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Home My WebLink About92-139 M,, ■ Delo�tte & JUL 2 7 1992 Touche z 10 �9 Ali 9z /00. Chartered Accountants Bank of Commerce Building Telephone: (416)579-8202 2 Simcoe Street South Toronto area: (416)686-8249 P.O. Box 800 Telecopier: (416)579-3388 Oshawa,Ontario t_1H 7N1 Town of Newcastle July 20, 1992 Municipal Offices 40 Temperance Street Bowmanville, Ontario L1C 3A6 Attention Marie P. Knight, A.M.C.T. , CMM, Deputy Clerk Dear Sirs: RECORDS RETENTION BY-LAW NO. 92-139 Further to your letter dated May 26, 1992, we have reviewed By-law No. 92-139 being a by-law to establish the retention periods for certain documents and records of the Town of Newcastle and are in agreement with the retention periods disclosed in Schedule "A" attached thereto. We have enclosed two signed copies of By-law 92-139 for your records. If you have any questions, please contact our office. Yours very truly, DELOITTE & TOUCHE Laurence L. Martin Partner Enclosures THE CORPORATION OF THE TOWN OF NEWCASTLE BY-LAW 92-139 being a by-law to establish the retention periods for certain documents and records of the Town of Newcastle WHEREAS the Municipal Act, R.S.O. 1990, Chapter M.45, Sections 116(1) (b) , and 116(2) provide that a municipality or a local board thereof, as defined in the Municipal Affairs Act, shall not destroy any receipts, vouchers, instruments, rolls or other documents, records and papers, except in accordance with a by-law passed by the municipality and approved by the Auditor of the municipality establishing schedules of retention periods during which the receipts, vouchers, instruments, rolls or other documents, records and papers must be kept by the municipality or local board, and said documents may be destroyed at any time if the original thereof is subject to a retention period within one of the schedules established by the by-law: NOW THEREFORE THE COUNCIL OF THE CORPORATION OF THE TOWN OF NEWCASTLE HEREBY ENACTS AS FOLLOWS: 1. For the purpose of this by-law: "File" shall mean the compilation of receipts, vouchers, instruments, rolls or other documents, records and papers which may be in their original form or a microform that is certified by the Clerk of the municipality. S - represents "superseded" . A file with this retention limit is transferred or destroyed when it has been replaced. T - represents "Termination" . A file with this retention limit is transferred or destroyed when the subject to which it pertains has ended in some way. For example, an employee file is terminated when an employee leaves the organization, etc . An insurance policy file is terminated upon expiry of the policy. P - represents "Permanent" . A file with this retention limit is never destroyed. * - represents "Maximum Copy Retention" . Records of any subject of which copies are retained by other departments, have a total retention limit of no greater than the "Responsible Department's" , "Keep in Department" value. ** - represents "Subject to Archival Selection" . Certain records have been designated as having potential historical and research value to the municipality when their values have been exceeded. These records may be set aside for review and culling by an archivist prior to their destruction. 2 . Retention periods for receipts, vouchers, instruments, rolls and other documents, records and papers as set out in Schedule A, attached hereto and forming part of this by-law, are hereby established. 3 . Upon the Clerk or his/her designate satisfying him/herself that the relevant retention period established by the by-law has expired and that no reason exists for further retention, the said Clerk or his/her designate may then order any receipt, voucher, instrument, roll or other document to be destroyed, or to be set aside for permanent retention in an archival facility designated by the Clerk or his/her designate. By-law 92-139 - 2 - 4 . For the purpose of the by-law and the schedule attached hereto, "year" shall mean a full calendar year commencing on January 1 and terminating on December 31. 