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THE DISTRICT MUNICIPALITY OF MUSKOKA AND THE CORPORATIONS OF THE TOWN OF BRACEBRIDGE, THE TOWN OF GRAVENHURST AND THE TOWNSHIP OF MUSKOKA LAKES CONTRACT NO. 15-130317-01 REQUEST FOR PROPOSALS: SUPPLY, IMPLEMENT AND PROVIDE ONGOING SUPPORT SERVICES WITH RESPECT TO AN ELECTRONIC DOCUMENT AND RECORDS MANAGEMENT SYSTEM SUBMISSION DEADLINE: WEDNESDAY, AUGUST 12, 2015 NOT LATER THAN 2:00 p.m. EASTERN DAYLIGHT TIME PROPOSALS RECEIVED AFTER THE CLOSING DATE AND TIME WILL NOT BE ACCEPTED. Submit to: Leanna Kerswell Coordinator, Records Management The District Municipality of Muskoka 70 Pine Street BRACEBRIDGE, ON P1L 1N3

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Page 1: THE DISTRICT MUNICIPALITY OF MUSKOKA AND …...70 Pine Street BRACEBRIDGE, ON P1L 1N3 Contract REQUEST FOR PROPOSALS CONTRACT NO. 15-130317-01 The District Municipality of Muskoka

THE DISTRICT MUNICIPALITY OF MUSKOKA AND THE CORPORATIONS OF THE TOWN OF BRACEBRIDGE,

THE TOWN OF GRAVENHURST AND THE TOWNSHIP OF MUSKOKA LAKES

CONTRACT NO. 15-130317-01

REQUEST FOR PROPOSALS: SUPPLY, IMPLEMENT AND

PROVIDE ONGOING SUPPORT SERVICES WITH RESPECT TO AN ELECTRONIC DOCUMENT AND RECORDS MANAGEMENT SYSTEM

SUBMISSION DEADLINE: WEDNESDAY, AUGUST 12, 2015

NOT LATER THAN 2:00 p.m. EASTERN DAYLIGHT TIME

PROPOSALS RECEIVED AFTER THE CLOSING DATE AND TIME WILL NOT BE ACCEPTED.

Submit to:

Leanna Kerswell

Coordinator, Records Management The District Municipality of Muskoka

70 Pine Street BRACEBRIDGE, ON P1L 1N3

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REQUEST FOR PROPOSALS

CONTRACT NO. 15-130317-01

The District Municipality of Muskoka and The Corporations of the Town of Bracebridge, the Town of Gravenhurst and the Township of Muskoka Lakes are requesting proposals from qualified Proponents to supply, implement and provide ongoing support of an Electronic Document and Records Management System. Proposals will be received by: The District Municipality of Muskoka

70 Pine Street BRACEBRIDGE, ON P1L 1N3

Until: 2:00 p.m., Eastern Daylight Time (EDT),

Wednesday, August 12, 2015 The Request for Proposal document is available free of charge in an electronic format only from The District Municipality of Muskoka’s website at www.muskoka.on.ca, click on “Tenders, RFPs & RFQs” under “Popular Links”. Proponents are responsible for verifying with The District Municipality of Muskoka’s website for any addenda accompanying this RFP. Tenders or Quotations will not be accepted. Proponents may only participate in this procurement process by submitting a proposal using the forms supplied in a sealed, envelope or package to the following designated contact:

Leanna Kerswell Coordinator, Records Management The District Municipality of Muskoka

70 Pine Street BRACEBRIDGE, ON P1L 1N3

Contract No. 15-130317-01 - EDRMS RFP - Records Consortium 2

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Index Cover Page 1 Index 3 Checklist for Submitting a Proposal 5 Section A – Information and Instructions to Potential Suppliers and Proponents 6 Item #: 1. Background 6

1.1. Location and Records Consortium Membership 6 1.2. Shared Information Technology Services Initiative 6 1.3. Records Management and Classification Systems 6 1.4. Current Records and Information Related Technology 7

2. Purpose 7

3. Eligibility 8

3.1. Proposal is Required 8 3.2. Eligibility to Submit Proposals 8 3.3. Omissions, Discrepancies and Interpretations 8

4. Project Schedule 9

5. Submission Instructions 9

5.1. Questions/Clarifications 9 5.2. Submission Requirements 10 5.3. Closing Date and Time 10 5.4. Late Submissions 10 5.5. Withdrawal, Amendment and Disqualification 10 5.6. Period of Acceptance 10 5.7. Communications 10

6. Completion of Proposal Form Instructions 11

6.1. Proposal Form Instructions 11 6.2. Proponent Pricing and Pricing Schedule Requirements 11

6.2.1. General 11 6.2.2. Application Licensing 12 6.2.3. Harmonized Sales Tax (H.S.T.) 12

6.3. Detailed Proposal Components 12 6.3.1. Implementation Plan 12 6.3.2. Configuration Plan 13 6.3.3. Training Plan 13 6.3.4. Change Management Plan 13 6.3.5. Product Support Plan 13

6.4. Proponent Profile 13 6.4.1. Corporate Profile 14 6.4.2. Experience and Qualifications of the Proponent 14 6.4.3. Proponent and Key Service Personnel Information 14 6.4.4. References 14

6.5. EDRMS Requirements 14

7. Opening and Evaluation of Proposals 15 7.1. Disqualification/Rejection of Proposals 15 7.2. Rights Reserved by the Records Consortium Members 16 7.3. Evaluation Criteria and Process 17

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7.4. News Release/Publicity 19 7.5. Right to Negotiate 19 7.6. Notices 19 7.7. Joint Submission 19 7.8. Nomination of Sub-Contractors 19 7.9. Ownership of Materials, Reports, Designs, Specifications and Training Materials 20 7.10. Warranty for Usage 20 7.11. Confidentiality 20 7.12. Compliance with the Occupational Health and Safety Act (OHSA) 20 7.13. Compliance with the Municipal Freedom of Information and Protection of Privacy

Act (MFIPPA) 21 7.14. Compliance with the Accessibility for Ontarians with Disabilities Act (AODA) 21 7.15. Changes in Law 21 7.16. Indemnification and Liability Insurance 21

8. Project Overview 22 8.1. Current Situation 23 8.2. Current Technical Environment 23 8.3. Project Goals and Objectives 24 8.4. The Proposed System 25 8.5. Project Scope 25 8.6. Key Project Success Factors 26 8.7. Project Resources and Organizational Structure 27

Section B – Forms

Form 1 – Proposal 29 Form 2 – Price Schedule 31 Form 3 – Proponent Profile 37 Form 4 – Electronic Document and Records Management System (EDRMS)

Requirements Included separately from RFP document

pages 1-18 Section C – TOMRMS Samples

Town of Bracebridge 42 District of Muskoka 54 Town of Gravenhurst 63

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Checklist for Submitting a Proposal Note: This checklist is provided for the convenience of the Proponents and is part of the Request for Proposal (hereinafter referred to as ‘RFP’). It will not be considered in evaluating Proposals, but is intended to assist Proponents to submit compliant Proposals. Proponents should be aware that the checklist may not include all Proposal requirements. Please review the requirements of the RFP and the items below for compliance before submitting your Proposal. RFP read and understood, and any questions have been submitted to the Designated Contact

and answered.

All documents required by the RFP sealed in an envelope, box, container or package clearly identified as instructed in the RFP and affixed securely to the Proponent’s sealed package.

The following typewritten forms must be included as part of the submission with the Proponent’s

full legal name in the spaces provided:

Form 1 - Proposal

Form 2 – Price Schedule

Form 3 – Proponent Profile and required attachments

Form 4 – EDRMS Requirements

All other required forms and attachments as identified in the RFP document

One (1) original Proposal Submission and required forms with original signature of the Proponent in non-erasable medium (ink) in the spaces provided. Failure to do so shall result in the Proposal Submission being rejected.

Four (4) photocopies of the complete Proposal Submission included.

Two (2) USB flash drives, DVDs or CDs with the complete Proposal Submission included.

Any erasures, overwriting or strike-outs initialled.

Proposal conforms to all other requirements of the RFP Document.

All addenda received and clearly identified on Form 1 – Proposal. Failure to acknowledge

receipt of all addenda on Form 1 – Proposal will result in your Proposal Submission being rejected.

Proposal delivered and date and time-stamped on or before the Closing Time on the Closing

Date.

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SECTION A – INFORMATION AND INSTRUCTIONS TO POTENTIAL SUPPLIERS AND PROPONENTS

1. BACKGROUND

1.1. Location and Records Consortium Membership Muskoka is located two hours north of Toronto. Known for its natural beauty and abundant lakes and waterways, Muskoka has been a vacation area of choice in Ontario for well over 100 years. Several thriving urban centres provide excellent shopping and entertainment services and economic development opportunities. First class resorts, artisans’ shops and visitor attractions complement the heritage landscape and growing communities. With a significant seasonal population, Muskoka is able to offer many amenities normally associated with larger cities, while maintaining the attractive lifestyle of small communities. Muskoka closely parallels other Regional Municipalities in Ontario with The District Municipality of Muskoka (District of Muskoka) forming the upper-tier of a two-tier system of local government. The Town of Bracebridge, the Town of Gravenhurst and the Township of Muskoka Lakes are three of the lower-tier municipalities collaborating on this project with the District of Muskoka (collectively the four municipalities shall jointly hereinafter be referred to as the ‘Records Consortium’) in the joint RFP process.

1.2. Shared Information Technology Services Initiative

The Records Consortium members are involved in a shared Information Technology (IT) services initiative. These services include network and server administration and support, a common authentication (password and security management), common technology and email standards, centralized technology purchasing and license and vendor management, archival administration and business continuity planning, and Service Desk Support. The District of Muskoka and the Towns of Bracebridge and Gravenhurst share a common data centre, while servers for the Township of Muskoka Lakes are located at their municipal office. Access security to shared drives through Active Directory is being implemented for all Records Consortium members and will serve as the basis of the security in the multi-tenant repository. This shared services model has provided the members with the ability to leverage their resources in order to utilize IT services and software products at a level that would not be achievable if undertaken separately.

1.3. Records Management and Classification Systems

The Town of Bracebridge has implemented The Ontario Municipal Records Management System (TOMRMS). The Town of Gravenhurst and the District of Muskoka are in the process of implementing TOMRMS or a customized version (See Section C for samples). The Township of Muskoka Lakes is not currently utilizing a classification system; however, they anticipate that they will adopt the TOMRMS system prior to the phased-in implementation of an Electronic Document and Records Management System (EDRMS). TOMRMS is a three-level, hierarchical classification scheme with retention and other values such as security, Personal Information Bank (PIB) and vital records tied directly to the classification codes. The versions of TOMRMS adopted by the Town of Bracebridge and being implemented by the Town of Gravenhurst have minor variations to the scope notes and retention schedules. It is anticipated that this will also be the case for the Township of Muskoka Lakes. The District of Muskoka has customized TOMRMS with the addition of new classifications along with changes to existing classifications, scope notes and retention schedules in order to meet the requirements of an upper-tier municipality. These factors must be taken into consideration when formulating the cost for the configuration of the TOMRMS file plan within the system as each member is phased into the EDRMS.

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1.4. Current Records and Information Related Technology

The Records Consortium currently holds an Enterprise agreement with Microsoft which includes licensing for SharePoint. The Town of Gravenhurst and the Township of Muskoka Lakes are both utilizing Laserfiche v9 for scanning records into their shared drives. The Records Consortium members are utilizing a variety of methods to scan documentation into their shared drives, including multi-functional printers and specialized scanning devices. The current technical environment is outlined in Item 8.2., Section A. The Records Consortium members are not predisposed to any EDRMS system.

2. PURPOSE

2.1. The Records Consortium is requesting proposals through a joint RFP from qualified

Proponents to supply and implement an extensive but scalable EDRMS system that will include the following capabilities: a) Document Management: to facilitate versioning and control over documents

(including emails and faxes) into repositories or libraries.

b) Workflow Management: in support of business processes and the management of assigning, routing and approving work.

c) Records Management: to ensure compliance and adherence to record management practices, through lifecycle classification of municipal records, retention, archival, review and the destruction of records.

The Proponent will also provide software technologies and professional services delivered by a team with proven competencies in order to implement an EDRMS in a phased-in approach that is consistent with the terms of this RFP and provide ongoing post-implementation support. This RFP will be awarded to one Proponent who will implement the EDRMS for all Records Consortium members, although pricing for each member is required separately.

2.2. It is the intent of the Records Consortium to follow the project schedule outlined in Item 4.,

Section A, however, the members reserve the right to delay individual member implementation and/or to cancel implementation for any of the Records Consortium members at any time, without penalty or cost to the Records Consortium members. This RFP shall not be considered a commitment by any of the Records Consortium members to enter into any contract.

2.3. The EDRMS is a means of migrating from a user-controlled/managed approach to a shared management environment, while providing users with the tools and processes required to ensure compliance with information management business rules (including Municipal Freedom of Information and Protection of Privacy Act (MFIPPA), Accessibility for Ontarians with Disabilities Act (AODA) and other legislation, by-laws, policies, standards, contracts, etc.) for information assets in all media, through their entire lifecycle in a comprehensive and consistent manner.

2.4. The system must combine a full set of records management features as well as

collaboration, workflow and search capabilities of a comprehensive document management system and provide each member with the ability to house its own records in a secure environment while also providing a repository that will contain records that can and should be shared either for collaboration on joint initiatives or for reference. The system will be hosted in a multi-tenant environment within the data centre located at the

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District of Muskoka, with the exception of the Township of Muskoka Lakes where the system will need to be established on their local servers. The system will utilize Active Directory as the basis for security and access.

2.5. The scope of this RFP includes the provision of a software system and project

management and professional services to meet stated specifications, installation and testing of the product, implementation, training and documentation for users and technical staff and other requirements of a major system implementation in a phased-in approach for each of the Records Consortium members, for post-implementation maintenance, technical support and system and training material updates. In addition, a strategy for the management of existing data from shared drives and existing applications is to be outlined. Refer to Item 8. Project Overview, Section A for additional details. A detailed list of features to be included in the EDRMS is included in Form 4 - EDRMS Requirements, Section B (included separately from the RFP document). The timelines associated with the phased approach is outlined in Item 4. Project Schedule, Section A.

