Proposed Amendments to Municipal Code Chapter 219 – Toronto Transit Commission (TTC) Records Retention

GM6.22

STAFF REPORT ACTION REQUIRED

Date: June 22, 2015

To: TTC Board

From: Chief Executive Officer

Summary

This report seeks TTC Board and City Council approval of amendments to Municipal Code c.219 in order to:

a) Add electronic and digital records as acceptable formats in the use, retention and disposition of official TTC records; and

b) Implement a revised TTC record retention schedule.

In accordance with requirements set out in the City of Toronto Act, 2006, the proposed schedule has been reviewed by the City Auditor, PricewaterhouseCoopers LLP (Appendix 1). Limited and minor amendments to the records retention schedule were inputted after the PricewaterhouseCoopers LLP review and prior to final consultation with City of Toronto Legal Services.

Recommendations

It is recommended that the Board approve:

1. proposed amendments to Municipal Code, c.219-5, Article II (Appendix 1), to include electronic and digital records as official TTC records formats and to permit electronic and digital records to be original records for the purpose of the by-law.

2. the updated TTC Records Retention Schedule in a form consistent with that set out in the PricewaterhouseCoopers LLP report (Appendix 2).

3. forwarding this item to the City Clerk for Council approval and enactment of the foregoing legislative amendments.

Proposed Amendments - TTC Records Retention 1

Financial Summary

Sufficient funds in the amount of $10,000.00 have been allocated in the 2015 TTC Operating budget for the required services of PricewaterhouseCoopers LLP.

There is also the potential for future year savings in storage costs of the TTC’s physical records (paper) with the acceptance of electronic and digital information as official records. The current annual cost for storage of the TTC’s physical records is $60,000.00.

DECISION HISTORY

Representatives from TTC Legal, City of Toronto Legal Services and PricewaterhouseCoopers LLP (Appendix 2) have reviewed the draft amendments in Appendices 1 and 2.

Issue Background

The TTC Records Retention By-law was enacted on November 26, 1998. There has been no significant update to the by-law since its inception. Maintaining an up-to-date records retention schedule is vital to the effective management of TTC information. A records retention schedule describes records by their function and sets a minimum period of time for which the records must be retained before they become eligible for destruction. Every record must have an approved retention schedule assigned to it before it can be destroyed or disposed of. Retention and disposition requirements stated in records retention schedules are based upon administrative, legislative, fiscal and historical values of the particular records.

In order to carry out the update to the TTC’s record retention schedule it was considered appropriate to platform off of the existing City of Toronto records retention schedule. This was due to the fact that the city records schedule is more current, and the City of Toronto and the TTC both manage many of the same administrative-type records.

Once the common City-TTC records were identified as the foundation to the new TTC records retention schedule it was necessary to move into a second phase which involved identifying records that are considered unique to the TTC. To accomplish this task, representatives from all TTC departments attended training sessions for the purpose of completing an inventory of records held in their various work areas. Those unique TTC records were then incorporated into the draft records schedule with retentions proposed based on any known legislative references and the business needs of the department responsible for the subject records.

Proposed Amendments - TTC Records Retention 2

Comments

The TTC’s corporate-wide roll-out of the Electronic Information Management System (EIMS) is past the mid-way point with an estimated project completion date of December 2016. The EIMS has been designed such that any record created in the system must be linked to a corresponding code from the new TTC records retention schedule. (The retention calculation feature in the system will not be activated until the new records schedule is approved and the by-law has been updated). When a record has met its retention requirements the information is reported to department personnel who are authorized to manage the disposition of the subject record.

In addition, Municipal Code, Article II, c. 219-5 in its current context stipulates that physical or microfilm is the only acceptable format for retaining official TTC records. The amendments set out in Appendix 1 are necessary to include electronic and digital records as acceptable records formats. Electronic and digital records are now a very acceptable business management practice and consistent with the position taken by the courts in evidentiary matters.

Lastly, the updated records retention schedule, for the first time, specifically identifies which records held by the TTC should be considered for inclusion in the historic holdings of the company. Those records are currently held at the City of Toronto Archives facility.

In accordance with requirements set out in Section 201(3) of the City of Toronto Act, 2006, the City may, subject to the approval of the City auditor, establish retention periods during which the records of the City and its local boards must be retained and preserved. The proposed TTC retention schedule has been reviewed by the City Auditor, PricewaterhouseCoopers LLP (Appendix 2). Limited and minor amendments to the records retention schedule were inputted after the PricewaterhouseCoopers LLP review and prior to final consultation and input from City of Toronto Legal Services.

Accessibility/Equity Matters

There are no accessibility or equity issues resulting from adoption of this report.

Contact

K. Lee, Head of Commission Services Telephone: (416) 393-3744; Email: [email protected]

Attachments

Appendix 1 – Proposed Amendments to Municipal Code c.219 Appendix 2 – PricewaterhouseCoopers LLP Report

Proposed Amendments - TTC Records Retention 3

APPENDIX 1

TORONTO MUNICIPAL CODE CHAPTER 219, RECORDS, CORPORATE (LOCAL BOARDS)

Article II

Toronto Transit Commission [Adopted 1998-11-26 by By-law No. 867-1998]

S.219-5. Destruction of Certain Records

The Commission’s receipts, vouchers, instruments, rolls and all other documents, records and papers described in Schedule D may be destroyed within the scheduled retention period if they are copied and retained in microfilm form. Thereafter, such microfilm records shall be retained for the balance of the scheduled retention period and shall be deemed to be the original record.

S.219-5. Destruction of Certain Records (Proposed Amendments)

The Commission’s receipts, vouchers, instruments, rolls and all other documents, records and papers described in Schedule D may be destroyed within the scheduled retention period if they are also available in microfilm, electronic or digital form. Thereafter, such microfilm, electronic or digital records shall be retained for the balance of the scheduled retention period and shall be deemed to be the original record.

May 11, 2015

Report on Records Retention Schedule

To Management of The Toronto Transit Commission

As agreed with you, we have performed the agreed-upon procedures enumerated below with respect to the Records Retention Schedule By-laws of the Toronto Transit Commission (TTC) included in Appendix 4. The procedures were performed solely to assist you in complying with the City of Toronto Act, Section 201(3) – Retention periods, and are summarized as follows:

1. For each of the codes included in Appendix 1, compare the retention period to the applicable legislation/regulation. Identify differences in retention periods.

2. For code included in Appendix 2, compare the retention period to the City of Toronto equivalent record retention code. Identify differences in retention periods.

3. For each of the codes included in Appendix 3, obtain management prepared support for the retention period selected and review approval from a member of TTC management.

As a result of applying these procedures, we report our findings, along with any exceptions, in Appendices 1, 2, and 3.

These procedures do not constitute an audit of the TTC’s Records Retention Schedule By-laws as at January 5, 2015 and, therefore, we express no opinion on the Records Retention Schedule By-laws. Had we performed additional procedures, other matters might have come to our attention that would have been reported to you.

It is understood that this report is solely for your information and is not to be used for any other purpose and should not be distributed to other parties. Any use that a third party makes of this report or any reliance or decisions made based on it are the responsibility of such third party. We accept no responsibility for any loss or damages suffered by any third party as a result of decisions made or actions taken based on this report.

PricewaterhouseCoopers LLP

Chartered Professional Accountants

PricewaterhouseCoopers LLP PwC Tower, 18 York Street, Suite 2600, Toronto, Ontario, Canada M5J 0B2 T: +1 416 863 1133, F: +1 416 365 8215, www.pwc.com/ca

“PwC” refers to PricewaterhouseCoopers LLP, an Ontario limited liability partnership.

Appendices

Appendix 1 Records retention codes subject to legislation/regulation Appendix 2 Record retention codes consistent with the City of Toronto records retention policies Appendix 3 Record retention codes not subject to legislation/regulation and unique to the TTC Appendix 4 Records of retention schedule

Appendix 1: Records retention codes subject to legislation/regulation

Legend C + '# years' Current year + # years T + '# years' Termination year + # years P Permanent

By-law item number Retention periods agree? TTC record retention code Difference Management's comments (Note 1) (Yes / No) AD-006 No. 157 Yes None Not applicable New retention period is current year + 3 years New by-law = C + 3; which is longer than previous by-law retention AD-008 No.194 No Previous by-law = 3yrs period. AS-001 No.207 Yes None Not applicable AS-004 No.208 Yes None Not applicable New retention period is current year + 7 years New by-law = C + 7; which is longer than previous by-law retention AS-007 No.167 No Previous by-law = 7yrs period. CO-001 No. 158 Yes None Not applicable New retention period is current year + 10 years New by-law = C + 10; which is longer than previous by-law retention CO-006 No.158 No Previous by-law = 10yrs period. New retention period is termination + 7 years New by-law = T + 7; which is longer than previous by-law retention FM-024 No.251 Yes Previous by-law = 7 years period. GV-003 No.1 Yes None Not applicable GV-004 No. 1 & No. 109 Yes None Not applicable GV-007 No.10 Yes None Not applicable HR-007 No.129 Yes None Not applicable New retention period is current year + 2 years New by-law = C +2; which is which is longer than previous by-law HR-014 No.127 No Previous by-law = 3 months retention period. IM-012 No.5 Yes None Not applicable IM-013 No.10 Yes None Not applicable New retention period is current year + 3 years New by-law = C + 3; which is longer than previous by-law retention WO-001 No.193 No Previous by-law = 1 year period. New retention period is current year + 3 years New by-law = C +3; which is longer than previous by-law retention W0-014 No.195 No Previous by-law = 2 yrs period. New retention period is current year + 6 years New by-law = C +6; which is longer than previous by-law retention WO-016 No.201 No Previous by-law = 3 yrs period.

Note 1 We viewed the previous by-law item number on 'Schedule A' of the TTC Record Retention By-law enacted November 26, 1998 obtained from the TTC website.

Appendix 2: Record retention codes consistent with the City of Toronto records retention policies

Appendix 2: Records retention codes consistent with the City of Toronto records retention policies

Appendix 2 - Legend C + '# years' Current year + # years T + '# years' Termination year + # years P Permanent

TTC record retention City Record Retention Retention Totals Agree? Differences Management's comments code Code (Yes / No)

AD-001 G0261 Yes None Not applicable AD-002 I1000 Yes None Not applicable AD-003 I0005 Yes None Not applicable AD-004 H0135 Yes None Not applicable AD-005 A0167 Yes None Not applicable AD-009 A0508 Yes None Not applicable AD-010 I0161 Yes None Not applicable AD-011 A0172 Yes None Not applicable AD-012 I0500 Yes None Not applicable AD-013 I0495 Yes None Not applicable AD-014 I0489 Yes None Not applicable AD-015 G0244 Yes None Not applicable AD-017 I0060 Yes None Not applicable AD-019 A0510 Yes None Not applicable AD-020 G0265 Yes None Not applicable AD-021 G0266 Yes None Not applicable AD-022 G0269 Yes None Not applicable AS-002 A0501 Yes None Not applicable AS-003 W0044 Yes None Not applicable AS-005 W0096 Yes None Not applicable AS-006 A0176 Yes None Not applicable AS-008 A0500 Yes None Not applicable AS-010 A0100 Yes None Not applicable AS-013 A0518 Yes None Not applicable CO-002 I0280 Yes None Not applicable

Caroline Werle of Records Information Management TTC Retention Period = C + 10 indicated that in her opinion a number of city retention CO-003 R0430 No City Retention Period = P periods were too long. Caroline teaches a graduate program in Records Management at the U of T and TTC accepted her recommendations in this regard. CO-005 I0204 Yes None Not applicable CO-007 I0203 Yes None Not applicable CO-009 I0201 Yes None Not applicable CO-012 O0455 Yes None Not applicable EV-001 N0039 Yes None Not applicable EV-002 N0041 Yes None Not applicable EV-003 Noo45 Yes None Not applicable EV-004 N0046 Yes None Not applicable EV-005 N0046 Yes None Not applicable EV-007 E0405 Yes None Not applicable EV-008 E0401 Yes None Not applicable EV-009 E0404 Yes None Not applicable EV-010 N0049 Yes None Not applicable EV-011 N0050 Yes None Not applicable EV-012 W005 Yes None Not applicable EV-013 N0053 Yes None Not applicable TTC Retention Period = P TTC retention period is longer than corresponding City No EV-014 N0055 City Retention Period = C + 6 retention period. EV-015 W001 Yes None Not applicable EV-016 W0088 Yes None Not applicable EV-017 N0061 Yes None Not applicable FM-001 G0250 Yes None Not applicable FM-002 F1500 Yes None Not applicable FM-003 F2401 Yes None Not applicable FM-004 F1570 Yes None Not applicable FM-005 F1303 Yes None Not applicable FM-006 F2301 Yes None Not applicable FM-007 F3305 Yes None Not applicable FM-008 F3307 Yes None Not applicable FM-010 F0400 Yes None Not applicable FM-011 F3264 Yes None Not applicable

Caroline Werle of Records Information Management TTC Retention Period = C + 10 indicated that in her opinion a number of city retention FM-015 F2157 No City Retention Period = P periods were too long. Caroline teaches a graduate program in Records Management at the U of T and TTC accepted her recommendations in this regard. FM-016 F2157 Yes None Not applicable FM-017 F0169 Yes None Not applicable FM-018 F2313 Yes None Not applicable FM-019 F2350 Yes None Not applicable Appendix 2 - Legend C + '# years' Current year + # years T + '# years' Termination year + # years P Permanent

TTC record retention City Record Retention Retention Totals Agree? Differences Management's comments code Code (Yes / No)

FM-020 F2801 Yes None Not applicable FM-021 F1325 Yes None Not applicable FM-022 F4000 Yes None Not applicable FM-025 F1562 Yes None Not applicable FM-026 F1560 Yes None Not applicable FM-027 F3241 Yes None Not applicable FM-028 F1541 Yes None Not applicable FM-030 F5857 Yes None Not applicable FM-031 F2430 Yes None Not applicable FM-032 F1301 Yes None Not applicable GV-001 G0260 Yes None Not applicable GV-002 I0020 Yes None Not applicable Caroline Werle of Records Information Management indicated that in her opinion a number of city retention TTC Retention Period = C + 3 GV-005 G0001 No periods were too long. Caroline teaches a graduate City Retention Period = P program in Records Management at the U of T and TTC accepted her recommendations in this regard. GV-008 F3100 Yes None Not applicable HR-001 H1215 Yes None Not applicable HR-003 H1205 Yes None Not applicable HR-009 H1202 Yes None Not applicable Caroline Werle of Records Information Management indicated that in her opinion a number of city retention TTC Retention Period = C + 3 HR-010 I0186 No periods were too long. Caroline teaches a graduate City Retention Period = C + 6 program in Records Management at the U of T and TTC accepted her recommendations in this regard. HR-012 H1250 Yes None Not applicable HR-013 H1260 Yes None Not applicable HR-015 H1209 Yes None Not applicable HR-016 H1246 Yes None Not applicable HR-017 H1275 Yes None Not applicable HR-018 H1261 Yes None Not applicable HR-019 H1210 Yes None Not applicable HR-020 H1240 Yes None Not applicable HR-021 H1241 Yes None Not applicable HR-022 H1242 Yes None Not applicable HR-023 H1355 Yes None Not applicable IM-001 A1550 Yes None Not applicable IM-002 A0272 and A0273 Yes None Not applicable IM-003 A0290 Yes None Not applicable IM-004 I0320 Yes None Not applicable IM-005 I0340 Yes None Not applicable IM-009 I0300 Yes None Not applicable IM-010 A0271 Yes None Not applicable IM-011 I0249 Yes None Not applicable IM-014 I0253 Yes None Not applicable IM-015 I0270 Yes None Not applicable IM-016 I4124 Yes None Not applicable LL-005 L3050 Yes None Not applicable LL-006 L0520 Yes None Not applicable LL-008 L3085 Yes None Not applicable LL-009 L0420 Yes None Not applicable LL-010 L2200 Yes None Not applicable LL-011 L0045 Yes None Not applicable LL-013 I0470 Yes None Not applicable WO-002 W0004 Yes None Not applicable WO-003 W0016 Yes None Not applicable WO-004 W0086 Yes None Not applicable WO-005 W0018 Yes None Not applicable WO-006 W0074 Yes None Not applicable WO-008 W0012 Yes None Not applicable WO-009 W0031 Yes None Not applicable WO-010 W0030 Yes None Not applicable WO-012 W0065 Yes None Not applicable WO-013 W0038 Yes None Not applicable

Appendix 3: Record retention codes unique to the TTC

Appendix 3: Record retention codes not subject to legistlation/regulation and unique to the TTC

Appendix 3 - Legend C + '# years' Current year + # years T + '# years' Termination year + # years CFAO Chief Financial & Administration Officer

New retention periods agree to TTC record retention code Support provided by management Approver Difference Management's comments support? (yes / no) AD-007 CFAO approval Vincent Rodo, CFAO Yes None Not applicable AD-006 CFAO approval Vincent Rodo, CFAO Yes None Not applicable AD-018 CFAO approval Vincent Rodo, CFAO Yes None Not applicable AD-023 CFAO approval Vincent Rodo, CFAO Yes None Not applicable AS-007B CFAO approval Vincent Rodo, CFAO Yes None Not applicable AS-011 CFAO approval Vincent Rodo, CFAO Yes None Not applicable AS-012 CFAO approval Vincent Rodo, CFAO Yes None Not applicable Paul Manherz - Manager Transit Enforcement Unit (PwC observed e-mail communication from Kevin New retention period is current year + 10 years which is longer Lee to Eric Ng, referencing verbal approval by Paul New Retention Period = C + 10 than corresponding TTC Records Inventory Form retention Manherz). TTC Records Inventory Form = 10 yrs period. AS-014 TTC Records Inventory Form & e-mail No CO-004 CFAO approval Vincent Rodo, CFAO Yes None Not applicable CO-008 CFAO approval Vincent Rodo, CFAO Yes None Not applicable New retention period is current year + 5 years which is longer Mary Cuckovic - Special events supervisor New Retention Period = C + 5 than corresponding TTC Records Inventory Form retention CO-010 TTC Records Inventory Form Alice Smith - Head of Customer Communications No TTC Records Inventory Form = 2 years period. New retention period is current year + 5 years which is longer Mary Cuckovic - Special events supervisor New Retention Period = C + 5 than corresponding TTC Records Inventory Form retention CO-011 TTC Records Inventory Form Alice Smith - Head of Customer Communications No TTC Records Inventory Form = 2 years period.