5. This by-law comes into force on the day it receives the approval of the Municipal Auditor. 6 . By-law Number 80-87 is hereby repealed. By-law read a first and second time this 25th day of May 1992 By-law read a third time and finally passed this 25th day of May 1992 MAYOR CLERK f` 1 , ATTACHMENT "A" TO REPORT CU-15-92 SCHEDULE "A"TO BY-LAW 92- Class- ' Resp. Keep* Off Total Code Secondary Heading Dept. Dent. Site Ret. Remarks A00 Administration - General Originating 1 - 1 A01 Associations and Organizations Originating 1 - 1 A02 Staff Committees and Meetings Originating 1 3 4** A03 Computer/Information Systems Treasury S 3 S+3 A04 Conferences and Seminars Originating 1 - 1** only those sponsored by the Municipality are subject to archival review A05 Consultants Originating 2 - 2** A06 Inventory Control Treasury 1 5 6 General Regulation under the Homes for he Aged and Rest Homes Act, R.R.O. 1980, Reg. 502, S.22(2) as am O.Reg. 82081, s.3 A07 Office Equipment and Furniture Treasury T - T T = disposal of item A08 Office Services Originating 1 - 1 A09 Policies and Procedures Originating S P P** A10 Records Management Clerk's S - S All Records Disposition Clerk's P - P Al2 Telecommunications Systems Treasury S - S A13 Travel and Accommodation Originating 1 - 1 A14 Uniforms and Clothing Originating S - S** A15 Vendors and Suppliers Treasury 2 - 2 A16 Intergovernmental Relations Originating 1 4 5** A17 Accessibility of Records (FOI) Clerk's 2 2 A18 Security Originating 2 3 5 A19 Facilities Construction and Building T 6 T+6** T = completion of project - Renovations specifications permanent. Public Pools Regulation under the Health Protection and Promotion Act, 1983, O.Reg.381/84, s.22(3) A20 Building and Property Maintenance Community Services 2 4 6 A21 Facilities Bookings Originating 1 - 1 C00 Council and By-Laws - General Originating 1 - 1 C01 By-Laws Clerk's P - P** copy retention S Municipal Act, R.S.O. 1980, C.302, s.s. 77(l) (4) CO2 By-Laws - Other Municipalities Clerk's T - T CO3 Council Agenda Clerk's S 5 S+5 C04 Council Minutes Clerk's P - P** copy retention 2; working notes - 6 yrs see C01 for citation C05 Council Committee Agenda Clerk's 2 3 5 C06 Council Committee Minutes Clerk's P - P** Planning Act, S.O. 1983, c.1,ss.31(14) 43(10) 55(2) C07 Elections Clerk's T 3 T+3** T = election of new Council - election advertisements 2; ballots`90 days Municipal Elections Act, R.S.O. 1980. c.308, ss.36(6), 37(7), 89,122 (5), as am. S.O. 1990 c.28, ss.24, 66(5), 58(2) Use of Voting Records Regulation, R.R.O. 1980, Reg. 682. S.16(6) C08 Goals and Objectives Originating S - S** C09 Motions and Resolutions Clerk's P - P copy retention 1 see C01 for citation C10 Motions and Resolutions - Other Clerk's T - T Municipalities Legend: P -Permanent; * - Maximum Copy Retention; S - Superseded; T- Terminated; ** - Subject to Archival Selection Class Resp. Keep* Off Total Code Secondary Heading Dept, Dept Site Ret. Remarks C11 Reports to Council Clerk's 3 P P** see C01 for citation C12 Appointments to Boards and Clerk's 1 P P** see C01 for citation Committees D00 Development and Planning - Originating 1 - 1 General D01 Demographic Studies Planning 5 5 10** D02 Economic Development Planning 5 5 10** D03 Environment Planning Planning 5 5 10** D04 Residential Development Planning 5 5 10** D05 Natural Resources Planning 5 5 10** D06 Tourism Development Planning 5 5 10** D07 Condominium Plans Planning 5 P P applications 2 years after final decision D08 Official Plans - Regional Clerk's S P P** copy retention S Planning Act S.O. 1983, c.l, s.20, as am. S.O. 1989, s.7. Planning & Dev. Act R.S.O. C354 s.7(1) D09 Official Plan Planning T+1 9 T+10 T = final decision Amendment Applications - Regional D10 Severances