauthorised leave taken bV personnel. Records relating to the application,granting and refusal for leave.Includes leave Human E=Cessation of entitlements such as the calculation of leave HR.46.01 Leave-Administration Resources E+1 9 E+10 C+2 Y employment and long service leave. Includes,applications, Department Administrative Value approvals,refusals,medical certificates, schedule of leave. Legend: C - Creation Year; P - Permanent; S - Superseded; E - Event Required before calculating retention; Originator - Originated or acquired the record. Page 65 of 126 Municipal Records Retention Schedule Schedule"A"to By-law 2015-xxx Class - Responsible Inactive Series Function t Activity/Sub-Activity 1 Subject/,Case Description Unit Active total Total Transitory Archival Remarks The activities involved in maintaining,personal information about personnel and volunteers for HR.54 Personnel Management a range of personnel management functions. This includes police checks and security classification of Personnel. Records relating to criminal reference checks Human E=Cessation of HR.54.01 Personnel Management-Criminal Reference of personnel. Includes,criminal reference Resources E - E C Y employment checks. Department Records relating o driver's abstract of Human HR.54.02 Personnel Management-Drivers Abstract g Resources E - E C Y E=Cessation of personnel. Includes, MTO drive abstract. Department employment Personnel files. Includes apprentices,trainees and volunteers. Includes,position description, study leave,approvals,qualifications,social insuance number,awards,emergency contacts,contract of employment,training courses certificates,attendance summaries, Human E=Cessation of HR.54.03 Personnel Management-Employment honours&awards, interview questions,identity Resources E+1 49 E+50 C+2 y employment checks,application for employment, Department Administrative Value classification,progress reports,approvals relating to employment conditions, resignation, appointment reasignment approvals,financial assistance applicaitons,assessments and results,current address,next of kin telephone number,exit interview. Records relating to the use of equipment where E=Cessation of HR.54.04 Personnel Management-Equipment Use the personnel is identified. Includes, usage Originator E+1 49 E+50 C+2 y employment sheets forms,schedules. Administrative Value Records relating to job classification related to Human HR.54.05 Personnel Management-Job classifications our organization. Includes organizational Resources S 35 S+35 C+5 Y charts. Includes,job descriptions, Department organization I charts. Records relating to medical records of Human HR.54.06 Personnel Management-Medical personnel. Includes,medical forms,function Resources E+2 48 E+50 C+2 y E=Cessation of e abilities,modified work plans. Department employment Records relating to our pensioners. Includes, Human E=Expiration of HR.54.07 Personnel Management-Pension usage sheets,forms,schedules. Resources E+1 6 E+7 C+1 y retirement benefits for a Department retiree or spouse Records relating to performance assessment of E=Cessation of HR.54.08 Personnel Management-Performance Management individuals. Includes,performance Originator E+1 2 E+3 C+2 y employment appraisal/review. Includes overtime,working hours,etc.Also includes management of redeployment HR.54.09 Personnel Management-Scheduling programs,attendance&scheduling,and Originator C+1 1 C+2 C+1 y conditions of flexi-time. Includes, memos,O/T lists schedules call-out-lists. Legend: C - Creation Year; P - Permanent; S - Superseded; E - Event Required before calculating retention; Originator - Originated or acquired the record_ Page 66 of 126 Municipal Records Retention Schedule Schedule"A"to By-law 2015-xxx Class Responsible Inactive Series Uni Function J Activity I Sub-Activity I Subject I Case Description t total Active Total Transitory Archival Remarks The process of handling public reaction to municipal policies, responsibilities or services. HR.59 Public Reaction Includes anonymous letters, letters of complaint and letters of congratulation or appreciation received from the public.This includes all customer action requests. HR.59.01 Public Reaction—General Records relating to public reaction. Includes, Human C+1 9 C+10 C Y workinq papers. Resources The process of recruiting which includes applying for approvals to fill existing vacancies, the advertising of vacant positions and the HR.61 Recruitment handling of applications,interviews,selection, culling and appointment,includes trainees and volunteers.Note:Successful job applications to be filed in the personnel employment file.See HR.54.03 Personnel Mgmt"-Employment E=Close of competition Records relating to the selection process. Note:Successful job Includes establishment of selection panel, Human applications to be filed HR.61.01 Recruitment-Selection Process(Unsuccessful) interview notes,and test results. Includes, Resources E+1 - E+1 C+1 Y within the personnel file. interviews, reference cheques,appointments, Department See HR.54.03— selection criteria,intervew questions. Personnel Management (Employment) Unsolicited job applications. Includes, Human HR.61.02 Recruitment-Unsolicited Applications applications. Resources C+1 - C+1 C N Department Includes all job postings and approvals. Human HR.61.03 Recruitment—Job Postings&Approvals Includes,approvals,advertisements,job Resources E+1 9 E+10 C+1 Y E=Close of competition postings. Department The processes associated with initiating or providing a formal response to a situation or request(either internal,external or as a requirement of corporate policies),and to HR.63 Reporting provide formal statements or findings of the results of their examination or investigation. Includes agenda, briefing,business,discussion papers,proposals,reports, reviews and returns. Records relating to the reporting of non- Human HR.63.01 Reporting-Administrative Reporting significant programs,projects and events. Resources C+1 6 C+7 C Y Includes, reports,daily statements. Records relating to the reporting of significant Municipal HR.63.02 Reporting-Committee&Council programs,projects and events. Includes, Clerk's C+1 P P C Y reports. Department Legend: C - Creation Year; P - Permanent; S - Superseded; E - Event Required before calculating retention; Originator- Originated or acquired the record" Page 67 of 126 Municipal Records Retention Schedule Schedule"A"to By-law 2015-xxx Class - Responsible Inactive Function/Activity/Sub-Activity/Subject/Case Description Active 'Total Transitory Archival Remarks Series Unit total Records relating to support documentation. Also includes surveys and questionnaires. Human E=Final report HR.63.03 Reporting-Facilitative Records Includes,working papers,supporting Resources E+1 5 E+6 C Y completed documentation,surveys,discussion papers. Records relating to support documentation. HR.63.04 Reporting-Liability Also includes incidents and accidents. Human E+2 48 E+50 C+5 Y E=Date of Includes,incident reports,supporting Resources incident/accident documentation,statistics,discussion papers. The activity of encouraging staff or volunteers to develop their skills and abilities(through activities,programs and events)to maximise their potential and increase their productivity. Includes identifying and implementing all HR.68 Staff Development aspects of training needs and programs (internal and external)available to staff. Includes the process of promotion by the Municipality of programs,which encourage the establishment,and maintenance of a healthy work environment. Records relating to arrangements for staff training, including transport,programs, HR.68.01 Staff Development-Arrangements authorizations,entitlements, hire of equipment, Originator C+1 4 C+5 C+1 N catering, rosters etc. Records relating to invitations,approvals, notes on proceedings,and other records regarding HR.68.02 Staff Development—Conferences&Seminars conferences,seminars and special functions Originator C+1 - C+1 C N attended by staff.Includes, programs, re istration. Records relating to the promotion of safe work HR.68.03 Staff Development-Promotion practices arranged by or for the Municipality. Originator C+5 - C+5 C+1 N Includes,manuals, instructions, notices. - Register of training,including OHS training HR.68.04 Staff Development—Registers arranged by or for the Municipality. Includes, Originator S 2 S+2 C+1 Y traininq re ister OHS training register. Records relating to the development and delivery of course material for training municipal staff or volunteers.This includes the HR.68.05 Staff Development-Training final version of the course to be delivered. Originator S+1 1 S+2 C+1 Includes courses conducted by the Municipality or external consultants. Includes,training manuals, handouts,presentation material. Legend: C - Creation Year; P - Permanent; S - Superseded; E - Event Required before calculating retention; Originator- Originated or acquired the record. Page 68 of 126 Municipal Records Retention Schedule Schedule"A"to By-law 2015-xxx Class Responsible Inactive Series f=unction t Activity l Sub-Activity J Subject l Case Description Unit Active total. Total Transitory Archival Remarks Records relating to the provision of training and induction programs to municipal staff, contractors or volunteers on OH&S matters. HR.68.06 Staff Development—Training(Health&Safety) Includes hazard awareness training relevant to Originator C+2 48 C+50 C+1 specific workplace conditions.Also includes training for managers on their OH&S responsibilities. Includes,training manuals, handouts.presentation material. Legend: C - Creation Year; P - Permanent; S - Superseded; E - Event required before calculating retention; Originator - Originated or acquired the record_ Page 69 of 126 Municipal Records Retention Schedule Schedule"A"to By-law 2015-xxx Class Responsible Inactive Series Function/Activity i Sub-Activity!Subject/Case Description Unit Active total Total Transitory Archival Remarks The function of managing the Municipality's information resources and assets. Includes creating,capturing,registering*classifying, indexing,storing,retrieving and disposing of records and developing strategies to manage records.Also includes the acquisition,control and disposal of corporate library and other IM Information Management(IM) information products,items kept for reference purposes and the provision of service to internal and external customers,based on information resources.Data administration, archival records and the handling of Municipal Freedom of Information and Protection of Privacy(MFIPPA)requests are also classified under this function. The activities associated with offering or IM.03 Advice seeking opinions. Includes the process of advising or being advised.Excludes legal advice. Records relating to advice that is formed or Municipal IM.03.03 Advice—Ad-hoc used for specific or immediate problems or Clerk's C+1 - C+1 C Y needs. Includes,recommendation letter, correspondence. Department The activities associated with the pursuit of influencing outcomes on behalf of the IM.04 Advocating community where the Municipality acts as an advocate on issues of concern which may include political,economic,environmental or social issues that affect the community. Records that document interaction between the Municipal IM.04.01 Advocating—Non-Significant Municipality and other bodies on non-significant Clerk's C+1 - C+1 C N issues. Includes, requests, responses. Department Records relating to the interaction between the Municipality and other bodies on significant Municipal IM.04.02 Advocating-Significant issues of public interest and debate,or of value Clerk's C+1 9 C+10 C Y to the history of the Municipality. Includes, Department petitions,media clippings. Legend: C - Creation Year; P - Permanent; S - Superseded; E - Event Required before calculating retention; Originator- Originated or acquired the record_ Page 70 of 126 Municipal Records Retention Schedule Schedule"A"to By-law 2015-xxx Class Responsible Inactive Series Function(Activity 1 Sub-Activity/Subject i Case Description unit Active total Total Transitory Archival Remarks The activities associated with examining and evaluating something in existence in order to IM.06 Analysis develop an informed understanding that will provide the basis for identifying problems and recommend solutions. Working copies of records relating to systematic examination and evaluation of corporate information along with the users and business processes involved. Includes Municipal IM.06.01 Analysis—Facilitative Records activities related to identifying strengths, Clerk's E+1 - E+1 C+1 Y E=Final report weaknesses,opportunities,and risks Department completed associated with our information, users and business processes. Includes,drafts, correspondence, reference information, suDDortina documentation. Records relating to the activities involved in analyzing how and when information is created, used and shared in the various business processes and for what purpose. Includes activities related to identifying strengths, Municipal IM.06.02 Analysis—Information weaknesses,opportunities,and risks Clerk's C+1 14 C+15 C+2 y associated with our information, users and Department current business processes. See IM.24.02— Control for revised/streamlined business process maps. Includes, record inventories, completed surveys,business process maps (current process),findings&recommendations. Legend: C - Creation Year; P - Permanent; S - Superseded; E - Event Required before calculating retention; Originator - Originated or acquired the record. Page 71 of 126 Municipal Records Retention Schedule Schedule"A"to By-law 2015-xxx Class Series Function!Activity 1 Sub-Activity I Subject!Case pescription unit Active total Total .Transitory Archival Remarks The activities associated with capturing IM.16 Capture information through forms and e-documents for a greater municipal business purpose. Working records relating to the creation, design, usage and revision of tools used to capture information such as paper forms,e- IM.16.01 Capture—Facilitative Records documents. Excludes corporate branding Originator C+1 - C+1 C N activities.See CG.13-Branding for branding standards on forms and e-documents. Includes,correspondence,requests,drafts. Final templates of tools used to capture information such as paper and electronic forms. Excludes corporate branding activities.See IM.16.02 Capture—Forms/Templates CG.13-Branding for branding standards on Originator S 1 S+1 C+1 N forms and e-documents. Excludes Metadata templates,see TC.72.03—System Administration(Installation&Configuration). Includes,templates. Legend: C - Creation Year; P - Permanent; S - Superseded; E - Event required before calculating retention; Originator - Originated or acquired the record. Page 72 of 126 Municipal Records Retention Schedule Schedule"A"to By-law 2015-xxx Class - Responsible Inactive Series Function!Activity/Sub-Activity I Subject I Case Description Unit Active total Total Transitory Archival Remarks The activities associated with complying with mandatory accountability,fiscal, legal, regulatory,operational or quality standards or requirements to which the Municipality is subject. Includes compliance with legislation IM.20 Compliance such as Environmental Protection Act, Municipal Act,Taxation Act, Financial Administration Act, Highway Traffic Act, Occupational Health and Safety Act,Fire Protection and Prevention Act,Municipal Freedom of Information and Protection of Privacv Act.etc. Records relating to Municipal compliance with mandatory requirements imposed by governing Municipal IM.20.01 Compliance—Requirement bodies. Includes proof of compliance with Clerk's S 7 S+7 C Y internal and external standards,statutory and Department operational requirements. Includes,PIB, [PC orders. Records relating to serious breaches of Municipal IM.20.02 Compliance—Breach compliance requirements that leads to major E=Remedy of breach p public interest