E-mail from Matt Hagg and Vickey Simovic Vickey Simovic - Former Co-ordinator - Records CO-013 containing retention period approval Management/ Freedom of Information Office Yes None Not applicable EV-006 CFAO approval Vincent Rodo, CFAO Yes None Not applicable New Retention Period = C + 10 New retention period is current year + 10 years which is longer TTC Records Inventory Form = 10 than corresponding TTC Records Inventory Form retention FM-009 TTC Records Inventory Form Rita Nasso - Cost Analyst, Finance No years period. FM-012 CFAO approval Vincent Rodo, CFAO Yes None Not applicable FM-013 CFAO approval Vincent Rodo, CFAO Yes None Not applicable FM-014 CFAO approval Vincent Rodo, CFAO Yes None Not applicable FM-023 CFAO approval Vincent Rodo, CFAO Yes None Not applicable New retention period is current year + 7 years which is longer New Retention Period = C + 7 than corresponding TTC Records Inventory Form retention FM-029 TTC Records Inventory Form Alex Cassar - Senior Corporate Financial Analyst No TTC Records Inventory Form = 7 years period. GV-006 CFAO approval Vincent Rodo, CFAO Yes None Not applicable New Retention Period = T + 7 New retention period is Termination + 7 years which is longer TTC Records Inventory Form = than corresponding TTC Records Inventory Form retention HR-002 TTC Records Inventory Form D. Herbert - Transit Enforcement Coordinator No duration of employment period. HR-005 CFAO approval Vincent Rodo, CFAO Yes None Not applicable HR-006 CFAO approval Vincent Rodo, CFAO Yes None Not applicable New retention period is current year + 7 years which is longer New Retention Period = C + 7 than corresponding TTC Records Inventory Form retention HR-008 TTC Records Inventory Form Mark Russell - Staff Sergeant - Special Investigation No TTC Records Inventory Form = 7 years period. New retention period is current year + 3 years which is longer New Retention Period = C + 3 than corresponding TTC Records Inventory Form retention HR-011 TTC Records Inventory Form Patricia Daniels - Director - Benefits Services No TTC Records Inventory Form = 3 years period. IM-006 CFAO approval Vincent Rodo, CFAO Yes None Not applicable TTC Records Inventory Form and Verbal with IM-007 Michelle Jones L. Sequeira - Administrative Support Clerk (IT) Yes None Not applicable IM-008 CFAO approval Vincent Rodo Yes None Not applicable Memo from Karen McGuire under LL-001 LL-001 suggests period for retention be 7 years Karen McGuire - Associate General Council Yes None Not applicable Memo from Karen McGuire under LL-002 suggests period for retention be 15 years and 21 LL-002 years for Claims in the Case of infants Karen McGuire - Associate General Council Yes None Not applicable Memo from Karen McGuire under LL-002 suggests period for retention be 7 years which was changed by Kevin Lee and approved by LL-003 Karen through e-mail Karen McGuire - Associate General Council Yes None Not applicable LL-004 CFAO approval Vincent Rodo, CFAO Yes None Not applicable New retention period is Termination + 7 years which is longer New Retention Period = T + 7 than corresponding TTC Records Inventory Form retention LL-007 TTC Records Inventory Form Mark Russell - Staff Sergeant - Special Investigation No TTC Records Inventory Form = 7 years period. New retention period is current year + 5 years which is longer New Retention Period = C + 5 than corresponding TTC Records Inventory Form retention LL-012 TTC Records Inventory Form Special Constable Services No TTC Records Inventory Form = 5 years period. WO-007 CFAO approval Vincent Rodo, CFAO Yes None Not applicable Memo from Karen McGuire under WO-011 New Retention Period = C + 7 New retention period is current year + 7 years which is longer WO-011 suggests period for retention be 7 years Karen McGuire - Associate General Council No Memo = 7 years than corresponding memo. New Retention Period = C + 3 New retention period is current year + 3 years which is longer David Langley Assistant Manager - Bus/Rail TTC Records Inventory Form = 6 than corresponding TTC Records Inventory Form retention WO-015 TTC Records Inventory Form Transportation No months period. HR-004 CFAO approval Vincent Rodo, CFAO Yes None Not applicable

Appendix 4: Records retention schedule by-laws

RECORDS RETENTION SCHEDULE

By-laws

Toronto Transit Commission

OVERVIEW

A retention by-law determines the length of time the record must be kept and specifies what will be done with it when it is no longer required. Its purpose is to control recorded information from its creation or receipt throughout its lifecycle.

Retention schedules are valuable and necessary tools in the management of records and information and, as such, constitute a strategic business resource. As a business activity, the aim of records and information management is to ensure that there are no barriers to access (assuming appropriate permissions) and that information is available in a timely fashion to those who need it. An effective records and information management system is essential for improving access to records that support decision-making, program and service delivery. Such a system supports accountability and risk avoidance, protects personal and confidential information, greatly improves organizational efficiency, ensures compliance by maintaining and disposing of records in a systematic fashion, reduces costs, and preserves the corporate memory and history of the TTC.

The TTC’s Retention By-law is the official policy for the management of records of the TTC. It provides all business units, management, and staff with the authority to manage records in accordance with the relevant policies, legislation and regulations. The TTC has adopted the ISO 15489 Functional approach structure for the management of its records rather than by organizational structure. The functional approach is organizing information according to the high level purpose or responsibility of the organization. The main reasons for a functional approach are as follows

• Eliminates duplication of records because all records related to a specific function are grouped together rather than split up among departments. For example all agreements and contracts would be in under the LEGAL and LICENSING function; • Provides integrity and thus reliability when searching for information within the central repository because all “like” things are filed together rather than “classified” under different departments; • Business functions are independent of organizational structure. Changes in organizational structure do not affect the classification scheme. It doesn’t have to be “re-invented”; • Department names are forever changing but functions remain constant; • Reduces silos of information.

Retention Legend: A = Active; I = Inactive; AR = Archival Review; C = Current Year; DY = Days; D = Destroy; M = Month(s); P = Permanent; P/AR = Permanent/Archival Review; S = Superseded; T = Termination – based on specific criteria

The functions of the TTC are as follows:

• Administration • Assets and Property/Equipment Management /Maintenance • Communications, Promotion & External Relations • Environment, Safety & Sustainable Resources • Financial Management • Governance • Human Resources • Information Management & Technology • Legal &Licensing • Works/Operations

DEFINITION OF RECORDS

RECORD

Recorded information regardless of physical form created, collected or received in the initiation, conduct or completion of an activity, and kept as evidence or to document such activity, process or decision.

Records include such items as books, paper, maps, photographs, voice recordings, web pages, machine readable materials or other documentary materials, regardless of physical form or characteristics, generated or received by the TTC in connection with the transaction of business, and preserved for any period of time by the TTC as evidence of the organization, functions, policies, decisions, procedures, operations or other activities.

RECORD SERIES

A group of related records that have the same form and function are filed as a unit and are maintained together for retention scheduling purposes. Record series are maintained and destroyed as a unit.

Retention Legend: A = Active; I = Inactive; AR = Archival Review; C = Current Year; DY = Days; D = Destroy; M = Month(s); P = Permanent; S = Superseded; T = Termination – based on specific criteria

NON-RECORDS have no bearing on the organization’s functions, operations, or mandate. These may be general distribution items, reference books, published legislation from other municipalities or government agencies or extra copies/convenience copies. Non-records are typically used, if ever, only for a very limited period of time. They do not have to be collected and maintained. These documents are not required to be retained and therefore do not appear on a records retention schedule.

When applying the retention schedule to TTC records the above definitions of a record and non-record determine what should be classified and focus on core business documents generated by the originator or the primary area of accountability.

However, notwithstanding the above definition of a non-record, it is recommended that convenience copies and drafts be subject to classification.

*Convenience Copies • Convenience Copies are, by definition, not considered records. However, recent legal actions have drawn attention to the use of convenience copies for purposes of evidence or discovery. Incidents have occurred where primary documents have been destroyed as per established retention schedules but convenience copies still existed in the organization. These copies have been deemed to be official and subject to discovery or legal proceedings. Given these legal implications it is important for the TTC, if required, must classify convenience copies and ensure they are tracked and destroyed or disposed of no later than the retention period of the original document.

• Convenience copy holders are encouraged to destroy these copies on a regular basis. Convenience copies can be destroyed at any time before the retention period of the original document as the official or original document is held by the originator/primary area of accountability and subject to the approved retention period. A convenience copy cannot be held longer that the original document’s retention period. Convenience copies cannot be sent to off-site storage. Only the original document from the originator / primary office of accountability identified on the retention schedule will be sent to off-site storage, as applicable, and in accordance with the retention schedule.

• Drafts are, by definition, not considered a record. However, in some cases drafts may be relevant to decision-making processes or audit trails (e.g. showing historic trail of activities or decisions), changes to legislation affecting the TTC. These drafts would be kept for historical significance. However generally drafts are destroyed once the final version of the document has been approved.

ACCOUNTABILITY – Originating Office

This retention by-law identifies the Office of Accountability – the originating office who is accountable for ensuring that the official record is managed throughout its lifecycle. This is the business area that has primary interest or ownership of the records. They are considered to be the official holder of the original records. Accountability usually resides with the originator of the document / record, or in the case of a document received from an external source, a recipient who is accountable for the original document, its retention and disposition. Where the Accountability states “ALL” – it signifies that every department is responsible for ensuring that the official record created is managed through the record series’ life cycle.

RETENTION AND DISPOSITION SCHEDULES

A records retention and disposition schedule specifies the length of time records must be kept in the office (active) or online, how long they are stored off-site (semi-active) or offline, if applicable, and how the records will be handled at the end of their total lifecycle (final disposition) e.g. archived for historical purposes, destroy, or archival selection.

Retention periods are reviewed and approved by the, Legal, Finance and Internal Audit departments and then final approval given by the Commission.

Records scheduled for destruction as per the retention and disposition schedules can only be destroyed / disposed of in accordance with the TTC’s records destruction procedures and in conjunction with the General Secretary’s office who is responsible for administering the destruction procedures, as well as for maintaining the verification of destruction. Records scheduled for destruction will undergo an authorization-to-destroy process and then be supported by a certificate of destruction as proof of final disposition.

Decisions about the length of a retention period and the final disposition of the records are based on various factors, including any administrative, legal, financial, governance, historic requirements and government legislation.

Retention Legend: A = Active; I = Inactive; AR = Archival Review; C = Current Year; DY = Days; D = Destroy; M = Month(s); P = Permanent; S = Superseded; T = Termination – based on specific criteria The columns labeled “Retention” refer to the period of time the records are to be kept. A trigger may indicate an event that closes the file, or it may occur each calendar or fiscal year-end. A retention period is indicated in years for on-site and off-site storage. The length of time for on-site and off-site storage are added together to equal the total retention period.

The column labeled “Disposition” refers to the disposition of the records. This indicates the action to be taken once the records have reached the completion of their total retention period. For example, the records may be shredded, kept for historical reasons for future generations or there may be archival selection where specific records within a record series are kept for posterity. These decisions are made in conjunction with the city of Toronto Archives.

LEGEND FOR RETENTION TERMS

A Active The amount of time the record series will stay in the office or online before being moved to less expensive storage. I Inactive The amount of time the record series will stay in storage or near-line/offline before being destroyed or evaluated for archival purposes. AR Archival Review Record Series to be assessed in collaboration with the “City of Toronto Archives” for historic significance.

C Current Year Refers to January 1 to December 31.

D Destroy Requires that upon expiration of the retention period the document is destroyed – shredded, recycled, deleted.

P Permanent Refers to a record series that must be kept permanently. This is usually governed by legislation. S Superseded Refers to the replacement of a document once it has been updated or revised. The new document supersedes the previous version. The previous version is not maintained and is destroyed.

Retention Legend: A = Active; I = Inactive; AR = Archival Review; C = Current Year; DY = Days; D = Destroy; M = Month(s); P = Permanent; S = Superseded; T = Termination – based on specific criteria T Terminated Refers to a record being retained until it has been closed or terminated, typically used for case-based or project records where the retention refers to the case being closed or the transaction being completed. This retention applies to an employee file and is triggered at the point at which the employee leaves the organization. These records are usually maintained until the case or transaction or employee record is closed/terminated plus a pre-defined number of years, e.g. T+6 means retained until the case is closed plus six more years.

Retention Legend: A = Active; I = Inactive; AR = Archival Review; C = Current Year; DY = Days; D = Destroy; M = Month(s); P = Permanent; S = Superseded; T = Termination – based on specific criteria Summary of Functions and Record Categories Assets and Communications Environment, Financial Governance Human Information Legal & Works / Administration Property/ Promotion & Safety & Management Resources Management Licensing Operations Equipment External Sustainable & Technology Management Relations Resources /Maintenance

• Accident/ • Employee • • Access to • Building • Customer • Air Quality • Annual Reports • Access to Applications & • Back up Data Occurrence & Check-in & Off Resumes – Information & Operation & Information & Information & Incident Duty Sheets unsolicited Personal Maintenance Programs • Conservation • Accounting & Personal • Computer Reports

Information Studies Finance Information Hardware & • Garbage • Application Protection – • Construction & • Exhibits Administration Protection – Software • Legal & Collection File Access Renovation • Energy Compliance Claims Employee Requests • Film Productions Efficiency • Accounts • Computer • Log Sheets Special • Engineering Payable • Audit System • Complaint Constable • Administrative Development & • Inquiries & • Environmental Networks Investigations • Metering Status Records – Planning Complaints Applications & • Accounts • Corporate involving

Executive Approval Receivable Records • Computer Transit • Parking • Corporate • Market research Commission System Access Enforcement • Engineering Organization • Administrative • Environmental • Attendance & & Security Personnel • Design and Plumbing & Records – • Assessments Scheduling • Corporate Development Marketing, Organization Drainage Office (OARS) Records • Computer • Contracts/ Documentation Communications, Charts Maintenance Administrative Advertising, • Ergonomics Subsidiary Solutions Agreements

records Promotions & • Bank Companies - Documentation • Schedules & • Design Standards • Employee Programs • Fire Statements & • Copyright Service Activities/ • Associations/ Emergency Reconciliations • Council & • Computer • Employee Programs Organizations • Media Relations Incident Committee Systems • Easements • Signs, Banners Uniforms Reports • Budget- Capital Proceedings Operations & Canopies • • Books/ • Official Photos & (TTC & Wheel Employee External • Employee • Inventory Alcohol & Subscriptions/ Other Media • Fire Prevention Trans) • Gov’t Depts. Investigation • Snow Removal Management – Drug Tests External Inspection & Agencies • IT Project Files Surplus assets Results & Publications • Official Reports • Budget – Management • Traffic Signs & Documentation Statements/ Operating • TTC By-laws Governance • External Signals • Inventory – Positive • Contact Lists Corporate • Fire Safety Legal Equipment Management – Publications Planning • Budget – • Risk • IT Service Corresponden stock codes/ • Employee • Courier, Postal Subsidiaries Management Requests ce • Transit Control material Alcohol & & Custom • Promotional • Ground & requisitions Drug Tests Service Support by TTC Pollution • Capital Assets • Internet & • Filming Communication Results & of City of Toronto Intranet Permits Information • Project Documentation • Divisional Daily Events & Tourism • Hazardous • Cost Sharing Development System (C.I.S) Management – – Negative Activity Report – External Materials • Insurance audio Non Construction • Telecommunica Claims recordings

Retention Legend: A = Active; I = Inactive; AR = Archival Review; C = Current Year; DY = Days; D = Destroy; M = Month(s); P = Permanent; S = Superseded; T = Termination – based on specific criteria Assets and Communications Environment, Financial Governance Human Information Legal & Works / Administration Property/ Promotion & Safety & Management Resources Management Licensing Operations Equipment External Sustainable & Technology Management Relations Resources /Maintenance

• Facilities Room • Property Design • Employment • Employee tions & Bookings Planning • Special Events • Hazardous Workforce History Data Electronic • Leases • Transportation Planning & Wastes Statistics Communicatio Monitoring & • Meetings & • Property/Equipme Programming • Employee ns Systems • Permits- Travel Survey Committees nt Maintenance & • Pollution • Fares & Transit Intelligence Building Programs Inspection • Trade Shows Files RECORDS/ Permits & • Office Supplies Reporting • Soil/ • Fare Media ARCHIVES Inspections • Utility INFORMATION • Support Person Geotechnical Destruction • Employee Applications & MGMT. • • Public Art & Art Assistance Card Certificates Medical Data • Provincial Plans Operational Reports in Transit Program Offences Reviews/ • Archives Assessments Facilities • Waste • Financial • Employee Ticket Books • Vehicle Pre Archival Recycling Management Awards (POT) trip/ Post Trip Accession • Planning – • Reports Inspections & Recordings Control Annual Security Audio • Water Quality • Employee • Trademarks Vehicle Sign-in

Business Recordings – Testing • Annual/Periodic Suggestion Sheets • Records Grounds Financial Plan Retention & • Planning- • Statements & • Waybills/ Run Weed Control Disposition Strategic Reports (TTC & • Grievances & & Crew Guides • Recordings Subsidiaries) Arbitrations & Transfer Security Closed • Records • Policies, Distribution Circuit Destruction Procedures, • Fundraising & • Human Rights Sheets Recordings Certificates Standards & Donations Complaints & Guidelines – Investigation • Work Orders & • Recordings – • Record Centre Governance • General Ledger Material Carhouse Operations Accounts • Requisitions Transmission Job Bid • Policies, Documents Audio Recordings • Records Procedures, • Journal Entries Disaster Standards & • • Security & First Job Contingency Guidelines – • Payroll Benefits Classification Aid Planning & Administrative/ (Employee) Recovery Routine • • Security Labour Investigation • Pay Period Negotiations • Travel Records Processing Arrangements • Occupational • Pension Plan Health & • Vendors, Investment & Safety Suppliers, Administration Consultants

Retention Legend: A = Active; I = Inactive; AR = Archival Review; C = Current Year; DY = Days; D = Destroy; M = Month(s); P = Permanent; S = Superseded; T = Termination – based on specific criteria Assets and Communications Environment, Financial Governance Human Information Legal & Works / Administration Property/ Promotion & Safety & Management Resources Management Licensing Operations Equipment External Sustainable & Technology Management Relations Resources /Maintenance

• Pay Equity • Workplace • Pension Space Planning Plan/Fund • Staff & Moves Working Papers Competition & Recruitment • Investigations • Pension Plan into Privacy Beneficiaries & • Training & Complaints & Entitlements Development Breaches • Personal • Training/ Expense Claims Certification – • Access and Record of Privacy • Petty Cash Consultations • Training • Property Tax program – • Access to Evaluation & Safety & Information Appeal Technical Requests – Appeals • Purchasing of • Workers’ Goods and Compensation • Wheel-Trans Services & Disability Customer Files Management • Reconciliation of Daily Records

• Subsidies/ Grants/Funding

• Taxation

• Employee Payroll Files

Retention Legend: A = Active; I = Inactive; AR = Archival Review; C = Current Year; DY = Days; D = Destroy; M = Month(s); P = Permanent; S = Superseded; T = Termination – based on specific criteria

AD Functional Category: ADMINISTRATION

Records relating to administrative function of all departments such as records relating to general office information such as activity reports, executive correspondence, office administration records, associations, committee meetings, minutes, agendas, contact lists, office supplies, vendors and consultants, as well as the management of access requests under the MFIPPA legislation.