Planning T+1 9 T+10 T = final decision (Certificate of Consent issued) Planning Act, S.0.1983, c.l, ss. 31(14), 55(2), 43(10) Consents Regulation, O. Reg. 474/83 S.9. D11 Site Plan Control Planning 5 P P Applications 2 years after final decision D12 Subdivision Plans Planning 5 P P applications 2 years after final decision D13 Variances Planning T+2 P P T = final decision Planning & Dev. Act R.S.O. C379, s.48(12) D14 Zoning Planning T+2 8 T+10 T = final decision D15 Easements Planning T+1 5 T+6** T = termination of right D16 Encroachments Planning T+1 5 T+6** T = termination of right D17 Annexation/Amalgamation Clerk's 1 P P** D18 Community Improvement Projects Planning T+1 5 T+6** T = completion of project D19 Municipal Addressing Planning S 10 S+10** Municipal Act, R.S.O. 1980, c302, s.210 (107) D20 Reference Plans Planning S P P D21 Industrial/Commercial Planning 5 5 10** Development D22 Housing Rehabilitation Planning T+1 6 7 D23 Land Titles & Boundaries Planning 2 3 5 D24 Official Plans - District Planning S P P** copy retention S D25 Official Plan Amendment Planning T+1 9 T+10 T = final decision Applications - District D26 Community Plans Planning T+1 P P T = final decision E00 Environmental Services Originating i - 1 E01 Sanitary Sewers Works 2 3 5 specifications P E02 Storm Sewers Works 2 3 5** specifications P E03. Treatment Plants Works 2 3 5 specifications P E04 Trees Works 2 3 5 E05 Environmental Monitoring Originating 2 3 5** E06 Utilities Works 2 3 5** E07 Waste Management Works 2 3 5** E08 Water Works Works 2 3 5 specifications P E09 Drains Works 2 3 5** specifications P Legend: P - Permanent; * - Maximum Copy Retention; S - Superseded; T- Terminated; ** - Subject to Archival Selection Class Resp. Keep* Off Total Code Secondary headine Dept. Site Site Ret. Remarks F00 Finance and Accounting - General Originating 1 - 1 Do not file accounting records required for tax purposes. F01 Accounts Payable Treasury 1 5 6 Income Tax Act, S>C> 1970-71-72, c.63, s.230, as am. S.C. 1980-81-82, c.102, ss.; S.C. 1985, c.45, s.119 Income Tax Act R.S.O. c.213, s.37 General Regulation under the homes for the Aged and Rest Homes Act, R.R.O. 1980, Reg.502, s.22(3), as am. O. Reg. 820/81, s.4. General Regulation under the Day Nurseries Act O. Reg. 760/83, ss.64-65 F02 Accounts Receivable Treasury 1 5 6 see F01 for citation F03 Audits Treasury 1 9 10 see F01 for citation F04 Banking Treasury 1 5 6 see F01 for citation F05 Budgets and Estimates Treasury 1 9 10** see F01 for citation F06 Assets Treasury T+1 5 T+6** T = disposal of asset see F01 for citation F07 Cheques Treasury 1 5 6 see F01 for citation F08 Debentures and Bonds Treasury T+1 5 T+6 T = redemption of entire issue debentures destroyed on surrender. Municipal Act, R.S.O. 1980, c.302, s.143(17) F09 Employee and Council Expenses Treasury 1 5 6 see F01 for citation F10 Financial Statements Treasury 2 P P** F11 Grants and Loans Treasury 1 5 6 see F01 for citation F12 Investments Treasury T+1 5 T+6 T = closure of account see F01 for citation F13 Journal Vouchers Treasury 1 5 6 see F01 for citation F14 Subsidiary Ledgers, Registers, and Treasury 1 5 6** see F01 for citation Journals F15 General Ledgers and Journals Treasury 1 P P Income Tax Regulations under the Income Tax Act, C.R.C. 1978, c.945, s.5800(1) (a), as am SOR/82-879 F16 Payroll Treasury 1 5 6 Canada Pension Plan R.S.C. 1985, c.C-8,s.24 Unemployment Insurance Act, R.S.C. 1985, c. U-1, s.58 Employment Standards Act, R.S.O. c.137, s.11(b) F17 Purchase Orders and Requisitions Treasury 1 5 6 see F01 for citation F18 Quotations and Tenders Treasury 1 5 6** see F01 for citation F19 Receipts Treasury 1 5 6 see F01 for citation F20 Reserve Funds Treasury 1 5 6 see F01 for citation F21 Revenues Treasury 1 5 6 see F01 for citation F22 Assessment/Tax Rolls and Legal Clerk's S P P Assessment Act, R.S.O> Records 1980, c.31, s.38(2). Municipal Act, R.S.O. 