2.6. The objective of the Records Consortium is to conduct an effective, fair, open and

transparent RFP Call Process ensuring equitable treatment of Proponents, while maintaining the highest standards of integrity in the process.

2.7. Where not specifically specified within this document, the RFP Call and submissions shall

be governed by the District of Muskoka’s Procurement By-law No. 2004-74, as amended, and related policies and procedures which are available upon request.

3. ELIGIBILITY

3.1. Proposal is Required

Proponents may only participate in this procurement process by submitting a proposal in accordance with the instructions herein. Tenders and/or quotations will not be accepted or considered.

3.2. Eligibility to Submit Proposals The Records Consortium is seeking proposals from Proponents with a minimum of five (5) years’ experience with projects of similar size and scope, who are in good financial standing and have sufficient qualifications and expertise as defined in Item 6.4.2., Section A to provide the projects and services requested within this RFP document.

3.3. Omissions, Discrepancies and Interpretations It shall be understood and acknowledged that while this RFP includes specific requirements and specifications, minor items or details not herein specified, but obviously required, shall be provided as if specified in conformance with current practices and workmanship. Should a potential Proponent find omissions from or discrepancies in any of the documents in this package or be in doubt as to the meaning of any part of such documents, the potential Proponent shall notify the Designated Contact in writing by July 23, 2015 at 2:00 p.m. (refer to Item 5.1., Section A for contact information). If the Records Consortium considers that a correction, explanation or interpretation is necessary or desirable, the Records Consortium will issue such additional documentation as the members deem appropriate by way of posting an Addendum to the District of Muskoka website. The decision and interpretation of the Records Consortium shall be final and binding, from which there is no appeal. No oral explanation or interpretation shall modify any of the requirements or provisions of the RFP documents.

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It is the responsibility of each Proponent to: a) Examine all of the components of this RFP, including all appendices, forms and

addenda;

b) Monitor the District of Muskoka website for addenda; and

c) Acquire a clear and comprehensive knowledge of the required services before submitting a Proposal.

Any omissions, errors or misinterpretation of these requirements and specifications or within the Proponent’s Proposal, or the failure of any Proponent to receive or examine any document, form, addendum, Contract, Agreement or policy shall not relieve the Proponent of any obligation to provide the goods and services as aforesaid.

4. PROJECT SCHEDULE The following is a tentative schedule for this project.

Event Anticipated Date Request for Proposal Issued July 10, 2015 Last day for submitting email inquiries July 23, 2015 @ 2:00 p.m. Final Addenda Posted July 24, 2015 Proposals Due from Proponents August 12, 2015 @ 2:00 p.m. Evaluation

Stage 1 - Selection of Qualified Proponents for Short-list

End of August 2015

Stage 2 - Interviews/Demonstrations/Presentations End of September 2015 Stage 3 - Recommendations to Respective

Councils October 2015

- Award/Completion of Contract November 2015 Planned Project Start Date January 2016 Phased-in Implementation*

- Town of Bracebridge - District of Muskoka - Town of Gravenhurst - Township of Muskoka Lakes

Subject to discussion between the EDRMS Executive Steering Committee, each Records Consortium member and the successful Proponent

*The Records Consortium reserves the right to make changes to these dates and to the number of members who ultimately enter into separate Contracts with the successful Proponent. Any changes will be communicated by way of Addendum or Contracts.

5. SUBMISSION INSTRUCTIONS

5.1. Questions/Clarifications

Proponents shall address all questions and requests for clarifications regarding the RFP documents or process by email to the Designated Contact as identified below, on or before the deadline date of July 23, 2015 at 2:00 p.m.

Leanna Kerswell

Coordinator, Records Management The District Municipality of Muskoka

70 Pine Street, BRACEBRIDGE, ON P1L 1N3 Email: [email protected]

Fax: 705-645-5319

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5.2. Submission Requirements a) Proponents are required to submit one (1) complete typewritten hard copy with original

signatures with the signed Forms in Section B: Form 1 - Proposal, Form 2 – Price Schedule, and Form 3 – Proponent Profile, along with Form 4 – EDRMS Requirements (included separately from the RFP document), together with any further forms or sheets which the Proponent is instructed elsewhere herein, or in any addendum hereto, to submit with their Proposal. The Proponent may retain the rest of the RFP documents issued to them. The Proponent may also include additional information they deem appropriate by way of attachment to Form 1 - Proposal. Four (4) additional copies of the complete proposal and two (2) electronic copies on USB flash drives, DVDs or CDs are also required at the time of submission.

b) The Proposal documents shall be sealed in an envelope or package with the

Proponent’s name and return address, clearly labelled with “RFP 15-130317-01 – EDRMS – Proposal Document Enclosed” and addressed to the Designated Contact as outlined in Item 5.1., Section A.

c) Upon receipt of the sealed envelope or package by District of Muskoka Reception, the

Receptionist will apply a date and time stamp.

5.3. Closing Date and Time

Proposals shall be received no later than Wednesday, August 12, 2015 at 2:00 p.m.

5.4. Late Submissions

Late submissions will not be accepted. However, they shall be date and time stamped and returned to the Proponent unopened.

5.5. Withdrawal, Amendment and Disqualification

a) Verbal adjustments to a Proposal already submitted will not be considered.

b) A Proponent desiring to make adjustments to a Proposal must withdraw the Proposal and supersede it with a later Proposal prior to the specified RFP Closing.

c) A Proponent may request that their Proposal be withdrawn any time prior to the closing of the RFP, being August 12, 2015 at 2:00 p.m. Any request for withdrawal shall be on the respective company letterhead and sent by email, fax or regular mail (and must be received prior to the above date and time) to the Designated Contact as outlined in Item 5.1., Section A.

d) Proposals that have not been withdrawn in accordance with the terms and conditions set out herein shall be binding on the Proponent after the specified closing time and will not be returned to the Proponent.

5.6. Period of Acceptance

All Proposals shall be open to acceptance and be irrevocable for one hundred and twenty (120) calendar days after the closing date of this call for RFP. Notwithstanding the above, the Records Consortium members, at any time, may request an extension of the period of acceptance and any Proponent will agree to such a request.

5.7. Communications

During the RFP Call Process, Proponents are not permitted to contact, directly or indirectly,

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any employee, elected official, officer, agent, consultant, advisor or other representative of the Records Consortium members, concerning the RFP other than the Designated Contact named in Item 5.1., Section A. Any communication by a Proponent with anyone other than the Designated Contact named may result in the disqualification of the Proposal from the RFP Call, and disqualification of the Proponent from participating in future RFP Calls.

6. COMPLETION OF PROPOSAL FORM INSTRUCTIONS

6.1. Proposal Form Instructions

a) Proposals are expected to address all content requirements outlined herein. Clarity of language and adherence to suggested structuring is essential to the ability of the Records Consortium to conduct a thorough evaluation.

b) Submission of a proposal indicates acceptance by the Proponent of all the terms, conditions and specifications contained in the RFP unless clearly and specifically noted in the proposal submitted and confirmed in the formal contracts between each of the Records Consortium members and the Proponent. Deviations from the RFP must be clearly identified in the written submission.

c) The Proponent’s submission is to address the collective requirements of the Records Consortium as outlined in the RFP. The following documents are required along with any additional forms or attachments as noted in the RFP document:

1) Form 1 - Proposal

2) Form 2 - Price Schedule

3) Form 3 - Proponent Profile and required attachments as identified

4) Form 4 - EDRMS Requirements (included separately from RFP document)

5) Detailed Proposal and Proposed Timelines

d) This RFP document, the Proponent’s response to this solicitation and subsequent written Contract to the successful Proponent, shall form the basis of the binding Contract to be executed by each Records Consortium member. Proponents will enclose with their submission, a form of written contract (or Letter of Agreement) that they prefer to be bound by in performing the work and services called for in the RFP, and which will be reviewed, negotiated and finalized by the Records Consortium, the District Solicitor and the successful Proponent (if any).

6.2. Proponent Pricing and Pricing Schedule Requirements

6.2.1. General

a) The lowest or any quotation may not necessarily be accepted.

b) All prices submitted will be in Canadian Funds.

c) Proponents should base pricing in accordance with 2016/2017 implementation.

d) Prices must be expressed in accordance with the unit of measure specified in the document.

e) The Records Consortium reserves the right to correct a mathematical error evident on the face of the Proposal; however, unit prices will not be adjusted.

f) The evaluation of Pricing (Form 2 - Price Schedule, Section B) as part of this RFP will be based upon:

i) Each Records Consortium member’s total individual cost, and

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ii) Available discounts, including, but not limited to, those applicable based upon multiple Records Consortium member participation (i.e. server licensing related to shared data centre, Enterprise licensing etc.).

g) Pricing shall include all software, licensing, services, materials, labour, delivery, handling, disposal, statutory charges, overhead and profit, other related charges, and inclusive of all duties and taxes applicable and similar charges on account of such work as necessary for implementing the requirements described in Form 4 – EDRMS Requirements, Section B (included separately from the RFP document).

h) Proponents shall include the financial details of any third party software they are recommending, such as physical records, email management software, workflow add-ins for different file types etc.

i) If a Proponent has omitted to enter a price for an item set out in Form 2 - Price Schedule, Section B, the Proponent shall, unless the Proponent has specifically stated otherwise in their Proposal, be deemed to have allowed elsewhere for the cost of carrying out the said item of work and, unless otherwise agreed to by the Records Consortium members, no increase shall be made in the fees and expenses on account of such omission.

j) Proponents shall provide a detailed list of the hardware and software architecture that is recommended for the proposed implementation, including any required resources to facilitate full text indexing and searching, however, pricing is not required as the Records Consortium may leverage existing arrangements with providers. This information is to be recorded on Form 4 – EDRMS Requirements, Section B (included separately from the RFP document).

6.2.2. Application Licensing

Proponents shall describe the licensing model for the proposed system within Form 4 – EDRMS Requirements (included separately from the RFP document), and identify pricing within Form 2 – Price Schedule, Section B.

6.2.3. Harmonized Sales Tax (H.S.T.)

Pricing and expenses shall NOT INCLUDE H.S.T. (if applicable). The Records Consortium members will add H.S.T. to the prices in Form 2 - Price Schedule, Section B, at the time it evaluates any proposals received.

6.3. Detailed Proposal Components

6.3.1. Implementation Plan Proponents shall provide a high-level Implementation Plan which identifies their proposed approach, milestones, timeline, and assumptions for the project.

The proposed Implementation Plan shall include, but shall not be limited to:

a) The identification of the major phases of the project and associated timelines;

b) A high level schedule showing all activities required to complete the project along with their associated resources, effort and dependencies;

c) A list of key deliverables and their timelines;

d) A plan on how current business processes and workflows shall be reviewed and modified if necessary;

e) A high-level test plan;

f) A high-level acceptance plan;

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g) A detailed risk plan with mitigation strategies; h) A detailed deployment plan; and i) A strategy on how existing records could be accessed by and/or migrated into

the new system.

6.3.2. Configuration Plan

Proponents shall provide a high level Configuration Plan that shall identify options available for configuring each of the elements with recommendations on which option shall be used.

6.3.3. Training Plan

Proponents shall provide a high level Training Plan for each of the following groups: IT Services staff, records administrative staff, and general users. At minimum, the Training Plans shall include:

a) A high-level assessment plan, communication plan and training materials development and maintenance plan (including a list of materials currently available, how content will be developed to address customized requirements, and how all training materials will be maintained to ensure they remain current and include all scheduled releases);

b) Resources required; and c) A list of key deliverables and their timelines.

6.3.4. Change Management Plan

Proponents shall provide a high level Change Management Plan that includes:

a) Details regarding how scope changes shall be managed; b) How the new system shall be introduced and any strategies to ensure the system

is accepted and integrated into the daily activities of Records Consortium members’ staff;

c) Resources required; and d) List of key deliverables and their timelines.

6.3.5. Product Support Plan

Proponents shall provide a comprehensive Product Support Plan for both during and after implementation. The plan shall include:

a) Service strategy; b) Location of support staff; c) Incident management; d) Average response time by severity level; and e) Service level agreement (including hours of support and escalation procedures).

6.4. Proponent Profile

The Proponent is required to complete Form 3 – Proponent Profile, Section B. Failure by a Proponent to make full disclosure may result in disqualification. As space is limited, the Proponent is encouraged to select from their customer base, Municipal, Provincial, Federal or government-related customers with a customer profile similar to that of the Records Consortium members. The Proponent may attach additional relevant information to Form 3 – Proponent Profile, Section B.

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The Proponent must have the staff, organization, culture, financial resources, market share and an installed base that is sufficient in order to ensure their ongoing ability to deliver and support the proposed EDRMS system throughout its useful lifetime, including the ability to provide timely response and service to the Records Consortium members over the terms of the Contracts. 6.4.1. Corporate Profile

The Proponent is to complete a profile and summary of corporate history on Form 3 – Proponent Profile, Section B.

6.4.2. Experience and Qualifications of the Proponent

The Proponent must demonstrate specific knowledge of, and experience in performing similar work for projects of comparable nature, size and scope. In particular, the Proponent shall demonstrate the following in its Proposal: a) Experience of the Proponent with other similar projects undertaken in the last

five years, including the implementation timeframe and associated cost of the projects.

b) Experience of the Proponent when delivering the types of professional services being requested in this RFP. Proponents are to provide details regarding how the professional services as identified in Part B.2. on Form 3 – Proponent Profile, Section B are to be delivered and will meet the needs of the Records Consortium members as expressed in this RFP.

c) Other value added services, if any.

6.4.3. Proponent and Key Service Personnel Information

The Proponent is to demonstrate that they have personnel (executive, management, development, implementation and support team) who will be assigned to the project with the necessary skills, experience and expertise in the design and delivery of the proposed system and how they will ensure that the proposed system best meets the requirements of the Records Consortium members as identified in the RFP. Required information to be included in the Proposal is outlined on Form 3 – Proponent Profile, Section B.