Originating Retention Code Records Title Office A I Total Disposition Comments/Legislation AD-001 Access to Information and Personal Information Commission T 5 T+5 D Comments: Protection – Access Requests Services T = File closed upon completion of case Records relating to the receipt and processing of access Legislation/Regulation: requests for TTC records and privacy complaints. Municipal Freedom of Documents may include formal and informal requests Information and Protection of for information, consultation documentation, Privacy Act, R.S.O. 1990, c. correspondence, access decisions, fee estimates, third M.56 (Last amendment: 2007, party notices, written appeal submissions to the c. 13, s. 45) Information and Privacy Commissioner of Ontario s. 17. - Request; (IPC), IPC orders and decisions, and IPC compliance s. 18. - Notice of forwarding or findings and recommendations. transfer; s. 19. - Notice of decision; s. 20. - Notice of extension; s. 21. - Notice to affected person; s. 22. - Notice of refusal; s. 43. - Notice of order; s. 45. - Estimate of costs

AD-002 Administrative Records - Executive Records All T 10 T+10 AR Comments: File closed at Executive’s Executive records are the administrative and discretion operational records of the offices of the general manager offices. Certain positions below this level Note: Executives will be may be designated as executive records based on the advised that these files should nature of the office and its level of independent not contain any original decision-making capability documents in their work area that are subject to a special statutory retention period.

AD-003 Administrative Records - Office Administration All C+2 0 C+2 D Records

Records relating to general office administration functions and subjects not covered elsewhere. This may include daily correspondence and chronological files, staff summary sheets, monthly and annual planning calendars, monthly activity or status reports, completed request forms, mail registries or logs.

AD-004 Associations and Organizations All C+1 1 C+2 D

Records relating to internal and external professional associations, clubs, societies, and organizations in which the institution has membership, interest, or official capacity. Documents may include minutes of meetings, association annual reports, membership lists and registration, and correspondence.

AD-005 Books/ Subscriptions/External Publications All S+2 0 S+2 D

Records relating to the management of external publications such as library material used for reference purposes. Also includes the management of office subscriptions, books, and digital publications purchased by the institution. This includes subscriptions for professional newsletters, printed and electronic journals, business and news periodicals, and book orders. Subscriptions may be used for reference, research, or display purposes. Documents may include completed subscription order forms, copies of financial invoices, and correspondence.

AD-006 Contact lists All S 0 S D

Listing of contacts and/or mailing lists of individuals who are employees or have dealings with the TTC. May be a database of employee contact information to be used in case of an emergency.

AD-007 Courier, Postal and Custom Services All C 2 C+2 D

Records relating to the use of hard-copy mail and courier services by the TTC. Includes postal and mail functions with Canada Post, courier services, freight services, and customs information such as clearance and related documentation. Documents may include mailing lists, logbooks, shipment permits, mailing lists, copies of post office regulations, and reports on lost or damaged mail/courier packages.

AD-008 Divisional Daily Activity Reports All C +1 2 C+3 D

Records relating to documenting daily work activities as part of the TTC operations. This may include but not limited to transit control daily files, ticket and information clerks’ files such as shifts, deposits, over/short detail, and any other activity reports that track or outline the day’s work or employees’ responsibilities.

AD-009 Facility and Room Bookings All C+1 1 C+2 D

Records relating to selecting, reserving, using and providing rooms and other facilities for meetings, seminars and other such gatherings.

Retention Legend: A = Active; I = Inactive; AR = Archival Review; C = Current Year; DY = Days; D = Destroy; M = Month(s); P = Permanent; S = Superseded; T = Termination – based on specific criteria Originating Retention Code Records Title Office A I Total Disposition Comments/Legislation AD-010 Meetings and Committees All C+3 0 C+3 D

Records relating to meetings and committees of TTC staff that are not related to governance issues. May include regular or interim meetings held with external and internal client groups or individuals. Documents may include meeting agendas, minutes of meetings, and committee reports. Union meetings would be included.

EXCLUDES:

Corporate Records-Commission (GV-003);Corporate Records- Subsidiary Companies (GV-004); Council & Committee Proceedings (GV-005)

AD-011 Office Supplies All C+1 0 C+1 D

Records relating to the provision of office supplies and consumables, including stationery and letterhead. Documents may include completed material requisition forms, copies of purchase orders and purchase requisitions, copies of cheque requisitions, copies of supplies catalogues, and correspondence.

Retention Legend: A = Active; I = Inactive; AR = Archival Review; C = Current Year; DY = Days; D = Destroy; M = Month(s); P = Permanent; S = Superseded; T = Termination – based on specific criteria Originating Retention Code Records Title Office A I Total Disposition Comments/Legislation AD-012 Operational Reviews/Assessments All T 7 T+7 AR Comments: T=File closed upon termination Records relating to the production and use of of project. operational reviews and/or assessing the feasibility of a new service, routes, products, etc. These are intended to provide objective and constructive assessments of such issues as customer relations, staff communications, resource management, performance measurement, hazard assessments and other topics of significant concern for the TTC. Operational reviews may range from TTC-wide reviews to reviews focused specifically on a single activity or unit. Documents include operational review reports and supporting correspondence.

AD-013 Planning – Annual Business All C+3 7 C + 10 D

Records relating to the production and use of operational plans, which clearly match the implementation of TTC's strategic plans against specific objectives. Annual business plans may include information on what activities staff has to undertake, specific time frames for each activity, and key events and issues. May range from simple timetables to complex plans. Documents may include financial spreadsheets, planning reports, work plans, service level agreements, and supporting correspondence.

Retention Legend: A = Active; I = Inactive; AR = Archival Review; C = Current Year; DY = Days; D = Destroy; M = Month(s); P = Permanent; S = Superseded; T = Termination – based on specific criteria Originating Retention Code Records Title Office A I Total Disposition Comments/Legislation AD-014 Planning - Strategic All C+3 7 C + 10 AR

Records relating to strategic planning for departments, divisions, units, and overall TTC. Strategic planning is a management tool designed to assess and adjust TTC’s direction and determine its visions and future objectives. Includes information on seminars, strategy planning sessions, and mission statements. Documents include objectives statements, long and short-term strategic planning reports, copies of financial statements and reports, five-year business planning notes, reports, and correspondence.

AD-015 Policies, Procedures, Standards and Guidelines All S 20 S+20 AR Legislation/Regulation: Governance Limitations Act, S.O. 2002, c. 24, Sched. B. (Last amendment: Records relating to the production and formal approval 2010, c. 6, Sched. 4, s. 27) of official corporate statements, such as corporate s. 15. (2) - No proceeding shall policy, emergency plan, corporate security escalation be commenced in respect of any plan, strike plan, environmental management manual, claim after the 15th anniversary etc. May also include information on corporate and of the day on which the act or departmental program reviews, benchmarking and omission on which the claim is corporate performance management, and other issues based took place. related to corporate governance.

FOR: Engineering Design Standards SEE: Design Standards AS-005

Schedules and Service SEE: FUNCTION WORKS/OPERATIONS WO-006

AD-016 Policies, Procedures, Standards and Guidelines – All S+1 0 S+1 D Administrative/Routine

Records related to administrative and routine policies, procedures, directives and manuals that address internal departmental functions such as standard operating procedures.

AD-017 Travel Arrangements All C+2 0 C+2 D Records relating to the arrangement and conduct of visits and travel by TTC employees and formal visitors. May include visits to, or visitors from, local, provincial, national, and international locations. Documents include travel itineraries, transportation and accommodation booking arrangements, correspondence with travel agents, hotel and airfare price lists, and documentation on individual visits and tours.

AD-018 Vendors, Suppliers and Consultants All C+2 0 C+2 D

Records relating to reference information discussing the various products and services offered by external , contractors, vendors, and supply companies. Documents may include company brochures, supply catalogues, vendor announcements, external press releases, vendor price lists, vendor profiles and supporting correspondence.

Excludes: LEGAL/Licensing: Contracts and agreements (LL005) FINANCE: Purchasing of goods and services (FM-028)

AD-019 Workplace Space Planning and Moves Engineering, S 5 S+5 D Construction Records relating to determining workplace space & Expansion requirements, planning and implementing moves of office equipment and employees to different locations, and designing and implementing workplace consolidation initiatives. May include information relating to space allocation, tenancy expiry, and corporate organizational moves. Documents may include reports and statistics concerned with current and future space accommodation requirements, expansion plans, space inventories, move schedules, floor plans for all move stages, detailed needs analyses of client groups impacted by moves, copies of committee minutes and agendas, and all supporting correspondence.

AD-020 Investigations into Privacy Complaints & Breaches Commission T 15 T+15 D Comments: Services File closed upon Records relating to formal and informal privacy completion of case. complaints and breach investigations. Privacy Complaint - The Act creates a privacy protection Legislation/Regulation: scheme which the TTC must follow to protect an Limitations Act, S.O. individual's right to privacy. The scheme includes rules 2002, c. 24, Sched. B. regarding the collection, retention, use, disclosure and (Last amendment: 2010, c. disposal of personal information in its custody or 6, Sched. 4, s. 27) control. A Privacy Breach - occurs when personal s. 15. (2) - No proceeding information is collected, used, disclosed and or shall be commenced in destroyed in ways that are not in accordance with the respect of any claim after privacy provisions of the Municipal Freedom of the 15th anniversary of the Information and Protection of Privacy Act or the day on which the act or Personal Health Information Protection Act. omission on which the Documents may include complaint correspondence, claim is based took place. submissions to the Information Privacy Commission, investigation reports, briefing notes, recommendations, Municipal Freedom of and interview documents. Information and Protection of Privacy Act, (General) R.R.O. 1990, Reg. 823 (Last amendment: O. Reg. 47/12)

Municipal Freedom of Information and Protection of Privacy Act, R.S.O. 1990, c. M.56 (Last amendment: 2007, c. 13, s. 45) PART II - Protection of Individual Privacy

AD-021 Access & Privacy Consultations Commission T+15 0 T+15 D Comments: Services File closed upon Records relating to advice and recommendations by completion of case. CSO to program areas to ensure compliance with MFIPPA and PHIPA legislation. Contains many Legislation/Regulation: consultation subject areas, may contain personal Limitations Act, S.O. information and legal opinions. Each case is 2002, c. 24, Sched. B. defined by the department requesting advice. The (Last amendment: 2010, c. case is closed when advice is provided by CSO. 6, Sched. 4, s. 27) s. 15. (2) - No proceeding shall be commenced in respect of any claim after the 15th anniversary of the day on which the act or omission on which the claim is based took place.

Municipal Freedom of Information and Protection of Privacy Act, (General) R.R.O. 1990, Reg. 823 (Last amendment: O. Reg. 47/12)

Municipal Freedom of Information and Protection of Privacy Act, R.S.O. 1990, c. M.56 (Last amendment: 2007, c. 13, s. 45) PART II - Protection of Individual Privacy

AD-022 Access to Information Request - Appeals Commission T 15 T+15 D Comments: Services Conclusion of appeal Records relating to the processing of request process. appeals under MFIPPA and PHIPA. Request appeal status may be tracked electronically by Legislation/Regulation: unique request identification number. Copies of Limitations Act, S.O. appeals documentations are filed in paper format, 2002, c. 24, Sched. B. arranged by their respective request number. (Last amendment: 2010, c. Documents include access request forms and 6, Sched. 4, s. 27) supporting documentation, copies of responsive s. 15. (2) - No proceeding records, decision letters, Mediator’s report, Notice shall be commenced in of enquiry, appeals representations, IPC Order respect of any claim after and all supporting correspondence. the 15th anniversary of the day on which the act or omission on which the claim is based took place.

Retention Legend: A = Active; I = Inactive; AR = Archival Review; C = Current Year; DY = Days; D = Destroy; M = Month(s); P = Permanent; S = Superseded; T = Termination – based on specific criteria

AS Functional Category: Assets and Property/Equipment Management/Maintenance

Description: Records relating to the engineering design and development, construction, renovation, operation, and maintenance of TTC’s physical assets and property and equipment, which it owns or leases and the associated professional standards, drawings and specifications. This may include buildings, facilities, lands, vehicles, uniforms and any other assets that must be maintained according to legislation and best practices.

Originating Retention Code Records Title Office A I Total Disposition Comments/Legislation

AS-001 Building Operation and Maintenance Operations T+2 5 T+7 D Comments: T = File closed after the site has Records relating to the monitoring and scheduling of been decommissioned condition and maintenance of building structures, subways and systems. Consists also of monitoring and maintaining components forming part of the property systems in accordance with manufacturer’s recommendations, industry standards, legislated requirements and best practices. Property systems may include (but not limited to): heating and cooling system (incl. chillers HVAC, compressors, cooling towers, boilers), elevating devices, electrical wiring, plumbing, fire alarm, emergency backup (especially. power generation), etc. Records may include maintenance manuals, technical reports, technical bulletins, prototype notices and building and equipment operating manuals for the maintenance of the equipment.

Retention Legend: A = Active; I = Inactive; AR = Archival Review; C = Current Year; DY = Days; D = Destroy; M = Month(s); P = Permanent; S = Superseded; T = Termination – based on specific criteria Originating Retention Code Records Title Office A I Total Disposition Comments/Legislation AS-002 Construction and Renovation T 20 T+20 AR Comments: Operations T = File closed after the site has Records relating to construction and renovation of been decommissioned TTC buildings and all subway locations including works for the City and other 3rd parties. Documents Engineering, Legislation/Regulation: may include specifications, reports, commentary, Construction Limitations Act, S.O. 2002, c. guidelines, architectural and engineering drawings, &Expansion 24, Sched. B. (Last amendment: consultant reports, land appraisals, photographs, 2010, c. 16, Sched. 4, s. 27) material and environment testing reports, and s. 15. (2) - No proceeding shall building phase reports. May also include copies of be commenced in respect of any contracts, building permits, and insurance damage claim after the 15th anniversary claims and drawing release letters. of the day on which the act or omission on which the claim is Excludes: based took place. LEGAL: Permits – Building permits and Inspections (LL-013) LEGAL: Contracts and agreements (LL-005) LEGAL: Claims (LL-002, LL-003)

AS-003 Engineering Development and Planning Engineering, T+2 5 T+7 AR Comments: Construction T = File closed after the site has Records relating to the development and planning of & Expansion been decommissioned engineering projects. This includes projects undertaken both by TTC, the City and private sector organizations. Includes copies of site specific engineering drawings, engineering proposals, application reviews, copies of agreements and contracts, and engineering and special studies.

Retention Legend: A = Active; I = Inactive; AR = Archival Review; C = Current Year; DY = Days; D = Destroy; M = Month(s); P = Permanent; S = Superseded; T = Termination – based on specific criteria Originating Retention Code Records Title Office A I Total Disposition Comments/Legislation AS-004 Engineering Design Development Documentation All T+ 2 5 T+7 AR Comments: T = File closed after the site has Records related to the engineering design been decommissioned development of a specific project/contract. May include field notes and drawings for property survey; in-house and consultant engineering reports; development review records; design notes; utilities identification reports; design documentation; and cost estimates.

FOR: Utility Applications and Plans SEE: WO-010

AS-005 Design Standards Engineering, T+2 P P P Construction Records relating to engineering design standards for & Expansion TTC infrastructures.

AS-006 Employee Uniforms Human C+1 1 C+2 D Resources Records relating to the management, evolution and inventory control of special, safety, protective, and required clothing and footwear for TTC employees. This includes information on designated uniforms for operators, supervisors, inspectors, security, cleaning staff, labourers and other unionized and non-union workers and TTC summer staff. Documents may include clothing specification sheets, order tracking reports, complaints, copies of purchase orders, copies of invoices, and correspondence.

Equipment and Operating Manuals

SEE: Building Operation and Maintenance (AS-001)

AS-007 Inventory Management - Surplus Assets Materials & C+1 6 C+7 D Procurement Declaration for surplus assets, sales delivery slips authorization for surplus material sold.

Retention Legend: A = Active; I = Inactive; AR = Archival Review; C = Current Year; DY = Days; D = Destroy; M = Month(s); P = Permanent; S = Superseded; T = Termination – based on specific criteria Originating Retention Code Records Title Office A I Total Disposition Comments/Legislation Inventory Management – Stock Codes/Material Materials & S 0 S S Requisitions Procurement

Inventory requests for the creation of stock codes.

FOR: RFPs and Tenders SEE: FINANCIAL MANAGEMENT – Purchasing of Goods and Services (FM-028)

AS-008 Property Design Planning Operations C+2 17 C+20 AR Comments: T = File closed after the site has Records relating to internal initiatives intended to Engineering, been decommissioned ensure effective construction and renovation of TTC Construction property, including buildings and other structures, & Expansion Legislation/Regulation: through analysis of, and compliance with, all issues Planning Act, R.S.O. 1990, c. that may affect the actual work. This is performed Property P.13 (Last amendment: 2011, c. prior to the construction or renovation work actually Development 6, Sched. 2) being undertaken. May include information on floor s. 41. (4) approval of proposed load capacity, space planning, need for ventilation, plans, drawings and designs and other design requirements. Documents may include project proposals, structural investigation reports, feasibility studies, preventative maintenance studies, technical and development reviews, noise and signage studies, safety plans or studies, consultant selection criteria, staffing layout plans, detailed needs analysis reports, and copies of capital budget statements.

Excludes: LEGAL: Permits – Building permits and Inspections (LL-013) LEGAL: Contracts and agreements (LL-005) LEGAL: Claims (LL-002, LL-003)

Retention Legend: A = Active; I = Inactive; AR = Archival Review; C = Current Year; DY = Days; D = Destroy; M = Month(s); P = Permanent; S = Superseded; T = Termination – based on specific criteria Originating Retention Code Records Title Office A I Total Disposition Comments/Legislation AS-009 Project Management – Non Construction All T +1 9 T+10 D T= completion of project

Records relating to the collection, usage, and 10 years after file closed upon maintenance of documentation concerned with the project successfully completed effective management and control of all corporate and or prematurely cancelled and no system-wide projects conducted by and/or for the more documents are added to TTC. May include information relating to project the file (i.e., at end of project status reporting, planning and estimating, progress closure phase) then destroyed, tracking, quality assurance, and contingencies. subject to archival review Documents may include copies of requests for proposals and purchase orders, vendor timesheets, copies of organizational charts, copies of vendor catalogues, copies of presentations, memorandums, project control books, and all supporting correspondence.

Excludes: Environmental assessments (EV-005) Work orders (WO-013) Timesheets for TTC staff – Attendance & Scheduling (OARS) (FM-005) LEGAL: Contracts and agreements (LL-005)

Retention Legend: A = Active; I = Inactive; AR = Archival Review; C = Current Year; DY = Days; D = Destroy; M = Month(s); P = Permanent; S = Superseded; T = Termination – based on specific criteria Originating Retention Code Records Title Office A I Total Disposition Comments/Legislation AS-010 Property /Equipment Maintenance and Inspection Operations T 20 T+20 D T = inspection date Reporting Safety Legislation/Regulation: Records relating to the ongoing and scheduled Limitations Act, S.O. 2002, c. maintenance and inspections of TTC buildings, 24, Sched. B. (Last amendment: property and vehicle components such as brakes, new 2010, c. 16, Sched. 4, s. 27) wheels, decals, farebox etc. May include information s. 15. (2) - No proceeding shall on building, station, escalator, elevator inspections, be commenced in respect of any yearly inspection of physical security measures and claim after the 15th anniversary janitorial services. Documents may include of the day on which the act or inspection reports including those after a patron omission on which the claim is injury, call reports for elevator stoppages, preventive based took place. maintenance reports, Technical Standards and Safety Authority (TSSA) corrective repairs, inspection test TSSA – technical standards and and record logbooks, maintenance logs, deficiency safety authority reports, copies of work orders, copies of contracts and supporting agreements, and correspondence.