1980, c.302, ss.409; 411, as am. S.O. 1984, c.48, s.20(4) F23 Uncollectible Receivables Treasury 1 5 6 see F01 for citation F24 Trust Funds Treasury T 6 T+6 T = closure of account General Regulation under the Homes for the Aged and Rest Homes Act, R.R.O. 1980, Reg 502, s.51(4), as am. O.Reg 820/81, s.7 F25 Security Deposit Treasury T 6 T+6 T = closure of account see F01 for citation Legend: P - Permanent; * - Maximum Copy Retention; S - Superseded; T- Terminated; ** - Subject to Archival Selection Class Resp. Keep Records Total Code Secondary Heading Dept. Dept. Centre Ret. Remarks F26 Working Papers Treasury T+1 - T+1 T = After completion of Audit F27 Tax Office -miscellaneous Treasury 2 - 2 F28 GST Treasury 1 5 6 H00 Human Resources - General Originating 1 - 1 H01 Attendance and Scheduling Treasury 2 - 2** Employment Standards Act, R.S.). c.137, s.11(a)(iii) H02 Benefits Treasury S - S H03 Employee Records CAO T+1 5 T+6** T = termination of employment Unemployment Insurance Act, R.S.C. 1985, c.0-1, s.58 H04 Health and Safety Treasury 1 6 7 H05 Human Resource Planning CAO 5 - 5** H06 Job Descriptions Originating S - S** H07 Labour Relations CAO T 10 T+10** T = expiry of contract period H08 Organization Originating S - S** H09 Salary Planning CAO 5 - 5 H10 Pension Records Treasury T - T T = death of employee/beneficiary Pension plans, annual information returns P (non- OMERS/CPP only) General Regulation under the Pension Benefits Act, R.R.O. 1980, Reg. 746, S.27(1), as am. O. Reg. 101/81. s.1; O. Reg. 31/87, s.2(1) 1111 Recruitment CAO 1 - 1** General Regulation under the Municipal Freedom of Information and Protection of Privacy Act, 1989, O.Reg. 517/90, S.5 H12 Training and Development Originating S - S** only courses developed and Personnel presented by the Municipality are subject to archival selection. L00 Legal Affairs - General Originating 1 - 1 L01 Appeals and Hearings Clerk's T P P T = resolution of appeal L02 Claims Against the Municipality Clerk's T 1 T+1 T = resolution of claim L03 Claims By the Municipality Clerk's T 1 T+1 T = resolution of claim L04 Contracts and Agreements - Under Clerk's T 20 T+20** T = termination of Seal agreement Limitations Act, R.S.O. 1980, c240,s.45. L05 Insurance Appraisals Clerk's S - S L06 Insurance Policies Treasury T+1 5 T+6 T = expiry of policy see L04 for citation L07 Land Acquisition and Sale Clerk's T 20 T+20** T = property disposition see L04 for citation L08 Opinions and Briefs Clerk's S - S** L09 Precedents Clerk's S - S** L10 Federal Legislation Originating S - S L11 Provincial Legislation Originating S - S L12 Vital Statistics Clerk's 2 P P Marriage Licences 2 Marriage Act, R.S.O. 1980, c.256, s.13 Vital Statistics Act, R.S.O. 1980, c. 524, s35(c)(n) L13 Prosecutions Originating T 7 T+7 T = delivery of judgement L14 Contracts and Agreements - Simple Clerk's T 6 T+6** T = expiry of contract M00 Media and Public Relations - Originating 1 - 1 see L04 for citation General Legend: P - Permanent; * - Maximum Copy Retention; S - Superseded; T-Terminated; ** - Subject to Archival Selection V- Class Resp. Keep* Off Total Code Secohdary Heading Dept. Dept. Site Ret. Remarks M01 Advertising Originating 3 3** M02 Ceremonies and Events Originating 1 4 5** M03 Charitable Campaigns/Fund Raising Originating 1 - 1 M04 Complaints, Commendations and Originating 1 - 1** Inquiries M05 News Clippings Originating 3 - 3** M06 News Releases Originating 1 - 1** M07 Publications Originating S - S** M08 Speeches and Presentations Originating 1 2 3** M09 Visual Identity and Insignia Clerk's S 5 S+5** P00 Protection & Enforcement Services Originating 1 - 1 - General P01 By-law Enforcement Originating 2 4 6** P02 Daily Occurrence Logs Originating 1 4 5** P03 Emergency Planning Originating S - S** PO4 Hazardous Materials Originating S - S P05 Incident/Accident Reports Originating 2 3 5** P06 Building and Structural Inspections