6.4.4. References

The Proponent must provide a minimum of three (3) references for the purpose of evaluating the Proponent’s experience and track record of success. Note that the Records Consortium prefers references for systems that are similar to the system being proposed in response to this RFP. For example, systems for the municipal/public sector, using the same or similar products proposed, projects of similar size, scale and complexity.

a) Each reference is to be attached to Form 3 – Proponent Profile, Section B and must address the items identified in Part D of said Form.

b) In providing references, the Proponent agrees that the Records Consortium can contact the references provided as part of the evaluation process. The Records Consortium will make their own arrangements in contacting the references. Substitution of references will not be permitted after the close of the RFP.

6.5. EDRMS Requirements

A list of requirements which are considered by the Records Consortium to be mandatory

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along with additional optional items have been included on Form 4 – EDRMS Requirements, Section B (included separately from the RFP document). The Proponent shall provide clear and concise responses on the form to any criteria or requirements which require additional information or explanation. Any edits/changes made to this form outside of adding responses and explanations will result in disqualification of the Proponent.

7. OPENING AND EVALUATION OF PROPOSALS

7.1. Disqualification/Rejection of Proposals

7.1.1. Under no circumstances will Proposals be considered if:

a) It is received after 2:00 p.m. EDT on Wednesday, August 12, 2015;

b) It is delivered to a location other than The District Municipality of Muskoka, 70 Pine Street, Bracebridge, ON P1L 1N3;

c) The proposal submission envelope or package does not state “RFP 15-130317-01 – EDRMS – Proposal Document Enclosed”;

d) It is submitted by potential Proponents not meeting the requirements in Form 4 – EDRMS Requirements, Section B (included separately from the RFP document);

e) Any contact/communication is made, directly or indirectly, with anyone other than the designated contact as outlined in Item 5.1., Section A;

f) Any unauthorized amendments or revisions are made to any of the RFP Forms; or

g) Supplied Forms are not used or submitted with the Proposal.

7.1.2. In the following circumstances, Proposals may be rejected if:

a) Forms are incomplete, conditional, illegible or obscure or contain additions not called for, reservations, qualifications, erasures, alterations (unless properly and clearly made and initialled by the Proponent’s signing officer) or contain irregularities of any kind.

b) Entries or changes made to Forms in pencil, unless otherwise decided by the Records Consortium members, will be determined to be invalid or informal.

7.1.3. Exclusion of Proponent in Litigation and Due to Poor Performance

a) The Records Consortium members may, in their absolute discretion, reject a

proposal submitted by a Proponent if the Proponent, or any officer or director of the Proponent is or has been engaged, either directly or indirectly through another corporation, in a legal action against any of the Records Consortium members, their elected or appointed officers and employees in relation to:

i) Any other contract or agreement or services; or

ii) Any matter arising from the Records Consortium members’ exercise of their powers, duties or functions.

b) In determining whether or not to reject a proposal under this clause, the Records Consortium members will consider whether the litigation is likely to affect the Proponent’s ability to work with the Records Consortium members, its consultants and representatives, and whether the Records Consortium members’ experience with the Proponent indicates that Records Consortium members are likely to incur increased staff and legal costs in the administration of the Contract if it is awarded to the Proponent.

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c) The Records Consortium members shall document evidence and advise the Manager of Purchasing and Support Services in writing where the performance of a supplier has been unsatisfactory in terms of failure to meet Contract specifications, terms and conditions or for Health and Safety violations and any other applicable legislation.

d) The Records Consortium members, in consultation with the District Solicitor, prohibit an unsatisfactory supplier from bidding on future competitive procurement opportunities for a period of up to three (3) years.

7.1.4. Furthermore, the Records Consortium members reserve the right to disqualify any

Proponent whose Proposal contains any false or misleading information in the opinion of the Records Consortium members acting through the Manager of Purchasing and Support Services’ absolute discretion.

7.2. Rights Reserved by the Records Consortium Members

7.2.1. THIS REQUEST FOR PROPOSAL IS NEITHER AN INVITATION TO TENDER NOR

A REQUEST FOR QUOTATION.

7.2.2. The Records Consortium members are under no obligation whatsoever to proceed with this project after receiving and reviewing the Proposals and that under no condition or circumstance, will any Proponent receive payment or compensation of any kind whatsoever for submitting information in response to this RFP. The Records Consortium members shall not be obligated in any manner to a Proponent unless and until a written Contract has been negotiated and executed as referenced in Item 2.2., Section A.

7.2.3. In addition to any other rights reserved to the Records Consortium members or any

sub-committee within, the Records Consortium members reserve the right, privilege, entitlement and absolute discretion, for any reason whatsoever, to:

a) Accept a proposal which is not the best eligible proposal;

b) Reject a proposal which is the best eligible proposal, even if it is the only proposal received;

c) Cancel the RFP Call at any time, either before or after the closing date without penalty or cost to the Records Consortium members;

d) Accept or reject any and all proposals, whether whole or in part;

e) Except in the case of an irregularity which requires a proposal to be disqualified, accept an irregular proposal;

f) Award any part of any proposal;

g) Accept or reject any unbalanced proposal;

h) Reissue the RFP in its original or revised form;

i) Request specific requirements not adequately covered in a Proponent’s initial submission and clarify information contained in the RFP; and

j) Modify any and all requirements stated in the RFP at any time prior to the possible awarding of a Contract.

7.2.4. Furthermore, any of the Records Consortium members shall not be responsible for

any liabilities, costs, expenses, loss or damage incurred, sustained or suffered by any Proponent, prior to or subsequent to, or by reason of the acceptance, or non-acceptance by any of the Records Consortium members of any proposal, or by reason of any delay in the award of the proposal.

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7.3. Evaluation Criteria and Process

7.3.1. Evaluation Team a) Proposals will be evaluated by a team comprised of representatives from each of

the Records Consortium members, along with a representative from IT Services and the Records Management Consultant.

b) The Records Consortium members shall not be obligated to disclose the evaluation scores of any individual member of the Evaluation Team, nor to justify any score awarded by that team or any member thereof.

c) By responding to this RFP, Proponents agree to accept the recommendation of the Evaluation Team as to the successful Proponent and acknowledge and agree that the Records Consortium members’ respective Councils make the final decision.

7.3.2. Evaluation Criteria

The evaluation will be based on, but not limited to, the following: TOTAL EVALUATION SCORE – OUT OF 100 POINTS

a) Stage 1: Proposal Submission (80 Points)

1. Proposal – Worth 5 Points • Quality of the Proposal fulfilling the overall RFP requirements.

2. System Product Evaluation – Worth 25 Points • Understanding and meeting the requirements as identified in Form 4 –

EDRMS Requirements, Section B (included separately from the RFP document) and value added options identified in Part B.3. of Form 3 – Proponent Profile, Section B.

3. Implementation Evaluation – Worth 25 Points • The quality of the implementation, configuration, training, change

management and product support plans as identified within the detailed Proposal, along with the quality of the team members and references as identified in Form 3 – Proponent Profile, Section B.

4. Project Cost – Worth 25 Points • Total Project Cost for each Records Consortium member along with

additional information and discounts as identified in Form 2 – Price Schedule, Section B.

b) Stage 2: Presentation/Interview (20 Points)

1. The Evaluation Team will develop a short list of Stage 1 qualifying Proponents. Those Proponents short-listed will be requested to deliver a presentation/demonstration of the proposed system’s product(s), implementation strategies, the qualifications and experience of the firm and the Proponent team assigned the project. The presentation/demonstration will include time for questions and shall not exceed three (3) hours in total;

2. Each short-listed Proponent will be provided in advance with two (2) user case scenarios, including sample documents to demonstrate the ability of their product to deliver the requirements identified in the RFP;

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3. Once the scenarios have been demonstrated, the Proponents may be requested to demonstrate additional product features and value added components/services that may not have been used in the scenarios; and

4. The Proponent’s project lead and key members of the project team, as named in the Proposal submission are encouraged to be in attendance. Proponents shall keep the number of representatives to no more than three (3) Team Members.

c) Stage 3: Award and Completion of Contract

1. Consideration for award shall only be undertaken in relation to Proponents

who are determined by the Records Consortium members to have satisfied all the requirements during Stage 1 and Stage 2.

2. The Records Consortium members reserve the right to consider during the evaluation of submissions:

i) Information provided in the submission itself;

ii) Information provided in response to inquiries of credit, experience and industry reference set out in the submission;

iii) Information received in response to inquiries made by the Records Consortium members of third parties apart from those disclosed in the Proposal in relation to the reputation, reliability, experience and capabilities of the Proponent;

iv) The matter in which the Proponent provides services to others;

v) The experience and qualification of the Proponent’s senior management, and project management team; and

vi) The compliance of the Proponent with the Records Consortium members’ requirements and specifications.

3. Based upon the evaluation of the results of Stage 1 and Stage 2, the Records Consortium members will present their recommendation to their respective Municipal Councils.

4. Upon consensus of the Municipal Councils, the Records Consortium members will enter into negotiation with the successful Proponent with regards to the development of a Contract or Letter of Agreement, tailored to reflect the Proposal, which is acceptable to each of the Records Consortium members.

5. It is understood that Proponents may have their own form of written contract or agreement and that such forms vary from Proponent to Proponent. The Records Consortium members may consider a form of contract or agreement from the successful Proponent to be signed by each individual Records Consortium member, subject to review and approval by the District Solicitor and all of the requirements of this RFP being met in full through the Contract.

6. In the event that Sub-Consultants and/or Sub-Contractors (hereinafter referred to as “Sub-Contractors”) are being engaged by the successful Proponent, the Proponent shall be responsible to enter into any Contract or Agreement with this/these third party(ies) as stated in Item 7.8., Section A subject to all of the requirements of this RFP being met in full.

7. This RFP and any Contract that may arise therefrom does not create a partnership or joint venture of any kind between the Records Consortium members and the successful Proponent. The successful Proponent will be undertaking the project as an independent contractor.

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8. Upon signing the Contract, the successful Proponent will supply the following items:

a) Contract (three (3) original copies signed and sealed as required);

b) Certificate of Insurance;

c) Other declarations or documentation as may be requested under the OHSA, AODA, or other applicable Legislation or By-laws; and

d) WSIB Clearance Certificate if applicable.

7.4. News Release/Publicity

7.4.1. The successful Proponent and any Sub-Contractors shall not make any news release or post any public notice concerning the RFP, the submitted proposal, the awarding of same or any resulting Contract without the express written consent of the Records Consortium members.

7.4.2. An award of a Contract to a successful Proponent does not constitute a general endorsement of the Proponent’s products or services, and the award of Contract cannot be used by the successful Proponent to promote the sale of products or services, without the express written approval by the Records Consortium members.

7.5. Right to Negotiate

After the Contract has been awarded to the successful Proponent, the Records Consortium members reserve the right to negotiate minor changes, amendments or modifications to the Proponent’s submission, without offering the other Proponents the opportunity to amend their submissions.

7.6. Notices

Notices to Proponents shall be made to the email address contained in the respective Proposal. A notice shall be considered received by the Proponent on the date it is emailed.

7.7. Joint Submission

If a Proposal is a joint submission of two (2) or more Proponent firms, a single Proposal is to be coordinated and submitted by the lead firm with all of the required information. The lead firm shall act as the Proponent in all contractual obligations of any resulting award and contract.

7.8. Nomination of Sub-Contractors

7.8.1. Sub-contracting the delivery of a portion of the EDRMS to other hardware, software,

professional services or other providers may be included in the RFP submission. The list of names, addresses, roles and responsibilities of all nominated Sub-Contractors sought by the Proponent in the provision of the services and/or work contemplated by this RFP is to be attached to Form 3 – Proponent Profile, Section B. In such a case, the successful Proponent shall remain solely responsible for the performance of and for payment of monies to the sub-contracted personnel. Following award of the Contract, the successful Proponent shall not, without written consent of the Designated Contact for the Records Consortium members, make any assignment of any sub-contracted Contract(s) or Agreement(s) for the execution of any service or product proposed.

7.8.2. The Records Consortium members reserve the right to reject any Sub-Contractors so

nominated, without penalty or liability to the Records Consortium members of any kind whatsoever.

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7.8.3. No change shall be made by the Proponents to the list of nominated Sub-Contractors after the Closing Time of the RFP, without the prior written approval from the Records Consortium members and only under such terms and conditions as the Records Consortium members in the exercise of an absolute discretion may require.

7.8.4. Any Proponent requesting the Records Consortium members’ consideration of a change in Sub-Contractors shall be responsible for all costs of the Records Consortium members to review, investigate and approve, if acceptable, such change including but not limited to all of the Records Consortium members’ internal staff costs and all legal, financial and consultant costs.

7.9. Ownership of Materials, Reports, Designs, Specifications and Training Materials

All information, data, plans specifications, reports, estimates, summaries, photographs and all other documentation prepared by the Proponent and/or Sub-Contractors, if any, in the performance of the services, whether they be in draft or final format, shall be the property of the Records Consortium members.

7.10. Warranty for Usage

a) The Proponent represents, warrants and covenants to the Records Consortium members

(and acknowledges that the Records Consortium members are relying thereon) that any deliverable resulting from or to be supplied or developed under the Contract will be in accordance with the Records Consortium members’ requirements (as set out in the RFP) and, if applicable, will function or otherwise perform in accordance with such requirements.

b) In addition to any warranty, expressed or implied by law or otherwise and notwithstanding prior acceptance by the Records Consortium members, the successful Proponent and/or Sub-Contractors, shall replace the goods without cost to the Records Consortium members, if, within a period of twelve (12) months following acceptance, the goods are determined to be defective in design, material, performance, workmanship or are otherwise not in accordance with the requirements of the Contract. The warranty for fraud and blatant defects shall be perpetual.

7.11. Confidentiality

The Proponent and/or Sub-Contractors shall treat as confidential all information of any kind which comes to the attention of the Proponent and/or Sub-Contractors in the course of carrying out the services and shall not disseminate such information for any reason without the express written permission of all Records Consortium members. The Proponent may be required to enter into a detailed confidentiality agreement in a form satisfactory to the District Solicitor. Similarly, the Proponent will be responsible to enter into a detailed confidentiality agreement with any Sub-Contractors.