See also: Building Operation and Maintenance

Excludes:

Work Orders (WO-013) Contracts and agreements (LL-005)

Retention Legend: A = Active; I = Inactive; AR = Archival Review; C = Current Year; DY = Days; D = Destroy; M = Month(s); P = Permanent; S = Superseded; T = Termination – based on specific criteria Originating Retention Code Records Title Office A I Total Disposition Comments/Legislation AS-011 Public Art & Art in Public Transit Facilities Engineering, C+2 P P AR Construction Records relating to public art which is owned and & Expansion displayed by the TTC and/or exists on TTC property or in public transit facilities. Art may include Commission paintings, etchings, pictures, tapestries, statuaries, Services memorial and monument artworks, and other works of art with artistic and/or historical value. May include information relating to artists, designers, competition judges, and the acquisition of art via donations or commissions. Documents may include inventories of public and transit facilities art collections, photographs relating to the inventory, conservation reports, copies of agreements and contracts, and correspondence.

AS-012 Recordings - Security Audio Recordings – Transit 24hrs 0 24hrs D Comments: Grounds Enforcement Applies to audio recordings Recordings relating to security surveillance TTC except those retained for law locations including audio recordings of incoming enforcement purposes. calls to TTC Security. Audio tapes will be re-used within a specified time period except where a recording, documenting a particular incident, is retained for law enforcement purposes.

If the recording is downloaded to document a T+3 0 T+3 T= file closed upon resolution particular incident for law enforcement purposes, it is years years then retained for claims management.

Retention Legend: A = Active; I = Inactive; AR = Archival Review; C = Current Year; DY = Days; D = Destroy; M = Month(s); P = Permanent; S = Superseded; T = Termination – based on specific criteria Originating Retention Code Records Title Office A I Total Disposition Comments/Legislation AS-013 Recordings - Security Closed Circuit Recordings Transit 15hrs 0 15hrs D Streetcar or Bus Surface Enforcement Vehicles Closed- circuit television recordings made at designated locations such as surface vehicles, TTC 72hrs 0 72hrs D Subway Vehicle and Subway property, etc. In each case, recording mediums (VHS System tapes, DVDs, CDs, audio tapes, etc) will be re-used within a specified time period. 7 days 0 7 days D Wheel Trans Vehicles

If the recording is downloaded to document a particular incident for law enforcement purposes, it is C+3 0 C +3 D T= file closed upon resolution then retained for claims management. years years Applies to all recording mediums used with a closed circuit system (VHS, CD, DVD) except those retained for law enforcement purposes.

ONTARIO PRIVACY COMMISSIONER- “Privacy and Video Surveillance in Mass Transit Systems: A Special Investigation Report”.

AS-014 Recordings – Carhouse Transmission Audio Operations C+1 0 C+1 D Recordings

The intended purpose is to ensure the strict radio protocol adherence to carhouse transmissions for car houses.

Retention Legend: A = Active; I = Inactive; AR = Archival Review; C = Current Year; DY = Days; D = Destroy; M = Month(s); P = Permanent; S = Superseded; T = Termination – based on specific criteria Originating Retention Code Records Title Office A I Total Disposition Comments/Legislation AS-015 Security and First Aid Transit C+2 4 C+6 D Enforcement Records relating to the physical security of TTC buildings, properties, and facilities. Security measures are intended to guard against damage and unauthorized intrusion and to ensure personal safety. May include information on identification tags, security and alarm systems, authorized use of keys and access cards, first aid treatment as administered by transit enforcement and security services personnel and employee evacuations. Documents may include security clearance files, security logs & security user guide books.

AS-016 Security Investigation Records Transit T 20 T +20 D Recordings retained for law Enforcement enforcement purposes. File Records relating to audio tapes and closed-circuit closed at termination of television recordings documenting particular investigation. incidents and retained for law enforcement purposes. Also includes all other evidence documenting an incident including notes, memo books, photos , security threat assessments reports, written request to review audio or closed –circuit recordings and requests by Toronto Police Services to remove a recording for law enforcement purposes.

AS-017 Wheel Trans Customer Files Operations T 3 T+3 D Comments: T = termination of service Records relating to information of Wheel Trans customers. Documents include customer applications, approvals and rejections, audits, medical history, etc.

Retention Legend: A = Active; I = Inactive; AR = Archival Review; C = Current Year; DY = Days; D = Destroy; M = Month(s); P = Permanent; S = Superseded; T = Termination – based on specific criteria

CO Functional Category: Communications, Promotion and External Relations

Description: The function of providing internal/external publications and communications including advice, and implementation of communication strategies that support business objectives, advertising of TTC products, services and events and the liaison activities with external groups. Includes all corporate communications, publications, media releases, executive speeches, web site, events, advertising and promotion of those events. Records relating to events planning and support, film production, inquiries and complaints, market research, news releases and media relations.

Originating A I Total Disposition Comments/Legislation Code Records Title Office CO-001 Customer Information and Programs Strategy & C+5 5 C+10 D Customer Records relating to implementation of communication Experience strategies that support customer information programs and initiatives such as Ride Guide, PoleCards, Maps, etc. CO-002 Exhibits All T+1 10 T+11 AR Comments: File closed upon completion or Records relating to all aspects of planning and closure of exhibit. mounting exhibits. Documents may include research notes, information on design, layout, implementation, and promotions of exhibits, lists of didactics and labels, correspondence, copies of exhibit materials, photographs of exhibits, information about supplies, information relating to exhibit openings, educational programming materials, brochures and/or posters, press releases, and copies of exhibit reviews.

Retention Legend: A = Active; I = Inactive; AR = Archival Review; C = Current Year; DY = Days; D = Destroy; M = Month(s); P = Permanent; S = Superseded; T = Termination – based on specific criteria Originating A I Total Disposition Comments/Legislation Code Records Title Office CO-003 Film Productions Strategy & C+2 8 C+10 D Legislation/Regulation: Customer Municipal Code Chapter 459, Records relating to the production of individual films Experience Filming for or at TTC locations, which may include commercials, music videos, television programs, movies, and all other film production initiatives. May include information relating to filming locations, production companies and/or individuals, and types and subject content of film productions. Documents may include crew lists, production filming schedules, film permit applications, scripts, film listing logs, copies of film permits and supporting documentation.

CO-004 Inquiries, Complaints and Commendations Strategy & C+1 1 C+2 D Customer Includes records regarding general inquiries, Experience suggestions, complaints and commendations regarding TTC service or operations including complaints and commendations regarding operators, collectors, fare or service. Also includes inquiries from councillors, concerns about the services provided by the TTC and responses to these inquiries.

CO-005 Market Research Strategy & T 3 T+3 AR Comments: Customer File closed upon completion of Records relating to the development and administration Experience project. of market research initiatives. Market research is conducted to obtain information about the needs and wants of TTC customers with the aim being to ensure high-quality services. Documents may include correspondence, questionnaires, surveys, market research reports, memoranda, and other supporting documentation.

Retention Legend: A = Active; I = Inactive; AR = Archival Review; C = Current Year; DY = Days; D = Destroy; M = Month(s); P = Permanent; S = Superseded; T = Termination – based on specific criteria Originating A I Total Disposition Comments/Legislation Code Records Title Office CO-006 Marketing Communications, Advertising and Strategy & Promotion, and Programs Customer C+5 5 C+10 D Experience Records relating to implementation of communication strategies that support business objectives, advertising of TTC products, services and events and the liaison activities with external groups. Includes all brochures, web site, events, advertising and promotion of those events.

CO-007 Media Relations Corporate C+2 4 C+6 D Communications Records relating to the promotion of the TTC through fostering positive and ongoing relationships with local, provincial, national, and international news media. Includes information on print, radio, television, and other types of news reporting. May also include information on media promotion projects. Documents may include media contact lists, lists of standard media interview questions, and correspondence.

CO-008 Official Photos & Other Media Corporate C+2 4 C+6 AR Communications Official photographs of TTC events, milestones, official openings, TTC staff, etc and associated media Strategy & such as CDs DVDs, Video, etc that documents TTC Customer history and achievements. Experience

CO-009 Official Statements/Corporate Publications Corporate C+2 4 C+6 AR Communications Records relating to the development and production of media releases, official statements announcements and corporate publications by the TTC. Includes corporate publications like the Coupler and Branch and Corporate notices. Documents may also include supporting correspondence and memoranda.

Retention Legend: A = Active; I = Inactive; AR = Archival Review; C = Current Year; DY = Days; D = Destroy; M = Month(s); P = Permanent; S = Superseded; T = Termination – based on specific criteria Originating A I Total Disposition Comments/Legislation Code Records Title Office CO-010 Promotional Support by TTC of City of Toronto Strategy & C+5 0 C+5 D Events and Tourism - External Customer Experience Records relating to the promotional support provided by the TTC for externally-produced cultural, communities, City of Toronto and Tourism Toronto special events. May include, parades, and festivals. TTC support is in the form of promoting transit to large city events electronically in printed materials

CO-011 Special Events Planning and Programming Strategy & C+5 0 C+5 D Customer Records relating to the planning and programming of Experience TTC corporate events and events such as, Doors Open, Subway Musicians program, etc. May include information on logistics on organizing various TTC special events. Documents may include event plans and memoranda, contact lists, event schedules, information kits, lists of volunteer requirements, safety and crowd control reports and correspondence. TTC may assist external organizations to hold events on TTC property (subway stations, etc.) Support provided by the TTC may include providing information and approval to hold event on TTC property.

Records relating to the planning of, and participation in, trade shows, which are exhibitions held for members of a common or related industry or profession. This includes trade shows organized and presented by either the TTC or external agencies. May include information relating to exhibit layout and design, TTC employee participation, registration, and event production. Documents may include copies of public relations packages, attendance lists, copies of supply lists, copies of catering requests and forms, invitation lists, brochures, copies of press releases, posters, explanatory labels for exhibit items, copies of research notes, and supporting correspondence.

CO-013 TTC Support Person Assistance Card Program Strategy & C 5 C+5 D Customer Records relating to applications for the TTC’s Support Experience Person Assistance Card Program.

Retention Legend: A = Active; I = Inactive; AR = Archival Review; C = Current Year; DY = Days; D = Destroy; M = Month(s); P = Permanent; S = Superseded; T = Termination – based on specific criteria

EV Functional Category: Environment, Safety & Sustainable Resources Records relating to environmental services and the safety of our environment. Records include the assessment, preservation and conservation of not only the natural environment, natural life forms and natural resources but also the physical working environment of staff to reduce stress and remain healthy. Includes records on environmental approvals and compliance, fire safety, ergonomics, air and water records, pollution, conservation and energy efficiency, pollution, hazardous materials and waste recycling.

Originating A I Total Disposition Comments/Legislation Code Records Title Office

EV-001 Air Quality Safety T 7 T+7 D Comments: T = File closed upon Records relating to the monitoring of indoor and Engineering, completion of report or outdoor air quality. Includes information on emissions Construction investigation of case. such as smog, aerosols, asbestos, ozone, particulates, & Expansion and toxic airborne substances. Documents include Legislation/Regulation: copies of air quality standards and guidelines, copies of Environmental Protection Act announcements and warnings, brochures, complaints, Regulations (Airborne and inquiries. Contaminant Discharge Monitoring and Reporting), O. Reg. 127/01, amended by: O. Reg. 196/01 - copy of report and any records are kept for at least seven years after the day the report submitted and any other record required prepared under this Regulation is kept for at least seven years after the day the record is required to be prepared.

EV-002 Conservation Studies Safety T 7 T+7 AR Comments: File closed upon termination of Records relating to studies and reports which discuss study. the conservation and preservation of the natural Legislation/Regulation: environment. This includes information on all Lakes and Rivers Improvement ecological issues relating to conservation, including Act, R.S.O. c. L. 13 (Last soil, water, wildlife, and vegetation. amendment: 2012, c. 8, Sched. 26) s. 21. - All plans, orders and reports shall be kept on file. Environmental Protection Act Regulation (Records of Site Condition) O. Reg. 153/05 – PART XV.1 OF THE ACT (Last amendment: O. Reg. 269/11) s. 18. (1) (Retention and storage of reports) - the prescribed period for the retention of a report is seven years after the date the record of site condition listing the report is filed. EV-003 Energy Efficiency All S 7 S+7 AR

Records relating to the conservation and efficient use of heat, electricity, and other natural resources. May include information on solar energy, geothermal energy, wind energy, and energy-efficient appliances. Documents include educational materials, reports and studies, and correspondence.

EV-004 Environmental Applications and Approvals All T+2 T+5 T+7 D T = approval of application

Any facility that releases emissions to the atmosphere, Legislation/Regulation: discharges contaminants to ground or surface water, Environmental Assessment Act, provides potable water supplies, or stores, transports or R.S.O. 1990, c. E. 18, ss 30(1), disposes of waste, must have a Certificate of Approval maintain a record for every from the Ministry of the Environment (MOE) before it undertaking in respect of which can operate lawfully. It is the responsibility of owners an application is submitted and operators of these facilities to apply for and obtain Certificates of Approval. Records include applications and approvals for air and noise, waste disposal site approvals, waste management system approvals, sewage work approvals, municipal and non-municipal drinking water approvals. Toronto and Region Conservation Authority (TRCA) applications and requirements are included within this series.

Approvals from all other federal, provincial or municipal governments would be included here.

Retention Legend: A = Active; I = Inactive; AR = Archival Review; C = Current Year; DY = Days; D = Destroy; M = Month(s); P = Permanent; S = Superseded; T = Termination – based on specific criteria Code Records Title Originating A I Total Disposition Comments/Legislation Office EV-005 Environmental Assessments All T 7 T+7 AR Comments: T = File closed upon Records relating to studies of environmental issues and completion of assessment impacts. These assessments are required by legislation and are responsible for determining the state of the Legislation/Regulation: current environment and the impacts that development Environmental Assessment Act activities might have on it. Includes information R.S.O. 1990, c. E.18 (Last relating to transit infrastructure expansion, water, air, amendment: 2010, c. 16, Sched. and other environmental issues. Documents include 7, s. 1) special studies such as diesel emissions and reports, s. 30. (1) - maintain a record for environment planning documents, engineering plans, every undertaking in respect of and correspondence. which an application is submitted. FOR: Soil/Geotechnical reports SEE: EV-014

EV-006 Ergonomics Safety C+2 5 C+7 D

Records relating to identifying and analyzing workplace design issues on TTC owned or leased premises, so as to create a safe workplace environment that maximizes employee physical and psychological comfort and productivity. May include information on placement of office furniture, artwork, plants, chairs, and equipment such as farebox handling, brake pedal forces, etc; ergonomic risk factors; and acquisition of suitable tools, machines, and systems. Documents may include completed ergonomic assessment forms, completed ergonomic consultation forms, reports and recommendations concerning routine workplace improvements, ergonomic evaluation statements, copies of quotation requests and service requests, and all supporting correspondence.

Retention Legend: A = Active; I = Inactive; AR = Archival Review; C = Current Year; DY = Days; D = Destroy; M = Month(s); P = Permanent; S = Superseded; T = Termination – based on specific criteria Code Records Title Originating A I Total Disposition Comments/Legislation Office EV-007 Fire Emergency Incident Reports Safety T+5 2 T+7 D T = File to remain active until resolution/closure of case. Records containing incident date, event times, vehicles assigned, and any other pertinent information Legislation/Regulation: involved at the incident. This report is completed for all City of Toronto Municipal responses by Fire and Ambulance Services to incidents. Code Chapter 79, Fire Services § 79-7. Reporting § 79-8. (8) For keeping an accurate record, in convenient form for reference, of all fires, rescues and emergencies responded to by the Fire Department § 79-20. Responding to rescues and emergencies.

EV-008 Fire Prevention Inspection Reports Safety T+3 18 T+21 D Comments:

Records relating to both routine and requested T=completion of inspection, inspections of buildings and properties in order to with any violations and assess compliance with mandated fire safety outstanding issues fully provisions. This reporting involves making resolved. observations, documenting the existence of any fire safety violations, and reporting on what must be Legislation/Regulation: performed in order to ensure compliance with fire City of Toronto Municipal safety provisions. Documents may include completed Code Chapter 79, Fire Services inspection referral forms, testing and inspection reports, §79-18 - Inspection of premises and all supporting correspondence. and by-law enforcement.

Fire Protection and Prevention Act, 1997, Regulation (Fire Code) O. Reg. 213/70 (Last amendment: O. Reg. 150/13. s.1.1.2.1 (3) - records shall be retained for a period of at least two years after being prepared.

Fire Protection and Prevention Act, S.O. 1997 Inspections (Last amendment: 2011, c. 13) PART VI Inspections 19. (9) - Copy of a document that purports to be certified by an inspector as being a true copy of the original is admissible in evidence to the same extent as the original and has the same evidentiary value.

Retention Legend: A = Active; I = Inactive; AR = Archival Review; C = Current Year; DY = Days; D = Destroy; M = Month(s); P = Permanent; S = Superseded; T = Termination – based on specific criteria Originating A I Total Disposition Comments/Legislation Code Records Title Office EV-009 Fire Safety Planning Safety S 15 S+15 D Comments: S = Approval of an updated fire Records relating to documenting the planning and safety plan. preparation necessary so that individual buildings will comply with required fire safety provisions. May Legislation/Regulation: include information relating to firefighting equipment Fire Protection and Prevention locations within buildings, fire alarm systems, locations Act, 1997, Regulation (Fire of exits and staircases, evacuation and emergency Code) O. Reg. 213/07 (Last guidelines, names of emergency contact personnel, amendment: O. Reg. 150/13. vehicle access to the respective building, locations of Section 2.8. Emergency elevators, owner responsibilities, and firefighting Planning. equipment inspection and maintenance. Documents include fire safety plan reports, self compliance surveys, risk assessments and all supporting correspondence.

EV-010 Ground Pollution All C+2 7 C+9 AR Comments: T = after the date the record of Records relating to ground pollution as a result of site condition listing the report chemical spills,, and industrial waste disposal. This is filed in the MOE. includes the contamination of soil, surface water, and underground water. Also includes information on Legislation/Regulation: treatment initiatives to minimize or eliminate the Environmental Protection Act effects of ground pollution. Includes complaints, 1990 Regulations (Records Of reports and studies, newspaper clippings, and Site Condition - PART XV.1 Of correspondence. The Act), O. Reg.153/04, 04 (Last amendment: O. Reg. 269/11) s. 18. (1) (Retention and storage of reports) - the prescribed period for the retention of a report is seven years after the date the record of site condition listing the report is filed.

EV-011 Hazardous Materials All T 2 T+2 AR Comments: T= File closed upon completion Records relating to the storage, transportation, and of statistical reporting handling of hazardous materials. Hazardous materials are any substance or material which may result in Legislation/Regulation: health injuries, destruction of life and environmental Environmental Protection Act conditions, and facility damage. This includes toxic, Regulations (General - Waste flammable, corrosive, and explosive materials. Management), R.R.O. 1990. Documents include disposal instructions, health and Reg. 347 (Last amendment: O. safety measures documentation, hazard assessment Reg. 348/12) reports, and recommendations, and correspondence. s. 16. (5) (c) - The operator of a waste management system for hauled sewage shall keep the daily records for a period of at least two years after the calendar year to which the records relate.