and debate or court action. Clerk's E+1 1 E+2 C Y or delivery of judgement Includes,complaints notices. Department Records relating to the activities involved with examining a person,group,system,process, project or product in order to determine Municipal IM.20.03 Compliance—Verification(Internal Audit) whether or not compliance with a regulation, Clerk's C+1 6 C+7 C Y requirement,specification or imposed condition Department are being met. Includes,audit reports,audit trails. Records relating to the activities involved with being examined by a person,group,system, process,project or product in order to IM.20.04 Compliance—Verification(External Audit) determine whether or not compliance with a Originator C+1 P P C Y regulation, requirement,specification or imposed condition are being met. Includes, audit reports. The activities involved in the preservation, IM.21 Conservation protection,maintenance, restoration and enhancement of property, information resources and artefacts. Records relating to the preservation of records and other information resources.Also includes Municipal IM.21.06 Conservation-Information the identification of vital records.See IM.64- Clerk's S 2 S+2 C Y Risk Management for risk management plans Department such as disaster recovery plans and vital records plan.Includes,action plans, registers. Legend: C - Creation Year, P - Permanent; S - Superseded; E - Event Required before calculating retention; Originator- Originated or acquired the record. Page 73 of 126 Municipal Records Retention Schedule Schedule"A"to By-law 2015-xxx Class Respansibie Inactive Series Function/Activity!Sub-Activity C Subject 1 Case Description Unit Active fatal Total Transitory Archival Remarks The activities involved in arranging,procuring IM.23 Contracting and managing the performance of work or the E Expiry of contract provision of goods and services by an external contractor or consultant. Records relating to the hiring and use of consultants,contractors and suppliers which results in a major contract.Major contracts are Corporate IM.23.01 Contracting-Major contracts of a significant nature in terms of Services- E+1 P P C Y dollar value,major public interest and debate Purchasing or of value to the history of the Municipality. Includes contracts. Records relating to the hiring and use of IM.23.02 Contracting inor consultants,contractors and suppliers which g results in a minor contract as per the Originator E+1 6 E+7 C Y E=Expiry of contract Purchasing BV-law. Includes contracts. Legend: C - Creation Year; P - Permanent; S - Superseded; E - Event Required before calculating retention; Originator - Originated or acquired the record- Page 74 of 126 Municipal Records Retention Schedule Schedule"A"to By-law 2015-xxx Class Responsible Inactive Series Function!Activity/Sub-Activity/Subject i Case Description Unit Active ,total Tatar- Transitory Archival Remarks The activities associated with creating, maintaining and evaluating control systems and IM.24 Control processes. Includes classification, preservation,indexing,registration,protection, maintenance and tracking to ensure maximum control over corporate information. Records relating to the activities involved with municipal records registration,and details of disposal. Includes registers and indices giving details of metadata, including classification codes,descriptions,transfer and destruction Municipal IM.24.01 Control—Information Register dates,etc.Also includes the identification of Clerk's S 10 S+10 C Y vital records. See IM.64-Risk Management Department for risk management plans such as disaster recovery plans and vital records plan. Includes, files plans,corporate classification scheme& retention schedule. Records relating to the activities involved in controlling a work object(document,file or tag) or data set through a defined process of work steps. Includes records that define rules(how an object must be processed), routes(where Municipal IM.24.02 Control—Business Process Maps(Workflow) an object must go),and roles(who can process Clerk's S 2 S+2 C Y a work task and under what transactional Department conditions). See IM.06.02—Analysis (Information)for records relating to the preliminary analysis of business processes. Includes,business process maps (streamlined). Records relating to the activities involved in controlling the Municipality's intellectual property,both published and unpublished. Includes copyright,patents and trademarks, Municipal E=Expiry of IM.24.03 Control—Intellectual Property and matters of confidentiality such as trade p y secrets,which are not available to the public Clerk's E 10 E+10 C Y copyright/patent/tradema Department rk under Freedom of Information(1701)legislation. Also includes infringements of the Municipality's intellectual property. Includes, coovri ht.patent.trademark. Legend: C - Creation Year; P - Permanent; S - Superseded; E - Event Required before calculating retention; Originator - Originated or acquired the record. Page 75 of 126 Municipal Records Retention Schedule Schedule"A"to By-law 2015-xxx Class Responsible Inactive Series Function/Activity/Sub-Activity 1 Subject 1 Case Description Unit Active total Total Transitory Archival Remarks The process of disposing of property and other items no longer required by the Municipality,by sale,transfer,termination of lease,auction or IM.29 Disposal destruction.This includes destruction or transfer to archives,and the program of activities to facilitate the orderly transfer of inactive records from current office space into inactive storage. Records relating to the disposal of municipal Municipal IM.29.04 Disposal-Records records.Includes certificates of destruction. p Includes,authorizations,destruction Clerk's C+1 P P C+2 Y certificates, records transfer reports. Department IM.36 Enquiries Activities associated with the seeking and handling of re guests for information. Includes records regarding the Municipality's responsibilities under the Municipal Freedom of Municipal IM.36.01 Enquiries-FOI Information and Protection of Privacy Act, Clerk's E+1 6 E+7 C+1 Y E Completion of FOI regarding the handling of information requests Department request uest under the Act. Includes,requests, responses. Records relating to the management of enquiries and requests for information that does not require a formal access request under IM.36.02 Enquiries-Informal&Routine Disclosure the Municipal Freedom of Information and Originator C+1 - C+1 C Y Protection of Privacy Act(MFIPPA)and is not independently accessible to the public. Includes requests, responses. The activities associated with the processes IM.58 Promotion involved in endorsing,supporting and encouraging the advancement of a service, business enterprise,or organization. Records relating to non-substantial promotional materials for municipal activities, programs and Municipal IM.58.02 Promotion-Non-Substantial events. See IM.60-Publication for publication Clerk's C+1 4 C+5 C+1 Y designs and masters. Includes,brochures, Department action plans. Legend_ C - Creation Year; P - Permanent; S - Superseded; E - Event Required before calculating retention; Originator- Originated or acquired the record- Page 76 of 126 Municipal Records Retention Schedule Schedule"A"to By-law 2015-xxx Class Responsible Inactive Series Function!Activity/Sub-Activity/Subject!Case Description Unit total Active Total Transitory Archival Remarks The function of having literature,information or art work, irrespective of format, issued for sale or distribution internally or to the public. IM.60 Publication Includes drafting,manual or electronic production(design, layout,typesetting,printing, etc.)and supply of publications by the Municipality.Includes internal publications (such as newsletters,circulars,etc.). Master copies, irrespective of format, of all non- Communicatio IM.60.01 Publication—Masters(Non-Significant) significant publication issued by the ns&Tourism C+1 4 C+5 C+1 Y Municipality. Includes, masters. Master copies, irrespective of format,of all Communicatio IM.60.02 Publication—Masters(Significant) significant publication issued by the C+1 P P C+1 Y Municipality. Includes masters. ns&Tourism Arrangements for design and production of municipal publications including websites.Also Communicatio includes arrangements for production of films, E=Final publication IM.60.03 Publication-Facilitative Records ns&Tourism E+1 4 E+5 C+1 Y videos, multi-media and on-line services. Division completed Includes, requests, responses, correspondence,art work. Internal publications,irrespective of format, produced for general administrative purposes. Communicatio IM.60.04 Publication-Corporate News Includes,brochures, newsletters,etc.,but ns&Tourism C+1 - C+1 C+1 Y excludes procedure manuals. Includes, Division newsletters notices circulars. Records relating to the distribution of municipal Communicatio IM.60.05 Publication-Distribution publications. Includes,circulation lists,stock ns&Tourism E+1 1 E+2 C+1 Y E=Action completed inventories. Division Non-significant articles produced by or for the Communicatio IM.60.06 Publication-News Media(Non-significant) Municipality and published in external journals, ns&Tourism E+1 4 E+5 C+1 Y E=Date of article being books, newspapers,etc. Includes, newspapers, Division published iournais books notices. Significant articles produced by or for the Municipality and published in external journals, ns&Tourism IM.60.07 Publication-News Media(Significant) books, newspapers,etc. Includes, newspapers, ns&Tourism C+1 P P C+1 Y Division journals, books notices. Legend: C - Creation Year; P - Permanent; S - Superseded; E - Event Required before calculating retention; Originator - Originated or acquired the record- Page 77 of 126 Municipal Records Retention Schedule Schedule"A"to By-law 2015-xxx Class Responsible Inactive Series Function lActivity/Sub-Activity/Subject/Case Description Unit Active total Total Transitory Archival Remarks The processes associated with initiating or providing a formal response to a situation or request(either internal,external or as a requirement of corporate policies),and to IM.63 Reporting provide formal statements or findings of the results of their examination or investigation. Includes agenda, briefing,business,discussion papers,proposals,reports,reviews and returns. Records relating to the reporting of non- significant programs,projects and events. See Municipal IM.63.01 Reporting Administrative IM.06.02—Analysis for Findings& Recommendations reports. See IM.64.02— Clerk's C+1 6 C+7 C Y Department Risk Management(Reporting)for Risk Management Review reports.Includes, reports. Records relating to the reporting of significant Municipal IM.63.02 Reporting-Committee&Council programs,projects and events. Includes, Clerk's C+1 P P C Y reports. Department Records relating to support documentation. E=Final report IM.63.03 Reporting-Facilitative Records Includes,working papers,supporting Originator E+1 5 E+6 C Y completed documentation, reference material. The process involving the identification of risks and the implementation of appropriate IM.64 Risk Management practices and procedures,which will reduce wastage and the impact of economic loss arising from an incident. Risk management plans and implemented disaster plans including plans for protection Municipal . IM.64.01 Risk Management Planning and re-establishment in case of a disaster. g g Includes, risk management records,action Clerk's S+1 6 S+7 C Y Department plans,safeguard strategies,disaster recovery plans. Records relating to risk management review. Municipal IM.64.02 Risk Management-Reporting Includes,risk management reports. Clerk's C+2 P P C+1 Y Department Legend: C - Creation Year; P - Permanent; S - Superseded; E - Event Required before calculating retention; Originator - Originated or acquired the record. Page 78 of 126 Municipal Records Retention Schedule Schedule"A"to By-law 2015-xoa Class Responsible Inactive Function t Activity 1 Sub-Activity/Subject/Case Description Active Total Transitory Archival Remarks Series Unit total The activities associated with measures taken to protect people,premises,equipment or information from accidental or intentional IM.66 Security damage and from unauthorised access. See HR.54—PERSONNEL MANAGEMENT— Criminal Reference for the security classification of criminal history checks. Records relating to security restrictions applied to information assets.Also includes information Municipal IM.66.01 Security-Access/Restrictions security restrictions..Includes user Clerk's S 15 S+15 C+5 Y identifications,passwords,and security/workgroup specifications. Includes, Department/IT workgrour)s ecifications securitv re isters. Records relating to breaches of security or incidents resulting in the laying of charges or Municipal IM.66.02 Security-Breaches where sabotage is strongly suspected. Clerk's E+1 6 E+7 C Y E=Close of file Includes, reports,investigation records, Department/IT complaints. Records relating to routine security arrangements including issue of security pass, Municipal IM.66.03 Security-Monitoring sign in books,security key, building admittance, Clerk's C+1 6 C+7 C y surveillance video and visitors logs. Includes, Department/IT si n in books reqisters. Legend: C - Creation Year; P - Permanent; S - Superseded; E - Event Required before calculating retention; Originator- Originated or acquired the record- Page 79 of 126 Municipal Records Retention Schedule Schedule"A"to By-law 2015-xoa Class Responsible Inactive Function/Activity/Sub-Activity/Subject/Case Description Active Total Transitory Archival , Remarks Series Unit total The function of making by-laws,managing liability and the provision of legal services to the corporation.Includes the interpretation and LS Legal Services(LS) provision of advice to the corporation regarding legal matters;the handling of legal action and disputes;the making of by-laws(see functional areas for the enforcement of by-laws);and the management of public liability. The activities associated with offering or LS.03 Advice seeking opinions. Includes the process of advisinq or being advised. Records relating to advice concerning routine Legal LS.03.01 Advice—Administrative operational matters. Includes, recommendation Services C+1 - C+1 C Y letter,circulars. Department Provision of high level advice,eg.To the Mayor,Chairperson or CAO, relating to Legal LS.03.02 Advice-High Level substantive aspect of municipal policies, Services C+1 4 C+5 C Y procedures,functions,obligations and Department liabilities. Includes requests, responses. Records relating to legal opinions provided or Legal LS.03.04 Advice-Solicited Legal Opinions sought by the Municipality. Includes, legal Services C+1 P P C+1 Y opinion. Department The activities associated with the pursuit of influencing outcomes on behalf of the LS.04 Advocating community where the Municipality acts as an advocate on issues of concern which may include political,economic,environmental or social issues that affect the community. Records that document interaction between the Legal LS.04.01 Advocating—Non-Significant Municipality and other bodies on non-significant Services C+1 - C+1 C N issues. Includes, requests, responses. Department Records relating to the interaction between the Municipality and other bodies on significant Legal LS.04.02 Advocating-Significant issues of public interest and debate,or of value Services C+1 9 C+10 C Y to the history of the Municipality. Includes, Department petitions, media clippiings. Legend: C - Creation Year; P - Permanent; S - Superseded; E - Event Required before calculating retention; Originator- Originated or acquired the record- Page 80 of 126 Municipal Records Retention Schedule Schedule"A"to By-law 2015-xxx Class Function t Activity Unit total 1 Sub-Activity I Subject I Case Description Responsible Active Inactive Series Total Transitory Archival Remarks The activities associated with the enacting of by-laws to regulate