7.12. Compliance with the Occupational Health and Safety Act (OHSA)

The successful Proponent shall be responsible for performing all work under this Contract in accordance with the terms and conditions of the OHSA, as amended, and all other applicable Acts, Regulations or By-laws governing the work to be performed. The Proponent, by executing the Contract, unequivocally acknowledges that the Proponent is the “constructor” as defined in the OHSA and agrees to carry out the duties of the “constructor” as outlined in the OHSA. Violations of any such legislation may result in a termination of this Contract. The successful Proponent may be required at any time to submit documentation and/or a Declaration of Compliance for the same.

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7.13. Compliance with the Municipal Freedom of Information and Protection of Privacy Act (MFIPPA)

In accordance with MFIPPA, as amended, this is to advise that the personal information Proponents and/or Sub-Contractors provide is being collected under authority of the Municipal Act, 2001, and will be used exclusively in this selection process. All correspondence, documentation and information provided to the Designated Contact by any Proponent and/or Sub-Contractors in connection with, or arising out of this RFP, and the submission of any Proposal shall become the property of the Records Consortium members, and as such, shall be subject to MFIPPA. The Proponent’s name along with any Sub-Contractor’s name(s) at a minimum will be made public upon request. As a result of the MFIPPA, Proponents and/or Sub-Contractors are advised to identify in their Proposal any material, scientific, technical, commercial, proprietary or similar confidential information, the disclosure of which could cause them injury if the information were to be released to the Public. Questions about the application of MFIPPA should be directed to the Freedom of Information Coordinator, c/o 70 Pine Street, Bracebridge, Ontario P1L 1N3, 705-645-2100 ext. 239 on behalf of the District of Muskoka.

7.14. Compliance with the Accessibility for Ontarians with Disabilities Act (AODA)

The successful Proponent shall ensure that all of its employees, sub-contractors and representatives receive training regarding the provision of the goods and services to persons with disabilities in accordance with the AODA. The successful Proponent may be required at any time, upon the request of the Records Consortium members, to submit documentation and/or a Declaration of Compliance for the same.

7.15. Changes in Law

The Records Consortium members and Proponents acknowledge that performance of the obligations required hereunder may be affected by changes in applicable laws of the Province of Ontario. In the event of a change in applicable legislation that results in a material impact on the performance of any act required by Contracts between the successful Proponent and each Records Consortium member, the provisions of the Contracts shall be renegotiated to achieve mutually acceptable terms of the performance of acts required hereunder. If agreement on the revised terms and conditions cannot be reached, the successful Proponent or the Records Consortium members may submit the dispute to arbitration in accordance with the provisions of the Arbitration Act.

7.16. Indemnification and Liability Insurance

a) The Proponent shall be required to purchase and maintain, at its own expense

(including the payment of all deductibles) and for the duration of the Contract, the following policies of insurance, which policies shall be in a form and with an insurer acceptable to the Records Consortium members. A certificate of these policies originally signed by the insurer or an authorized agent of the insurer must be delivered to the Records Consortium members prior to the commencement of the successful Proponent’s services:

1) Comprehensive General Liability, provided that the policy:

i) Is in the amount of not less than Five Million Dollars ($5,000,000.00), per occurrence;

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ii) Adds all the Records Consortium members as additional insured parties;

iii) Has provisions for cross-liability and severability of interest as between the Proponent and the Records Consortium members, broad form Contractual liability, owner’s/Sub-Contractors’ protective liability, contingent employer’s liability, employer’s liability, products and completed operations liability; and personal injury liability; and

iv) Provides thirty (30) days’ prior written notice of cancellation or material change.

2) Professional Liability (error and omissions coverage) for the performance of Services by the Proponent, providing that the policy is:

i) In the amount of not less than Two Million Dollars ($2,000,000.00) per occurrence;

ii) Adds all the Records Consortium members as additional insured parties;

iii) Extended to infringement of copyright and other intellectual property, including misuse of trade secrets;

iv) Not to be construed as a limit of the liability of the Proponent in the performance by the Proponent of the services under this Contract; and

v) Notwithstanding anything to the contrary contained in this Contract, kept in full force and effect for a period of time ending no sooner than TWO (2) YEARS after the termination or expiry of this Contract, as the case may be.

3) Automobile Liability Insurance, provided that the policy:

i) Where applicable, the Proponent shall carry standard automobile and non-owned automobile liability insurance and shall protect themselves against all liability arising out of the use of owned or leased vehicles, used by the Proponent, its employees or agents in any manner in connection with the performance of the terms in this Contract. The limits of the liability for both owned and non-owned vehicles shall not be less than Two Million Dollars ($2,000,000.00) per occurrence.

b) At the expiry date of the policy, the Proponent and/or Sub-Contractors shall provide original signed Insurance Certificates evidencing renewals or replacements to the Records Consortium members prior to the expiration date of the original policies, without notice or request by the Records Consortium members.

c) The successful Proponent shall indemnify and hold harmless the Records Consortium members, its officers, employees and agents, from and against any and all liabilities, claims, demands, loss, costs, damages, actions, suits or other proceedings initiated by others, arising out of, or attributable to anything done or omitted to be done by the successful Proponent, its officers, employees or agents, in connection with the services performed, or required to be performed, under this proposal. This indemnity shall be in addition to and not in lieu of any insurance to be provided by the successful Proponent in accordance with this RFP.

8. Project Overview

The EDRMS will support the Records Consortium members’ recorded information management. The system will provide capability to manage the creation, profiling, indexing, distribution, storage, retrieval, archiving and destruction/preservation of all physical and electronic documents and records on all media types in a systematic, defined manner in compliance with appropriate legislation, by-laws and regulations. The system will also support workflow processes and decision support needs in the business and service operations for each Records Consortium member.

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8.1. Current Situation

a) The records and information management environment within the Records Consortium is faced with a number of challenges:

• The records classification systems (Section C) vary between members;

• The physical space to store paper records is being reduced;

• There is heightened focus on privacy, transparency and individual rights;

• There is an increased risk through the continued growth of unstructured information and the challenges of applying proper retention and disposition processes;

• There is a lack of standardized training and awareness for employees; and

• Digital records shall meet specific requirements to be deemed legally admissible in a court of law.

b) There are several concerns with regard to records and information management that the current records management infrastructure is not able to address, including:

• Records and information maintained in the shared drives is highly unstructured with limited capabilities for version control, searching, audit reporting, collaboration and legal holds;

• Shared drives are not in compliance with legal and regulatory rules related to retention and disposition;

• In some areas, unregulated growth occurs because growth rates are not monitored;

• Email records are not being managed in accordance with the Retention By-laws, and are not easily accessible for eDiscovery and/or MFIPPA obligations; and

• Many records are being created electronically, as well as in hard copy format. This results in duplicated efforts when filing and retrieving information, as well as additional costs for storing both formats.

8.2. Current Technical Environment

The District of Muskoka, the Town of Bracebridge and the Town of Gravenhurst share a common data centre, while servers for the Township of Muskoka Lakes are located at their municipal office. Below is a high level overview of the current technical environment supported by the shared IT services initiative. Each of the Records Consortium members receive the same core applications, the same operating system as well as access to the network, with the exception of the Township of Muskoka Lakes who has limited access to the shared network.

a) Core Business Application Standards:

• Microsoft Enterprise License Agreement which includes Microsoft Office 2010 Pro Plus, along with SharePoint and other Microsoft products

• Adobe Acrobat XI

• CartêGraph 8.1a and CartêGraph v9 (OMS)

• CLASS by Active Networks

• ESRI ArcVIEW v10.2.2

• Internet Explorer v10

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• Laserfiche v9 (the Town of Gravenhurst and the Township of Muskoka Lakes only)

• MapInfo ProViewer v12.5

• Stone Orchard

• Firepro

• RelayFax (TIFF File)

• ALFA Airport Software

• InfoHR

• AutoCAD

• AutoRead

• Paradigm CompuWeigh

• Liberty Recorder

• CAMS (Courts Administration)

• Miscellaneous other applications, mostly web-based including such applications as: Marmak LISA, iCompass FilePro, and Cartêgraph ISSUETraQ.

b) Hardware Infrastructure:

• TCP/IP based network with connections to remote facilities. User workstations are Intel-based computers less than 5 years old running Microsoft Windows 7 32/64 bit Enterprise. All Windows systems, Microsoft Office, and all Server operating systems are regularly kept up-to-date.

• Microsoft Windows Servers 2008 and up

• Microsoft SQL Server 2008 and up

• Microsoft Exchange 2010

• VMware VSphere virtualization technology

c) Photocopiers/Scanners:

• Xerox, Canon and Hewlett Packard (HP) Multi-functions units

• Various printers including: Sharp, Epson, Kyocera, Lexmark, Ricoh, and Dymo

• Fujitsu document scanners

d) Business Continuity Sites:

• Located offsite and shared by the District of Muskoka and the Towns of Bracebridge and Gravenhurst.

• Located within the Data Centre at the District of Muskoka for the Township of Muskoka Lakes.

8.3. Project Goals and Objectives

a) Ensure compliance with regulatory and municipal requirements for records management;

b) Provide staff with an easy, intuitive environment for effectively managing their records;

c) Improve administrative efficiency by making it easier and quicker to access records;

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d) Facilitate collaboration within and between the Records Consortium members;

e) Control the creation and growth of records;

f) Control operating costs through the reduced need for physical and electronic storage;

g) Provide a scalable system that can grow with the needs of the Records Consortium members;

h) Minimize litigation risk through a consistently applied records management program;

i) Outline a strategy for the management of existing data from shared drives and existing applications;

j) Provide staff with specialized training in the creation, maintenance and support of a records management system; and

k) Obtain professional services to work with the Records Consortium members’ staff for the supply, installation, configuration, verification and implementation of a records management system.

8.4. The Proposed System

a) The Records Consortium expects that the proposed system will predominantly be Out of the Box software and not a system yet to be developed or requiring extensive customization to meet the requirements and deliverables. The Records Consortium is seeking a system that can be configured and tailored for each member’s specific uses.

b) Should the proposed system require customization to satisfy the requirements and deliverables described in this RFP, the Proponent is to detail in their submission, in Form 4 - EDRMS Requirements, Section B (included separately from the RFP document), the specific requirements that would be enabled through such customization. Each requirement requiring customization to enable the capabilities requested will not receive the maximum score possible for that requirement.

c) The EDRMS is to be made available to the Records Consortium members at the most recent and fully tested versions and releases available on the market. Where more than one module is required, the proposed EDRMS must work together seamlessly for common ends.

8.5. Project Scope

The successful Proponent will be involved in a phased implementation approach in all areas of the project, from start to post go-live support for each Records Consortium member. The implementation plan will be refined in conjunction with input from the Records Consortium members and will correspond to the high level activities and associated deliverables. This is anticipated to include, but is not limited to: a) Project Management:

i) Meet with each Records Consortium member’s Project Coordinator to jointly review

the requirements in order to make sure the deliverables and pricing are still valid;

ii) Assist with the project plan and schedule;

iii) Assist with project communications and change management;

iv) Manage quality assurance and testing;

v) Manage consultant resources; and

vi) Assist with managing project risk and scope.

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b) System Design:

i) Provide hardware and software architecture in accordance with requirements outlined in Form 4 – EDRMS Requirements, Section B (included separately from the RFP document). It is anticipated that storage capacity will need to be increased at both the data centre and the Township of Muskoka Lakes;

ii) Provide design for software modification and integration; iii) Deployment; and iv) Provide a strategy for the management of existing data from shared drives and

existing applications.

c) Training and Documentation:

i) Technical and administrative training for IT Services staff; ii) On-site training at a “train the trainer” level for each Records Consortium member

according to the phased-in implementation plan; iii) Documentation:

• Online Help kept up-to-date with scheduled releases;

• Online Help not reliant on a client-sided scripting language (e.g. JavaScript, Python);

• General User Manuals updated with new releases and available in an electronic format; and

• Comprehensive, current, searchable technical documentation provided for the IT Service Desk.

d) User acceptance test:

i) Provide test cases on standard and customized components; and ii) Coordinate user acceptance test.

e) Deployment.

f) Post go-live service and support.

8.6. Key Project Success Factors

The following items to be integral to a successful implementation: a) Technical:

• Seamless integration of the application with Microsoft Outlook;

• Quality assurance and testing in each phase of the project;

• Providing training and documentation to Records Management and technical staff;

• Having a secure, stable and bug-free system at go-live; and

• Providing a strategy for the management of existing data from shared drives and existing applications.

b) Business:

• Uniform application of records management policies to physical and electronic records;

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Records Consortium

EDRMS Executive Steering Committee

District Clerk District of Muskoka

Project Coordinator District of Muskoka

EDRMS Working Group

District of Muskoka

Municipal Clerk Town of Bracebridge

Project Coordinator Town of Bracebridge

EDRMS Working Group

Town of Bracebridge

Municipal Clerk Town of Gravenhurst

Project Coordinator Town of Gravenhurst

EDRMS Working Group

Town of Gravenhurst

Municipal Clerk Township of

Muskoka Lakes

Project Coordinator Township of

Muskoka Lakes

EDRMS Working Group

Township of Muskoka Lakes

• Providing “train the trainer” training and tools for Records Consortium members’ staff to use in a phased rollout;

• High user adoption and acceptance; and

• Reduce instances of record misplacement, duplication and reduce retrieval time.

c) Project Management:

• Going live on time and on budget;

• Improved communication and reporting for project team and senior management; and

• Change management processes are consistently followed throughout the project.

8.7. Project Resources and Organizational Structure

a) This section explains the organizational structure of the project based upon the Records Consortium resources.

b) EDRMS Executive Steering Committee

The Executive Steering Committee includes representatives from each of the Records Consortium members, including the Clerks or their designate, a representative from IT Services and the Records Management Consultant. The Committee will be responsible for:

i) Providing overall guidance and direction with regards to the Project as it impacts the collective Records Consortium members;

ii) Providing overall guidance and direction with regards to the evaluation and selection process;

iii) Obtaining final vendor selection consensus from the Records Consortium members and their respective Councils; and

iv) Providing ongoing advice, assistance and input throughout all stages of system implementation for each Records Consortium member.