EV-012 Hazardous Wastes Safety C+4 0 C+4 D Legislation/Regulation: Environmental Protection Act Records relating to the collection and processing of Regulations (Recycling and hazardous wastes that pose a health and safety hazard, Composting of Municipal such as paint, batteries, antifreeze, and adhesives. May Waste), O. Reg. 101/94, s 10, include information brochures, collection schedules and 15, 23, 25, 31 - . collection reporting statistics.

EV-013 Pollution Safety C+6 0 C+6 D Legislation/Regulations: Municipal Code Chapter 681, Records relating to issues and initiatives concerning Sewers. multiple types of pollution, including soil, water, air and noise. These records are used for reference purposes. Includes reports, studies, correspondence, and newspaper clippings.

EV-014 Soil/Geotechnical Reports Engineering, T+3 P P P T= termination of Construction project/contract Records include geotechnical and soil reports. & Expansion

Records relating to the reduction, reuse, recycling or Safety diversion of solid and liquid waste materials. Includes the recycling of newspapers, cardboard, other curb side materials, automobile tires, white goods, scrap metal, and soil. Documents may include copies of committee minutes and agendas, copies of recycling contracts, copies of public brochures and promotional materials, and lists of recyclable versus non-recyclable materials.

EV-016 Water Quality Testing Safety T 16 T+16 D Comments: T = File closed upon Records relating to the testing, control, and monitoring completion of inspection and of drinking water quality. Water quality testing is statistical reporting. undertaken to determine the types and quantities of contaminants in drinking water, such as lead and Legislation/Regulation: bacteria. Includes copies of policies and procedures, Safe Drinking Water Act water testing results reports, water quality monitoring Regulations (Drinking-Water reports, complaints, and inquiries. Systems), O. Reg. 170/03 (Last amendment: O. Reg. 420/12) s. 13. (3) - owner of a drinking- water system shall ensure that documents and records are kept for at least 15 years.

EV-017 Weed Control Operations C+2 4 C +6 D Legislation/Regulation: Weed Control Act, R.S.O. Records relating to the control of weeds, for aesthetic Safety 1990, c. W.5 (Last amendment: and safety reasons and to protect the land’s native 2009, c. 33, Sched. 1, s. 27) biodiversity from invasive plant species. Methods of s. 15. - Record of expenses of weed control may include fire, spraying, uprooting, and weed inspector. mowing. Includes weed complaints, destruction work Pesticides Act Regulations, orders, and charges for failure to control weeds in (General), O. Reg. 63/09 (Last compliance with regulations and legislation. amendment: O. Reg. 42/13) s. 62. 2. 4 (Indoor fumigations under coverings or inside sealed containers) - keep the record for a period of at least two years after the fumigation is complete; s. 65. (2) (c) (Outdoor fumigations of soil) - keep the record for at least two years after the fumigation is complete; s. 73. (4) (Aerial application, land) - keep the record for a period of at least two years after the extermination is complete; s. 85. (3) (Aerial application, water) - keep the record for a period of at least two years after the extermination is complete.

Retention Legend: A = Active; I = Inactive; AR = Archival Review; C = Current Year; DY = Days; D = Destroy; M = Month(s); P = Permanent; S = Superseded; T = Termination – based on specific criteria

FM Functional Category: Financial Management

Description: Records relating to finances and accounting processes at the TTC and its subsidiaries, including the receipt, control, and expenditure of funds. Includes records relating to liability, risk management, payroll, taxation, treasury, purchasing, budgeting and financial reporting.

Originating A I Total Disposition Comments/Legislation Code Records Title Office

FM-001 Annual Reports Finance C+2 P P P

Records relating to internally-produced annual reports concerning the TTC’s annual and long-term goals, as well as financial and other reporting data. These reports describe activities and results over the past year in reference. They discuss management findings and analysis, financial statements, independent auditing results, financial highlights, and other related financial and management information. May also include interim reports such as TTC and EAC Consolidated Year-end reports, Work Order Closing – TTC – Year-end. .

FM-002 Accounting and Finance Administration Finance Current 7 C+7 D Legislation/Regulation: year Income Tax Act (Canada), Records relating to the overall management of TTC’s R.S.C. 1985, c. 1 (5th Supp.), financial and accounting functions and processes. May s. 230 - Records and books of include information on accounting systems, workflow account to determine tax reports and diagrams, chart of accounts, financial payable accounts and vouchers signing authority, copies of federal and provincial to verify information to be kept guidelines and compliance requirements, and six years from end of last tax correspondence. Work Order accounts, approvals, year to which they relate. Accounts Data base Listing – TTC and EAC Consolidated Project Reports/Year-end TTC (after City of Toronto Act, 2006, work order closing). s.138 (Municipal Act, S. O. 2001, c. 25, s. 286) - receipts for money payable to the municipality.

FM-003 Accounts Payable Finance C+1 6 C+7 D Legislation/Regulation: Income Tax Act (Canada), Records relating to the processing of payments made R.S.C. 1985, c. 1 (5th Supp.) by TTC to external suppliers of goods and services. (Last amended on March 1, May include information on advance payments of 2013) expenses. Source documents initiating payments s. 230. (4) (b) - Every person include vendor invoices, receipts such as returns of fare required to keep records and media, payment certificates, cheque requisitions, and books of account shall retain, miscellaneous transaction data. May also include together with every account and accounts payable control reports and payment vouchers voucher necessary to verify the and ticket sales payables to tenant carriers. May include information contained therein, information on the administration and receipt of until the expiration of six years refunds and credits/credit notes received from vendors from the end of the last taxation for return of materials/products. year to which the records and books of account relate.

Electronic Commerce Act, 2000, S.O. 2000, c. 17 (Last amendment: 2013, c. 2, Sched. 5) s. 12. - Legal requirement to retain a document satisfied by the retention of certain electronic documents.

Canada Evidence Act, R.S.C., 1985, c. C-5 (Last amended on October 5, 2012) s. 30. (1) a record made in the usual and ordinary course of business that contains information in respect of that matter is admissible in evidence under this section in the legal proceeding on production of the record.

FM-004 Accounts Receivable Finance C+2 5 C+7 D Legislation/Regulation: Income Tax Act (Canada), Records relating to revenues received by the TTC R.S.C. 1985, c. 1 (5th Supp.) through the sale of goods or services rendered (Last amended on March 1, including point of sale, Metropass Discount Plan, etc. 2013) This includes revenues generated from charging s. 230. (4)(b) - Every person parking, permits and other fees. May include required to keep records and information on the administration and receipt of books of account shall retain, refunds and credits/credit notes received from vendors together with every account and for return of materials/products. Documents may voucher necessary to verify the include hand-written and machine-readable receipts, information contained therein, payment balancing stubs, invoices documenting the until the expiration of six years receipt of payment from customers, accounts receivable from the end of the last taxation and revenue reconciliation statements, copies of year to which the records and cheques, payment batch reports, cash reports, Rental & books of account relate. Service Agreements, Rental & Service Order Forms and all supporting correspondence. City of Toronto Act, S.O. 2006, c.11 (Last amendment: 2011, c. 9, Sched. 41, s. 2) s. 138. (1) (a) - collecting money payable to the City and issuing receipts for those payments.

FM-005 Attendance and Scheduling (OARS) All C+3 0 C+3 D Legislation/Regulation: Records relating to the attendance and scheduling for Employment Standards Act, TTC employees. These records document an S.O. 2000, c.41, (Last employee’s hours of work, overtime hours, lieu time, amendment 2011, c. 1, Sched. 7 vacation time, statutory holidays, sick leave and other s. 1) related correspondence. The media format for these s. 15. (5) The employer shall records is paper and electronic. These reports are kept retain the records of the as part of the official record collection in Pay Period information required for the Processing (FM-022). Documents may include vacation following periods: requests, attendance registers, shift schedules, notes for 3. - three years after the day or extended leave, time sheets, crew cards and all week to which the information supporting correspondence. relates; 4. - three years after the FOR: Master Payroll Records SEE: FM-021 Pay information was given to the Period Processing employee

AUDITS: SEE GOVERNANCE – Audits (GV-002) FM-006 Bank Statements and Reconciliations Finance C+2 5 C+7 D Legislation/Regulation: Income Tax Act (Canada), Records relating to the receipt and use of bank R.S.C. 1985, c. 1 (5th Supp.) statements and reconciliations. Bank statements (Last amended on March 1, provide information on withdrawals from, and deposits 2013) into, bank accounts over a given period of time, and s. 230. (4) (b) - Every person they also indicate a bank account’s current financial required to keep records and status. Reconciliations compare the balance of a bank books of account shall retain, account in TTC records with the balance appearing in together with every account and the banks’ records and explain any discrepancies. voucher necessary to verify the Documents also include transfers, notices of stop information contained therein, payments returned/cancelled cheques, copies of until the expiration of six years financial policies and procedures, and correspondence. from the end of the last taxation year to which the records and books of account relate.

FM-007 Budget –Capital (TTC, Wheel-Trans) Finance T 7 T+7 AR Comments: T = File closed from end of the Records relating to the management and administration last year in which the capital of the capital budget account. The Five-year capital project budget is expended. budget controls the allocation and appropriation of funds planned to be expended for capital items in a Legislation/Regulation: given fiscal year. Capital budgeting is necessary to City of Toronto Act, S.O. 2006 construct or acquire fixed assets for the TTC. c.11, Sched. A (Last Documents may include budget submissions, contractor amendment 2011, c. 9, Sched. and hard costs data, and internal chargeback costs 41, s. 2) directives. s. 228. - The City shall in the year or the immediately preceding year prepare and adopt a budget including estimates of all sums required during the year for the purposes of the City.

City of Toronto Municipal Code Chapter 71, Article II, Budgets, § 71-7 Capital Budget (section last amendment: City of Toronto By-law No. 331 2005).

FM-008 Budget – Operating Finance C+2 5 C+7 D Legislation/Regulation: City of Toronto Act, S.O. 2006 Records relating to the management and c.11, Sched. A (Last administration of the operating budget accounts. amendment; 2011, c. 9, Sched. The operating budget concerns the allocation 41, s. 2) and appropriation of funds necessary to finance s. 228. - The City shall in the all operating expenses for a fiscal year, for all year or the immediately TTC departments and offices. Operating preceding year prepare and expenditures are used during a particular period adopt a budget including directly in support of daily operations, such as estimates of all sums required wages, office supplies, and maintenance costs. during the year for the purposes Includes copies of budget process procedures, of the City. directives, variance reports, expenditure forecasts and reports, and budget submissions. City of Toronto Municipal Code Chapter 71, Financial Control, Article II, Budgets, § 71-6. Operating Budget (section last amendment: City of Toronto By-law No. 1405 2007).

FM-009 Budget- Subsidiaries Finance C+2 8 C+10 D Legislation/Regulation:

Records relating to the budgets and monitoring of City of Toronto Act, 2006. budgets for subsidiary companies, and external entities such as Toronto Coach Terminal Inc.(TTCI), , Toronto Transit Infrastructure Ltd. (TTIL), and Toronto Transit Commission Insurance Company Ltd (TTCICL.

FM-010 Capital Assets Finance T 7 T+7 AR Comments: T= Life of Asset Records relating to TTC capital and fixed assets, which are long-term assets that are not purchased or sold in Legislation/Regulation: the normal course of business. Also includes records Municipal Affairs Act, R.S.O. with respect to declaring a property surplus to TTC 1990, c. M.46 (Last amendment requirements. May include information on capital 2009, c.33, Sched. 6, s. 73) assets such as machinery, land and land improvements, s. 3. (c) - Municipal Audit of equipment, works of art and historical treasures, accounts, registers, records, infrastructure, and vehicles. Documents include capital vouchers, receipts and other assets inventories, capital depreciation statements, books and documents relating capital asset reports and capital acquisition project to the assets, liabilities, summary. revenues, expenditures, funds and money of municipalities and the reports, returns, statements and information to be made and furnished by municipal auditors and otherwise with respect to the performance of their duties.

Income Tax Act (Canada), R.S.C. 1985, c. 1 (5th Supp.) (Last amended on March 1, 2013) s. 230. (4) (b) - Every person required to keep records and books of account shall retain, together with every account and voucher necessary to verify the information contained therein, until the expiration of six years from the end of the last taxation year to which the records and books of account relate.

FM-011 Cost Sharing Finance T+2 10 T+12 D Comments: T = File remains active 2 years Records relating to the sharing of total costs for after cost sharing project closes. sponsored corporate projects between two or more parties, even if only one party directly benefits from the project. Cost sharing arrangements may be between the TTC and external entities, or among internal TTC units. May include information on direct and indirect costs calculation, verification of cost sharing among sponsors, cost sharing allocation, individual project accounts, carryovers of project monies into other accounting cycles, and cost sharing tracking. Documents may include cost sharing request forms, cost sharing budget sheets, cost sharing project applications, and all supporting correspondence.

FM-012 Employment Workforce Statistics Finance C+5 10 C+15 D

Records relating to the forecasting of growth and attrition rates of the TTC. Statistics taken from the actual versus budget figures supplied by departments. Statistics relating to the level, type and rate growth of employment within the TTC. Includes unemployment statistics, growth rate, composition of work force, etc.

Retention Legend: A = Active; I = Inactive; AR = Archival Review; C = Current Year; DY = Days; D = Destroy; M = Month(s); P = Permanent; S = Superseded; T = Termination – based on specific criteria Code Records Title Originating A I Total Disposition Comments/Legislation Office FM-013 Fares and Transit Finance C+2 5 C+7 D Legislation/Regulation: Income Tax Act (Canada), Records relating to the management and disbursement R.S.C. 1985, c. 1 (5th Supp.), of TTC and regional carriers’ fares and passes. Includes s. 230 - Records and books of records relating to fares, prepaid regional bus tickets, account to determine tax and any passes such as Metropass, student, seniors, payable, accounts and vouchers weekly, visitor, park and ride, etc. and passes issued to to verify information to be kept special groups using TTC transit. Includes charter six years from the end of last applications, reconciliations, working papers and tax year to which they relate. related documentation.

FM-014 Fare Media Destruction Certificates Operations C+2 5 C+7 D Legislation/Regulation: Income Tax Act (Canada), Records relating to the daily summary of collectors’ R.S.C. 1985, c. 1 (5th Supp.), returns of fare media for destruction. Includes fare s. 230 - Records and books of media destruction certificates for Metropass and GTA account to determine tax passes to validate and confirm destruction of this payable, accounts and vouchers media. to verify information to be kept six years from the end of last tax year to which they relate.

FM-015 Financial Management Reports Finance C+2 8 C+10 D Legislation/Regulation: Income Tax Act (Canada), Records relating to the operational levels of the TTC, R.S.C. 1985, c. 1 (5th Supp.), where the transaction processing systems capture s. 230 - Records and books of important financial events such as accounts payable, account to determine tax accounts receivables, purchasing, selling activities, payable, accounts and vouchers account activities. Includes monthly accounting detail, to verify information to be kept cost allocations, monthly financial analysis, new cost six years from the end of last centre /account documentation rationale for new cost tax year to which they relate. centres.

Records include: Overhead reports, HST rebate monthly reports, accounts payable details-consolidated, project reports (3rd extract), JBCS activity by account, project reports, All GL Extracts/Reports except the GL Database (see FM-19).

Also, Accruals, Fringes, Labour Transfers, etc. (For Capital Accounting only.)

FM-016 Annual/Periodic Financial Statements and Reports Finance C+2 P P P Legislation/Regulation: (TTC & Subsidiaries) City of Toronto Act, S.O. 2006, c.11, Sched. A (Last Records relating to the production and use of financial amendment 2011, c. 9, Sched. statements and reports, which are sources of financial 41, s. 2) information for a wide variety of public users (auditors, s. 138. (1) Treasurer responsible creditors, provincial and federal government agencies, for handling all of the financial etc.). These documents provide summaries, details, affairs of the City; and analyses of the financial position of the TTC and s. 138. (1) (d) - maintaining its subsidiaries. Documents may include leadsheets, accurate records and accounts schedules, working papers, provision binder, deferred of the financial affairs of the revenue analysis, auditors’ reports and financial City; statements and notes. s. 231 - Annual financial statements; s. 233 - Auditing of financial statements.

City of Toronto Municipal Code Chapter 71, Financial Control (City of Toronto By law No. 152-2000).

FM-017 Fundraising and Donations All C+2 5 C+7 AR Legislation/Regulation: Income Tax Act (Canada), Records relating to the development and organization R.S.C. 1985, c. 1 (5th Supp.) of fund-raising activities such as the United Way and (Last amended on March 1, donation solicitations. Includes information on 2013) charitable campaigns and financial donations, including s. 230. (4) (b) - Every person donated funds, received by the TTC from various required to keep records and organizations and individuals. Documents include books of account shall retain, copies of committee minutes and agendas, activity together with every account and planning schedules and itineraries, donation receipts, voucher necessary to verify the and correspondence. information contained therein, until the expiration of six years from the end of the last taxation year to which the records and books of account relate.

FM-018 General Ledger Accounts (TTC & Subsidiaries)) Finance C+2 P P P/AR Legislation/Regulation: Income Tax Regulations Records relating to the administration and accounting (Canada), C.R.C., c. 945 (Last control of general ledger accounts. A general ledger amended on February 14, 2013) account serves as a repository of transactions from all s. 5800 - General ledger or sources, including the General Journal, (by corporation) other book of final entry to be is used to produce financial statements. Records kept two years after dissolution include GL Database. of corporation.

FM-019 Journal Entries (TTC & Subsidiaries) Finance C+2 5 C+7 D Legislation/Regulation: Income Tax Act (Canada), Records relating to the production and use of journal R.S.C. 1985, c. 1 (5th Supp.) entries. These documents record the purchase or sale (Last amended on March 1, of goods and services (e.g. from TTC to outside 2013) agencies and also between TTC departments), transfer s. 230. (4) (b) - Every person revenue and charges, and correct posted transaction required to keep records and errors. Documents may include completed journal books of account shall retain, entry forms, transaction journals, cash books, copies of together with every account and invoices and receipts, and correspondence back-up voucher necessary to verify the working papers. information contained therein, until the expiration of six years from the end of the last taxation year to which the records and books of account relate.

FM-020 Payroll Benefits (Employee) Finance T 7 T+7 D Comments: T=File closed upon termination Records relating to the management of employee Human of employment or cessation of benefits plans which provide full or partial financial Resources benefits. coverage of various benefits to TTC employees and/or their relatives. Records include completed benefit Legislation/Regulation: enrolment forms. Benefits coverage may include health Canada Pension Plan, R.S.C. and dental plans, tuition coverage for courses, group 1985, c. C-8, (Last amended on life insurance, long term disability coverage, and April 1, 2013) accidental death and dismemberment plans, sick s. 24. (2) - Keeping of records benefits from the Sick Benefit Association. May and books of account - Every include information relating to insurance or benefits employer required by this carriers' policies and directives, deducting benefits section to keep records and coverage from the TTC payroll, and types of benefits books of account shall retain coverage. Documents may include copies of insurance those records and books of or benefits carriers' policies, managerial directives and account and every account and reports, benefits coverage notifications, benefits voucher necessary to verify the coverage statistical reports, and all supporting information contained therein correspondence. until the expiration of six years from the end of the year in Human Resources is responsible for determining respect of which those records eligibility for benefits, determining what benefits are and books of account are kept. provided to TTC employees, administering the Sick Benefit plan, etc.