activities within the LS.15 By-Law Administration Municipality and to effect decisions of Council. See the Regulating activity for the enforcement of By-Laws under the relevant function. Draft By-laws and supporting working files. LS.15.01 By-Law Administration—Facilitative Records Includes, background research,precedent Originator E+20 - E+20 C+1 Y E=By-law enacted samples,opinions drafts. Original by-laws approved by Council and signed by the Mayor and Municipal Clerk. Municipal LS.15.02 By-Law Administration-Official Copy Includes amendments and attachments that Clerk's C+2 P P C+1 Y form part of a by-law. Includes, by-laws, Department amendments,attachments. Compilation of all amendments to a by-law. Municipal LS.15.03 By-Law Administration—Consolidated By-Law Includes,consolidated by-law. Clerk's S 5 S+5 C+1 Y Department The activities involved in arranging,procuring LS.23 Contracting and managing the performance of work or the provision of goods and services by an external contractor or consultant. Records relating to the hiring and use of consultants,contractors and suppliers which results in a major contract.Major contracts are Corporate LS.23.01 Contracting-Major contracts of a significant nature in terms of Services- E+1 P P C Y E=Expiry of contract dollar value,major public interest and debate Purchasing or of value to the history of the municipality. Includes,contracts. Records relating to the hiring and use of LS.23.02 Contracting-Minor consultants, contractors and suppliers which Originator E+1 6 E+7 C Y E=Expiry of contract results in a minor contract as per the Purchasing By-law. Includes,contracts. The activities involved in managing lawsuits or LSAT Litigation and Dispute Resolution legal proceedings between the Municipality and other parties. Records relating to administrative OMB matters. Includes, notices of appeal, legal Legal Litigation and Dispute Resolution-Administrative research, pleading,external legal advice, LS.47.01 (OMB) copies of relevant agreements,judgements, Services E+1 14 E+15 C+2 Y E=Resolution of appeal Department opinions,evidence, appeal documentation, precedents,exhibits productions. Legend: C - Creation Year; P - Permanent; S - Superseded; E - Event Required before calculating retention; Originator - Originated or acquired the record. Page 81 of 126 Municipal Records Retention Schedule Schedule"A"to By-law 2015-xxx Class Responsible Inactive Series Unit Function/Activity/Sub-Activity/Subject/Case Description total Active Total Transitory Archival Remarks Records relating to administrative matters resulting in substantial changes to municipal policy and procedures.Also includes records Legal Litigation and Dispute Resolution-Administrative relating to administrative matters resulting in LS.47.02 (other than OMB) substantial changes to municipal policy and Services E+1 14 E+15 C+2 Y E=Resolution of claim Department procedures. Includes,expropriations,legal research, by-law prosecutions, precedents, copies of relevant agreements. Records relating to civil matters. Includes, Legal LS.47.03 Litigation and Dispute Resolution-Civil notice of claim, notice of application,small Services E+1 14 E+15 C+2 Y E=Delivery of judgement claims, pleading,appeals,judgements, Department exhibits. Records relating to the notification of incident and/or the management of compensation claims for personal injury by or on behalf of residents and/or visitors to municipal Litigation and Dispute Resolution-Claim Resolution properties,including swim centres, 18 years of Finance E=Resolution of claim or LS.47.04 (18&older) age or over. Includes the provision of first aid. Department E+1 5 E+6 C+1 Y after action completed Includes, notices of claim,external legal advice,opinions,precedents, legal research, copies of relevant agreements,evidence, exhibits, pleading,judgements,appeal documentation,productions. Records relating to the notification of incident and/or the management of compensation claims for personal injury by or on behalf of residents and/or visitors to municipal E=The longer of day Litigation and Dispute Resolution-Claim Resolution properties, including swim centres, less than 18 Finance claimant became or LS.47.05 (under 18) years of age. Includes the provision of first aid. Department E+1 5 E+6 C+1 Y would have become 18 Includes, notices of claim,external legal years old or resolution of advice,opinions,precedents, legal research, claim or last action copies of relevant agreements,evidence, exhibits,pleading,judgements,appeal documentation,productions. The process of handling public reaction to municipal policies,responsibilities or services. LS.59 Public Reaction Includes anonymous letters,letters of complaint and letters of congratulation or appreciation received from the public.This includes all customer action requests. Records relating to public reaction. Includes, Legal LS.59.01 Public Reaction—General working papers. Services C+1 1 C+2 C Y Department Legend: C - Creation Year; P - Permanent; S - Superseded; E - Event Required before calculating retention; Originator- Originated or acquired the record_ Page 82 of 126 Municipal Records Retention Schedule Schedule"A"to By-law 2015-xxx Class Responsible ina otal ctive Series Unit Function!Activity/Sub-Activity I Subject I Case Description Ac tive # Total Transitory Archival Remarks The processes associated with initiating or providing a formal response to a situation or request(either internal,external or as a requirement of corporate policies),and to LS.63 Reporting provide formal statements or findings of the results of their examination or investigation. Includes agenda,briefing,business,discussion papers, proposals,reports, reviews and returns. Records relating to the reporting of programs, Legal LS.63.01 Reporting-Administrative Reporting projects and events. Includes,reports,auditor's Services C+1 6 C+7 C Y report daily statements. Department Records relating to the reporting of programs, Municipal LS.63.02 Reporting-Committee&Council projects and events to Committee&Council. Clerk's C+1 P P C Y Includes,reports. Department Records relating to support documentation. Legal LS.63.03 Reporting-Facilitative Records Also includes surveys and questionnaires. Services E+1 5 E+6 C Y E=Final report Includes,working papers,supporting completed documentation,statistics,discussion papers. Department Legend: C - Creation Year; P - Permanent; S - Superseded; E - Event Required before calculating retention; Originator - Originated or acquired the record. Page 83 of 126 Municipal Records Retention Schedule Schedule"A"to By-law 2015-xxx Glass Responsible inactive Series Function t Activity I Sub-Activity/Subject I Case Description Unit Active total Total Transitory Archival Remarks The function of managing land and working, storage or living space within premises,and of acquiring,constructing,managing,maintaining, regulating and disposing of property within the Municipality. Includes buildings,playground equipment,depots, halls,ovals and parks, cemeteries,swimming pools,land allotments and residential properties.Including re- vegetation,Property Standards enforcement PF Property&Facilities Management and special events on properties.Also includes utilities such as water and electricity.Includes storm water aquifers and drainage bores constructed and maintained on land.Also includes the removal of pollutants and waste from municipally owned properties. See 5.71 - ENVIRONMENTAL MANAGEMENT—EM.62 (Regulating)for the removal of waste from other properties,not municipally owned properties. The process of gaining ownership or use of PF.02 Acquisition property and other items required for the conduct of business through purchase or requisitions. Includes deeds/easements and any records relating to the acquisition or expropriation of Municipal PF.02.01 Acquisition—Deeds/Easements property. Including identification of easements. Clerk's E+1 9 E+10 C+2 Y E=Disposal of property Includes,transfer of deeds,transfer of Department easement. Records relating to acquiring real property. Including identification of easements. Includes PF.02.02 Acquisition—Real Property Registers. Includes,unsuccessful q p rtY quotes/bids/proposals, price increase Originator E+1 9 E+10 C+2 Y E=Disposal of property notifications,expropriations,title searches, register. The activities associated with offering or PF.03 Advice seeking opinions.Includes the process of advising or being advised.Excludes legal advice. Records relating to advice concerning routine PF.03.01 Advice-Operational operational matters. Includes, recommendation Originator C+1 - C+1 C Y letter,circulars. Provision of high level advice,eg.To the Mayor,Chairperson or CAO,relating to PF.03.02 Advice-High Level substantive aspect of municipal policies, Originator C+1 4 C+5 C Y procedures,functions,obligations and liabilities. Includes, requests, responses. Legend: C - Creation Year; P - Permanent; S - Superseded; E - Event Required before calculating retention; Originator - Originated or acquired the record. Page 84 of 126 Municipal Records Retention Schedule Schedule"A"to By-law 2015-xxx Class Responsible Inactive Series Function/Activity/Sub-Activity 1 Subject/Case Description Unit Active total Total Transitory Archival Remarks The activities involved in arranging for the PF.11 Bookings usage,rental and loaning of facilities, equipment fleet and space. Records relating to the use of municipal facilities and/or space,including halls,ovals, reserves,meeting rooms,parks and land.) PF.11.02 Bookings—Facilities/Space Includes the process of providing authorization Originator E+1 2 E+3 C N E=Expiry of permit towards the use of municipal buildings/facilities in the.form of booking permits. Includes, registers, correspondence. Records relating to the improper use of municipal facilities and/or space. Includes, PF.11.04 Bookings-Misuse Originator C+1 - C+1 C N reports,investigation notes,investigation records. Legend: C - Creation Year; P - Permanent; S - Superseded; E - Event Required before calculating retention; Originator- Originated or acquired the record. Page 85 of 126 Municipal Records Retention Schedule Schedule"A"to By-law 2015-xxx Class Responsible Inactive Series Function 1 Activity/Sub-Activity 1 Subject/Case Description uniIt Active total Total Transitory Archival Remarks The activities associated with the products and PF.17 Cemetery Administration services for when a death occurs,and accommodates those planning cemetery placement for the future. Records relating the management of a cemetery.This includes superseded plans. Also includes the applications for,planning, design and approval of cemetery plaques, headstones and monuments. See PF.02— PROPERTY&FACILITIES MANAGEMENT— Municipal PF.17.01 Cemetery Administration-Burials/Rights/Monuments Acquisition for records relating to acquisition of Clerk's C+1 P P C+2 Y land or deeds. Includes,plans, register of Department interment rights granted,applications for plaques headstones monuments, maps, exhumation application warrants&consents, register of interments&reinterments,opening of interment consents, register of cremation, leases,grants,death certificates,approvals. Records relating to the organization of funerals Municipal PF.17.02 Cemetery Administration-Openings&Funerals and burials, including work orders, bookings, Clerk's C+1 1 C+2 C+1 Y grave orders,etc. Includes, cemetery work Department orders,grave orders,funeral bookings. Legend: C - Creation Year; P - Permanent; S - Superseded; E - Event Required before calculating retention; Originator- Originated or acquired the record. Page 86 of 126 Municipal Records Retention Schedule Schedule"A"to By-law 2015-xxx Class Responsible Inactive Series Function/Activity/Sub-Activity i Subject/Case Description Active Total Transitory Archival Remarks Unit total The activities associated with complying with mandatory accountability,fiscal,legal, regulatory,operational or quality standards or requirements to which the Municipality is subject. Includes compliance with legislation PF.20 Compliance such as Environmental Protection Act, Municipal Act,Taxation Act, Financial Administration Act,Highway Traffic Act, Occupational Health and Safety Act,Fire Protection and Prevention Act,Municipal Freedom of Information and Protection of Privacv Act.etc. Records relating to municipal compliance with mandatory requirements imposed by governing PF.20.01 Compliance—Requirement bodies. Includes proof of compliance with Originator S 7 S+7 C Y Administrative Value internal and external standards,statutory and operational requirements. Includes,orders, audits. Records relating to serious breaches of =Remedy of Breach PF.20.02 Compliance—Breach compliance requirements that leads to major Operations E+1 1 E+2 C Y E E Delivery of public interest and debate or court action. Department Judgement Includes complaints notices. Records relating to the activities involved with examining a person,group,system,process, project or product in order to determine PF.20.03 Compliance—Verification(Internal Audit) whether or not compliance with a regulation, Originator C+1 6 C+7 C Y requirement,specification or imposed condition are being met. Includes,audit reports, surveillance/monitoring records. Legend: C - Creation Year; P - Permanent; S - Superseded; E - Event Required before calculating retention; Originator - Originated or acquired the record_ Page 87 of 126 Municipal Records Retention Schedule Schedule"A"to By-law 2015-xxx Class _ Responsible _ Inactive Function/Activity/Sub-Activity/Subject I Case Description Active Total Transitory Archival Remarks Series Unit total The activities involved in the preservation, PF.21 Conservation protection,restoration and enhancement of roperty. Records relating to conservation and restoration of buildings. Excludes records PF.21.01 Conservation-Buildings relating to conservation activities of buildings of Originator C+1 E+2 E+2 C . Y E=Life of building heritage significance.See PF.21.05 Conservation—Heritage. Includes,plans, submissions,reports,progress reports. Records relating to rehabilitation of PF.21.02 Conservation-Contaminated Buildings/Land contaminated buildings or land. Includes,plans, Originator C+1 P P C Y Retention established as submissions, reports,progress reports. per Legal review Records relating to conservation and restoration of municipal land. Excludes records PF.21.03 Conservation—Land relating to conservation activities of land with Originator C+1 E+1 E+2 C Y E=Sale of land heritage significance.See PF.21.05 Conservation-Heritage. Includes,plans, submissions, reports, progress reports. Records relating to rehabilitation of contaminated land. See EM.20.02— PF.21.04 Conservation-Contaminated Land Compliance records for compliance Originator C+1 P P C Y requirements for property not owned by the Municipality. Includes, plans,submissions, reports, progress reports. Records relating to conservation and restoration of structures of heritage PF.21.05 Conservation-Heritage significance. Excludes Construction records. g See PF.22.01 —Construction—Heritage Originator C+1 P P C Y Structures. Includes,plans,submissions, ire ports,Progress reports. Legend: C - Creation Year; P - Permanent; S - Superseded; E - Event .Required before calculating retention; Originator- Originated or acquired the record. Page 88 of 126 Municipal Records Retention Schedule Schedule"A"to By-law 2015-xxx Class Responsible Inactive Series Function!Activity!Sub-Activity)Subject/Case Description Unit Active total Total Transitory Archival Remarks The process of designing, building or PF.22 Construction assembling municipal structures such as buildings Records relating to the design,renovation and construction of buildings of heritage PF.22.01 Construction-Heritage Buildings significance. Includes,proposals,surveys, Originator C+2 P P C Y specifications,plans,progress reports, maps, correspondence. Records relating to the design and construction of