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c) Clerks

The District and Municipal Clerks or their designates will be responsible for:

i) Providing overall direction, management and leadership of the Project for their respective municipality;

ii) Assigning municipal personnel members to the Project; iii) Approving all deliverables and assuming responsibility for the overall direction of

the Project; iv) Acting as the primary authority for all decisions relating to the system’s

methodology, architecture and implementation, as required; v) Acting as the primary liaison with municipal senior management teams and/or

managers, as required; vi) Acting as the primary liaison with the Proponent’s senior representatives, as

required; vii) Acting as the primary authority for approval of change orders and amendments to

the Contract; and viii) Acting as the primary authority for, and providing all approvals for all outgoing

publications or communications regarding the Project.

c) Project Coordinator

Each Records Consortium member will assign a Project Coordinator for the EDRMS Project and that person will be responsible for:

i) Serving as the key contact for the Proponent;

ii) Acting as liaison with the Proponent for the purpose of designing, developing, testing, training and implementing the system, and coordinating all of the Proponent’s activities and results;

iii) Coordinating approval of the Proponent’s project plans;

iv) Providing clarification and instructions to the Proponent throughout the Project;

v) Monitoring the Proponent’s delivery of the services; and

vi) Providing guidance to their respective EDRMS Working Group.

d) EDRMS Working Group

Each Records Consortium member will form an EDRMS Working Group (comprised of staff from municipal business units) that, under the direction of the Project Coordinator, will be responsible for:

i) Assisting the Proponent in the investigation, documentation and consultation for the formal business analysis of the relevant business processes;

ii) Making recommendations to the Project Coordinator and the EDRMS Executive Steering Committee regarding necessary changes to business practices affected by the implementation of the system;

iii) Assisting the Proponent in determining the impacts on municipal personnel; and

iv) Assisting in the implementation of the system and ensuring a smooth transition of all affected business practices and protocols.

End of Section A.

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Section B – Form 1 TO BE RETURNED

FORM 1 PROPOSAL

RFP # 15-130317-01 – EDRMS - Records Consortium

Date Issued: July 10, 2015 Closing Date: August 12, 2015 Time: 2:00 p.m. EDT

To Records Consortium Members:

The Proponent:

Proponent’s Name: _________________________________________________________________ (Proponent’s Full Legal/Corporate Name)

Mailing Address: ___________________________________________________________________

declares that:

(a) No person, including any partnership, firm or corporation, or anyone other than the one whose signature or the signature of whose proper officers, has any interest in this Proposal or in any Contract as may be awarded in respect of this RFP (unless performed under a “joint” agreement and so declared in the Proposal);

(b) No member of Council, or any officer or employee of The District Municipality of Muskoka, the Town of Bracebridge, the Town of Gravenhurst and the Township of Muskoka Lakes is, or will become interested directly or indirectly as a contracting party or otherwise, in any Contract awarded in respect of this RFP, or in the supplies, work or business to which any such Contract relates, or in any profits or benefits to be derived from any such Contract;

(c) This Proposal is made without any connection, comparison of figures or arrangement with any other Proponent for the same requirements as stated in the RFP Call, and is in all respects fair and without collusion or fraud;

(d) The Proponent has carefully examined the RFP Document including any and all Addenda issued by the Records Consortium and has a clear and comprehensive knowledge of the requirements;

(e) The Proponent does hereby acknowledge the RFP Document including any and all Addenda issued by the Records Consortium to be part and parcel of any Contract to be awarded;

(f) The Proponent does hereby submit a Proposal for all of the work required and to provide all of the labour and to provide, furnish, deliver, place and erect all materials mentioned and described or implied therein, including in every case, freight, duty, exchange and sales tax in effect on the date of acceptance of the Proposal and all other charges, on the terms and conditions and under the provisions set forth in the RFP, and to accept in full payment therefor the sums calculated in accordance with the actual measured quantities and unit prices set forth in Form 2- Price Schedule attached to this RFP;

(g) The Proponent does hereby submit all relevant data with their Proposal, including:

Form 1 – Proposal; Form 2 – Price Schedule; Form 3 – Proponent Profile; and Form 4 – EDRMS Requirements;

(h) The Proponent has received all of the documents outlined in the RFP including any and all Addenda issued and all of the Project details required to submit a Proposal for this Project, and the Proponent has provided for compliance with the provisions of the RFP Document;

REQUEST FOR PROPOSAL FOR

SUPPLY, IMPLEMENTATION AND PROVISION OF ONGOING SUPPORT SERVICES WITH

RESPECT TO AN ELECTRONIC DOCUMENT AND RECORDS MANAGEMENT SYSTEM

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Section B – Form 1 TO BE RETURNED

(i) The Proposal is made in the Proponent’s proper legal name; the Proponent acknowledges that the Records Consortium members shall not be required to enter into a Contract awarded to the Proponent if the name of the contracting party in the Contract is different that the name of the Proponent in the Proposal;

(j) The Proponent is in solid financial standing;

(k) The Proponent is compliant with and shall maintain compliance with the Accessibility for Ontarians with Disabilities Act (AODA), as may be amended from time to time;

(l) The Proponent is compliant with and shall maintain compliance with the Occupational Health and Safety Act (OHSA), as may be amended from time to time;

(m) All Proposals submitted shall become the property of the Records Consortium members;

(n) This Proposal is irrevocable after the RFP Closing;

(o) The awarding of the contract based on this Proposal by the Records Consortium members shall be open for acceptance for a period of up to one hundred and twenty (120) calendar days, and untila formal contract is executed or a purchase order is issued for this Proposal; and

(p) The Proponent does hereby acknowledge that if selected to provide those goods and/or services to the Records Consortium members, to do so in accordance with the terms, conditions, and specifications contained in the RFP document and submission, including any/all Special, Standard, and/or Supplementary Instructions and/or any/ all Special and/or Standard Terms and Conditions of Contract.

I/We further declare that:

(a) Addenda numbered ____________ to ______________ (Enter Addenda No.) have been received.

(b)

(c)

All statements, schedules and other information provided in the Proposal are subject to MFIPPA and are true, complete and accurate in all respects to the best knowledge and belief of the Proponent; and The agent listed below is hereby authorized by the Proponent to submit the Proposal and is authorized to negotiate all maters with the Records Consortium members on behalf of the Proponent.

Dated at this day of , 2015.

I/We have the authority to bind the Corporation

Signature of Witness Signature & Seal (if available) of Signing Officer (if not signed under corporate seal)

Name of Witness Name and Title of Signing Officer

Proponent Address:____________________________________________________________________

City: ___________________________________________ Postal Code:_________________________

Phone #: (___)____________________________ Fax #: (___)__________________________________

Email: ___________________________

Primary Contact Name: ___________________________ Title: ________________________________

Phone #: (___)____________________________ Fax #: (___)__________________________________

Email: ___________________________

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Section B – Form 2 TO BE RETURNED

FORM 2 PRICE SCHEDULE

RFP # 15-130317-01 – EDRMS - Records Consortium

Pricing shall be outlined for each Records Consortium member and shall include all software, licensing,services, materials, labour and equipment, necessary for implementing the requirements described inForm 4 - EDRMS Requirements including the cost of all related disbursements, all in accordance with theRFP Document.

It is agreed and understood that the following Prices will apply to the Contract. Included in these Pricesare charges for material, labour, equipment, delivery, handling, disposal, statutory charges, overhead andprofit, other related charges, and inclusive of all duties and taxes applicable (except H.S.T.) and similarcharges on account of such work, measured complete in place.

PART A – TOTAL PROPOSED SYSTEM PER INDIVIDUAL RECORDS CONSORTIUM MEMBER (Excluding H.S.T.)

1. TOWN OF BRACEBRIDGE

Component Description Type Unit

e

Extended

Price

YEAR 1

a) Software Supply of Licenses:

15 Admin 60 Users

Enterprise $ $

Per Seat $ $

Per Server $ $

Other (i.e. Subscription)

$ $

b) Third PartySoftware

Identify and provide costing on anythird party software beingrecommended

LicensePer UserorSubscription

$ $

c) ImplementationServices

Implementation Services including butnot limited to Project Management,Design and Development, Installation/Implementation/Configuration(including Business Continuity sites),System Testing (test and productionenvironments), Training andDocumentation, and Deployment

Lump Sum

$

d) First Year Support & Maintenance*

One year maintenance, software upgrades, documentation updates and technical support*Please attach to Form 2- Price Schedule all information related to the WarrantyPeriod.

Lump Sum

$

YEAR 1 SUBTOTAL (excluding HST): $

YEAR 2 to 5

e) Year 2 to 5Support &Maintenance

Annual maintenance, software,upgrades, documentation updates andtechnical support for Year 2 to 5

Per YearorPer Year

$ $

% $

YEAR 2 TO 5 SUBTOTAL (excluding HST): $

TOTAL PRICE YEAR 1 TO 5 (excluding HST): $

Price

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Section B – Form 2 TO BE RETURNED

2. DISTRICT OF MUSKOKA

Component Description Type Unit

e

Extended

Price

YEAR 1

a) Software Supply of Licenses:

14 IT Services Admin 17 Admin 300 Users

Enterprise $ $

Per Seat $ $

Per Server $ $

Other (i.e. Subscription)

$ $

b) Third PartySoftware

Identify and provide costing on any third party software being recommended

License Per User or Subscription

$ $

c) ImplementationServices

Implementation Services including but not limited to Project Management, Design and Development, Installation/ Implementation/Configuration (including Business Continuity sites), System Testing (test and production environments), Training and Documentation, and Deployment

Lump Sum

$

d) First Year Support & Maintenance*

One year maintenance, software upgrades, documentation updates and technical support *Please attach to Form 2- Price Schedule all information related to the Warranty Period.

Lump Sum

$

YEAR 1 SUBTOTAL (excluding HST): $

YEAR 2 to 5

e) Year 2 to 5Support &Maintenance

Annual maintenance, software, upgrades, documentation updates and technical support for Year 2 to 5

Per Year or Per Year

$ $

% $

YEAR 2 TO 5 SUBTOTAL (excluding HST): $

TOTAL PRICE YEAR 1 TO 5 (excluding HST): $

Price

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Section B – Form 2 TO BE RETURNED

3. TOWN OF GRAVENHURST

Component Description Type Unit

e

Extended

Price

YEAR 1

a) Software Supply of Licenses:

12 Admin 40 Users

Enterprise $ $

Per Seat $ $

Per Server $ $

Other (i.e. Subscription)

$ $

b) Third PartySoftware

Identify and provide costing on any third party software being recommended

License Per User or Subscription

$ $

c) ImplementationServices

Implementation Services including but not limited to Project Management, Design and Development, Installation/ Implementation/Configuration (including Business Continuity sites), System Testing (test and production environments), Training and Documentation, and Deployment

Lump Sum

$

d) First Year Support & Maintenance*

One year maintenance, software upgrades, documentation updates and technical support*Please attach to Form 2- Price Schedule all information related to the Warranty Period.

Lump Sum

$

YEAR 1 SUBTOTAL (excluding HST): $

YEAR 2 to 5

e) Year 2 to 5Support &Maintenance

Annual maintenance, software, upgrades, documentation updates and technical support for Year 2 to 5

Per Year or Per Year

$ $

% $

YEAR 2 TO 5 SUBTOTAL (excluding HST): $

TOTAL PRICE YEAR 1 TO 5 (excluding HST): $

Price

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Section B – Form 2 TO BE RETURNED

4. TOWNSHIP OF MUSKOKA LAKES

Component Description Type Unit

e

Extended

Price

YEAR 1

a) Software Supply of Licenses:

10 Admin 40 Users

Enterprise $ $

Per Seat $ $

Per Server $ $

Other (i.e. Subscription)

$ $

b) Third PartySoftware

Identify and provide costing on any third party software being recommended

License Per User or Subscription

$ $

c) ImplementationServices

Implementation Services including but not limited to Project Management, Design and Development, Installation/ Implementation/Configuration (including Business Continuity sites), System Testing (test and production environments), Training and Documentation, and Deployment

Lump Sum

$

d) First Year Support & Maintenance*

One year maintenance, software upgrades, documentation updates and technical support *Please attach to Form 2- Price Schedule all information related to the Warranty Period.

Lump Sum

$

YEAR 1 SUBTOTAL (excluding HST): $

YEAR 2 to 5

e) Year 2 to 5Support &Maintenance

Annual maintenance, software, upgrades, documentation updates and technical support for Year 2 to 5

Per Year or Per Year

$ $

% $

YEAR 2 TO 5 SUBTOTAL (excluding HST): $

TOTAL PRICE YEAR 1 TO 5 (excluding HST): $

Price

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Section B – Form 2 TO BE RETURNED

PART B – ADDITIONAL INFORMATION

Identify additional costs post implementation, that will apply to all Records Consortium members which are over and above the pricing noted in Part A above.

Component Description Unit Price

a) Mileage Rate Mileage rate per kilometer $

b) Hourly Rate Hourly rate for additional costs negotiated between each Records Consortium member and the successful Proponent

$

c) $

d) $

PART C – DISCOUNTS

If discounted rates are available, please include details below (i.e. volume of users, volume of servers, multiple Records Consortium members participate, early/prompt payment incentives etc.):

Component Description of Discount Available (including how they apply)

Amount of

Discount (%)

Discounted

Price

$

$

$

$

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Section B – Form 2 TO BE RETURNED

PART D – OPTIONAL INFORMATION

The following may or may not be included in the evaluation of the RFP.

1. Price for additional licenses purchased/reduction in licenses after the system is implemented:

Component Description Unit Unit Price

a) SoftwareLicenses

Increase/decrease in Licenses –

identify volume requirements if anyPer Seat $

Per Server $

Other $

2. Price related to impacts of any additional licenses purchased/reduction in licenses after thesystem is implemented:

Component Description Unit Unit Price

a) Annual SoftwareSupport andMaintenance

Impact from any additional licenses purchased/reduction in number of licenses after system implemented

Per year $

All prices are to be in Canadian Funds.

Prices must be held firm throughout the duration of the Contract.

The Records Consortium reserves the right to change the number of members participating or cancel the award without penalty, at the sole discretion of the Records Consortium.

Proponent’s Full Legal/Corporate Name (to match the corporate seal if applicable)

I/We have the authority to bind the Corporation

Signature of Signing Officer

Name and Title of Signing Officer

Telephone No. Fax No.