FM-021 Pay Period Processing Finance C+2 5 C+7 D Legislation: Employment Insurance Act Records relating to the administration and processing (Canada), 1996, c. 23, s. 87 of employee salary and expense payments during Records, books of account to regularly-scheduled pay periods for union and non- determine premiums, accounts union employees. May include information relating to and voucher to verify payroll generation, overriding deductions, year-end information to be kept six years payroll reporting, and payroll variance reporting. from which records kept. Documents may include payroll registers, time sheets, job tickets, employee expense reports, time cards, Employment Standards Act, original and amended T4 statements, payroll S.O. 2000, c.41, s. 15(5) adjustment and variance reports, unclaimed wages and records to be kept three years all supporting correspondence. after the employee ceased to be employed. See Also: Attendance and Scheduling for OARS Departmental entries FM-005

FM-022 Pension Plan Investment and Administration Pension Fund T+2 5 T+7 D Comments: Society 7 years after File closed upon Records relating to the administration of the TTC’s termination of the last surviving pension plan as administered by the Pension Fund beneficiary of the pension Society. Includes accounting, actuarial, banking, policy payroll records, annual information returns, solvency funding financial statements, retirement compensation Legislation/Regulation: agreement/supplemental pension plan correspondence Income Tax Act (Canada), and contributions from employers, tax reconciliation, R.S.C. 1985, c. 1 (5th Supp.) survivorship/guarantee register, membership register (Last amended on March 1, 2013) FOR: Pension Fund Society Board Meeting Minutes s. 230. (4) (b) - Every person and related materials SEE: GV-004 required to keep records and books of account shall retain, together with every account and voucher necessary to verify the information contained therein, until the expiration of six years from the end of the last taxation year to which the records and books of account relate.

Limitations Act, S.O. 2002, c. 24, Sched. B (Last amendment: 2010, c.16, Sched. 4, s. 27) s. 4. - A proceeding shall not be commenced in respect of a claim after the second anniversary of the day on which the claim was discovered s. 5. (1) - Discovery

FM-022 Pension Plan Investment and Administration City of Toronto Act, 2006, (continued) Regulation (Financial Activities) O. Reg. 610/06 (Last amendment: O. Reg. 372/11) s. 49. (1) - Investment report, the council shall require the treasurer to prepare and provide to the council, each year or more frequently as specified by the council, an investment report.

Financial Services Commission of Ontario (FSCO) Policy A300-200

FM-023 Pension Plan/Fund Working Files Pension Fund C+2 5 C+7 D Legislation/Regulation: Society Income Tax Act (Canada), Plan records that relate to the day-to day operations of R.S.C. 1985, c. 1 (5th Supp.), s. the pension plan and pension fund. 230 – Records and books of account to determine tax Records relate to pension and actuarial working files payable, accounts and vouchers such as pension adjustments for annual calculation for to verify information to be kept T4 submissions and reporting to Revenue Canada, six years from the end of last annual analysis of employees pension data for tax year to which they relate entitlements.

FM-024 Pension Plan Beneficiaries and Entitlements Pension Fund T+1 6 T+7 D 7 years after file closed upon Society termination of the last surviving Records relating to plan beneficiaries including those beneficiary of the pension that are currently employed plan members, retired policy then destroyed. members, terminated members who have an entitlement under the plan, their current or former Financial Services Commission spouses ― and in the event of death, their of Ontario (FSCO) Policy beneficiaries, dependents and estates. May include A300-200 pension enrolment forms, records such as individual plan beneficiaries and payment of pension entitlement Pension Benefits Standards Act, such as pension statements, election/option statements, 1985 (c. 32 (2nd Supp.) waiver forms, correspondence related to inquiries or complaints, court documents related to spousal relationship breakdowns, payment/transfer information, forms for plan enrolment, beneficiary designation, proof of age, address changes, spousal declaration, and congratulation letters.

Registration documents include information on conditions for membership, benefits and rights, requirements for entitlement, methods of calculating contributions, benefits, interest and administration costs, and treatment of surplus.

Retention Legend: A = Active; I = Inactive; AR = Archival Review; C = Current Year; DY = Days; D = Destroy; M = Month(s); P = Permanent; S = Superseded; T = Termination – based on specific criteria Originating A I Total Disposition Comments/Legislation Code Records Title Office FM-025 Personal Expense Claims Finance C+2 5 C+7 D Legislation/Regulation: Income Tax Act (Canada), Records relating to TTC employees’ claims for R.S.C. 1985, c. 1 (5th Supp.) reimbursement for financial expenses. Personal (Last amended on March 1, expenses may be incurred in the course of normal 2013) business operations, including travel, attending s. 230. (4) (b) - Every person conferences, and vehicle use. Documents may include required to keep records and receipts, invoices, expense claims statements, and books of account shall retain, correspondence. together with every account and voucher necessary to verify the information contained therein, until the expiration of six years from the end of the last taxation year to which the records and books of account relate.

FM-026 Petty Cash Finance C+2 5 C+7 D Legislation/Regulation: Income Tax Act (Canada), Records relating to the management of petty cash R.S.C. 1985, c. 1 (5th Supp.) accounts, which consist of tangible cash stored in (Last amended on March 1, departments and offices. Petty cash funds are used for 2013) the purchase of inexpensive, out-of-pocket goods s. 230. (4) (b) - Every person and/or services, for which immediate reimbursement required to keep records and can be claimed. Documents include petty cash account books of account shall retain, reconciliations, requests for reimbursement, receipts, together with every account and and initial requests for access to petty cash funds. voucher necessary to verify the information contained therein, until the expiration of six years from the end of the last taxation year to which the records and books of account relate.

Retention Legend: A = Active; I = Inactive; AR = Archival Review; C = Current Year; DY = Days; D = Destroy; M = Month(s); P = Permanent; S = Superseded; T = Termination – based on specific criteria Originating A I Total Disposition Comments/Legislation Code Records Title Office FM-027 Property Tax Evaluation and Appeal Finance C+2 5 C+7 D Legislation/Regulation: Limitations Act, S.O. 2002, c. Records relating to evaluation, assessment, 24, Sched. B., s 4 - a proceeding appeal, modification and cancellation of shall not be commenced in municipal property taxes. Includes the respect of a claim after the assessment evaluation of individual commercial second anniversary of the day and residential properties by the City, the on which the claim was assessment appeal process under the discovered. Assessment Act, and the tax appeal process under the Municipal Act for cancellation, refund or reduction of tax. Documents include summaries of assessments, aerial photographs, inspection reports, rental income statements, appraisals, recalculation of property taxes, minutes of settlement

FM-028 Purchasing of Goods and Services Finance T 7 T+7 D Comments: T=File closed upon termination Records relating to the procurement and acquisition of Materials & or expiry of agreement. goods and services from external contractors and Procurement vendors. May include information on manufacturing Legislation/Regulation: requirements and delivery time frames. Documents Income Tax Act (Canada), may include purchase orders, purchase requisitions, R.S.C. 1985, c. 1 (5th Supp.) requests for proposals (RFPs), quotation requests, (Last amended on March 1, company evaluation forms, vendor proposals, and 2013) tender contracts. Records relate to both pre-award and s. 230. (4) (b) - Every person post award contracts. required to keep records and books of account shall retain, together with every account and voucher necessary to verify the information contained therein, until the expiration of six years from the end of the last taxation year to which the records and books of account relate.

FM-029 Reconciliation Daily Records All C+1 6 C+7 D Legislation/Regulation:

Records relating to reconciling the accounts to ensure Income Tax Act (Canada), complete and accurate records of the transactions R.S.C. 1985, c. 1 (5th Supp.), initiated for the accounts. Records relating to but not s. 230 - Records and books of limited to the daily operation of the Main Vault, Pass account to determine tax Vending Machines, Token Vending Machines, Coin payable accounts and vouchers Counting Machines and all other working funds (e.g. to verify information to be kept Ticket Agents, Suppliers and Collectors. These records six years from end of last tax are filed daily or by period and include cash year to which they relate. City summaries, balance of funds with cash reconciliation, of Toronto Act, 2006, s.138 receipts, transaction summaries and account balances. (Municipal Act, S. O. 2001, c. 25, s. 286) - receipts for money payable to the municipality.

FM-030 Subsidies/Grants/Funding Finance C+2 5 C+7 D Legislation/Regulation: Income Tax Act, (Canada), Records relating to subsidies, and grants received and R.S.C. 1985, c. 1 (5th Supp.), administered by the TTC. Includes information on s. 230 - Records and books of obtaining and distributing federal, provincial, and account to determine tax municipal subsidies and grants. Documents include payable, accounts and vouchers follow-up spending evaluation reports, grant to verify information to be kept applications, review and decision statements, six years from end of the last calculations, account statements correspondence, and tax year to which they relate. supporting documentation relating to the TTC’s Audit Act, R.S.O. 1990, entitlement to subsidies and grants. Includes funding c. A.35, s. 13 - Financial programs such as Infrastructure stimulus fund, Canada statement of disposition of grant strategic Infrastructure Fund, Transit Secure Funding, payment. Government/Transit Technology and Infrastructure program other federal/provincial/city funding programs.

Retention Legend: A = Active; I = Inactive; AR = Archival Review; C = Current Year; DY = Days; D = Destroy; M = Month(s); P = Permanent; S = Superseded; T = Termination – based on specific criteria FM-031 Taxation Finance C+2 5 C+7 D Legislation/Regulation: Records relating to federal and provincial taxes, and Excise Tax Act (Canada), other taxation matters such as tax provision reports R.S.C. 1985, c. E-15 (Last prepared prior to the preparation/issuing of the amended April 1, 2013) quarterly financial report. Includes Income Tax s. 286. (3) - Keep records until Payable Roll forward documentation, cost information, the expiration of six years after deferred revenue schedules, tax memos, etc. the end of the year to which Includes the Harmonized sales tax (HST), fuel and they relate. gasoline tax rebates for non-licensed equipment such as backhoes, lawnmowers, and power take-off units. Income Tax Act (Canada), Documents include monthly tax returns and supporting R.S.C. 1985, c. 1 (5th Supp.) documents, tax rebate claims, tax refund claims, annual (Last amended on March 1, income tax returns, T4ANR slips and summaries, 2013) reports, and correspondence. Also includes tax s. 230. (4) (b) - Every person provision reports. required to keep records and books of account shall retain, together with every account and voucher necessary to verify the information contained therein, until the expiration of six years from the end of the last taxation year to which the records and books of account relate.

Fuel Tax Act, R.S.O. 1990, c.F.35 (Last amendment 2013, c. 2, Sched. 7) s. 6. 1 (2) - shall retain the records and books of account, as well as any other documents necessary to verify the information in the records and books of account, for a period of seven years following the end of the fiscal period to which the records and books of account relate, unless written permission for their disposal is received from the Minister.

Retention Legend: A = Active; I = Inactive; AR = Archival Review; C = Current Year; DY = Days; D = Destroy; M = Month(s); P = Permanent; S = Superseded; T = Termination – based on specific criteria FM-031 Taxation (continued) Fuel Tax Act Regulations (General), R.R.O. 1990, Reg. 464 (Last amendment: O. Reg. 532/07) s. 9. (2) (e) - maintain records, invoices, books of account or other documents need not maintain records, invoices, books of account or other documents where (e) a period of seven years has expired since the end of the calendar year to which the records, invoices, books of account or other documents relate.

FM-032 Employee Payroll Files Commission T 7 T+7 D Comments: Services Records relating to individual employees' pay history T = Termination of profiles. Includes information on rates of pay, hours of employment, or termination of work, reported absences, garnishments, pay rate changes, retirement benefits, whichever and both elected and mandatory payroll deductions for is longer each employee. Documents include completed payroll notification forms concerning newly hired staff, Legislation/Regulation: completed benefit enrolment forms, completed federal Employer Health Tax Act, record of employment forms, tax credit return statements, R.S.O. 1990, c. E.11 (Last previous pay adjustment sheets, performance pay amendment 2012, c.8, Sched. transition sheets, copies of court orders, and all supporting 13) correspondence. s. 12. (4) - records, books of account shall, until permission for their disposal is given by the Minister, retain each such record and book of account and every primary source document required to support and verify the entries and information in records and books of account.

Retention Legend: A = Active; I = Inactive; AR = Archival Review; C = Current Year; DY = Days; D = Destroy; M = Month(s); P = Permanent; S = Superseded; T = Termination – based on specific criteria FM-032 Employee Payroll Files (continued) Employment Insurance Act (Canada), 1996, c. 23 (Last amended on June 9, 2013) s. 87. (3) - Records, books of account to determine premiums, accounts and voucher to verify information to be kept six years from which records kept. Employment Standards Act, S.O. 2000, c.41 (Last amendment 2011, c. 1, Sched. 7 s. 1) s. 15. (5) The employer shall retain the records of the information required for the following periods: 1. – three years after the employee ceased to be employed by the employer 2. - three years after the employee’s 18th birthday or three years after the employee ceased to be employed by the employer.

Retention Legend: A = Active; I = Inactive; AR = Archival Review; C = Current Year; DY = Days; D = Destroy; M = Month(s); P = Permanent; S = Superseded; T = Termination – based on specific criteria

GV Functional Category: Governance

Records relating to the ways in which the TTC is governed and regulated to ensure efficiency, effectiveness, and compliance with statutory requirements. Includes records of the TTC’s legislative process, bylaws, and agendas and minutes of the commission and its committees. Also includes information received from federal, provincial and other municipal governments.

Originating A I Total Disposition Comments/Legislation Code Records Title Office

GV-001 Access to Information and Personal Information Commission T 2 T+2 D Comments: Protection – Compliance Services T= File closed upon completion of case Records relating to strategies and initiatives undertaken to ensure TTC is in compliance with the public’s right Legislation/Regulation: of access to TTC records and the protection of personal Municipal Freedom of information resources. Documents may include impact Information and Protection of assessments, copies of policies and guidelines, data- Privacy Act, R.S.O. 1990, c. sharing checklists, and supporting correspondence. M.56 (Last amendment: 2007, c. 13, s. 45) Compliance with: s. FOR: Access to Information and Personal Information 4. - Right of access; Protection – Access Requests SEE: Administration – s. 5. - Obligation to disclose; AD-001 s. 6. (2) - Exemptions; s. 7. - Advice or recommendations; s. 8. - Law enforcement; s. 9. - Relations with governments; s. 10. - Third party information; s. 12. - Solicitor-client privilege; s. 13. - Danger to safety or health; s. 14. - Personal privacy limitation; s. 15. - information to be published.

GV-002 Audits Audit T 7 T+7 AR Comments: Department File closed upon termination of Records relating to developing, administering, the audit process. and conducting audits of TTCs business and financial processes. The goal of audits is to Legislation/Regulation: analyze operating processes to determine City of Toronto Act, S.O. 2006, compliance with objective and recognized c.11 (Last amendment: 2011, c. performance standards and measurements, and 9, Sched. 41, s. 2) to make recommendations for improvement. s. 179. (1) - The City, its local May include audit information on personnel, boards (restricted definition) and systems, environment, structure, and other the city-controlled corporations functions. Includes internal audits, external audits, and grant recipients referred to federal audits, and Auditor General audits. Documents in subsection 178 (3) shall give include audit reports, audit statements, and the Auditor General such correspondence. information regarding their powers, duties, activities, organization, financial transactions and methods of business as the Auditor General believes to be necessary to perform his or her duties under this Part; s. 179. (2) - The Auditor General is entitled to have free access to all books, accounts, financial records, electronic data processing records, reports, files and all other papers, things or property belonging to or used by the City, the local board (restricted definition), the city- controlled corporation or the grant recipient, as the case may be, that the Auditor General believes to be necessary to perform his or her duties under this Part;

GV-002 Audits (continued) s. 179 (3) - A disclosure to the Auditor General under subsection (1) or (2) does not constitute a waiver of solicitor- client privilege, litigation privilege or settlement privilege.

GV-003 Corporate Records - Commission Commission C+3 P P P Services The function of governing the organization and the exercise of authority and control to ensure good corporate governance. Records relating to the meetings, duties, and functions of the TTC. Includes resolutions, agendas, minutes of meetings, correspondence, memoranda, , and committee reports. .

NOTE: Certified True Copies are retained on-site for 10 years prior to transfer to Archives.

GV-004 Corporate Records - Subsidiary Companies Commission C+3 P P P Services The subsidiary companies of the TTC include Toronto Coach Terminal Incorporated, Toronto Transit Infrastructure Limited, TTC Insurance Company Limited. Records relate to agendas, meeting minutes, directorships, corporate registers , by-laws and history of the companies. Includes Affiliates such as: Pension Fund Society; Sick Benefit Association

NOTE: Certified True Copies are retained on-site for 10 years prior to transfer to Archives.

GV-005 Council and Committee Proceedings Commission C+3 0 C+3 D Services Records relating to the meetings, duties, and functions of the City Council, including its standing committee, sub committees, and taskforces; community councils and their committees" GV-006 Government Departments and Agencies All C+3 0 C+3 D

Records relating to federal, provincial, municipal government departments and agencies whose functions may impact on, or be involved with the TTC’s administration and operations. Subjects may include the exchange of information, routine notifications and inquiries, and offers of service. Documents may include government strategy and planning reports, government funding statements, government submissions and correspondence.

GV-007 TTC By-laws Commission P 0 P P . Services Records relating to the development, review, and City Council approval and adoption of TTC by-laws such as Legal By-law no. 1 and TTC Records Retention by-law.

GV-008 Risk Management Finance C+2 4 C+6 AR Legislation/Regulation: City of Toronto Act, S.O. 2006, Records relating to the initiatives undertaken to identify, Legal c.11 Sched. A (Last amendment: measure, and effectively manage TTC’s risks (exposures 2011, c. 9, Sched. 41, s. 2) s. to loss). Risk management is intended to minimize the 237. (2) - Information be costs of risks on the operating functions of the TTC. provided relating to the Documents may include copies of claims risk efficiency and effectiveness of management policies and procedures, reports, audits the City's operations. such ISO, APTA – American Professional Transportation Society and supporting correspondence.

Retention Legend: A = Active; I = Inactive; AR = Archival Review; C = Current Year; DY = Days; D = Destroy; M = Month(s); P = Permanent; S = Superseded; T = Termination – based on specific criteria

HR Functional Category: Human Resources

Records relating to TTC employees and personnel services. Includes records relating to recruiting, training, labour relations, health and safety, staff benefits, and salary administration.

Originating A I Total Disposition Comments/Legislation Code Records Title Office

HR-001 Applications and Resumes – Unsolicited Human 1 0 1 D Legislation/Regulation: Resources Municipal Freedom of Records relating to the receipt and processing of Information and Protection of unsolicited resumes and applications for employment Privacy Act, R.S.O. 1990, c. opportunities that are either not presently existent M.56 (Last amendment: 2007, and/or not advertised. Documents may include c. 13, s. 45) resumes, completed application forms, and related s. 30. - Dispose of personal correspondence. information under the control of the institution accordance with the regulations.