Building P - P P07 Health Inspections Public Health S - S P08 Investigations Originating 2 8 10** P09 Licenses Clerk's T 2 T+2 T = expiry of licence P10 Building Permits Building 3 P P drawings 5 yrs - residential, sfd, sdd & reno P11 Permits, Other Originating T 5 T+5 T = expiry of licence P12 Warrants Police T+2 - T+2 T = execution of warrant P13 Criminal Records Police T 5 T+5 T = occurrence investigation closed or disposition of charge P14 Animal Control Originating 2 3 5 P15 Community Protection Programs Originating S 2 S+2** P16 Fire Services Fire 2 3 5 P17 Police Services Police 2 3 5 R00 Recreation and Culture - General Originating 1 - 1 R01 Heritage Preservation Clerk's T 1 T+1** T = removal of designation Ontario Heritage Act. R.S.O. 1980, c337, s.27 (1 yr off site allows for archival keeping - only necessary to keep till T) R02 library Services Clerk's 2 3 5 R03 Museum and Archival Services Clerk's 2 3 5** R04 Parks Management Parks & Recreation 2 3 5** R05 Recreational Facilities Parks & Recreation 2 3 5 pool daily records 1 year. Public Pools Regulation under the Health Protection and Promotion Act, 1983, O.Reg. 381/84, ss. 8-9 R06 Recreational Programming Parks & Recreation 2 3 5** S00 Social and Health Care Services - Originating 1 - 1 General S01 Children's Day Nursery Services Comm Service 2 3 5 fire drills 2 inspection reports 2 General Regulation under the Day Nurseries Act, O.Reg. 760/83, s.25, 47, 27(1) as am' O. Reg. 592/84. Legend: P - Permanent; * - Maximum Copy Retention; S - Superseded; T- Terminated; ** - Subject to Archival Selection Gass Resp. Keep* Off Total Code Secondary Heading Dept. Dept. Site Ret. Remarks S02 Elderly Assistance Comm Service 2 3 5 fire drills 2 General Regulation under the Homes for the Aged and Rest Homes Act, R.R.O. 1980, Reg. 502, s.17(1�(g), as am. O. Reg. 820/$$ , s.2 S03 Homes for the Aged Residents Comm Service T+2 18 T+20 T = discharge of resident; T+5 if resident dies. General Regulation under the Homes for the Aged and Rest Homes Act, R.R.O. 1980. Reg. 502, s.24, as am.O. Reg. 820/81.s.5. SO4 Social Assistance Programs Comm Service 2 3 5 S05 Welfare Case Records Comm Service T+2 5 T+7 Canada Assistance Plan Agreement, s.2(g) S06 Medical Case Records Public Health T+1 5 T+6 T = discharge of patient Medicine Regulation under the Health Disciplines Act, S07 Children's Services Comm Service 2 3 5 R.R.O. 1980, Reg. 448, s.29. S08 Public Health Services Public Health 2 3 5 S09 Cemetery Records Clerk's 2 P P** Cemetery Act R.S.O. c.59, s.25, s.26 S10 Group Homes Comm Service T+2 5 T+7 T = discharge of resident S11 Record Series Comm Service T+2 5 T+7 T = discharge of resident S12 Day Nursery Case Records Comm Service T+2 - T+2 T = Discharge of child General Regulation under the day Nurseries Act, O. Reg. 76083, s.48 T00 Transportation - General Originating 1 - 1 T01 Illumination Works T 6 T+6 T = completion of project - specifications P T02 Parking Works T 6 T+6 T = closure of lot or space T03 Public Transit Works T 6 T+6** T = closure of route/shelter/ stop T04 Road Construction Works T 6 T+6** T = completion of project - specifications P T05 Road Design and Planning Works T 6 T+6** T = completion of project - specifications P T06 Road Maintenance Works T 6 T+6 T = completion of project - specifications P T07 Signs and Signals Works T 6 T+6 T = removal of sign/signal T08 Traffic Works 2 8 10** T09 Roads and Lanes Closures Works P - P** temporary closures 2 V00 Vehicles and Equipment - General Originating 1 - 1 V01 Fleet Management Originating T 6 T+6 T = disposal of vehicle V02 Mobile Equipment Originating T+1 5 T+6 T = disposal of equipment V03 Transportable Equipment Originating T+1 5 T+6 T = disposal of equipment VO4 Protective Equipment Originating T+1 5 T+6 T = disposal of equipment Legend: P - Permanent; * - Maximum Copy Retention; S - Superseded; T- Terminated; ** - Subject to Archival Selection