E-mail (of Signing Officer)

( ) ( )

Explanation Required. Please attach as a Schedule to Form 2- Price Schedule.

Explanation Required. Please attach as a Schedule to Form 2- Price Schedule.

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Section B – Form 3 TO BE RETURNED

FORM 3 PROPONENT PROFILE

RFP # 15-130317-01 – EDRMS - Records Consortium

A. CORPORATE PROFILE

1. Type of Company:

a) If a Corporation: i) Parent and/or Subsidiary Companies and/or Affiliates and nature of relationship

(research, financing etc.): 1)

2)

3)

4)

ii) Year incorporated:

1) Federal:

2) Provincial (identify):

iii) If Registered:

1) Province(s):

2) Date(s):

b) If a Partnership: i) Name of Partners:

ii) Date of Establishment of Partnership:

c) Individual Proprietorship: i) Name of Owner:

ii) Date of Establishment:

2. Products / Services Offered:

3. Total Number of Employees:

4. Major Clients:

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Section B – Form 3 TO BE RETURNED

5. Business Partners and the Products/Services they offer:

B. EXPERIENCE AND QUALFICATIONS OF THE PROPONENT

1. Identify similar projects undertaken in the last five years, the implementation timeframe and the associated cost of the projects.

Implementation

Timeframe (Year(s))

Client Company Description of Project (including nature, size and scope)

Cost (CDN)

$

$

$

$

$

2. The Proponent is to attach to Form 3 – Proponent Profile, Section B details of how the following

professional services will be delivered to meet the needs of the Records Consortium:

a) Project Management Services;

b) Design Services;

c) Installation, Implementation and Configuration Services;

d) System Testing Services;

e) Training and Documentation Services;

f) Deployment Services;

g) Ongoing Maintenance and Upgrade Services;

h) Technical Support Services; and

i) Strategic Planning Services regarding the development of a strategy for the management of existing data from shared drives and existing applications.

3. Provide details regarding other value added services, if any:

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Section B – Form 3 TO BE RETURNED

C. KEY SERVICE PERSONNEL AND SUB-CONTRACTOR INFORMATION

The Proponent is to attach to Form 3 – Proponent Profile the following:

a) A matrix identifying key personnel participating in the project with hourly rates and estimated hours of work associated with each work function and task;

b) Resumes with their professional qualifications, identify the most pertinent work experience and an overview of their duties and responsibilities on this particular project;

c) Identification of all Sub-Contractors, including their company names and addresses, their roles and responsibilities with regards to the project (refer to Item 7.8, Section A);

d) A statement of any conflict of interest, if applicable.

D. REFERENCES

The Proponent is to attach to Form 3 – Proponent Profile a minimum of three (3) references, preferably regarding systems that are similar to the system being proposed in response to this RFP:

• The identity of the reference client organization; • A contact name and title, address and telephone number; • The size and nature of the client’s business; • The number of years dealing with the client; • Date of the project; • The timing and duration of the Proponent’s involvement in the project; • The services that were provided by the Proponent (i.e. installation, support, training and/or project

management); • A description of the project; • Details regarding the scale of the project; • Details regarding the technical environment; • The number of years using the system; • Current status of installed system; and • Client’s URL address.

E. DETAILED PROPOSAL AND PROPOSED TIMELINES

The Proponent is to attach to Form 3 – Proponent Profile a project outline that explains approach, implementation plan (Critical path) identifying proposed approach, scope of work, milestones, timeline and assumptions for the proposed system, along with the licensing model, any required configuration plans, training plans, change management plans and product support plans.

F. PROPONENT SAMPLE AGREEMENT

The Proponent is to attach to Form 3 – Proponent Profile a form of written contract or agreement that they prefer to be bound by in performing the work and services called for in the RFP. The Records Consortium will review, negotiate and finalize the agreement with the successful Proponent (if any).

G. INFORMATION DECLARATION

I/WE declare the foregoing information and information attached to Form 3 – Proponent Profile to be accurate. We hereby authorize the Records Consortium to contact any and all persons or firms listed herein or attached hereto, to verify and/or obtain such additional information as deemed necessary to evaluate this request for proposal.

Proponent’s Full Legal/Corporate Name: (to match the corporate seal, if applicable)

I/We have the authority to bind the Corporation

Signature of Signing Officer: Name and Title of Signing Officer:

Date: Contract No. 15-130317-01 - EDRMS RFP - Records Consortium 39

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Section B – Form 3 TO BE RETURNED

ADDITIONAL INFORMATION RELEVANT TO PROPONENT PROFILE

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Section B – Form 4 TO BE RETURNED

Form 4 – Electronic Document and Records Management System (EDRMS) Requirements

(included separately from RFP document)

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Tab: Records Classification System Index Code: 02-01-05 July 2012 Section: The System Page: Page 1 of 9 Subject: Scope Notes Date: 2012-03-06

TOMRMS Scope Notes 2014

ADMINISTRATION - A

A00 ADMINISTRATION - GENERAL

A01 ASSOCIATIONS AND ORGANIZATIONS

A02 STAFF COMMITTEES AND MEETINGS

A03 COMPUTER SYSTEMS AND ARCHITECTURE INFORMATION

A04 CONFERENCES AND SEMINARS

A05 CONSULTANTS

A06 INVENTORY CONTROL

A07 OFFICE EQUIPMENT AND FURNITURE

A08 OFFICE SERVICES

A09 POLICIES AND PROCEDURES

A10 RECORDS MANAGEMENT

A11 RECORDS DISPOSITION

A12 TELECOMMUNICATIONS SYSTEMS

A13 TRAVEL AND ACCOMMODATION

A14 UNIFORMS AND CLOTHING

A15 VENDORS AND SUPPLIERS

A16 INTERGOVERNMENTAL RELATIONS

A17 ACCESSIBILITY OF RECORDS (FREEDOM OF INFORMATION)

A18 SECURITY

A19 FACILITIES CONSTRUCTION AND RENOVATIONS

A20 BUILDING AND PROPERTY MAINTENANCE

A21 FACILITIES BOOKINGS

A22 ACCESSIBILITY OF SERVICES

A23 INFORMATION SYSTEMS PRODUCTION ACTIVITY AND CONTROL

A24 ACCESS CONTROL AND PASSWORDS

Section C - TOMRMS Samples

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Tab: Records Classification System Index Code: 02-01-05 July 2012 Section: The System Page: Page 2 of 9 Subject: Scope Notes Date: 2012-03-06

TOMRMS Scope Notes 2014

COUNCIL, BOARDS AND BY-LAWS - C

C00 COUNCIL, BOARDS AND BY-LAWS - GENERAL

C01 BY-LAWS

C02 BY-LAWS - OTHER MUNICIPALITIES

C03 COUNCIL AGENDAS

C04 COUNCIL MINUTES

C05 COUNCIL COMMITTEE AGENDA

C06 COUNCIL COMMITTEE MINUTES

C07 ELECTIONS

C08 GOALS AND OBJECTIVES

C09 MOTIONS AND RESOLUTIONS

C10 MOTIONS AND RESOLUTIONS - OTHER MUNICIPALITIES

C11 REPORTS TO COUNCIL

C12 APPOINTMENTS TO BOARDS AND COMMITTEES

DEVELOPMENT AND PLANNING - D D00 DEVELOPMENT AND PLANNING - GENERAL

D01 DEMOGRAPHIC STUDIES

D02 ECONOMIC DEVELOPMENT

D03 ENVIRONMENT PLANNING

D04 RESIDENTIAL DEVELOPMENT

D05 NATURAL RESOURCES

D06 TOURISM DEVELOPMENT

D07 CONDOMINIUM PLANS

D08 OFFICIAL PLANS

D09 OFFICIAL PLAN AMENDMENT APPLICATIONS

D10 SEVERANCES

D11 SITE PLAN CONTROL

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D12 SUBDIVISION PLANS

D13 VARIANCES

D14 ZONING

D15 EASEMENTS

D16 ENCROACHMENTS

D17 ANNEXATION/AMALGAMATION

D18 COMMUNITY IMPROVEMENT PROJECTS

D19 MUNICIPAL ADDRESSING

D20 REFERENCE PLANS

D21 INDUSTRIAL/COMMERCIAL DEVELOPMENT

D22 DIGITAL MAPPING

D23 AGRICULTURAL DEVELOPMENT

D24 BACKGROUND REPORTS FOR OFFICIAL PLAN

ENVIRONMENTAL SERVICES - E

E00 ENVIRONMENTAL SERVICES - GENERAL

E01 SANITARY SEWERS

E02 STORM SEWERS

E03 TREATMENT PLANTS

E04 TREES

E05 AIR QUALITY MONITORING

E06 UTILITIES

E07 WASTE MANAGEMENT

E08 WATER WORKS

E09 DRAINS

E10 PITS AND QUARRIES

E11 NUTRIENT MANAGEMENT

E12 PRIVATE SEWAGE DISPOSAL SYSTEMS

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E13 WATER MONITORING

E14 WATER SAMPLING

E15 CHEMICAL SAMPLING OF WATER

E16 BACKFLOW PREVENTION AND CROSS CONNECTION CONTROL

E17 ENERGY MANAGEMENT

E18 NATURAL HERITAGE

E19 RENEWABLE ENERGY

FINANCE AND ACCOUNTING – F

F00 FINANCE AND ACCOUNTING - GENERAL

F01 ACCOUNTS PAYABLE

F02 ACCOUNTS RECEIVABLE

F03 AUDITS

F04 BANKING

F05 BUDGETS AND ESTIMATES

F06 ASSETS

F07 CHEQUES

F08 DEBENTURES AND BONDS

F09 EMPLOYEE AND COUNCIL EXPENSES

F10 FINANCIAL STATEMENTS

F11 GRANTS AND LOANS

F12 INVESTMENTS

F13 JOURNAL VOUCHERS

F14 SUBSIDIARY LEDGERS, REGISTERS AND JOURNALS

F15 GENERAL LEDGERS AND JOURNALS

F16 PAYROLL

F17 PURCHASE ORDERS AND REQUISITIONS

Section C - TOMRMS Samples

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F18 QUOTATIONS AND TENDERS

F19 RECEIPTS

F20 RESERVE FUNDS

F21 REVENUES

F22 TAX ROLLS AND RECORDS

F23 WRITE-OFFS

F24 TRUST FUNDS

F25 SECURITY DEPOSITS

F26 WORKING PAPERS

HUMAN RESOURCES - H

H00 HUMAN RESOURCES - GENERAL

H01 ATTENDANCE AND SCHEDULING

H02 BENEFITS

H03 EMPLOYEE RECORDS

H04 HEALTH AND SAFETY

H05 HUMAN RESOURCE PLANNING

H06 JOB DESCRIPTIONS

H07 LABOUR RELATIONS

H08 ORGANIZATION

H09 SALARY PLANNING

H10 PENSION RECORDS

H11 RECRUITMENT

H12 TRAINING AND DEVELOPMENT

H13 CLAIMS

H14 GRIEVANCES

H15 HARASSMENT AND VIOLENCE

H16 CRIMINAL BACKGROUND CHECKS

Section C - TOMRMS Samples

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H17 EMPLOYEE MEDICAL RECORDS – HAZARDOUS MATERIALS

H18 EMPLOYEE MEDICAL RECORDS

H19 DISABILITY MANAGEMENT

H20 CONFINED SPACES

JUSTICE - J J00 JUSTICE – GENERAL

J01 CERTIFICATES OF OFFENCE (PART I)

J02 INFORMATIONS PART III

J03 CONTROL LISTS

J04 COURT DOCKETS

J05 TRANSCRIPTS & RECORDS OF COURT PROCEEDINGS

J06 ENFORCEMENTS & SUSPENSIONS

J07 APPEALS & TRANSFERS

J08 STATISTICS

J09 DISCLOSURE

LEGAL AFFAIRS - L L00 LEGAL AFFAIRS - GENERAL

L01 APPEALS AND HEARINGS

L02 CLAIMS AGAINST THE MUNICIPALITY

L03 CLAIMS BY THE MUNICIPALITY

L04 CONTRACTS AND AGREEMENTS

L05 INSURANCE APPRAISALS

L06 INSURANCE POLICIES

L07 LAND ACQUISITION AND SALE

L08 OPINIONS AND BRIEFS

L09 PRECEDENTS

Section C - TOMRMS Samples

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TOMRMS Scope Notes 2014

L10 FEDERAL LEGISLATION

L11 PROVINCIAL LEGISLATION

L12 VITAL STATISTICS

L13 PROSECUTIONS

MEDIA AND PUBLIC RELATIONS - M M00 MEDIA AND PUBLIC RELATIONS - GENERAL

M01 ADVERTISING

M02 CEREMONIES AND EVENTS

M03 CHARITABLE CAMPAIGNS/FUND RAISING

M04 COMPLAINTS, COMMENDATIONS AND INQUIRIES

M05 NEWS CLIPPINGS

M06 NEWS RELEASES

M07 PUBLICATIONS

M08 SPEECHES AND PRESENTATIONS

M09 VISUAL IDENTITY AND INSIGNIA

M10 WEBSITE AND SOCIAL MEDIA CONTENT

PROTECTION AND ENFORCEMENT SERVICES - P P00 PROTECTION AND ENFORCEMENT SERVICES - GENERAL

P01 BY-LAW ENFORCEMENT

P02 DAILY OCCURRENCE LOGS

P03 EMERGENCY PLANNING

P04 HAZARDOUS MATERIALS

P05 INCIDENT/ACCIDENT REPORTS

P06 BUILDING AND STRUCTURAL INSPECTIONS

P07 HEALTH INSPECTIONS

P08 INVESTIGATIONS

P09 LICENSES

P10 BUILDING PERMITS

Section C - TOMRMS Samples

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TOMRMS Scope Notes 2014

P11 PERMITS, OTHER

P12 WARRANTS

P13 CRIMINAL RECORDS

P14 ANIMAL CONTROL

P15 COMMUNITY PROTECTION PROGRAMS

P16 EMERGENCY SERVICES

P17 EMS INCIDENT AND IMPACT REPORTS

P18 EMS ACCIDENT REPORTS

P19 EMS STATISTICS

RECREATION AND CULTURE - R

R00 RECREATION AND CULTURE - GENERAL

R01 HERITAGE PRESERVATION

R02 LIBRARY SERVICES

R03 MUSEUM AND ARCHIVAL SERVICES

R04 PARKS MANAGEMENT

R05 RECREATIONAL FACILITIES

R06 RECREATIONAL PROGRAMMING

SOCIAL AND HEALTH CARE SERVICES - S S00 SOCIAL AND HEALTH CARE SERVICES - GENERAL

S01 CHILDREN’S DAY NURSERY SERVICES

S02 ELDERLY ASSISTANCE

S03 HOMES FOR THE AGED RESIDENTS

S04 SOCIAL ASSISTANCE PROGRAMS

S05 ONTARIO WORKS CASE RECORDS

S06 MEDICAL CASE RECORDS

S07 CHILDREN’S SERVICES

S08 PUBLIC HEALTH

S09 CEMETERY RECORDS

Section C - TOMRMS Samples

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S10 DAY CARE NURSERY RECORDS