HR-002 Application File - Employee Special Constable Human T +1 6 T+7 D T=File closed upon termination Status Resources of employment

Records relating to the application process which Transit 7 years after file closed upon occurs every five years to Toronto Police to renew their Enforcement termination of employment then status as a special constable. Records may include destroyed. application for hire or renewal, personal history forms, police checks, police waiver forms, recommendation Employment Standards Act, letters, driver’s licence copy and related S.O. 2000, c. 41, s. 15. correspondence.

HR-003 Corporate Organization and Organization Charts Finance S+5 0 S+5 AR 5 years after superseded, then destroyed, subject to archival Records relating to the development and ongoing review maintenance of the TTC’s organizational framework and structure. Documents include departmental function statements, mission statements, organizational charts, reorganization plans, and related correspondence.

HR-004 Employee Activities/Programs All C+2 0 C+2 D

Records relating to employee activities and programs such as pensioners’ reception, long service and seasonal functions/ receptions.. Records may include invitations, menus, itineraries, programs plans, etc.

HR-005 Employee Alcohol and Drug Test Results and Human C 5 C+5 D U.S. Federal Regulations 49 Documentation Resources C.F.R. subpart D – Handling of Test Results, Records, Positive alcohol and drug test results (includes alcohol Retention, and Confidentiality results of .02 BAC or higher) and related investigation documentation and forms including alcohol test forms, No specific Canadian employer’s copy of the controlled substances test chain legislation of custody and control form and consent forms. All unannounced test results and schedules. Documentation of refusals to take required alcohol and/or drug tests. Annual summary reports of drug and alcohol test results.

Negative drug test results which includes dilute negative and cancelled certification, reasonable cause and post-incident alcohol and drug test results and related investigation documentation and forms including alcohol test forms, employer’s copy of the controlled substances test chain of custody and control form and consent forms.

HR-006 Employee History Data Human T +1 6 T+7 D T=File closed upon termination Resources of employment Records relating to TTC employees' work history. May also include information on retirements, layoffs, and 7 years after file closed upon resignations. Documents may include resumes, offer termination of employment then letters, successful job call results, previous employment destroyed subject to archival reference checks, criminal record checks, photocopies review. of degrees and diplomas, educational transcripts, letters of discipline, employee contact information sheets, Employment Standards Act, performance appraisals, accident/incident reports, S.O. 2000, c. 41, s. 15. copies of employment letters, return to work notifications, absence history reports, promotions, commendations, complaints, training records and personal contact information sheets.

FOR: Employee Check-in and Off Duty sheets SEE:WO-001

Retention Legend: A = Active; I = Inactive; AR = Archival Review; C = Current Year; DY = Days; D = Destroy; M = Month(s); P = Permanent; S = Superseded; T = Termination – based on specific criteria Code Records Title Originating A I Total Disposition Comments/Legislation Office HR-007 Employee Intelligence Files C+7 0 C+7 D Human TTC employees who could be potentially involved in Resources criminal activity. Records relating to CPIC (Canadian Police Information Reports, general occurrence and Transit arrest reports and Toronto Police memo book entry. Enforcement

Retention Legend: A = Active; I = Inactive; AR = Archival Review; C = Current Year; DY = Days; D = Destroy; M = Month(s); P = Permanent; S = Superseded; T = Termination – based on specific criteria HR-008 Employee Medical Data Human T 20/40 T+20/ D Comments: Resources T+40 T=File closed upon termination Records relating to the medical status, conditions, and of employment. Prior to recovery of individual TTC employees. This includes inactive storage files are situations concerning the sustainment of physical separated according to: the injuries and the development of medical conditions period of 40 Years from the causing disability or impairment, both work and non- time records were first made or work related. May include information relating to the period of 20 Years from the clarification of medical conditions, mental health time the last of the records were status, determination of whether and/or when an made. employee should return to work, and confirmation of job duties the employee is and is not capable of Legislation/Regulation: performing. Documents may include doctors' notes and Occupational Health and Safety referrals, copies of resumes and training certificates, Act, R.S.O. 1990, c. O.1 (Last medical progress notes, and all supporting amendment: 2011, c. 11, ss. 1 correspondence. 18) s. 26. (1) (d) - accurately keep and maintain and make available to the worker affected such records of the exposure of a worker to biological, chemical or physical agents ; s. 26. (1) (h) - establish a medical surveillance program for the benefit of workers.

Occupational Health and Safety Act, O. Reg. 490/09 (Designated Substances) (Last amendment: O. Reg. 149/12) s. 30. (1) 1. - The 40th anniversary of the date the first record was created in the personal exposure; 2. The 20th anniversary of the date the last record was added to the personal exposure record. s. 31. (1) 1. - The 40th anniversary of the date the first record was made; 2. The 20th anniversary of the date last

Additional Legislation: Personal Health Information Protection Act Regulated Health Professionals Act Workplace Safety and Insurance Act Ontario Human Rights Code Canadian Standards Act for the Selection, Use and Care of Respirators College of Nurses, Occupational Therapists, and Physicians and Surgeons.

HR-009 Employee Awards Strategy & C +3 0 C+3 D Customer Records relating to employee recognition awards and Experience other rewards such as award of excellence, safety awards, staff recognition award, zero absence award

HR-010 Employee Suggestion Plan Human C +3 0 C+3 D Resources Records relating to suggestions by employees for improvements to the operations of the TTC such as methodologies for productivity improvement, and improving customer service.

Ergonomics SEE: Function- Environmental, Safety and Sustainable Resources – EV-006

HR-011 Grievances and Arbitrations Human T 21 T+21 D Comments: Resources T = File closed upon resolution Records relating to complaints received from TTC or settlement of case. unionized employees concerning workplace and Occupational Health and Safety personal treatment, benefits, discipline, promotions, Act, R.S.O 1990, c.O. 1s. 49(2) and any other issues as defined in the collective Last Amendment: 2009, c.33, agreement. Includes information on addressing and Sched. 20, s.3. a complaint must resolving the grievances, such as mediation and formal be file not later than 30 days adjudication hearings involving arbitrators. Documents after the event to which the may include completed grievance forms, copies of complaint relates. meeting minutes, adjudication hearing schedules, Limitations Act, S.O. 2002, arbitration notices, minutes of settlements, c. 24, Sched. B., ss15(2). No memorandum of settlement and all supporting proceeding shall be commenced correspondence. in respect of any claim after the 15th anniversary of the day on which the act or omission on which the claim is based took place.

Retention Legend: A = Active; I = Inactive; AR = Archival Review; C = Current Year; DY = Days; D = Destroy; M = Month(s); P = Permanent; S = Superseded; T = Termination – based on specific criteria Originating A I Total Disposition Comments/Legislation Code Records Title Office HR-012 Human Rights Complaints and Investigations Human Rights T 10 T+10 AR Comments: T = File closed upon resolution Records relating to receiving, investigating, and of investigation resolving complaints from City staff persons, residents and recipients of municipal services concerning discrimination and/or harassment based on human rights protected grounds, as listed in the City of Toronto's Human Rights and Anti-Harassment Policy. May include information on both informal and formal complaints, as well as advice and consultation on human rights-related subject matters such as policy development, communication tools and training. Documents may include statements of complaint and completed complaint forms, investigation reports and recommendations, witness interview notes, copies of policies, research, and all supporting documentation and correspondence regarding the exploration and resolution of complaints and consultations.

HR-013 Job Bid Documents Operations C+2 0 C+2 D

Record of employee bids. Sign-up for available posted Service work/bump information which may be used for audit Delivery and potential grievances.

HR-014 Job Classifications Human S 10 S+10 D 10 years after superseded, then Resources destroyed Records relating to the classification of employment positions within the TTCs organizational hierarchy. Job classification assigns jobs into grades based on a number of categories, including required education, work experience, and supervisory skills. Documents include employee skills inventories, copies of job descriptions, job classification history files, and job classification action requests and appeals.

Retention Legend: A = Active; I = Inactive; AR = Archival Review; C = Current Year; DY = Days; D = Destroy; M = Month(s); P = Permanent; S = Superseded; T = Termination – based on specific criteria Code Records Title Originating A I Total Disposition Comments/Legislation Office HR-015 Labour Negotiations Human T 21 T+21 AR Comments: Resources Permanent Retention – often Records relating to conducting labour negotiations, required to investigate the which involve discussions and meetings between The history of an issue in order to TTC and employee groups, such as unions, to achieve defend position taken. resolution on a wide range of issues pertaining to unionized employees. These issues may include staff Legislation/Regulations: reductions and layoffs, staff recalls, promotions and Labour Relations Act, 1995, c. wage increases, working conditions, disciplinary 1, Sched. A (Last amendment: actions, seniority rights, and restructuring. May 2009, c. 33, Sched. 20, s. 2) s. include information on collective bargaining, dispute 90. - Collective agreements to mediation, and conflict resolution. Documents may be filed. include proposals and final collective agreements; employment contracts; union contracts; and any other Labour Relations Act,1995, negotiated agreements between the TTC and the Regulation (General), O. Reg. respective unions or workers' representatives. 94/7 (Last amendment: O. Reg. 259/07) s. 1. (2) - A record of all awards filed shall be maintained

Retention Legend: A = Active; I = Inactive; AR = Archival Review; C = Current Year; DY = Days; D = Destroy; M = Month(s); P = Permanent; S = Superseded; T = Termination – based on specific criteria Code Records Title Originating A I Total Disposition Comments/Legislation Office HR-016 Occupational Health and Safety Safety C+9 7 C+16 AR Legislation/Regulation: Occupational Health and Safety Records relating to the TTC’s responsibility to Human Act, R.S.O. 1990, c. O.1 (Last provide its employees with a safe and healthy Resources amendment: 2011, c. 11, ss. 1 workplace through assessment of occupational 18), s. 9. (2) - joint health and hygiene, ergonomics, and safety issues. Records may safety committee; s. 9. (12) also include correspondence regarding concerns, certification requirement; s. 9. employee surveys, research materials, data (20) - response to collection, analytical results, and reports, Health and recommendations within 21 Safety committees’ records, workplace inspection days; s. 9. (22) - maintain and reports, provincial workplace safety boards’ records, keep minutes; s. 9. (28) safety audit reports, safety statistic reports, first aid , scheduled inspections; s. 9. (30) program records, WHIMIS records, material safety data - inspection reports; s. 26. (1) sheets (MSDS). (c) - keep and maintain records of handling, storage, use and disposal of agents; s. 26. (1) (d) - accurately keep and maintain and make available to the worker affected such records of the exposure of a worker to biological, chemical or physical agents; s. 26.(1)(f) - post records of monitoring levels in workplace.

Workplace Safety & Insurance Act 1997, Regulation, (First Aid Requirements) R.R.O. 1990, Reg. 1101 s. 5. - Every employer shall keep a record of all circumstances respecting an accident as described by the injured worker, the date and time of its occurrence, the names of witnesses, the nature and exact location of the injuries to the worker and the date, time and nature of each first aid treatment given.

Retention Legend: A = Active; I = Inactive; AR = Archival Review; C = Current Year; DY = Days; D = Destroy; M = Month(s); P = Permanent; S = Superseded; T = Termination – based on specific criteria Code Records Title Originating A I Total Disposition Comments/Legislation Office HR-017 Pay Equity Human S 7 S+7 AR Legislation/Regulation: Resources Pay Equity Act, R.S.O. 1990, c. Records relating to the evaluation of job positions by P.7 (Last amendment: 2009, c. comparing duties, skills, and responsibilities of similar 33, Sched. 18, s. 24) positions. The objective is to ensure equal pay for work s. 13. - Pay equity plans be of equal value. Documents may include copies of prepared to provide equity in policies, classification ratings, job evaluation each establishment and for job information, position description questionnaires, action classes to which the plan plans, and information about designated worker groups. applies.

Retention Legend: A = Active; I = Inactive; AR = Archival Review; C = Current Year; DY = Days; D = Destroy; M = Month(s); P = Permanent; S = Superseded; T = Termination – based on specific criteria Code Records Title Originating A I Total Disposition Comments/Legislation Office HR-018 Staff Competition and Recruitment Human T 6 T+6 D T= file closed upon closing of Resources competition Records relating to the recruitment of staff for existing or future jobs and appointments within the TTC. This Toronto Municipal Code, c. includes permanent, seasonal, and contract job 169, s. 5. postings. May include information on applicant 6 years after file closed upon screening and testing, conducting interviews, and closing of competition then acceptance and rejection of candidates. Documents destroyed. may include completed request for employment forms, job postings, solicited resumes and employment Municipal Freedom of applications, job skills test sheets, interview questions Information and Protection of and sheets, scoring matrices, competition lists, Privacy Act, R.S.O. 1990, reference checks, background for awarding positions c. M.56, s. 30(4) (last such as health service notices and all supporting amendment: 2007, c. 13), s. 45 correspondence. Dispose of personal information under the control of the institution accordance with the regulations.

HR-019 Training and Development All C+2 5 C+7 D

Records relating to the design, delivery, and follow-up activities associated with training and skills development opportunities provided to TTC employees. This includes seminars, workshops, and conferences including orientation training of new employees. May include information relating to review and quality control of training course materials, training fees, and statistical data such as course attendance figures. Documents may include training materials such as workbooks and answers to exercises, lists of attendees, training course statistical reports, training course calendars, and all supporting correspondence.

HR-020 Training/ Certification – Record of Training T 21 T+21 D Comments: File closed upon termination of Records relating to the registration of employee Human employment training, certification and qualifications for equipment Resources operation, hazardous material handling and emergency Legislation/Regulation: procedures, technical and machine training. Documents Occupational Health and Safety may include: pre-requisite certification; registration Act, R.S.O. 1990, c. O.1, s 25. application forms; copies of certificates; test and result Maintain record of participant information; driver abstracts, commercial vehicle (employee) training on operator records (CVOR), registration billing technical and hard skills. information; employee sign off sheets indicating that Occupational Health and Safety employees have received training; instruction sheets; Act, R.S.O. 1990, c. O.1, s 54 copies of hazardous material data sheets; informational (materials concerning content, materials, reports; and all other related documentation frequency and manner of and correspondence. instruction of any training program). Current (for employment duration of employee) + 1 active + 4 inactive.

Transportation of Dangerous Goods Regulation (Canada) SOR/2012-245 (Amendment 11) Part 6 – Training s. 6.1 to s. 6.8 Training Certificate Requirements and Proof of Training Employer's and Person's Responsibility

HR-021 Training Program - Safety and Technical Training S 21 S+21 D Legislation/Regulation: Occupational Health and Safety Records relating to the administration and development Human Act, R.S.O. 1990, c. O.1 (Last of technical training programs and skills development Resources amendment: 2011, c. 11, ss. 1 opportunity offered to employees. Includes 18) information on training programs such as: equipment s. 7. 5 (1) - collect information operation, handling of hazardous material, about a worker’s successful transportation of dangerous goods, training programs completion of an approved on safety, security and accident prevention on the work training program for the site. Documents may include source files, owner sign purpose of maintaining a record off sheets, instruction sheets; authorized instructors of workers who have competency certificate or declaration; detailed session successfully completed plan and program change logs, teaching aid package; approved training programs; test questions and answers; required fees; material price s. 54. (p) - materials concerning list and contact names; employee sign off sheets content, frequency and manner template, used to indicating that employees have of instruction of any training received training; copies of hazardous material data program. sheets; informational materials, reports; and all supporting correspondence. Transportation of Dangerous Goods Regulation (Canada) See Also: Training/Certification- Record of (HR-021) SOR/2012-245 (Amendment 11) Part 6 – Training s. 6.1 to s 6.8 Training Certificate Requirements and Proof of Training Employer's and Person's Responsibility

HR-022 Workers’ Compensation & Disability Management Human T 7 T+7 D Comments: Resources T = 7 years after file closed Records relating to tracking and monitoring of all upon termination of individual TTC employees' claims for financial and/or employment medical compensation as a result of personal injuries, illness, or other medical conditions preventing Legislation: employees from fulfilling regular job duties. This Workplace Safety and includes workers' compensation and long term Insurance Act, 1997, Regulation disability claims. Documents may include injury report (First Aid Requirements) forms, copies of long term disability and workers' R.R.O. 1990, Reg. 1101 compensation claims that have been submitted, s. 5. - Every employer shall disability recurrence continuity reports, completed keep a record of all summary claims information cards, and all supporting circumstances respecting an correspondence. accident as described by the injured worker, the date and time of its occurrence, the names of witnesses, the nature and exact location of the injuries to the worker and the date, time and nature of each first aid treatment given.

Retention Legend: A = Active; I = Inactive; AR = Archival Review; C = Current Year; DY = Days; D = Destroy; M = Month(s); P = Permanent; S = Superseded; T = Termination – based on specific criteria

IM Functional Category: Information Management & Technology

Records relating to the TTC’s information technology environment including systems, supports, hardware, software, applications and telecommunications systems, CADD technology, industrial computing, in addition to internet/intranet and website development and maintenance. Also information and records management services such as records and archival management

Information Technology Originating A I Total Disposition Comments/Legislation Code Records Title Office

IM-001 Backup Data Information C+1 0 C+1 D Daily, weekly and monthly are Technology transitory. Records relating to data stored by Information Services Technology Services as annual network backups, NOTE: The idea that system annual and monthly GroupWise backups, and unique or backups suffice as an electronic one-time backups, e.g. when a server is de recordkeeping system is a commissioned. This series includes the backed up data persistent misconception. as well as the associated backup metadata. Backup data There is a difference between is created primarily for long-term system recovery backing up for disaster recovery requirements, such as loss or damage to computer and preserving electronic hardware. In certain circumstances backup/recovery records for future retrieval data is used to recover individual data files or Preserving involves the proper forensically for investigations. Unique or one-time application of records retention backups may be created by ITS for various reasons, schedules and the preservation, e.g., to mitigate against the risk of unsuccessful data in viable and usable formats, of migration or unanticipated failure of a new production records with permanent or long- system. Backup data and media are organized or term value. classified by the backup application.

NOTE: Daily, weekly and monthly

IM-002 Computer Hardware and Software Information S 7 S+7 D Technology Records relating to computer software and hardware, Services which are computing programs that can be used in conjunction with various computer and operating systems. May include information on tracking of software upgrades, sign-in authorization codes, and software development. Documents may include upgrade notifications, requests for additional site/user licenses on network applications, requests for hardware installations, hardware inventories, software inventories and software installation. May include recommendations or reports regarding specific software products, user lists, copies of purchase orders, copies of license agreements, and software user manuals.

IM-003 Computer Systems Networks Information S 7 S+7 D Technology Records relating to the TTC’s interconnected Services computing systems and components, which are cables and other devices that connect workstation computers with one another for the purposes of data transmission and sharing. Includes the establishment and ongoing management of local area networks (LAN). Documents may include network functional review statements and reports, user complaints, network needs specifications, and correspondence.