buildings owned by the Municipality.See PI.22—Public Infrastructure—Construction for PF.22.03 Construction—Buildings construction activities relating to major or minor Originator E+1 9 E+10 C Y E=Life of building Public Infrastructure. Includes,surveys, specifications,engineer reports, progress reports, proposals, plans,correspondence, studies. The activities involved in arranging,procuring PF.23 Contracting and managing the performance of work or the provision of goods and services by an external contractor or consultant. Records relating to the hiring and use of consultants,contractors and suppliers which results in a major contract.Major contracts are Corporate PF.23.01 Contracting-Major contracts of a significant nature in terms of Services- E+1 P P C Y E=Expiry of contract dollar value, major public interest and debate Purchasing or of value to the history of the Municipality. Includes contracts. Records relating to the hiring and use of consultants,contractors and suppliers which E=Expiry of contract PF.23.02 Contracting-Minor results in a minor contract as per the Originator E+1 6 E+7 C Y Administrative Value Purchasing By-law. Includes,contracts. Legend: C - Creation Year; P - Permanent; S - Superseded; E - Event Required before calculating retention; Originator - Originated or acquired the record- Page 89 of 126 Municipal Records Retention Schedule Schedule"A"to By-law 2015-xxx Glass Responsible Inactive Series Function/Activity/Sub-Activity/Subject/Case Description unit Active total Total Transitory Archival Remarks The process of disposing of property and PF.29 Disposal buildings no longer required by the Municipality,by sale,transfer,termination of lease auction or destruction. Records relating to the sale or transfer of real property owned by the Municipality. Includes, PF.29.03 Disposal-Real Property disposal orders,approvals,transaction records, Originator E+1 9 E+10 C+2 Y E=Disposal of land public notices,expression of interest, contract forms,due diligence doucments. The activities associated with managing money, items,artefacts or property donated to the Municipality or by the Municipality and/or PF.30 Donations personnel to charities,etc. Includes managing unsolicited donations and charitable appeals. Also includes sponsorship-Municipal sponsorship to events and sponsorship received by the Municipality. ERecords lating to donations given to or he Municipa lity. Excludes Grants. PF.30.01 Donations—Real Property&Facilities 2-Grant funding. Includes, Originator C+1 6 C+7 C+2 Y s, reports,acknowledgements, lating to the establishment, Legal PF.30.02 Donations-Property Trust management and variation to the Property Services E+1 9 E+10 C+2 Y E=Disposal of property Trust. Includes, orders, notices, court records, Department trusts. Legend: C - Creation Year; P - Permanent; S - Superseded; E - Event Required before calculating retention; Originator- Originated or acquired the record. Page 90 of 126 Municipal Records Retention Schedule Schedule"A"to By-law 2015-xxx Class Responsible inactive Series Function J Activity l Sub-Activity/Subject/Case Description Unit Active total Total Transitory Archival Remarks The activities associated with the upkeep, PF.49 Maintenance repair,servicing and preservation of internal/external conditions of municipal buildings and land. Records relating to the repair, renovations and maintenance of municipal buildings.Also PF.49.01 Maintenance-Buildings includes routine cleaning schedules,testing Originator C+1 6 C+7 C+1 Y Administrative Value and treating of pools, repair logs and spas water quality. Includes,testing records,work orders cleanina records repair logs. Records relating to the maintenance of facilities known to contain asbestos.Includes, E=Disposition of PF.49.02 Maintenance—Buildings(Asbestos) maintenance schedules,services records,work Originator E+1 19 E+20 C+2 Y building orders. Records relating to the repair, renovations and maintenance of municipal facilities and PF.49.03 Maintenance-Buildings(Heritage) buildings of heritage or other significance. Originator C+1 6 C+7 C+1 Y Administrative Value Includes,work orders,cleaning records, repair logs. Records relating to the maintenance of real PF.49.08 Maintenance-Real Property property. Includes,maintenance schedules, Operations p y property inventories,work orders,completed Department C+1 6 C+7 C+1 Y actions inspections. The process of handling public reaction to municipal policies, responsibilities or services. PF.59 Public Reaction Includes anonymous letters, letters of complaint and letters of congratulation or appreciation received from the public.This includes all customer action requests. PF.59.01 Public Reaction—General Records relating to public reaction. Includes, Originator C+1 1 C+2 C Y working papers,complaints,correspondence. The process of regulating statutory requirements.This is the enforcement of PF.62 Regulating regulatory responsibilities. Includes inspection, authorization,monitoring and enforcement of requirements under legislation. Records relating to the enforcement of regulatory by-laws. Property Standards, E=Delivery of judgment Zoning, Licensing,Signs, Long Grass& PF.62.06 Regulating-Enforcement(Case File) Weeds,Open Air Burning, Noise,etc. Includes, Originator E+1 6 E+7 C+1 Y or close of file Retention court records,judgements,occurrence reports, established as per Legal photographs,subpoenas,orders, notices, review complaints. Legend: C - Creation Year; P - Permanent; S - Superseded; E - Event Required before calculating retention; Originator - Originated or acquired the record. Page 91 of 126 Municipal Records Retention Schedule Schedule"A"to By-law 2015-xxx Class Responsible Inactive Series Unit total Function!Activity/Sub-Activity, Subject/Case Description Active Total Transitory Archival Remarks Records relating to licences administered by the Municipality.Also includes applications and PF.62.07 Regulating-Licence/Permit Administration permits issued by the Municipality such as tree Originator E+1 6 E+7 C+1 Y E=Expiry of license or cutting,sports fields and special events permit permits. Includes, licences,permits, application. The processes associated with initiating or providing a formal response to a situation or request(either internal,external or as a requirement of corporate policies),and to PF.63 Reporting provide formal statements or findings of the results of their examination or investigation. Includes agenda,briefing,business,discussion papers,proposals, reports, reviews and returns. Records relating to the reporting of non- PF.63.01 Reporting-Administrative Reporting significant programs,projects and events. Originator C+1 6 C+7 C Y Administrative Value Includes reports daily statements. Records relating to the reporting of significant Municipal PF.63.02 Reporting-Committee&Council programs,projects and events. Includes, Clerk's C+1 P P C Y reports. Department Records relating to support documentation. PF.63.03 Reporting-Facilitative Records Also includes surveys and questionnaires. Originator E+1 5 E+6 C Y E=Final report Includes,working papers,supporting completed documentation surve s discussion papers. PF.63.06 Reporting-Administrative Reporting(Fuel Tank Records relating to fuel tank inventory. Operations E+1 1 E+2 C Y E=Facility Inventory) Includes reports,daily statements. Department decommissioned The activities associated with measures taken PF.66 Security to protect people,premises,equipment or information from accidental or intentional damage and from unauthorised access. Records relating to security arrangements and restrictions applied to municipal facilities PF.66.01 Security-Access/Restrictions including issue of security pass. Includes user Originator C+1 4 C+5 C+1 Y identifications,passwords,and security group specifications. Includes, reports, correspondence, requests. Legend: C - Creation Year; P - Permanent; S - Superseded; E - Event Required before calculating retention; Originator- Originated or acquired the record. Page 92 of 126 Municipal Records Retention Schedule Schedule"A"to By-law 2015-xxx Class Responsible Inactive Series Unit total Function/Activity 1 Sub-Activity!Subject/Case Description Active Total Transitory Archival Remarks Records relating to routine security logs including sign in books,building admittance reports,and visitors logs. Excludes recorded. surveillance records. See PF.66.04 Security— Monitoring(No Incident)for surveillance PF.66.03 Security—Monitoring(Logs) records not involving an incident relating to law Originator C+1 6 C+7 C+1 y enforcement or public safety. See PF.66.05 Security—Monitoring(Investigation Related) for surveillance records involving an incident that prompts an investigation relating to law enforcement or public safety. Includes, reports, logs,security registers. Records relating to recorded information that Note:Surveillance has not been viewed for law enforcement or systems are to be public safety purposes. See PF.66.05 Security configured to g( ) g(Investigation q ) g C+72 C+72 automatically override PF.66.04 Security—Monitorin No Incident —Monitorin Investi ation Re uired for Originator hrs hrs C+1 Y images within a 72 hour surveillance records involving an incident that prompts an investigation. Includes,surveillance period unless an incident video,surveillance pictures. prompts an investigation. E=Delivery of judgement or resolution Records relating to recorded information that of incident. Note: has been viewed for law enforcement or public Surveillance systems are to be configured to safety purposes. See PF.66.04 Security— PF.66.05 Security—Monitoring(Incident Related) Monitoring(No Incident)for surveillance Originator E+1 1 E+2 C+1 y automatically override records not involving an incident relating to law images within a 72 hour enforcement or public safety. Includes, period unless an incident surveillance video,surveillance pictures. prompts an investigation. Retention established as per Legal review Legend: C - Creation Year, P - Permanent; S - Superseded; E - Event Required before calculating retention; Originator - Originated or acquired the record. Page 93 of 126 Municipal Records Retention Schedule Schedule"A"to By-law 2015-xxx Class Responsible Inactive Series unction/Activity/S ub-Activity!Subject 1 Case Description Unit Active total Total Transitory Archival Remarks The function of the operation and management of the Municipality.Council being a PG Political Governance(PG) democratically elected body representing and advocating on behalf of the community.This includes elected members,boundary reform, elections, representations and meetings. The activities associated with offering or PG.03 Advice seeking opinions. Includes the process of advising or being advised.Excludes legal advice. Records relating to advice concerning routine Municipal PG.03.01 Advice-Operational operational matters. Includes,recommendation Clerk's C+1 - C+1 C Y letter,circulars. Department Provision of high level advice,eg.To the Mayor,Chairperson or CAO, relating to Municipal PG.03.02 Advice-High Level substantive aspect of municipal policies, Clerk's C+1 4 C+5 C Y procedures,functions,obligations and Department liabilities. Includes requests responses. The activities associated with the pursuit of influencing outcomes on behalf of the PG.04 Advocating community where the Municipality acts as an advocate on issues of concern which may include political,economic,environmental or social issues that affect the community. Records that document interaction between the Municipal PG.04.01 Advocating—Non-Significant Municipality and other bodies on non-significant Clerk's C+1 - C+1 C N issues. Includes,requests,responses. Department Records relating to the interaction between the Municipality and other bodies on significant Municipal PG.04.02 Advocating-Significant issues of public interest and debate,or of value Clerk's C+1 9 C+10 C Y to the history of the Municipality. Includes, Department petitions, media clippings. The activities associated with the reform and PG.12 Boundary Reform adjustment of ward,suburb and municipal boundaries includes structural reform/ amalgamation and periodic reviews. Records relating to the amalgamation, annexation,boundary adjustment or ward Municipal PG.12.01 Boundary Reform-General boundary adjustments. Includes,proposals, Clerk's C+1 P P C+2 Y reviews,feasibility studies, reports,guidelines, Department notices,submissions, proclamations. Legend: C - Creation Year; P - Permanent; S - Superseded; E - Event required before calculating retention; Originator- Originated or acquired the record. Page 94 of 126 Municipal Records Retention Schedule Schedule"A"to By-law 2015-xxx Class Responsible inactive Series Function/Activity 1 Sub-Activity!Subject ICase Description Unit Active total Total Transitory Archival Remarks The activities associated with complying with mandatory accountability,fiscal, legal, regulatory,operational or quality standards or requirements to which the Municipality is subject. Includes compliance with legislation PG.20 Compliance such as Environmental Protection Act, Municipal Act,Taxation Act,Financial Administration Act, Highway Traffic Act, Occupational Health and Safety Act,Fire Protection and Prevention Act, Municipal Freedom of Information and Protection of Privacv Act.etc, Records relating to municipal compliance with mandatory requirements imposed by governing Clerk's PG.20.01 Compliance—Requirement bodies. Includes proof of compliance with Department S 7 S+7 C y internal and external standards,statutory and operational requirements. Includes,orders. Records relating to serious breaches of Municipal PG.20.02 Compliance—Breach compliance requirements that leads to major Clerk's E+1 1 E+2 C Y E=Remedy of breach public interest and debate or court action. Department or delivery of judgement Includes, complaints notices. Records relating to the activities involved with examining a person,group,system,process, project or product in order to determine Clerk's PG.20.03 Compliance—Verification(Internal Audit) whether or not compliance with a regulation, Department C+1 6 C+7 C Y Administrative Value requirement,specification or imposed condition are being met. Includes,audit reports, surveillance/monitoring records. Legend: C - Creation Year; P - Permanent; S - Superseded; E - Event Required before calculating retention; Originator- Originated or acquired the record. Page 95 of 126 Municipal Records Retention Schedule Schedule"A"to By-law 2015-xxx Class Responsible Inactive Series Function/Activity 1 Sub-Activity!Subject/Case Description Unit total Active Total Transitory Archival Remarks ° The activities involved in arranging,procuring PG.23 Contracting and managing the performance of work or the provision of goods and services by an external contractor or consultant. Records relating to the hiring and use of consultants,contractors and suppliers which results in a major contract.Major contracts are Corporate PG.23.01 Contracting-Major contracts of a significant nature in terms of Services- E+1 P P C Y E=Expiry of contract dollar value, major public interest and debate Purchasing or of value to the history of the Municipality. Includes contracts. Records relating to the hiring and use of consultants,contractors and suppliers which E=Expiry of contract PG.23.02 Contracting-Minor results in a minor contract as per the Originator E+1 6 E+7 C Y Administrative Value Purchasin B -law. Includes contracts. The activities associated with meetings held by elected members of Council that confer broad PG.25 Council/Committee Meeting Administration authority to govern municipal affairs and respond to issues within the Municipality. Includes arrangements,agendas,taking of minutes etc. Records relating to the scheduling of meetings Council/Committee Meetings Administration- of Council. Includes correspondence,delegate Municipal PG.25.01 Arrangements requests,etc. Includes,arrangements, Clerk's C+1 - C+1 C Y