TRANSPORTATION SERVICES – T

T00 TRANSPORTATION SERVICES - GENERAL

T01 ILLUMINATION

T02 PARKING

T03 PUBLIC TRANSIT

T04 ROAD CONSTRUCTION

T05 ROAD DESIGN AND PLANNING

T06 ROAD MAINTENANCE

T07 SIGNS AND SIGNALS

T08 TRAFFIC

T09 ROADS AND LANES OPENINGS/CLOSURES

T10 FIELD SURVEY/ROAD SURVEY BOOKS

T11 BRIDGES

VEHICLES AND EQUIPMENT - V V00 VEHICLES AND EQUIPMENT - GENERAL

V01 FLEET MANAGEMENT

V02 MOBILE EQUIPMENT

V03 TRANSPORTABLE EQUIPMENT

V04 PROTECTIVE EQUIPMENT

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Section C - TOMRMS Samples

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Section C - TOMRMS Samples

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RECORDS CLASSIFICATION SYSTEM - 2014 (proposed customized TOMRMS) - 2014-09-15

A ADMINISTRATION

A00 Administration – General A01 Associations and Organizations A02 Staff Committees and Meetings A03 Unassigned A04 Conferences and Seminars A05 Consultants A06 Unassigned A07 Office Equipment and Furniture A08 Office Supplies and Services A09 Policies and Procedures A10 Records Management A11 Records Storage and Disposal A12 Unassigned A13 Travel and Accommodation A14 Uniforms and Clothing A15 Vendors, Suppliers and Contractors A16 Intergovernmental Relations A17 Information Access and Privacy/Accessibility of Records (F.O.I.) A18 Physical Security A19 Unassigned A20 Building Construction, Renovation and Property Maintenance A21 Facilities Bookings A22 Department / Division Planning A23 Unassigned A24 Unassigned A25 Forms Management

C COUNCIL AND BY-LAWS

C00 Council, Boards and Committees – General C01 By-Laws C02 By-Laws – Other Municipalities C03 Council Agendas, Minutes and Resolutions C04 By-laws – Housing Corporations C05 Department Records for Committee Agendas, Minutes and Resolutions C06 Committee and Housing Board Agendas, Minutes and Resolutions C07 Elections C08 Corporate Planning C09 Unassigned C10 Motions and Resolutions – Other Municipalities C11 Unassigned C12 Appointments C13 Petitions C14 Councillor Correspondence C15 Conflict of Interest C16 Heritage/History Preservation

D DEVELOPMENT AND PLANNING

D00 Development and Planning – General D01 Demographics and Employment D02 Economic Planning and Development (District of Muskoka) D03 Environmental Planning D04 Residential Planning and Development

Section C - TOMRMS Samples

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RECORDS CLASSIFICATION SYSTEM - 2014 (proposed customized TOMRMS) - 2014-09-15

D05 Unassigned D06 Tourism Development D07 Condominium Plans D08 Area Municipalities Official Plan Review D09 Area Municipalities Official Plan Amendments D10 Severances (Consents) D11 Site Plan Control D12 Subdivision Plans D13 Part Lot Control D14 Comprehensive Zoning By-laws D15 Unassigned D16 Propane Hazard Planning D17 Municipal Restructuring D18 Unassigned D19 Neighbouring Municipalities Planning Documents and Applications D20 Muskoka Official Plan Reviews and Amendments D21 Unassigned D22 Unassigned D23 Planning Shared Services D24 Reference Plans D25 Area Municipalities Building Permit Statistics D26 Economic Development (Area Municipalities) D27 Land Development (Area Files) D28 Development Inquiries and Complaints D29 Heritage Areas

E ENVIRONMENTAL SERVICES

E00 Environmental Services – General E01 Ministry of Environment Certificates of Approval E02 Stormwater Management E03 Unassigned E04 Forest Health E05 Environmental Monitoring E06 Utilities E07 Municipal Holding Tank Applications E08 Unassigned E09 Unassigned E10 Pits and Quarries E11 Salt (Road) Contamination E12 Unassigned E13 Lake Water Quality Monitoring E14 Water Sampling E15 Chemical Sampling of Water E16 Backflow Prevention and Cross Connection Control

F FINANCE AND ACCOUNTING

F00 Finance and Accounting – General F01 Accounts Payable F02 Accounts Receivable F03 Audits/Year End Working Papers F04 Banking F05 Budgets and Estimates – Working Papers F06 Capital Assets F07 Inventory F08 Debt, Debentures, Bonds and Mortgages

Section C - TOMRMS Samples

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RECORDS CLASSIFICATION SYSTEM - 2014 (proposed customized TOMRMS) - 2014-09-15

F09 Mandatory Connection (MC) Loan Administration F10 Financial Statements and Reports and Final Budgets F11 Grants and Loans Incoming F12 Investments F13 Affordable Housing/Development Charge Deferral/Rebate Applications F14 Upload Files General and Recurring Journal Entry Backup F15 General Ledgers and Journals F16 Payroll F17 Procurement Authorization F18 Competitive Bid Documents: Invitations to Tender, Requests for Proposals,

Requests for Quotations, Requests for Information, Expressions of Interest F19 Receipts F20 Reserve Funds F21 Revenue Analysis F22 Tax Policy and Levy Calculations F23 Write-Offs F24 Trust Funds F25 Assessment Related Records F26 Unassigned F27 Local Improvements F28 Home Ownership and Retrofit Loan F29 Corporate Taxation F30 Grants and Loans Outgoing F31 Working Notes for Financial Statements and Reports

H HUMAN RESOURCES

H00 Human Resources – General H01 Attendance and Scheduling H02 Benefits and Services H03 Employee Records H04 Health and Safety H05 Human Resource Planning H06 Job Descriptions H07 Labour Relations H08 Organization H09 Salary Planning, Administration and Remuneration H10 Pension Records H11 Recruitment H12 Training and Development H13 Employee Medical Records and Claims H14 Employee Awards and Honours, Ceremonies and Events H15 Harassment and Violence H16 Criminal Background Checks H17 Employee Medical Records – Hazardous Materials

I INFORMATION TECHNOLOGY

I00 Information Technology Services - General I01 Telecommunications Systems I02 Information Systems and Applications I03 Unassigned I04 Systems Development I05 Projects – Implementation / Post Implementation I06 Network Systems I07 Computer Hardware I08 Data Centre

Section C - TOMRMS Samples

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RECORDS CLASSIFICATION SYSTEM - 2014 (proposed customized TOMRMS) - 2014-09-15

I09 Unassigned I10 Data Sharing Agreements (Administration) I11 Unassigned I12 Layers I13 Unassigned I14 GIS Services (User Groups) I15 Unassigned I16 Unassigned I17 9-1-1

J JUSTICE

J00 Justice – General J01 Certificates of Offence (Part 1) J02 Informations (Part 3) J03 Control Lists J04 Court Dockets J05 Transcripts and Records of Court Proceedings J06 Enforcement and Suspension J07 Appeals – Provincial Offences and Transfers J08 Statistics J09 Certificates of Conviction (Part 2)

L LEGAL AFFAIRS

L00 Legal Affairs – General L01 Appeals and Hearings L02 Unassigned L03 Unassigned L04 Contracts and Agreements – Under Seal L05 Insurance Appraisals L06 Insurance Policies L07 Land and Property Acquisition L08 Opinions and Briefs L09 Precedents L10 Federal Legislation L11 Provincial Legislation L12 Registered and Discharged Liens and Charges/Mortgages L13 Prosecutions L14 Contracts and Agreements – Simple L15 Prosecution Disclosure L16 Corporate Interests / Intellectual Property L17 Deeds L18 Licences L19 Litigation / Claims L20 Land and Property Sale L21 Legal Compliance L22 Lease and Rental Agreements by the District L23 Lease and Rental Agreements for the District

M MEDIA, CUSTOMER AND PUBLIC RELATIONS

M00 Media, Customer and Public Relations – General M01 Advertising M02 Ceremonies and Events M03 Charitable Campaigns / Fund Raising M04 Complaints, Commendations and Inquiries M05 News Clippings

Section C - TOMRMS Samples

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RECORDS CLASSIFICATION SYSTEM - 2014 (proposed customized TOMRMS) - 2014-09-15

M06 Media Releases and Media Relations M07 Internal and External Publications M08 Speeches and Presentations M09 Visual Identity and Insignia M10 Unassigned M11 Public Relations and Public Awareness Programs M12 Unassigned M13 Filming on District Properties/Roads

P PROTECTION AND ENFORCEMENT SERVICES

P00 Protection and Enforcement Services – General P01 By-law Enforcement P02 Business Continuity Planning P03 Emergency Planning P04 Hazardous Materials P05 Incident / Accident Reports P06 Muskoka Emergency Response Plan and Program P07 Emergency Response Sub Plans - District P08 Emergency Response Plans – Area Municipalities P09 Emergency Response Plans - Other Regions P10 Unassigned P11 Fire Regulatory Requirements P12 Unassigned P13 Unassigned P14 Unassigned P15 Community Protection Programs P16 Unassigned P17 Fire Protection Services and Fire First Response P18 Police Services P19 Unassigned P20 Ambulance Services P21 Declared Emergencies

S SOCIAL AND HEALTH CARE SERVICES

S00 Social and Health Care Services – General S01 Children’s Day Care Programs S02 Elderly Assistance S03 Long Term Care S04 Social Assistance Programs S05 Ontario Works Case Records S06 Medical Case Records S07 Children’s Services and Administration of District Child Care Programs S08 Public Health S09 Community Engagement Improvement Projects S10 Children’s Day Care Client Records S11 Children’s Services Case Records S12 Employment Services Case Records S13 Social Housing S14 Access for the Disabled and the Elderly S15 Social Services Agencies S16 Homelessness S17 Housing Tenant Files S18 Affordable Housing

Section C - TOMRMS Samples

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RECORDS CLASSIFICATION SYSTEM - 2014 (proposed customized TOMRMS) - 2014-09-15

T TRANSPORTATION SERVICES

T00 Transportation - General T01 Roads – General T02 Roads Design and Planning T03 Road Construction and Projects T04 Road Maintenance Projects T05 Signs and Traffic Signals T06 Public Transportation Services T07 Snowmobile Crossings T08 Assumed Roads - General T09 Road and Lane Closures T10 Overload Annual Permits T11 Parking T12 Railway Crossings T13 Bridges T14 Illumination T15 Locks T16 All-Terrain Vehicles T17 Active Transportation T18 Muskoka Airport General T19 Muskoka Airport Development Options T20 Muskoka Airport Property Files T21 Muskoka Airport Tenant Files T22 Muskoka Airport Fuel Operations T23 Muskoka Airport Safety Management System T24 Muskoka Airport - Operations T25 Muskoka Airport Water System

V VEHICLES AND MISC. EQUIPMENT

V00 Vehicles and Misc. Equipment – General V01 Fleet Management V02 Equipment – Transportable and Mobile V03 Unassigned V04 Protective Equipment V05 Ancillary Equipment V06 Unassigned V07 Medical and Technical Equipment

W WATER, SEWER AND WASTE MANAGEMENT

W00 Unassigned W01 Unassigned W02 Unassigned W03 Mandatory Connections W04 Lagoons - Operations W05 Lagoons - Projects W06 Water Operations W07 Sanitary Sewage Operations W08 Water Projects W09 Sanitary Sewer Projects W10 Water and Sewer Administration W11 Water and Sewer Combined Projects W12 Waste Management Administration W13 Waste Management Operations W14 Waste Management Projects

Section C - TOMRMS Samples

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Legend: ** = Subject to Archival Selection; E = Event; C = Current Fiscal Year; P = Permanent; S = Superseded; O = Obsolete;

All numbers in retention columns refer to years unless otherwise specified.

PROPOSED RECORDS RETENTION - 2014 (customized TOMRMS)

District Class Code

Record Category Responsible Department

Retention (in years) Remarks

Active Inactive Total (years)

A ADMINISTRATION

A00 Administration - General

Originating 1 - 1

A01 Associations & Organizations

Originating 1 3 4**

A02 Staff Committees & Meetings

Originating 1 3 4**

A03 Unassigned A04 Conferences & Seminars

Originating 1 - 1** Only those sponsored by the

Municipality are subject to archival review.

A05 Consultants

Originating 5 - 5**

A06 Unassigned A07 Office Equipment &

Furniture

Originating E - E E = Disposal of item

A08 Office Supplies & Services

Originating 1 - 1

A09 Policies & Procedures

Originating S P P** (governance)

S+5

(administrative)

A10 Records Management

Clerk’s S - S

A11 Records Storage and Disposal

Clerk’s P - P

A12 Unassigned A13 Travel & Accommodation

Originating 1 - 1

A14 Uniforms & Clothing

Originating E+1 - E+1 E = date employees ceases to be employed by the employer, or change in supplier.

A15 Vendors, Suppliers & Contractors

Originating 2 3 5**

Section C - TOMRMS Samples

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Legend: ** = Subject to Archival Selection; E = Event; C = Current Fiscal Year; P = Permanent; S = Superseded; O = Obsolete;

All numbers in retention columns refer to years unless otherwise specified.

