B.1.03. Records Retention and Disposal Policy

General Administration	Effective Date: July 1, 2010
Topic: Administration	Replaces:
Subject: Records Retention and Disposal Policy	Policy No. B.1.03.

POLICY

General

This Statement of Policy and Procedure provides guidance to all employees on policies for records protection, retention, and destruction in order to:

Maintain confidentiality of information
Ensure compliance with laws and regulations
Minimize litigation and settlement costs in the event of a lawsuit
Ensure records which can be disposed of are destroyed in a regular planned manner

Records shall be retained for the retention periods specified below.

Records shall be stored securely, and access limited to those with a valid business reason for requiring access. Staff without a valid business interest should not be opening or reviewing a record.

Records beyond the retention period will be disposed in manner that ensures no breach of confidentiality. The CAO, each Director and each Manager will review in December of each year the records under their control and ensure that out of date documents are destroyed. Destruction will occur in conjunction with the Director of Finance & Administration. The destruction will be recorded and copy of that record using this policy document will be retained by the Director of Finance & Administration.

PROCEDURE

Type of Document	Responsibility Centre	Retention Period
General Corporate Records
Bylaws, amendments to the bylaws, corporate seal, minutes from the meetings of the Board of Directors and all board committees, annual reports, debenture records, records of incorporation	CAO	Permanent
Legal
Customer and supplier contracts and correspondence related to the terms of the contracts	CAO or appropriate Director	7 years beyond the life of the contract
Papers relating to major litigation	CAO	5 years after the expiration of the legal appeal period or as specified by legal counsel
Papers relating to minor litigation	CAO	1 year after the expiration of the legal appeal period
Insurance policies including product liability, directors and officers liability, general liability, and third-party liability, property and crime coverage	Director of Finance & Administration	7 years after the policy has been superseded
Documents pertaining to the purchase, sale or lease of property	Director of Finance & Administration	7 years
Human Resources
Original signed union contracts or personnel manuals	Executive Assistant	Permanent
Original plan documents, records of pensionable employee service and eligibility, associated personal information including name, address, social insurance number, pay history, pension rate	Executive Assistant	Permanent
Letter of offer, individual contracts of employment, attendance records, payroll history including RRSP contributions, commission and bonus history, medical information	Executive Assistant	3 years after termination of the employee
Job descriptions and performance assessments	Executive Assistant	3 years beyond the period to which it applies unless otherwise specified
Applications/resumes and correspondence related to individuals not hired	Executive Assistant	1 year
Interview competitions, internal and external	Executive Assistant	1 year
Financial Records
Signed, audited financial statements and external auditors reports	Director of Finance & Administration	Permanent
Internal auditors reports	Director of Finance & Administration	7 years
General ledgers, general journals, monthly financial statements, bank statements, cash register tapes, cancelled cheques, invoices	Director of Finance & Administration	7 years
Tax returns, tax working papers, summary payroll records for tax purposes	Director of Finance & Administration	7 years
Charitable contributions records	Director of Finance & Administration	7 years
Paramedic Services
Patient Care Records	Chief	5 years as per Legislation
Incident Reports	Chief	5 years as per Legislation
Paramedic Current Qualifications	Chief	Current version only
Investigation Files	Chief	5 years as per Legislation
Warrantees	Chief	Term of warrantee
Vehicle Maintenance Records	Chief	One MOHLTC Service Review beyond life of vehicles (currently 3 years)
Equipment Maintenance Records	Chief	One MOHLTC Service Review beyond life of vehicles (currently 3 years)
Vehicle Collision Reports	Chief	5 years
Ministry Financial Submissions	Chief	7 years
Ministry Non-Financial Submissions	Chief	5 years
Children's Services
Copies of applicant’s documents related to income testing, identification of a child’s special or social need or a parent’s illness or disability. Closed fee subsidy files should be retained for 7 years from the date of closure	Director of Integrated Social Services	7 years
Service contracts with providers	Director of Integrated Social Services	7 years
Ministry submissions	Director of Integrated Social Services	7 years
Ontario Works
All records relating to Ontario Works should be retained for not less than 5 years. The five-year period of retention applies to an applicant or recipient’s case file in total and the documentation contained in the case file. Any files or documents may be destroyed if they are inactive and date five or more years after the date the file was started. Exceptions to this rule exist where: There has been an overpayment of assistance to an applicant or recipient and the overpayment is still outstanding after the five year deadline. The case file and any related documents should be retained indefinitely, when there has been an overpayment of assistance to a recipient and the recipient has not made full repayment. The applicant or recipient is being investigated for social assistance fraud. The case file and any related documents should be retained indefinitely when there is an ongoing fraud investigation. There are outstanding family support issues related to the applicant or recipient’s file. The case file and any related documents should be retained for a minimum of 10 years where there are outstanding family support issues. The file or documents are delivery agent accounting documents which substantiate expenditures, such as payroll journals, cleared cheques, subsidy claims, etc. Accounting documents should be retained for a minimum of seven years.	Director of Social Services	5 years Indefinitely Indefinitely 10 years 7 years
Service contracts with providers	Director of Social Services	7 years
Ministry submissions	Director of Social Services	7 years
Community Housing
All of the following records must be kept for at least seven years after the end of the fiscal year to which the record relates: financial records records relating to a Part VII housing project, other than records to which sections 3 or 4 applies. records relating to a household that occupies a unit in a Part VII housing project for at least five years after the household last resided in a unit in the project. if the Service Manager refuses to offer a unit to a household under a rule under subsection 50 (1) or 77 (1), the Service Manager shall keep a record of the decision to refuse to offer the unit to the household, including a copy of the notice given to the household under that section and the information used by the housing provider to make its decision, for at least seven years after the notice was given to the household.	Director of Integrated Social Services	7 years 5 years 7 years after notice is given
Applications resulting in RGI eligibility with overpayment	Director of Integrated Social Services	Permanent until write off. Portions of the file unconnected to the overpayment can be removed after 5 years
Service contracts with providers	Director of Finance & Administration	7 years
Ministry submissions	Director of Finance & Administration	7 years
Leases related to social housing properties	Director of Finance & Administration	7 years
Affordable Housing Program file contents with repayment requirements and encumbrances on property	Director of Finance & Administration	Permanent Retain for 7 years after full repayment of loan
Warrantees	Director of Finance & Administration	Term of warrantee
Employment Services
All documents included in each legal agreement that is specific to the program.	Director of Integrated Social Services	7 years from the date of expiry or termination of the agreement.