apologies,notices of motion, notices of Department absence from meeting, requests for deputation. Council/Committee Meetings Administration- Records relating to the transcription of Council Municipal PG.25.02 Audio/Video meeting proceedings. Includes,audio files,web Clerk's C+1 P P C+2 Y casts. Department Records of decisions of Committee/Council. Municipal PG.25.03 Council/Committee Meetings Administration-Minutes Includes,minutes. Clerk's C+1 P P C+1 Y Department Council/Committee Meetings Administration-Minutes Facilitative records relating to the transcription Municipal PG.25.04 (Draft) of Council meeting proceedings. Includes,draft Clerk's E - E C Y E=Adoption of minutes minutes. Department Records relating to notices of meetings and Municipal PG.25.05 Council/Committee Meetings Administration-Agendas agenda of Council meetings. Includes agenda, Clerk's C P P C+2 Y notice of meeting. Department Records relating to the final versions of motions Municipal Council/Committee Meetings Administration—Motions and resolutions of Council/Committee. PG.25.06 &Resolutions Includes,motions, resolutions, Clerk's C+1 5 C+6 C+1 Y Department correspondence. Legend: C - Creation Year; P - Permanent; S - Superseded; E - Event Required before calculating retention; Originator - Originated or acquired the record- Page 96 of 126 Municipal Records Retention Schedule Schedule"A"to By-law 2015-xxx Class Responsible inactive Series Function/Activity/Sub-Activity 1 Subject J Case Description Unit Active total Total Transitory Archival Remarks The activities involved in the induction,training and ongoing management of the elected members of Council.This includes the Mayor. PG.32 Elected Members Note-Records held by Councillors/Elected Members should be classified in accordance with the function and activity to which they pertain. E=Term of Council NOTE:The access provisions of the PG.32.01 Elected Members-Correspondence Members of Council correspondence files. Mayor's/Coun E+2 2 E+4 C+2 Y MFIPPA cover records Includes,correspondence. cillor's Office that are in the custody or under the control of the Municipality Of Clarinoton. Records relating to personnel management of elected members. Includes, induction, Municipal PG.32.02 Elected Members-Personnel Management allowances,training,council orientation, Clerk's E+1 4 E+5 C+2 y E=Term of Council contacts,appeals, resignations,declarations of Department oath. Records relating to policies that include the rights,entitlements and responsibilities of Municipal PG.32.03 Elected Members-Policies elected members. Includes, policies,codes of Clerk's S P P C+1 Y conduct,resgister of allowances&benefits, Department register of interests guides. Legend: C - Creation Year; P - Permanent; S - Superseded; E - Event Required before calculating retention; Originator - Originated or acquired the record_ Page 97 of 126 Municipal Records Retention Schedule Schedule"A"to By-law 2015-xxx Class Responsible Inactive Function t Activity i Sub-Activity/Subject/Case Descrfpfifan Active Total Transitory Archival Remarks Series Unit total The process involved in ensuring the selection PG.33 Elections of a democratically elected body to represent and advocate on behalf of the Municipality and community. Records relating to the ballots and other Municipal E+12 materials used at voting locations. Includes, Clerk's E 120 0 C Y E=Voting Day or PG.33.01 Elections-Ballots and Materials ballot papers, EL 15's,declarations of eligibility, resolution of recount polling stations. Department days Records relating to candidate campaign Municipal PG.33.02 Elections-Campaign Finances finances. Includes,financial statements, return Clerk's E+2 2 E+4 C+2 Y ac Later last date of amendments,candidate's records of donation. Department activity or r Voting day Records relating to the planning preparation of elections. Includes,voting location selection, Municipal PG.33.03 Elections—Administration supplies&materials list,sample records,poll Clerk's C+1 9 C+10 C+2 Y worker lists,external resources,candidate Department information package,notes,clerk's procedures. Records relating to Candidate Nominations. Municipal PG.33.04 Elections-Nominations Includes, nominations. Clerk's C+1 4 C+5 C+2 Y Administrative Value Department Records relating to illegal practices and disputed returns. See LS.47-LEGAL Municipal PG.33.05 Elections—Offences&Appeals SERVICES—Litigation for activities involved in Clerk's E+1 4 E+5 C+2 Y E=Resolution of appeal managing lawsuits or legal proceedings. Department Includes, court proceedings,allegations, Petitions, investigations. Election results of the count as certified by the Municipal PG.33.06 Elections-Results Municipal Clerk. Includes, certified results of Clerk's P - P C+2 Y the court. Department Master list of list. res olution eligible electors. Includes,voters Municipal E+12 r PG.33.07 Elections-Voters'List g Clerk's E 120 0 C Y e Voting Day of recounor t De artment da s The process of planning,managing, coordinating,assessing promoting and reporting on an event.Events include ceremonies,celebrations,conferences and PG.37 Event Management functions.This includes events organised by the Municipality and the processes associated with approval and promotion of events held in the municipal area.This relates to events managed by the Municipality and includes civic receptions and Mayoral Gala Performances. Records relating to a political events calendar PG.37.01 Event Management—Political Events Calendar including applications.Includes,event Originator C+1 5 C+6 C+1 Y Administrative Value calendar,application. Legend: C - Creation Year; P- Permanent; S - Superseded; E - Event Required before calculating retention; Originator - Originated or acquired the record. Page 98 of 126 Municipal Records Retention Schedule Schedule"A"to By-law 2015-xxx Class Responsible Inactive Series Function J Activity/Sub-Activity/Subject/Case Description Unit total total Total Transitory Archival Remarks Records relating to the consolidated PG.37.03 Event Management-Non-significant documentation of non-significant events. Originator C+1 1 C+2 C+1 Y Includes,fairs parades,photographs. Records relating to the consolidated PG.37.04 Event Management—Significant documentation of significant events.Includes, Originator C+1 P P C+1 Y final reports,speeches,invitations, photographs filming,candidates lists. Records relating to promotional material of Communicatio PG.37.05 Event Management—Promotion other organization's events. Includes, ns&Tourism C+1 1 C+2 C+1 Y promotional material. The process of handling public reaction to municipal policies, responsibilities or services. PG.59 Public Reaction Includes anonymous letters, letters of complaint and letters of congratulation or appreciation received from the public.This includes all customer action requests. Records relating to public reaction. Includes, Municipal PG.59.01 Public Reaction—General working papers,petitions. Clerk's C+1 1 C+2 C Y Department The processes associated with initiating or providing a formal response to a situation or request(either internal,external or as a requirement of corporate policies),and to PG.63 Reporting provide formal statements or findings of the results of their examination or investigation. Includes agenda,briefing,business,discussion papers,proposals,reports,reviews and returns. Records relating to the reporting of non- Municipal PG.63.01 Reporting-Administrative Reporting significant programs,projects and events. Clerk's C+1 6 C+7 C Y Administrative Value Includes reports,daily statements. Department Records relating to the reporting of significant Municipal PG.63.02 Reporting—Committee&Council programs, projects and events. Includes, Clerk's C+1 P P C Y Administrative Value reports daily statements. Department Records relating to support documentation. Municipal Also includes surveys and questionnaires. E=Final report PG.63.03 Reporting-Facilitative Records Includes,working papers,supporting Clerk's E+1 5 E+6 C Y completed documentation surve s discussion papers. Department Legend: C - Creation Year; P - Permanent; S - Superseded; E - Event required before calculating retention; Originator- Originated or acquired the record. Page 99 of 126 Municipal Records Retention Schedule Schedule"A"to By-law 2015-xxx Glass Responsible Inactive Function/'Activity t Sub-Activity l Subject I Case Description Active Total Transitory Archival Remarks Series Unit total The function of constructing,managing, maintaining,protecting and disposing of infrastructure owned,leased or managed by the Municipality.Would also include work undertaken on infrastructure,which is not PI Public Infrastructure(PI) controlled by the Municipality.This includes roads,footpaths,bridges,street lighting,drains, side entry pits,street tree planting,nature strips,bus shelters,footpath benches,water supply systems and schemes.Includes storm water aquifers and drainage bores constructed and maintained on infrastructure. The activities associated with offering or seeking opinions.Includes the process of P1.03 Advice advising or being advised_ Excludes legal advice.See LS.03 Advice for seeking legal advice. Records relating to advice concerning routine Engineering PI.03.01 Advice-Operational operational matters. Includes, Services C+1 - C+1 C Y recommendations letter, circulars. Department Provision of high level advice,eg.To the Mayor,Chairperson or CAO, relating to Engineering PI.03.02 Advice-High Level substantive aspect of municipal policies, Services C+1 4 C+5 C Y procedures,functions,obligations and Department liabilities. Includes, requests, responses. The activities associated with the pursuit of influencing outcomes on behalf of the PI.04 Advocating community where the Municipality acts as an advocate on issues of concern which may include political,economic,environmental or social issues that affect the community. Records that document interaction between the Engineering PI.04.01 Advocating—Non-Significant Municipality and other bodies on non-significant Services C+1 - C+1 C N issues. Includes, requests, responses. Department Records relating to the interaction between the Municipality and other bodies on significant Engineering PI.04.02 Advocating-Significant issues of public interest and debate,or of value Services C+1 9 C+10 C Y to the history of the Municipality. Includes, Department petitions, media clippings,requests, responses. Legend: C - Creation Year; P - Permanent; S - Superseded; E - Event Required before calculating retention; Originator - Originated or acquired the record. Page 100 of 126 Municipal Records Retention Schedule Schedule"A"to By-law 2015-xxx Class Responsible Inactive Series Function!Activity 1Sub-Activity/Subject/Case Description Unit Active total Total Transitory Archival Remarks The activities associated with complying with mandatory accountability,fiscal,legal, regulatory,operational or quality standards or P1.20 Compliance requirements to which the Municipality is subject.Includes compliance with legislation such as Environmental Protection Act, Municipal Act,Highway Traffic Act,Fire Protection and Prevention Act etc. Records relating to municipal compliance with mandatory requirements imposed by governing PI.20.01 —Compliance Requirement bodies. Includes proof of compliance with p q internal and external standards,statutory and Originator S+1 6 S+7 C Y Administrative Value operational requirements. Includes,orders, plans,public notices. r Records relating to serious breaches of PI.20.02 Compliance—Breach compliance requirements that leads to major E=Remedy of breach p public interest and debate or court action. Originator E+1 1 E+2 C Y or delivery of judgement Includes complaints notices. PI.22 Construction The process of designing,building or assembling municipal infrastructure. Records relating to the design and construction of existing municipal infrastructure.This includes roads,footpaths, bridges, inverts and Engineering PI.22.02 Construction—Existing Infrastructure crossovers,culverts,side entry pits,drains, Services E 7 E+7 C+1 Y E=Life of the asset capital projects and traffic control devices. Department Includes, legal surveys, proposals, specifications,plans,engineer reports, correspondence,progress reports,studies. The activities involved in arranging,procuring PI.23 Contracting and managing the performance of work or the provision of goods and services by an external contractor or consultant. Records relating to the hiring and use of consultants,contractors and suppliers which results in a major contract.Major contracts are Corporate P1.23.01 Contracting ajor contracts of a significant nature in terms of g dollar value,major public interest and debate Services- E+1 P P C Y Purchasing or of value to the history of the Municipality. Includes,contracts,agreements, arrangements. Records relating to the hiring and use of consultants,contractors and suppliers which PI.23.02 Contracting-Minor results in a minor contract as per the Originator E+1 6 E+7 C Y E=Expiry of contract Purchasing By-law. Includes,contracts, agreements,arrangements. Legend: C - Creation Year; P - Permanent; S - Superseded; E - Event Required before calculating retention; Originator - Originated or acquired the record. Page 101 of 126 Municipal Records Retention Schedule Schedule"A"to By-law 2015-xxx Class Responsible Inactive Function/Activity/Sub-Activity!Subject/Case Description Active Total Transitory Archival Remarks Series Unit total The process of disposing of property and other PI.29 Disposal items no longer required by the organization, by sale,transfer,termination of lease,auction or destruction. Records relating to the sale, removal or transfer of municipal infrastructure. Includes, Engineering E=Disposal of public PI.29.02 Disposal—Public Infrastructure E+1 9 E+10 C+1 Y infrastructure disposal orders,transaction records, public Services Administrative Value notices,expression of interest. The activities associated with the upkeep, PI.49 Maintenance repair,servicing and preservation of internal/external conditions of public infrastructure. Records relating to maintenance programs pertaining to public infrastructure. Includes, Operations E=Disposal of asset PI.49.06 Maintenance—Public Infrastructure maintenance schedules,correspondence, Department E+2 5 E+7 C+1 Y Administrative Value ins ection reports. The activities associated with the naming and PI.52 Nomenclature numbering of roads, lanes,towns,suburbs and public places. Records relating to requests for and assignment of names and numbers of PI.52.01 Nomenclature—Public Infrastructure/Addressing infrastructure owned by the Municipality, new Originator C+1 P P C+1 Y subdivisions,streets and properties. Includes, notifications of intent, representation, notifications of change,public notices. Legend: C - Creation Year; P - Permanent; S - Superseded; E - Event Required before calculating retention; Originator- Originated or acquired the record. Page 102 of 126 Municipal Records Retention Schedule Schedule"A"to By-law 2015-xxx Glass Responsible Inactive Function t Activity/Sub-Activity/Subject/Case Description Active - Total Transitory Archival Remarks Series Unit total The process of handling public reaction to municipal policies,responsibilities or services. PI.59 Public Reaction Includes anonymous letters, letters of complaint and letters of congratulation or appreciation received from the public.This includes all customer action requests. Records relating to public reaction. Includes, Engineering PI.59.01 Public Reaction—General complaints, responses, letter of appreciation. Services C+1 1 C+2 C Y Department The processes associated with initiating or providing a formal response to a situation or request(either internal,external or as a requirement of corporate policies),and to PI.63 Reporting provide formal statements or findings of the results of their examination or investigation. Includes agenda, briefing,business,discussion