PROPOSED RECORDS RETENTION - 2014 (customized TOMRMS)

District Class Code

Record Category Responsible Department

Retention (in years) Remarks

Active Inactive Total (years)

A16 Intergovernmental Relations

Originating 1 4 5**

A17 Information Access & Privacy/Accessibility of Records (F.O.I.)

Clerk’s 1 1 2

A18 Physical Security

Originating 2 3 5**

A19 Unassigned A20 Building Construction,

Renovation & Property Maintenance

Originating E+2 3 E+5** E = finished project

A21 Facilities Bookings

Originating 1 - 1

A22 Department / Division Planning

-

Originating SO - SO

A23 Unassigned A24 Unassigned A25 Forms Management

Originating S - S+5

C COUNCIL AND BY-LAWS

C00 Council, Boards & Committees - General

Originating 1 - 1

C01 By-Laws

Clerk’s P - P** Copy retention S

C02 By-Laws - Other Municipalities

Originating S - S

C03 Council Agendas, Minutes & Resolutions

Clerk’s P - P**

C04 By-laws – Housing Corporations

Originating P - P**

C05 Department Records for Committee Agendas, Minutes & Resolutions

Originating 6 - 6**

Section C - TOMRMS Samples

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Legend: ** = Subject to Archival Selection; E = Event; C = Current Fiscal Year; P = Permanent; S = Superseded; O = Obsolete;

All numbers in retention columns refer to years unless otherwise specified.

PROPOSED RECORDS RETENTION - 2014 (customized TOMRMS)

District Class Code

Record Category Responsible Department

Retention (in years) Remarks

Active Inactive Total (years)

C06 Committee and Housing Board Agendas, Minutes & Resolutions

Clerk’s P P**

C07 Elections

Clerk’s E+4 - E+4 E = day action took effect or voting day Ballots E= 120 days after voting or resolution of recount.

C08 Corporate Planning

Originating S - S**

C09 Unassigned C10 Motions & Resolutions -

Other Municipalities

Clerk’s S - S

C11 Unassigned C12 Appointments

Clerk’s 1 P P**

C13 Petitions

Clerk’s 2 - 2

C14 Councillor Correspondence

Originating 4 4 8**

C15 Conflict of Interest

Clerk’s 6 - 6 E = time contravention alleged to have occurred.

C16 Heritage / History Preservation

Clerk’s E - E** E= Removal of designation or removal/ disposal/ sale of item.

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TOMRMS Proposed Classification 2015

A ADMINISTRATION A00 Administration - General

A01 Associations and Organizations

A02 Staff Committees and Meetings

A03 Computer Systems and Architecture Information

A04 Conferences and Seminars

A05 Consultants

A06 Inventory Control

A07 Office Equipment and Furniture

A08 Office Supplies and Services

A09 Policies and Procedures

A10 Records Management

A11 Records Storage and Disposal

A12 Telecommunications Systems

A13 Travel and Accommodations

A14 Uniforms and Clothing

A15 Vendors and Suppliers

A16 Intergovernmental Relations

A17 Information Access and Privacy/Accessibility of Records (FOI)

A18 Security

A19 Facilities Construction and Renovations

A20 Building and Property Maintenance

A21 Facilities Bookings

A22 Accessibility of Services

A23 Information Systems Production Activity and Control

A24 Access Control and Passwords

Tab: Records Classification System Index Code: Section: Page: Page 1 of 9 Subject: Proposed Classifications Date: June 2015

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TOMRMS Proposed Classification 2015 C COUNCIL, BOARDS AND BY-LAWS C00 Council, Boards and By-laws - General

C01 By-laws

C02 By-laws – Other Municipalities

C03 Council Agendas

C04 Council Minutes

C05 Committee of the Whole Agendas

C06 Committee of the Whole Minutes

C07 Elections

C08 Goals and Objectives

C09 Motions and Resolutions

C10 Motions and Resolutions – Other Municipalities

C11 Reports to Council

C12 Appointments to Boards and Committees

D DEVELOPMENT AND PLANNING D00 Development and Planning – General

D01 Demographic Studies

D02 Economic Development

D03 Environmental Planning

D04 Residential Development

D05 Natural Resources

D06 Tourism Development

D07 Condominium Plans

D08 Official Plans

D09 Official Plan Amendment Applications

D10 Severances

D11 Site Plan Control

D12 Subdivision Plans

D13 Variances

D14 Zoning

D15 Easements

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TOMRMS Proposed Classification 2015 D16 Encroachments

D17 Amalgamation / Annexations

D18 Community Improvement Projects

D19 Municipal (Civic) Addressing

D20 Reference Plans

D21 Commercial / Industrial Development

D22 Digital Mapping

D23 Agricultural Development

D24 Background Reports for Official Plan

E ENVIRONMENTAL SERVICES E00 Environmental Services – General

E01 Sanitary Sewers

E02 Storm Sewers

E03 Treatment Plants (Wastewater Treatment and Collection)

E04 Trees

E05 Air Quality Monitoring

E06 Utilities

E07 Waste Management

E08 Water Works (Drinking Water Treatment and Distribution)

E09 Draoms

E10 Pits and Quarries

E11 Nutrient Management

E12 Private Sewage Disposal Systems

E13 Water Monitoring

E14 Water Sampling

E15 Chemical Sampling of Water

E16 Backflow Prevention and Cross Connection Control

E17 Energy Management

E18 Natural Heritage

E19 Renewable Energy

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TOMRMS Proposed Classification 2015 F FINANCE AND ACCOUNTING F00 Finance and Accounting – General

F01 Accounts Payable

F02 Accounts Receivable

F03 Audits

F04 Banking

F05 Budgets and Estimates

F06 Assets

F07 Cheques

F08 Debentures and Bonds

F09 Employee and Council Expenses

F10 Financial Statements

F11 Grants and Loans

F12 Investments

F13 Journal Vouchers

F14 Subsidiary Ledgers, Registers and Journals

F15 General Ledgers and Journals

F16 Payroll

F17 Purchase Orders and Requisitions

F18 Quotations and Tenders

F19 Receipts

F20 Reserve Funds

F21 Revenues

F22 Tax Rolls and Records

F23 Write-Offs

F24 Trust Funds

F25 Security Deposits

F26 Working Papers

H HUMAN RESOURCES

H00 Human Resources – General

H01 Attendance and Scheduling

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TOMRMS Proposed Classification 2015 H02 Benefits

H03 Employee Records

H04 Health and Safety

H05 Human Resource Planning

H06 Job Descriptions

H07 Labour Relations

H08 Organization

H09 Salary Planning

H10 Pension Records

H11 Recruitment

H12 Training and Development

H13 Claims

H14 Grievances

H15 Harassment and Violence

H16 Criminal Background Checks

H17 Employee Medical Records – Hazardous Materials

H18 Employee Medical Records

H19 Disability Management

H20 Confined Spaces

J JUSTICE J00 Justice – General

J01 Certificates of Offence (Part I)

J02 Informations (Part III)

J03 Control Lists

J04 Court Dockets

J05 Transcripts and Records of Court Proceedings

J06 Enforcements and Suspensions

J07 Appeals and Transfers

J08 Statistics

J09 Disclosure

J10 Certificates of Conviction (Part 2)

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TOMRMS Proposed Classification 2015 L LEGAL AFFAIRS L00 Legal Affairs – General

L01 Appeals and Hearings

L02 Claims Against The Municipality

L03 Claims By The Municipality

L04 Contracts and Agreements – Under By-law

L05 Insurance Appraisals

L06 Insurance Policies

L07 Land Acquisition and Sale

L08 Opinions and Briefs

L09 Precedents

L10 Federal Legislation

L11 Provincial Legislation

L12 Vital Statistics

L13 Prosecutions

L14 Contracts and Agreements - Simple

M MEDIA AND PUBLIC RELATIONS M00 Media and Public Relations – General

M01 Advertising

M02 Ceremonies and Events

M03 Charitable Campaigns / Fund Raising

M04 Complaints, Commendations and Inquiries

M05 News Clippings

M06 News Releases

M07 Publications

M08 Speeches and Presentations

M09 Visual Identity and Insignia

M10 Website and Social Media Content

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TOMRMS Proposed Classification 2015 P PROTECTION AND ENFORCEMENT SERVICES P00 Protection and Enforcement Services – General

P01 By-law Enforcement

P02 Daily Occurrence Logs

P03 Emergency Planning

P04 Hazardous Materials

P05 Incident / Accident Reports

P06 Building and Structural Inspections

P07 Health Inspections

P08 Investigations

P09 Licenses

P10 Building Permits

P11 Permits, Other

P12 Warrants

P13 Criminal Records

P14 Animal Control

P15 Community Protection Programs

P16 Emergency Services

P17 Unassigned

P18 Unassigned

P19 Unassigned

R RECREATION, ARTS AND CULTURE R00 Recreation, Arts and Culture – General

R01 Heritage Preservation

R02 Library Services

R03 Museum and Archival Services

R04 Parks Management

R05 Recreational Facilities

R06 Recreation Programming

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TOMRMS Proposed Classification 2015 S SOCIAL AND HEALTH CARE SERVICES S00 Social and Health Care Services – General

S01 Children’s Day Nursery Services

S02 Elderly Assistance

S03 Unassigned

S04 Social Assistance Programs

S05 Unassigned

S06 Unassigned

S07 Children’s Services

S08 Public Health

S09 Cemetery Records

S10 Unassigned

T TRANSPORTATION SERVICES T00 Transportation Services – General

T01 Illumination

T02 Parking

T03 Public Transit

T04 Road Construction

T05 Road Design and Planning

T06 Road Maintenance

T07 Signs and Signals

T08 Traffic

T09 Roads and Lanes – Openings/Closures

T10 Field Survey / Road Survey Books

T11 Bridges

V VEHICLES AND EQUIPMENT V00 Vehicles and Equipment – General

V01 Fleet Management

V02 Mobile Equipment

V03 Transportable Equipment

V04 Protective Equipment

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Records Management

Legend: P - Permanent; * - Maximum Copy Retention; S - Superseded; E - Event All Records Subject to Archival Selection

All numbers in retention columns refer to years unless otherwise specified.

Tab: Records Retention Page: 1 of 25

Section: Schedule

Subject: Records Retention Schedule

Date:

Primary Heading: Administration

Class Code

Secondary Heading

Responsible Dept.

Keep* Dept.

Off Site

Total Ret.

Remarks

Citation Table

A00 Administration - General Originating 1 - 1

A01 Associations and Organizations Originating 1 - 1

A02 Staff Committees and Meetings Originating 1 3 4 303, 305

A03 Computer Systems and Architecture Information

Originating S 6 S+6 30

A04 Conferences and Seminars Originating 1 - 1

A05 Consultants Originating 2 - 2

A06 Inventory Control Originating 1 5 6 2, 7, 8, 17, 19, 20, 21, 22, 23, 24, 25, 26, 27, 28, 31, 190, 196, 197, 213

A07 Office Equipment and Furniture Originating E - E E= Disposal of item

A08 Office Supplies and Services Originating 1 - 1

A09 Policies and Procedures Originating S P P

A10 Records Management Clerk's S - S 388, 462, 463, 464, 465, 466

A11 Records Storage and Disposition Clerk's P - P 388, 462, 463, 464, 465, 466

A12 Telecommunications Systems Originating S - S

A13 Travel and Accommodation Originating 1 - 1

A14 Uniforms and Clothing Originating S - S

A15 Vendors and Suppliers Originating 2 - 2

A16 Intergovernmental Relations Originating 1 4 5

A17 Information Access and Privacy /Accessibility of Records (F.O.I.)

Clerk's 2 - 2 220, 464, 465

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Records Management

Legend: P - Permanent; * - Maximum Copy Retention; S - Superseded; E - Event All Records Subject to Archival Selection

All numbers in retention columns refer to years unless otherwise specified.

Tab: Records Retention Page: 2 of 25

Section: Schedule

Subject: Records Retention Schedule

Date:

Primary Heading: Administration

Class Code

Secondary Heading

Responsible Dept.

Keep* Dept.

Off Site

Total Ret.

Remarks

Citation Table

A18 Security Originating 2 3 5

A19 Facilities Construction and Renovations

Originating E 1 E+1 E = project finished 306, 368, 369, 372, 406

A20 Building and Property Maintenance Originating 2 3 5 172, 202, 211, 244, 245, 265, 267, 398. 399, 400, 401, 402, 403, 406

A21 Facilities Bookings Originating 1 - 1

A22 Accessibility of Services Originating 2 3 5 No retention requirements

493, 494, 495, 496, 497, 498

A23 Information Systems Production Activity and Control

Corporate Services

2 - 2 39, 515, 516

A24 Access Control and Passwords Corporate Services

2 - 2 39, 515, 516

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Records Management

Legend: P - Permanent; * - Maximum Copy Retention; S - Superseded; E - Event All Records Subject to Archival Selection

All numbers in retention columns refer to years unless otherwise specified.

Tab: Records Retention Page: 3 of 25

Section: Schedule

Subject: Records Retention Schedule

Date:

Primary Heading: Council and By-Laws

Class Code

Secondary Heading

Responsible Dept.

Keep* Dept.

Off Site

Total Ret.

Remarks

Citation Table

C00 Council and By-Laws - General Originating 1 - 1

C01 By-Laws Clerk's P - P Copy retention S 246

C02 By-Laws - Other Municipalities

Clerk's S - S

C03 Council Agendas Clerk's S 5 S+5

C04 Council Minutes Clerk's P - P Copy retention 2 years Working notes 6 years

109, 110, 111, 112, 462, 466

C05 Committee of the Whole Agendas Clerk's S - S 462, 466

C06 Committee of the Whole Minutes Clerk's 6 - 6 109, 110, 111, 112, 246, 324

C07 Elections Clerk's E+4 - E+4 E= day action took effect or voting day

Ballots E= 90 days after voting or resolution of recount

297, 412 to 450

C08 Goals and Objectives Originating S - S

C09 Motions and Resolutions Clerk's 2 - 2 Copy retention 1 year

246

C10 Motions and Resolutions - Other Municipalities

Clerk's S - S

C11 Reports to Council Clerk's 1 P P

C12 Appointments to Boards and Committees

Clerk's 1 P P

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