papers,proposals, reports, reviews and returns. Records relating to the reporting of non- Engineering PI.63.01 Reporting-Administrative Reporting significant programs, projects and events. Services C+1 6 C+7 C Y Administrative Value Includes reports,daily statements. Department Records relating to the reporting of significant Municipal P1.63.02 Reporting-Committee&Council programs,projects and events. Includes, Clerk's C+1 P P C Y reports. Department Records relating to support documentation. Engineering P1.63.03 Reporting-Facilitative Records Also includes surveys and questionnaires. Services E+1 5 E+6 C Y E=Final report Includes,working papers,supporting completed documentation,surveys discussion papers. Department Legend: C - Creation Year; P - Permanent; S - Superseded; E - Event Required before calculating retention; Originator- Originated or acquired the record. Page 103 of 126 Municipal Records Retention Schedule Schedule"A"to By-law 2015-xxx Class Responsible Inactive Series Function/Activity tSub-Activity/Subject/Case Description Unit Active total Total Transitory Archival Remarks The activities involving a defined series of actions relating to transportation design, municipal infrastructure or development projects which includes records relating to the process of planning,monitoring and the final assumption of a project. Project files are PI.78 Project Management required to be kept together throughout the duration of a project plus an additional 2 years. This will facilitate a complete range of project documentation for proper decision making. Once the project file retention period has expired,the records will be appropriately coded according to the specific activity for which the records support. E=Post acceptance of Project files may include records such as the project. NOTE:A correspondence, inspections notes,surveys, single purge will be reports,designs,specifications,project undertaken to extract schedules,financial administration,contract Engineering transitory records and PI.78.01 Project Management—Capital Works Services E+2 - E+2 C+1 Y further classify an administration,etc.Includes, legal surveys, fi' y proposals,specifications, plans,engineer Department remaining records of reports,correspondence, progress reports, value once 2 years after studies. post acceptance of the project has been reached. Legend: C - Creation Year; P - Permanent; S - Superseded; E - Event required before calculating retention; Originator- Originated or acquired the record- Page 104 of 126 Municipal Records Retention Schedule Schedule"A"to By-law 2015-xxx Class Responsible Inactive Series Function!Activity/Sub-Activity/Subject C Case Description Unit Active total Total .Transitory Archival Remarks The function of ensuring the safety of those living,visiting and working within the PS Protective Services(PS) Municipality.This includes the promotion, management and enforcement of fire and emergency services. The activities associated with offering or PS.03 Advice seeking opinions. Includes the process of advising or being advised.Excludes legal advice. Records relating to advice concerning routine Emergency/Fir PS.03.01 Advice-Operational operational matters.Includes, recommendation e Services C+1 1 C+2 C Y letter, circulars. Department Provision of high level advice,eg.To the Mayor,Chairperson or CAO, relating to Emergency/Fir PS.03.02 Advice-High Level substantive aspect of Municipal policies, e Services C+1 11 C+12 C Y procedures,functions,obligations and Department liabilities. Includes, requests responses. The activities associated with the pursuit of influencing outcomes on behalf of the PS.04 Advocating community where the Municipality acts as an advocate on issues of concern which may include political,economic,environmental or social issues that affect the community. Records that document interaction between the Emergency/Fir PS.04.01 Advocating—Non-Significant Municipality and other bodies on non-significant a Services C+1 - C+1 C N issues. Includes, requests, responses. Records relating to the interaction between the Municipality and other bodies on significant Emergency/Fir PS.04.02 Advocating-Significant issues of public interest and debate,or of value e Services C+1 11 C+12 C Y to the history of the Municipality. Includes, Department petitions, media clippings. Legend: C - Creation Year; P - Permanent; S - Superseded; E - Event Required before calculating retention; Originator- Originated or acquired the record. Page 105 of 126 Municipal Records Retention Schedule Schedule"A"to By-law 2015-xxx Class Responsible Inactive Series Function!Activity/Sub-Activity/Subeec#1 Case Descrip#ian Unit Active total Total Transitory Archival Remarks The activities associated with complying with mandatory accountability,fiscal, legal, regulatory,operational or quality standards or requirements to which the Municipality is subject. Includes compliance with legislation PS.20 Compliance such as Environmental Protection Act, Municipal Act,Taxation Act, Financial Administration Act, Highway Traffic Act, Occupational Health and Safety Act, Fire Protection and Prevention Act,Municipal Freedom of Information and Protection of Privacv Act,etc. Records relating to Municipal compliance with mandatory requirements imposed by governing Emergency/Fir PS.20.01 —Compliance Requirement bodies. Includes proof of compliance with p q internal and external standards,statutory and e Services S 10 S+10 C Y Department operational requirements. Includes, breathing apparatus test results,protocols. Records relating to serious breaches of Emergency/Fir compliance requirements that leads to major E=Remedy of breach PS.20.02 Compliance—Breach public interest and debate or court action. e Services E+1 1 E+2 C Y or delivery of judgement Includes,complaints, notices. Department The activities involved in arranging,procuring PS.23 Contracting and managing the performance of work or the provision of goods and services by an external contractor or consultant. Records relating to the hiring and use of consultants, contractors and suppliers which results in a major contract. Major contracts are Corporate PS.23.01 Contracting-Major contracts of a significant nature in terms of Services- E+1 P P C Y E=Expiry of contract dollar value, major public interest and debate Purchasing or of value to the history of the Municipality. Includes,contracts. Records relating to the hiring and use of PS.23.02 Contracting-Minor consultants,contractors and suppliers which Originator E+1 6 E+7 C Y E=Expiry of contract results in a minor contract. Includes,contracts. The activities associated with developing and providing information about Municipal related PS.31 Education issues to the community through media campaigns,school programs and visits,talks and training to those external to the Municipalitv Records relating to arrangements for education Emergency/Fir PS.31.01 Education—Arrangements programs.Includes, requests for speakers, e Services C+1 - C+1 C Y bookings. I Department Legend: C - Creation Year; P - Permanent; S - Superseded; E - Event Required before calculating retention; Originator- Originated or acquired the record. Page 106 of 126 Municipal Records Retention Schedule Schedule"A"to By-law 2015-xxx Class Responsible Inactive Series Unit total Function!Activity 1 Sub-Activity/Subject/Case Description Active Total Transitory Archival Remarks Records consisting of educational resources Emergency/Fir E=Education campaign PS.31.02 Education-Resource material&Aids materials and aids. Includes,pamphlets, e Services E+1 9 E+10 C+1 Y terminated programs. Department The activities performed to mitigate the PS.34 Emergency Response negative effects of an incident requiring an emergency response. Includes alarm call reports and incident reports. Emergency/Fir E=Date of documented PS.34.01 Emergency Response—Reporting Includes, incident reports,daily occurrence e Services E+1 2 E+3 C+1 y event Retention reports. Department established as per Legal review The activities associated with the processes PS.58 Promotion involved in endorsing,supporting and encouraging the advancement of a service, business enterprise,or organization. Records relating to arrangements of Communicatio PS.58.01 Promotion-Arrangements promotional materials and activities. Includes, C+1 1 C+2 C+1 Y advertisements,address lists. ns&Tourism Records relating to non-substantial promotional Communicatio PS.58.02 Promotion-Non-Substantial materials for Municipal activities,programs and o&Tourism C+1 4 C+5 C+1 Y events. Includes,brochures,action plans. ns The process of handling public reaction to Municipal policies, responsibilities or services. PS.59 Public Reaction Includes anonymous letters, letters of complaint and letters of congratulation or appreciation received from the public.This includes all customer action requests. Records relating to public reaction. Includes, Emergency/Fir PS.59.01 Public Reaction—General working papers. e Services C+1 7 C+8 C Y Department The process of regulating statutory requirements.This is the enforcement of PS.62 Regulating regulatory responsibilities. Includes inspection, authorization,monitoring and enforcement of requirements under legislation. Records relating to the enforcement of regulatory by-laws. Property Standards, E=Delivery of judgment Zoning, Licensing,Signs, Long Grass& PS.62.06 Regulating-Enforcement(Case File) Weeds, Open Air Burning, Noise,etc. Includes, Originator E+1 6 E+7 C+1 y or close of file Retention court records,judgements,occurrence reports, established as per Legal photographs,subpoenas, orders, notices, review complaints. Legend: C - Creation Year; P - Permanent; S - Superseded; E - Event Required before calculating retention; Originator - Originated or acquired the record. Page 107 of 126 Municipal Records Retention Schedule Schedule"A"to By-law 2015-xxx Class Responsible Inactive Series Function/Activity/Sub-Activity/Subject/Case Description unit Active total Total Transitory Archival Remarks Records relating to Licences administered by Emergency/Fir the Municipality.Also includes applications and E=Expiry of license or PS.62.07 Regulating-Licence/Permit Administration permits issued by the Municipality. Includes, e Services E+1 6 E+7 C+1 Y Department p ermit licences,permits,application. Legend: C - Creation Year; P - Permanent; S - Superseded; E - Event Required before calculating retention; Originator - Originated or acquired the record. Page 108 of 126 Municipal Records Retention Schedule Schedule"A"to By-law 2015-xxx Class Responsible Inactive Function!Activity/Sub-Activity/Subject i Case Description Active Total Transitory Archival Remarks Series Unit total The processes associated with initiating or providing a formal response to a situation or request(either internal,external or as a requirement of corporate policies),and to PS.63 Reporting provide formal statements or findings of the results of their examination or investigation. Includes agenda,briefing,business,discussion papers,proposals, reports, reviews and returns. Records relating to the reporting of non- PS.63.01 Reporting-Administrative Reporting significant programs,projects and events. Originator C+1 6 C+7 C Y Includes reports. Records relating to the reporting of significant Municipal PS.63.02 Reporting-Committee&Council programs, projects and events. Includes, Clerk's C+1 P P C Y reports. Department Records relating to support documentation. PS.63.03 Reporting-Facilitative Documentation Also includes surveys and questionnaires. Originator E+1 5 E+6 C Y E=Final report Includes,working papers,supporting completed documentation surve s discussion papers. The process involving the identification of risks and the implementation of appropriate PS.64 Risk Management practices and procedures. Includes activities associated with planning for emergency events either inside or outside the municipality. Risk management plans and implemented disaster plans. Includes post-disaster documentation.Also includes Emergency Emergency/Fir PS.64.01 Risk Management—Planning Management Plans, Emergency Evacuation e Services S+1 6 S+7 C Y Plans and Disaster Response. Includes, Department emergency management plans,fire safety tans. Records relating to risk management review. Also includes records relating to the testing of Emergency/Fir PS.64.02 Risk Management-Reporting the Municipality's risk management plans, e Services C+1 P P C+1 Y emergency evacuation and response. Includes, Department final reports. Working files relating to risk management Emergency/Fir PS.64.03 Risk Management—Facilitative Documentation planning and/or review. Includes,responses e Services E 2 E+2 C+1 Y E=Final report notes research correspondence. Department completed Legend: C - Creation Year; P - Permanent; S - Superseded; E - Event Required before calculating retention; Originator - Originated or acquired the record. Page 109 of 126 Municipal Records Retention Schedule Schedule"A"to By-law 2015-xxx Glass Responsible Inactive Series Function I Activity i Sub Activity/Subject/Case Description Unit Active total Total Transitory`'Archival Remarks The activities involved in collecting,analysing, PS.77 Investigation and reporting on incidents pertaining to firefi hting activities. Records relating to investigations of individual fire incidents conducted by Emergency/Fire Services that do not lead to court action. Includes investigative reports,supplemental Emergency/Fir E=Close of file PS.77.01 Investigation—Fire Investigations(No Court Action) reports,photographs,maps,drawings, e Services E+1 1 E+2 C y Retention established as correspondence, laboratory reports, notes,and Department other relevant records. Excludes Enforcement p per Legal review activities.See PS.62. Includes, correspondence, logs,reports,call reports leading to investi ation. Records relating to investigations of individual fire incidents conducted by Emergency/Fire Services that lead to court action. Includes investigative reports,supplemental reports, Emergency/Fir PS.77.02 Investigation—Fire Investigations(Court Action) photographs,maps,drawings, e Services E+1 14 E+15 C y E=Delivery of correspondence,laboratory reports, notes,and Department judgement other relevant records. Excludes Enforcement activities.See PS.62. Includes, correspondence, logs, reports,call reports leadina to investigation. Legend: C - Creation Year; P - Permanent; S - Superseded; E - Event Required before calculating retention; Originator - Originated or acquired the record. Page 110 of 126 Municipal Records Retention Schedule Schedule"A"to By-law 2015-xxx Class Responsible Inactive Function/Activity/Sub-Activity 1 Subject I Case Description Active Total Transitory Archival Remarks Series Unit total The function of providing resources,services and programs that enrich and support the recreational,cultural,and social and RC Recreation&Cultural Services(RC) information needs of the community.This includes records regarding the provision of services and programs to the community such as recreational programming,community events and library services. The activities associated with offering or RC.03 Advice seeking opinions. Includes the process of advising or being advised. Excludes legal advice. Records relating to advice concerning routine RC.03.01 Advice-Operational operational matters. Includes, recommendation Originator C+1 - C+1 C y letter,circulars. Provision of high level advice,eg.To the Mayor,Chairperson or CAO, relating to RC.03.02 Advice-High Level substantive aspect of municipal policies, Originator C+2 10 C+12 C Y procedures,functions,obligations and liabilities. Includes requests, responses. The activities associated with the pursuit of influencing outcomes on behalf of the RC.04 Advocating ' community where the Municipality acts as an advocate on issues of concern which may include political,economic,environmental or social issues that affect the community. Records that document interaction between the RC.04.01 Advocating—Non-Significant Municipality and other bodies on non-significant Originator C+1 - C+1 C N issues. Records relating to the interaction between the Municipality and other bodies on significant RC.04.02 Advocating-Significant issues of public interest and debate, or of value Originator C+1 9 C+10 C Y to the history of the Municipality. Includes, petitions,media clippings. Legend: C - Creation Year; P - Permanent; S - Superseded; E - Event Required before calculating retention; Originator- Originated or acquired the record- Page 111 of 126 Municipal Records Retention Schedule Schedule"A"to By-law 2015-xxx Class - Responsible Inactive Function t Activity I Sub Activity I Subject I Case Description Active Total Transitory Archival Remarks Series Unit total The activities associated with complying with mandatory accountability,fiscal, legal, regulatory,operational or quality standards or requirements to which the Municipality is subject. Includes compliance with legislation RC.20 Compliance such as Ministry of Tourism and Recreation Act, Municipal Act,Community Recreation Centres Act,Occupational Health and Safety Act, Fire Protection and Prevention Act,Ontario Heritage Act,Municipal Freedom of Information and Protection of Privacy Act,etc. Records relating to municipal compliance with mandatory requirements imposed by governing RC.20.01 Compliance—Requirement bodies. Includes proof of compliance with Originator S 7 S+7 C Y internal and external standards,statutory and operational requirements. Includes,WHIMS, AODA. Records relating to serious breaches of compliance requirements that leads to major E=Remedy of breach RC.20.02 Compliance—Breach public interest and debate or court action. Originator E+1 1 E+2 C Y or delivery of judgement Includes complaints, notices. The activities involved in the preservation, RC.21 Conservation protection,maintenance,restoration and enhancement of artefacts. Records relating to conservation and RC.21.03 Conservation-Heritage restoration of items of heritage significance. Originator C+1 P P C Y Includes,plans,submissions, reports,progress reports. Legend: C - Creation Year; P - Permanent; S - Superseded; E - Event Required before calculating retention; Originator- Originated or acquired the record. Page 112 of 126 Municipal Records Retention Schedule Schedule"A"to By-law 2015-xxx Class Responsible - inactive Series Function I Activity 1 Sub-Activity I Subject!Case Description unit Active total Total Transitory Archival Remarks The activities involved in arranging,procuring RC.23 Contracting and managing the performance of work or the provision of goods and services by an external contractor or consultant. Records relating to the hiring and use of consultants, contractors and suppliers which results in a major contract. Major contracts are Corporate RC.23.01 Contracting-Major contracts of a significant nature in terms of Services- E+1 P P C Y E=Expiry of contract dollar value,major public interest and debate Purchasing or of value to the history of the Municipality. Includes, contracts. Records relating to the hiring and use of RC.23.02 Contracting inor consultants,contractors and suppliers which g results in a minor contract as per the Originator E+1 6 E+7 C Y E=Expiry of contract Purchasing BV-law. Includes contracts. The activities associated with developing and providing information about municipal related issues to the community through media RC.31 Education campaigns,school programs and visits,talks and training to those external to the Municipality. Excludes training for Personnel. See HR.54.03 Records relating to arrangements for education RC.31.01 Education—Arrangements programs. Includes, requests for speakers or Originator C+1 - C+1 C Y trainers bookings. Records consisting of educational resources materials and aids. Includes records relating to RC.31.02 Education-Resource Materials&Aid's education programs such as workshops. See Originator E+1 4 E+5 C Y E=Education session no IM.60 Promotion for records relating to longer provided. promotion activities. Includes,pamphlets, programs. The process of planning,managing, coordinating,assessing promoting and reporting on an event. Events include ceremonies,celebrations,conferences and RC.37 Event Management functions.This includes events organised by the Municipality and the processes associated with approval and promotion of events held in the municipal area.This relates to events managed by the Municipality and includes civic receptions and Mayoral Gala Performances. Records relating to the consolidated RC.37.03 Event Management-Non-significant documentation of non-significant events. Originator C+1 1 C+2 C+1 Y Includes fairs parades,photographs. Legend: C - Creation Year; to - Permanent; S - Superseded; E - Event required before calculating retention; Originator - Originated or acquired the record_ Page 113 of 126 Municipal Records Retention Schedule Schedule"A"to By-law 2015-xxx Class Responsible Inactive Series Function t Activity 7 Sub-Activity/Subject/Case Description Unit Active fatal Total Transitory Archival Remarks Records relating to the consolidated RC.37.04 Event Management—Significant documentation of significant events. Includes, Originator C+1 P P C+1 Y fiinal reports,speeches,invitations, photographs,filming,cadidates lists. Records relating to promotional materials for RC.37.05 Event Management—Promotion municipal events. Includes,promotional Originator C+1 1 C+2 C+1 Y material advertisements. RC.37.06 Event Management—Reporting Records relating to the administrative reporting Originator C+1 1 C+2 C+1 Y of an event. Includes, report. Legend_ C - Creation Year; P - Permanent; S - Superseded; E - Event Required before calculating retention; Originator - Originated or acquired the record. Page 114 of 126 Municipal Records Retention Schedule Schedule"A"to By-law 2015-xxx Glass Responsible Inactive Series Function!Activity/Sub-Activity ISubject/Case Description Unit Active total Total Transitory Archival Remarks The activities associated with the management and staging by the Municipality of exhibitions, RC.38 Exhibition and Collection Management displays, local history collections,art and museum collections. See RC.37-Event Management for records relating to exhibition openings. Records relating to the acquisition and management of art and museum collections. Also includes documentation of exhibitions and displays held by the Municipality, requests to RC.38.01 Exhibition and Collection Management-General hold exhibitions that are or are not proceeded Originator E+1 4 E+5 C+1 Y E=Last date of activity with,and facilitative records relating to the organising of exhibitions. Includes,register of collection, list of artworks,exhibition plans, artists information. Records relating to artifacts donated or issued Note:Retain contact RC.38.02 Exhibition and Collection Management-Artifacts by the Municipality.Includes, notifications, Originator C+1 6 C+7 C+2 Y information until artefact reports,acknowledgments, register. is returned The activities involved in the management of RC.57 Programs&Services Administration an ongoing series of actions including planning, implementing,monitoring,and assessing a program and/or service. Records relating to the activities of certifying a Programs&Services Administration—Program registrant who has successfully completed Community RC.57.03 Certification training program. Includes test results and Services C+1 9 C+10 C+1 Y certificates of completion. Includes,test results, Department certificates of completion. Records that document the activities involved Community RC.57.04 Programs&Services Administration—Development in developing a municipal program and/or Services C+1 4 C+5 C+1 Y service. Includes,drafts, research, Department correspondence. Records that document the activities involved Community RC.57.05 Programs&Services Administration—Facilitating in operating a municipal program and/or Services C+1 4 C+5 C+1 Y service. Includes,day books, invitation lists. Department Records relating to promotional materials for a RC.57.06 Programs&Services Administration—Promotion municipal program and/or service. Includes, Originator C+2 - C+2 C+1 y promotional material,advertisements. Programs&Services Administration—Program& Records relating to registering into a municipal Community RC.57.07 Membership Registration(Adults) program. Includes, registration of interest, par Services C+1 4 C+5 C+1 Y q program registration. Department Legend: C - Creation Year; P - Permanent; S - Superseded; E - Event Required before calculating retention; Originator - Originated or acquired the record. Page 115 of 126 Municipal Records Retention Schedule Schedule"A"to By-law 2015-xxx Class Function/Activity/Sub-Activity/Subject/Case Description Responsible Active inactive Total Transitory Archival Remarks Series Unit total Records relating to registering into a municipal E=the day the minor Programs&Services Administration-Registration program where the person registering is under Community became or would have RC.57.08 (Minors) the age of 16. Includes, registration of interest, Services E+1 2 E+3 C+1 Y become 18 yrs.old. Department Retention established as program registration. per Le al review Records relating to the administrative reporting Community RC.57.09 Programs&Services Administration-Reporting of a program. Includes, report. Services C+1 5 C+6 C+1 Y Department The activities associated with the processes RC.58 Promotion involved in endorsing,supporting and encouraging the advancement of a service or programs. Records relating to arrangements of RC.58.01 Promotion-Arrangements promotional materials and activities. Includes, Originator C+1 1 C+2 C+1 Y advertisements,address lists. Records relating to non-substantial promotional RC.58.02 Promotion-Non-Substantial materials for municipal activities,programs and Originator C+1 4 C+5 C+1 Y events. Includes,brochures,action plans. Records relating to substantial promotional materials for municipal activities,programs and events.Records documenting marketing RC.58.03 Promotion-Substantial campaigns,and the promotion of community Communicatio C+1 9 C+10 C+2 Y services including the distribution of ns&Tourism promotional material and the provision of council souvenirs. Includes, brochures,action plans. The process of handling public reaction to municipal policies, responsibilities or services. RC.59 Public Reaction Includes anonymous letters,letters of complaint and letters of congratulation or appreciation received from the public.This includes all customer action requests. Records relating to public reaction. Includes, RC.59.01 Public Reaction—General working papers,complaints, letter of Originator C+1 1 C+2 C Y appreciation. The processes associated with initiating or providing a formal response to a situation or request(either internal,external or as a requirement of corporate policies),and to RC.63 Reporting provide formal statements or findings of the results of their examination or investigation. Includes agenda,briefing,business,discussion papers,proposals,reports, reviews and returns. Records relating to the reporting of non- RC.63.01 Reporting-Administrative significant programs,projects and events. Originator C+1 6 C+7 C Y Includes reports,daily statements. Legend: C - Creation Year; P - Permanent; S - Superseded; E - Event Required before calculating retention; Originator - Originated or acquired the record_ Page 116 of 126 Municipal Records Retention Schedule Schedule"A"to By-law 2015-xoa Class Responsible inactive Series Function/Activity/Sub-Activity/Subject/Case Description Unit Active total Total Transitory Archival Remarks Records relating to the reporting of significant Municipal RC.63.02 Reporting-Committee&Council programs,projects and events. Includes, Clerk's C+1 P P C Y reports. Department Records relating to support documentation. RC.63.03 Reporting Facilitative Records Also includes surveys and questionnaires. E=Final report p g Includes,working papers,supporting Originator E+1 5 E+6 C Y completed. documentation,surveys,discussion papers. Legend: C - Creation Year; P - Permanent; S - Superseded; E - Event Required before calculating retention; Originator - Originated or acquired the record. Page 117 of 126 Municipal Records Retention Schedule Schedule"A"to By-law 2015-xxx Class Responsible Inactive Function I Activity/Sub-Activity 1 Subject/Case Description Unit total Active Total Series Transitory Archival Remarks The function of managing communications and information technology and databases to support the business operations of the TC Technology&Communication(TC) municipality.Also includes communication network systems such as voice mail and electronic mail and the technical aspects of the internet and intranet. The activities associated with offering or TC.03 Advice seeking opinions.Includes the process of advising or being advised. Excludes legal advice. Records relating to advice concerning routine Corporate TC.03.01 Advice-Operational operational matters. Includes, recommendation Services—IT C+1 - C+1 C Y letter,circulars. Provision of high level advice,eg.To the Mayor, Chairperson or CAO, relating to Corporate TC.03.02 Advice-High Level substantive aspect of municipal policies, Services—IT C+1 4 C+5 C Y Administrative Value procedures,functions,obligations and liabilities. Includes, requests, responses. The activities associated with the pursuit of influencing outcomes on behalf of the TC.04 Advocating community where the Municipality acts as an advocate on issues of concern which may include political,economic,environmental or social issues that affect the community. Records that document interaction between the Corporate TC.04.01 Advocating—Non-Significant Municipality and other bodies on non-significant Services—IT C+1 - C+1 C N issues. Includes,requests, responses. Records relating to the interaction between the Municipality and other bodies on significant Corporate TC.04.02 Advocating-Significant issues of public interest and debate,or of value Services—IT C+1 9 C+10 C Y to the history of the Municipality. Includes, petitions, media clippings. Legend: C - Creation Year; P - Permanent; S - Superseded; E - Event Required before calculating retention; Originator - Originated or acquired the record- Page 118 of 126 Municipal Records Retention Schedule Schedule"A"to By-law 2015-xxx Class Responsible Inactive Series Function/Activity/Sub-Activity/Subject!Case Description unit Active total Total Transitory Archival Remarks The activities associated with complying with mandatory accountability,fiscal,legal, regulatory,operational or quality standards or TC.20 Compliance requirements to which the Municipality is subject.Includes compliance with legislation such as the Municipal Act,and Municipal Freedom of Information and Protection of Privacv Act. Records relating to municipal compliance with mandatory requirements imposed by governing TC.20.01 —Compliance Requirement bodies. Includes proof of compliance with Corporate p q internal and external standards,statutory and Services—IT S 7 S+7 C Y Administrative Value operational requirements. Includes,orders, software licenses. Records relating to serious breaches of TC.20.02 Compliance—Breach compliance requirements that leads to major Corporate E+1 1 E+2 C Y E=Remedy of breach public interest and debate or court action. Services—IT or delivery of judgement Includes complaints notices. The activities involved in arranging,procuring TC.23 Contracting and managing the performance of work or the provision of goods and services by an external contractor or consultant. Records relating to the hiring and use of consultants,contractors and suppliers which results in a major contract.Major contracts are Corporate TC.23.01 Contracting-Major contracts of a significant nature in terms of Services- E+1 P P C Y E=Expiry of contract dollar value,major public interest and debate Purchasing or of value to the history of the Municipality. Includes.contracts. Records relating to the hiring and use of consultants,contractors and suppliers which TC.23.02 Contracting-Minor results in a minor contract as per p he Originator E+1 6 E+7 C Y E=Expiry of contract p Administrative Value Purchasing By-law. Includes,contracts. The processes associated with initiating or providing a formal response to a situation or request(either internal,external or as a requirement of corporate policies),and to TC.63 Reporting provide formal statements or findings of the results of their examination or investigation. Includes agenda,briefing,business,discussion papers,proposals,reports, reviews and returns. Records relating to the reporting of non- Corporate TC.63.01 Reporting-Administrative Reporting significant programs, projects and events. Services-IT C+1 6 C+7 C Y Administrative Value Includes reports,dailV statements. Legend: C - Creation Year; P- Permanent; S - Superseded; E - Event Required before calculating retention; Originator - Originated or acquired the record. Page 119 of 126 Municipal Records Retention Schedule Schedule"A"to By-law 2015-xxx Class Responsible Inactive Series Function!Activity/Sub-Activity CSubject/Case Description Unit- Active total Total Transitory Archival Remarks Records relating to the reporting of significant Municipal TC.63.02 Reporting-Committee&Council programs, projects and events. Includes, Clerk's C+1 P P C Y reports. Department Records relating to support documentation. TC.63.03 Reporting Facilitative Records Also includes surveys and questionnaires. Corporate E=Final report p g Includes,working papers,supporting Services-IT E+1 5 E+6 C Y completed documentation surve s,discussion papers. The activities associated with measures taken to protect people,premises,equipment,system TC.66 Security networks or information from accidental or intentional damage and from unauthorised access. Records relating to security restrictions applied to our corporate IT networks.Also includes user identifications,passwords,and TC.66.01 Security-Access/Restrictions security/workgroup specifications. See Corporate E 15 E+15 C+5 Y E=Cessation of TC.72.05—System Administration(Reporting) Services-IT individual or group for records relating to the reporting of system activities. Includes,workgroup specifications, security resisters. Records relating to breaches of security or incidents resulting in the laying of charges or TC.66.02 Security-Breaches where sabotage is strongly suspected Includes Corporate E+1 6 E+7 C Y E=Close of file records relating to malicious software(viruses, Services-IT Administrative Value worms,trojans and bots). Includes, reports, investigation records,complaints. The activities associated with keeping TC.72 System Administration computer and communication networks and systems in effective operation on a daily basis. Includes user support. Records relating to the administration of data held within a system. Includes records relating to the maintenance of data standards,data definitions and data dictionaries. Includes records that explain the meaning,purpose, Corporate TC.72.01 System Administration-Data Administration logical relationship, use and origin of data.Also Services-IT S+1 1 S+2 C+1 Y includes records relating to the migration of information and communications systems and data from one platform to another. Includes, data dictionaries,system upgrade strategy's, data definitions. Records relating to technical support provided TC.72.02 System Administration—User Su to end users in resolving problems,difficulties Corporate y pp ort and undertaking improvements in information Services-IT C+1 4 C+5 C+1 Y technology. Includes, IT support records. Legend= C - Creation Year; P - Permanent; S - Superseded; E - Event Required before calculating retention; Originator- Originated or acquired the record. Page 120 of 126 Municipal Records Retention Schedule Schedule"A"to By-law 2015-xxx Class Responsible Inactive Series Function/Activity 1 Sub-Activity/Subject/Case Description Unit Active total Total Transitory Archival Remarks Records relating to the installation of computer systems and communication networks/systems. Includes activities surrounding application configuration settings,design files such as reports design,metadata templates, business TC.72.03 System Administration-Installation&Configuration process map automation,etc.Also includes Originator E+1 1 E+2 C+1 Y E=Disposal of hardware records relating to operating manual. Excludes or software paper or electronic forms.See IM.16.02— Capture(Information)for records relating to forms design. Includes,workflow designs, metadata templates. The activities involving a defined series of actions including planning, implementing, monitoring and the final assessment and report TC.72.04 System Administration-Project Management at completion of a project. Note:This includes Corporate E+1 4 E+5 C+1 Y E=Completion of project the selection,implementation and testing of Services-IT Administrative Value new software packages. Includes, implementation plan,project reports, correspondence. Records relating to the reporting system activities. Includes records relating to system usage including LAN and WAN usage reports, TC.72.05 System Administration-Reporting Internet service logs,etc.Also includes records Corporate y p g relating to periodic data reports used for Services-IT C+1 1 C+2 C+1 Y Administrative Value checking,monitoring,and other routine administrative purposes. Includes, logs, re orts. Includes records relating to risk management initiatives such as strategies for backing-up or Corporate TC.72.06 System Administration—Risk Management copying of data for risk management purposes. S+1 1 S+2 C+1 Y Includes,safeguard strategies,disaster Services-IT recoverV plans. Legend: C - Creation Year; P - Permanent; S - Superseded; E - Event Required before calculating retention; Originator- Originated or acquired the record. Page 121 of 126 Municipal Records Retention Schedule Schedule"A"to By-law 2015-xxx Class Responsible Inactive Series Function/Activity/Sub-Activity/Subject/Case Description Unit Active total Tofial Transitory Archival Remarks The function of controlling,managing and TM Traffic Management(TM) monitoring traffic within the Municipality.This includes safety,traffic management devices, line marking,parking control and clearways. The activities associated with offering or TM.03 Advice seeking opinions. Includes the process of advising or being advised.Excludes legal advice. Records relating to advice concerning routine Engineering TM.03.01 Advice-Operational operational matters. Includes, recommendation Services C+1 - C+1 C Y letter,circulars. Department Provision of high level advice,eg.To the Mayor,Chairperson or CAO, relating to Engineering TM.03.02 Advice-High Level substantive aspect of municipal policies, Services C+1 4 C+5 C Y Administrative Value procedures,functions,obligations and Department liabilities. Includes.requests, responses. The activities associated with the pursuit of influencing outcomes on behalf of the TM.04 Advocating community where the Municipality acts as an advocate on issues of concern which may include political,economic,environmental or social issues that affect the community. Records that document interaction between the Engineering TM.04.01 Advocating—Non-Significant Municipality and other bodies on non-significant Services C+1 - C+1 C N issues. Includes, requests, responses. Department Records relating to the interaction between the Municipality and other bodies on significant Engineering TM.04.02 Advocating-Significant issues of public interest and debate,or of value Services C+1 9 C+10 C Y Administrative Value to the history of the Municipality. Includes, Department petitions, media clippings. Legend: C - Creation Year; P - Permanent; S - Superseded; E - Event required before calculating retention; Originator - Originated or acquired the record. Page 122 of 126 Municipal Records Retention Schedule Schedule"A"to By-law 2015-xxx Class Responsible Inactive Series Function/Activity/Sub-Activity/Subject/Case Description Unit Active total Total Transitory Archival Remarks " The activities associated with complying with mandatory accountability,fiscal, legal, regulatory,operational or quality standards or requirements to which the Municipality is subject. Includes compliance with legislation_ TM.20 Compliance such as Environmental Protection Act, Municipal Act,Taxation Act, Financial Administration Act,Highway Traffic Act, Occupational Health and Safety Act,Fire Protection and Prevention Act,Municipal Freedom of Information and Protection of Privacv Act.etc. Records relating to municipal compliance with mandatory requirements imposed by governing TM.20.01 Compliance—Requirement bodies. Includes proof of compliance with Originator S+1 6 S+7 C y Administrative Value internal and external standards,statutory and operational requirements.Includes, orders. Records relating to serious breaches of TM.20.02 Compliance—Breach compliance requirements that leads to major Originator E+1 1 E+2 C y E=Remedy of breach public interest and debate or court action. or delivery of judgement Includes complaints notices. Records relating to the activities involved with examining a person,group,system,process, project or product in order to determine Engineering TM.20.03 Compliance—Verification(Internal Audit) whether or not compliance with a regulation, Services C+1 6 C+7 C y requirement,specification or imposed condition are being met. Includes, inspections, surveillance/monitoring records. Legend_ C - Creation Year; P - Permanent; S - Superseded; E - Event Required before calculating retention; Originator - Originated or acquired the record. Page 123 of 126 Municipal Records Retention Schedule Schedule"A"to By-law 2015-xxx Glass Responsible Inactive Function/Activity/Sub-Activity/Subject i Case Description Active Total Transitory Archival Remarks Series Unit total The activities involved in arranging,procuring TM.23 Contracting and managing the performance of work or the provision of goods and services by an external contractor or consultant. Records relating to the hiring and use of consultants, contractors and suppliers which results in a major contract.Major contracts are Corporate TM.23.01 Contracting-Major contracts of a significant nature in terms of Services- E+1 P P C Y E=Expiry of contract dollar value,major public interest and debate Purchasing or of value to the history of the Municipality. Includes contracts, levies. Records relating to the hiring and use of consultants,contractors and suppliers which E=Expiry of contract TM.23.02 Contracting-Minor results in a minor contract as per the Originator E+1 6 E+7 C Y Administrative Value Purchasing By-law. Includes,contracts. The process of handling public reaction to municipal policies, responsibilities or services. TM.59 Public Reaction Includes anonymous letters, letters of complaint and letters of congratulation or appreciation received from the public.This includes all customer action requests. Records relating to public reaction. Includes, Engineering TM.59.01 Public Reaction-General Services C+1 1 C+2 C Y complaints, responses,petitions, requests. Department The process of regulating statutory requirements.This is the enforcement of TM.62 . Regulating regulatory responsibilities.Includes inspection, authorization,monitoring and enforcement of requirements under legislation. Regulating-Enforcement(Certificate of Offence, Part Records relating to office copies of Part II Municipal Law Administrative Value TM.62.04 II) charges. Includes,certificate of offence, Enforcement C+1 6 C+3 C+1 Y Retention established as registers. Division per Legal review Regulating-Enforcement(Certificate of Offence, Part Records relating to office copies of Part III Municipal Law TM.62.05 III) charges.Includes,certificate of offence, Enforcement E+1 9 E+10 C+1 Y E=Case Closed registers. Division Records relating to the enforcement of regulatory by-laws.Property Standards, Zoning, Licensing,Signs, Long Grass& Municipal Law E=Delivery of judgment TM.62.06 Regulating-Enforcement(Case File) Weeds,Open Air Burning, Noise,etc. Includes, Enforcement E+1 6 E+7 C+1 Y or close of file. court records,judgements,occurrence reports, Division Retention established as photographs,subphoenas,orders, notices, per Legal review complaints. Legend: C - Creation Year; P - Permanent; S - Superseded; E - Event Required before calculating retention; Originator - Originated or acquired the record. Page 124 of 126 Municipal Records Retention Schedule Schedule"A"to By-law 2015-xxx Glass Responsible Inactive Series Function/Activity 1Sub-Activity l Subject t Case Description unit Active total Total Transitory Archival Remarks Records relating to Licences administered by the Municipality.Also includes applications and permits issued by the Municipality. Includes E=Expiry of license or TM.62.07 Regulating-Licence/Permit Administration records relating to municipal products and/or Originator E+1 6 E+7 C+1 Y permit. Administrative services that forms part of the licence and/or Value permit.Includes, licences,permits(i.e. road occupancy),application,correspondence. Records relating to the placement of signs within the Municipality. Includes speed limit TM.62.11 Regulating—Signs signs in relation to work areas and work sites. Originator C+1 5 C+6 C+1 Y Includes, road works sign placement forms, applications. The processes associated with initiating or providing a formal response to a situation or request(either internal,external or as a requirement of corporate policies),and to TM.63 Reporting provide formal statements or findings of the results of their examination or investigation. Includes agenda,briefing,business,discussion papers,proposals,reports,reviews and returns. Records relating to the reporting of non- Engineering TM.63.01 Reporting-Administrative Reporting significant programs,projects and events. Services C+1 6 C+7 C Y Administrative Value Includes, reports. Department Records relating to the reporting of significant Municipal TM.63.02 Reporting-Committee&Council programs, projects and events. Includes, Clerk's C+1 P P C Y reports. Department Records relating to support documentation. Also includes surveys and questionnaires. E=Final report TM.63.03 Reporting-Facilitative Records Includes,working papers,supporting Originator E+1 5 E+6 C Y completed documentation,survevs,discussion papers. Legend: C - Creation Year; P - Permanent; S - Superseded; E - Event Required before calculating retention; Originator - Originated or acquired the record, Page 125 of 126 Municipal Records Retention Schedule Schedule"A"to By-law 2015-xxx Class Responsible Inactive Series Function tActivity/Sub-Activity!Subject 1 Case Description unit Active total Total Transitory Archival Remarks The process of compiling additional information that may be required through the planning analysis,council deliberation,and/or public participation processes in determining the TM.71 Studies suitability and effectiveness of potential or existing programs,projects, items of . equipment,systems or services in relation to meeting the needs of a given situation. Includes on oino monitoring. Working copies of records relating to establishing a final report. Includes such things Engineering TM.71.01 Studies-Facilitative Records as responses to surveys/questionnaires and Services E+1 1 E+2 C+1 Y E=Completion of final research/reference material where results and Department report findings have been included in a report. Includes,survey,questionnaires,draft reports. Final report detailing the evaluation criteria,the Engineering TM.71.02 Studies—Official Copies study findings,and the recommendations. Services C+1 4 C+5 C+1 Y Department Legend: C - Creation Year; P - Permanent; S - Superseded; E - Event required before calculating retention; Originator- Originated or acquired the record. Page 126 of 126