Retention Legend: A = Active; I = Inactive; AR = Archival Review; C = Current Year; DY = Days; D = Destroy; M = Month(s); P = Permanent; S = Superseded; T = Termination – based on specific criteria Code Records Title Originating A I Total Disposition Comments/Legislation Office IM-004 Computer System Access and Security Information S 7 S+7 D Records relating to the security and confidentiality of Technology the TTC’s online information resources. Includes Services information about computer security practices and tools. Documents may include access requests, computer monitoring reports, and user authorization lists, accounts schema, privileges and computer security, threat assessments and justification for reasons (including request forms) for alternative security practices or configurations.

IM-005 Computer Solutions Documentation Information S 7 S+7 D Technology Records relating to the use of internally produced Services supporting documentation concerning the development and maintenance of computer solutions used by the TTC. This applies to both internally developed and externally purchased software computer solutions. May include information on the planning, implementation, testing, documentation, deployment and maintenance of the IT solution. Documents may include feasibility studies, requirements or analysis, use cases, architecture, information security, design, development, testing, implementation, manuals, operating procedures, TTC specific installation and configuration instructions, user guides and reports, post implementation and closeout and all supporting correspondences.

Records from vendors and external Information Life of 0 Life of D organizations such as standards, procedures Technology System System and operating instructions on the operation Services and maintenance of computer hardware and software. Includes user guides, maintenance support materials, desktop service related manuals and instructions, backup instructions and related documentation for the maintenance of the mainframe.

Retention Legend: A = Active; I = Inactive; AR = Archival Review; C = Current Year; DY = Days; D = Destroy; M = Month(s); P = Permanent; S = Superseded; T = Termination – based on specific criteria

Code Records Title Originating A I Total Disposition Comments/Legislation Office IM-007 Information Technology Project Management Information T+5 0 T+5 D T= completion or Governance Technology termination of project Services Records relating to the project management and governance of IT Projects. May include information on the leadership, organizational structures, process, decision rights and accountability framework of the IT Project. Documents may include Request Planning, Integration Management, Scope Management, Time Management, Cost Management, Financial Reporting, Quality Management, Resource Management, Facilities Management, Communication Management, Risk and Issue Management, Safety Management, Contract Management, Procurement Management, Training Management and all supporting correspondences. May include copies of financial reporting, procurement documentation, contracts and resource related documentation.

Retention Legend: A = Active; I = Inactive; AR = Archival Review; C = Current Year; DY = Days; D = Destroy; M = Month(s); P = Permanent; S = Superseded; T = Termination – based on specific criteria

Originating A I Total Disposition Comments/Legislation Code Records Title Office

IM-008 Information Technology Services Requests Information C+1 1 C+2 D Technology Records relating to tracking computer end-user Services problems and requests and the action taken to resolve the problems or requests. Help Desk and service requests such requests for technical assistance on software use, requests for additional hardware or software, service call information on hardware and/or software.

IM-009 Internet and Intranet Development Information S 7 S+7 AR Technology Records relating to the development and maintenance Services of the TTC’s internet and intranet online web sites and services. Internet resources are made available to the public at large and can be hosted both locally and on external servers, whereas Intranet resources are hosted only locally on a TTC server solely for internal employee access. Includes information on website development, technical design information, and user requirements. Documents may include Internet and Intranet review statements and reports, user complaints, website information content specifications, and correspondence. Previous versions of the website are evaluated for archival value.

Retention Legend: A = Active; I = Inactive; AR = Archival Review; C = Current Year; DY = Days; D = Destroy; M = Month(s); P = Permanent; S = Superseded; T = Termination – based on specific criteria Code Records Title Originating A I Total Disposition Comments/Legislation Office IM-010 Telecommunications and Electronic S 7 S+7 D Communication Systems Information Technology Records relating to the installation, maintenance, Services operation, and use of telecommunications equipment and systems. Includes information on telephone, cable, fibre optics, electronic mail, voice mail, fax, pager, cell phone, and emergency systems and processes. Documents include requests for installation or maintenance, change requests, copies of service contracts and maintenance agreements, copies of purchase orders, and service call requests to service providers.

RECORDS, ARCHIVES & INFORMATION MANAGEMENT Originating A I Total Disposition Comments/Legislation Code Records Title Office

IM-011 Archives Commission C+2 4 C+6 AR Services Records relating to the administration and operation of the TTC archives. The archives serves as the repository for records with scholastic and historical value which are retained in perpetuity. May include information on special archival projects. Documents may include copies of transfer authorizations for archival custody, archives usage reports and statistics, and correspondence.

Retention Legend: A = Active; I = Inactive; AR = Archival Review; C = Current Year; DY = Days; D = Destroy; M = Month(s); P = Permanent; S = Superseded; T = Termination – based on specific criteria

IM-012 Archival Accession Control Commission C+2 P P P Legislation/Regulation: Services Ontario Heritage Act, R.S.O. Records relating to the transfer of legal and physical 1990, c. O.18, s 23 - shall keep custody of records to the archives. Accession control a Register. involves documenting the titles, dates of receipt, donor information, size, general description, and location for each collection of similar types of records now in archival custody. Documents include accession control sheets, which list all records received by the archives on an annual basis.

IM-013 Records Retention and Disposition Commission C+2 P P AR Legislation: Services Records relating to the development and City of Toronto Act 2006 implementation of the records retention and disposition scheduling initiatives. Includes information relating to all issues that may affect the development and approval of the TTC’s records retention schedules, which officially govern for how long information is kept and whether it is destroyed. Documents may include records retention schedules, copies of current and former by-laws, and municipal legislation, records inventories, and all supporting correspondence.

IM-014 Records Destruction Certificates Commission C+2 48 50 D Legislation: Services Records relating to records destruction certificates, City of Toronto Act, 2006 which authorize the destruction of TTC records in accordance with formally-approved records retention schedules. Includes destruction of paper, microform, and electronic records. Documents include records destruction certificates, applications for records destruction, destruction notices, and records destruction statistics and reports.

IM-015 Records Centre Operations Commission C+2 P P AR Services Records relating to the operations and management of the TTC’s records storage facilities. These facilities provide cost and space-effective storage for inactive records, which are seldom referred to but cannot yet be destroyed. May include information relating to inactive records retrieval and storage locations. Documents may include completed records transfer lists, box contents listings, disposition notifications, copies of records destruction certificates, and all supporting correspondence.

IM-016 Records Disaster Contingency Planning and Information S 7 S+7 AR Recovery Technology Services Records relating to the development and implementation of a comprehensive records disaster Commission contingency plan, which documents the backup and Services recovery procedures for all TTC records in the event of a records disaster. Also includes information relating to the actions taken in the event of actual records disasters. Documents may include photographs of damaged records, status reports, the records disaster contingency plan, phone lists of key persons to contact in the event of records disasters, lists of vital records, and all supporting correspondence.

Retention Legend: A = Active; I = Inactive; AR = Archival Review; C = Current Year; DY = Days; D = Destroy; M = Month(s); P = Permanent; S = Superseded; T = Termination – based on specific criteria

LL Functional Category: Legal and Licensing

Records relating to legal matters involving the TTC. Includes permits, leases, deed agreement, contracts, licenses, insurance policies. Also includes records relating to lawsuits and legal issues, such as copyright protection.

Originating A I Total Disposition Comments/Legislation Code Records Title Office

LL-001 Accident/Occurrence and Incident Reports Service C +1 6 C+7 D Delivery, Records relating to the TTC’s reporting of accidents or Operations incidents that have occurred on TTC properties and that may involve members of the public, staff, and buildings and structures. Accident reporting concerns events such as vandalism, arson, vehicle accidents, and personal injuries that have occurred. Incident reporting concerns events that had the potential to be accidents, but were not accidents, and are used for tracking hazardous trends. May also include detailed investigative reports for individual accidents or incidents, which document synopses of events, probable causes, and recommendations for improvement. Documents may include completed accident and incident report forms, detailed investigative full and summary reports, 24 hour reports, on-call summaries and all supporting correspondence.

SEE ALSO: Fire Prevention Inspection Reports & Fire Emergency Incident reports: FUNCTION: Environment, Safety & Sustainable Resources - EV 007, EV-008

NOTE: Any and all reports involving TTC employees should be filed within the Employee History Data folder –HR-007.

Retention Legend: A = Active; I = Inactive; AR = Archival Review; C = Current Year; DY = Days; D = Destroy; M = Month(s); P = Permanent; S = Superseded; T = Termination – based on specific criteria Originating A I Total Disposition Comments/Legislation Code Records Title Office LL-002 Legal & Claims Legal T 15 T+15 D T= expiry of a limitation period, resolution by Records relating to the administration of, and settlement, dismissal or consultation for, legal and claims matters, insurance judgement. claims, contractual claims or extensions and litigation affecting or initiated by employees or other parties. Limitations Act, S.O 2002, This may include information on legal opinions and c.24, s.4 decisions, litigation fees, legal challenges and issues, by-law enforcement court cases, personal injury, and judicial decisions. Documents may include accident benefit files, damage and injury reports, medical reports, subpoenas, copies of contracts and legislation, copies of property plans, legal exhibits such as photographs, legal research documentation, and T 21 T+21 D T= matter involving infant supporting correspondence. with no Litigation Guardian.

Retention Legend: A = Active; I = Inactive; AR = Archival Review; C = Current Year; DY = Days; D = Destroy; M = Month(s); P = Permanent; S = Superseded; T = Termination – based on specific criteria

Originating A I Total Disposition Comments/Legislation Code Records Title Office

LL-003 Complaint Investigations Involving Transit Transit C+1 6 C+7 D Enforcement Personnel Enforcement

Records relating to the investigation of complaints Human related to the performance of Transit Enforcement Resources Officers and TTC Special Constables. Records may include letters of complaint, statements, investigation reports, summary reports, evidence, photos, video recordings and all supporting correspondence.

LL-004 Contracts & Agreements Legal T +1 6 T+7 AR T = expiry of contract (before Records relating to the negotiation, formation, and Dec. 31, use of all official contracts and agreements, which 2003) Limitations Act S.O. 2002, are typically used to establish a legal relationship c.24 s.4 governing goods and services, the use or transfer of property, and the performance of obligations. Contracts or agreements Contracts and agreements may be between the TTC T+1 2 T+3 entered into or completed up and external organizations or individuals. Documents to December 31, 2003 = T+7 may include both draft and approved contracts and years agreements, memoranda of understanding, and supporting correspondence. Record series includes Contracts or agreements software license agreements. entered into after December 31, 2003 T+3 years

LL-005 Copyright Legal T P P P/AR Comments: File closed upon copyright Records relating to copyright privileges issued to the authorization received. TTC. Copyright is an exclusive legal right granted to publish, produce, sell, and distribute intellectual Legislation/Regulation: properties. May include information on copyright Copyright Act (Canada), R.S.C. infringements and permission to use copyright 1985, c. C-42 (Last amended materials. Documents include applications for on: November 7, 2012) copyrights, copyright approval statements, and s. 56. - Application for supporting correspondence. registration of copyright.

Retention Legend: A = Active; I = Inactive; AR = Archival Review; C = Current Year; DY = Days; D = Destroy; M = Month(s); P = Permanent; S = Superseded; T = Termination – based on specific criteria Code Records Title Originating A I Total Disposition Comments/Legislation Office LL-006 Easements Legal T 7 T+7 D Comments: File closed upon expiration of Records relating to the need for and issuance of right. easements, which are rights to use the TTC’s or Legislation/Regulation: privately-owned land for a specific purpose, such as Electricity Act, 1998, S.O. c. constructing a right-of-way. erecting structures. 15, Sched. A Documents may include requests for easements, (Last amendment: 2013, c.2, official easement permits, copies of easement Sched. 4, s. 46) agreements, and supporting correspondence. s. 46. (1) - If, immediately before the repeal of section 48 of the Power Corporation Act under the Energy Competition Act, 1998, land was subject to a right referred to in subsection 48 (2) or (3) of the Power Corporation Act, the land continues to be subject to the right until the right expires or until it is released by the holder of the right. City of Toronto Municipal Code, Chapter 363, Article V, Right of Entry (City of Toronto By-law 1154-2008).

LL-007 Employee Investigation Files Legal T +1 6 T+7 D T= case settled or closed

Records relating to TTC employees who are under Human investigation or have been charged with an offence. Resources Typically used in a legal proceeding.

LL-008 External Legal Correspondence Legal T 4 T + 4 D Comments: File closed upon resolution or Records relating to routine inquiries received by The notice of decision. TTC from external lawyers and other external legal professionals. These inquiries are made to obtain Also pertains to requests for information from TTC, including documents such as information on employees. outstanding work orders and zoning information Code HR-007 – Retention T + 7 compliance letters that may influence external legal And Code HR-013 – Retention cases and matters. Documents may include letters of Permanent inquiry and notifications, inquests from coroners, offers of assistance, responses to inquiries, and supporting correspondence.

LL-009 Filming Permits Legal T 13 T+13 D Comments: T = File closed upon Records relating to TTC’s issuance of film permits, completion of film production which are granted to companies and/or individuals involved in movie, television, video, and all other types Legislation/Regulation: of film production. These permits provide legal City of Toronto Municipal permission for the production company or individual to Code Chapter 459, Filming conduct filming at TTC locations. May include information relating to permit holder, filming location, location of production vehicles, and special film production instructions. Documents may include film permits, location filming vehicle permits, filming policy documents and supporting correspondence.

SEE ALSO: Film Production - Communications, Promotion & External Relations (CO-003)

FOR: Insurance Policies and Certificates SEE: Contracts and agreements (LL-004)

LL-010 Leases Legal T 20 T + 20 D Comments: File closed upon termination of Records relating to obtaining and issuing leases, which lease. convey the right to use, possess, or control property belonging to another party in exchange for financial Legislation/Regulation: compensation. Leases allow TTC to use properties, Limitations Act, S.O. 2002, facilities, and vehicles belonging to external c. 24, Sched. B., ss 15(2) - No organizations on a temporary or ongoing basis. Also proceeding shall be commenced includes information on the leasing out TTC properties in respect of any claim after the and buildings to other parties. Documents may include 15th anniversary of the day on copies of financial arrangements, draft and approved which the act or omission on lease agreements, applications for property transfer, which the claim is based took memoranda of understanding, and supporting place. correspondence.

FOR: Contracts & agreements SEE: (LL-004)

Retention Legend: A = Active; I = Inactive; AR = Archival Review; C = Current Year; DY = Days; D = Destroy; M = Month(s); P = Permanent; S = Superseded; T = Termination – based on specific criteria LL-011 Permits - Building Permits & Inspections Operations T+1 T+14 T+15 D Comments: T =15 years after the later of Records relating to building permits and building Safety January 1, 2004 or file closed inspections. These permits and inspections relate to all upon completion of final disciplines including but not limited to Engineering, inspection then destroyed. Heating/Ventilation/Air Conditioning, Plumbing, Construction Architectural, including foundation, shoring, drain, site & Expansion Legislation/Regulations: servicing. Also includes Conditional and Part Permits, City of Toronto Municipal demolitions, sign permit, bridge construction, tree cut, Code Chapter 363, Building revoked permits and Occupancy permits. Inspection Construction and Demolition, records include Inspection Status letters on building Article I – Building Permits; folders; Inspection clearance letters for occupancy; § 363-10. Notification of Inspection Investigation Cards: fire damage inspection inspections requests; outstanding inspections or deficiencies; Limitations Act, S.O. 2002, orders; Inspection monitoring of Development c.24, Sched. B (Last Agreement/Undertakings. Documents may include amendment: 2010, c. 16, Sched. permit applications, certified building plans, plan 4, s. 27) examiners & inspectors notes, inspection reports, s. 15. (2) - No proceeding shall orders to comply, and building permits. be commenced in respect of any claim after the 15th anniversary For: Utility Permits see: FUNCTION: of the day on which the act or WORKS/OPERATIONS: Utility Applications and omission on which the claim is Plans –WO-010 based took place.

For: Film permits SEE: (LL-009) Building Code Act, S.O. 1992, c. 23 (Last amendment: 2010, c. 19, Sched. 2) s. 3. (9) - Every municipality and every upper-tier municipality that has jurisdiction for the enforcement of this Act shall retain such records as may be prescribed by regulation for the prescribed period of time.

LL-012 Provincial Offences Ticket Books (POT books) Transit C+1 2 C+3 D Enforcement Records include copies of by-law tickets for offences occurring on TTC properties such as smoking, loitering, vandalism, refusal to pay, failure to comply with posted notices, etc. The information is primarily used as a statistical database.

LL-013 Trademarks Legal C+2 P P P Legislation/Regulations: Trade-marks Act (Canada), Records relating to the use of TTC trademarks, which R.S.C. 1985, c. T-13 (Last are words and/or symbols that identify, and are amended on December 31, associated with, TTC services.. May include 2008) information on trademark availability, registration, and s. 30. - Application for infringement. Documents may include completed registration of trade-mark. applications for trademark registration, lists descriptions of trademarks, trademark uses criteria and supporting correspondence.

Retention Legend: A = Active; I = Inactive; AR = Archival Review; C = Current Year; DY = Days; D = Destroy; M = Month(s); P = Permanent; S = Superseded; T = Termination – based on specific criteria

WO Functional Category: Works/Operations

Records relating to the maintenance and administration of day-to-day TTC operations including records relating to garbage collection, parking, plumbing, metering, service log sheets, scheduling and service changes, waybills and ride guides, work orders, snow removal, utilities applications and plans and pre trip inspections on vehicles.

Originating A I Total Disposition Comments/Legislation Code Records Title Office

WO-001 Employee Check-in & Off-Duty Sheets Service C+1 2 C+3 D Delivery Records related to the tracking of employees at each station. Check-in sheets are for day, afternoon and evening shifts. Off duty sheets record who is absent and why as well as who replaced the operator (and payment consequences for both). Records may be transferred to Legal for pending claims.

WO-002 Garbage Collection Operations C+2 2 C+4 D

Records relating to solid waste garbage collection at TTC locations. This also includes garbage collection from TTC tenants and from TTC events. Includes collection schedules, collection statistics and collection reports.

WO-003 Log Sheets All T T+2 T+2 D T= File closed upon last entry in Log Sheet. Records relating to the use of log sheets for recording data about services performed by TTC departments and staff. Log sheets record information about time spent, location, employee name(s), and type(s) of services performed.

WO-004 Metering Operations C+2 4 C+6 D Legislation/Regulation Municipal Chapter Code 849, Records relating to measuring the amount of water, Water and Sewage Services hydro, etc supplied and used by TTC buildings. May include information relating to both current and previous consumption meter readings, meter reading issues, and routine and requested visits to record meter data. Documents may include copies of meter service orders and meter reading statistics.

WO-005 Parking Property S 10 S+10 D S= Change in operating policy Development Records relating to the operations and administration of Legislation/Regulation: TTC parking areas. May include information on Municipal Code Chapter 950, parking rates, disabled parking spot reservations, fire Traffic and Parking routes, parking facilities, and service reports.

WO-006 Plumbing and Drainage Maintenance Operations T 7 T+7 D Comments: T = File closed upon Records relating to routine plumbing and drainage completion of maintenance and inspections. This refers to work the maintenance inspection project. TTC may perform on drains located in stations, Legislation/Regulation: buildings and adjacent properties, Includes copies of Municipal Code Chapter 681, plumbing permits, engineering drawings, plumbing Sewers, routing plans, and private drain location maps. Article I, Sewage and Land Drainage For Plumbing permits see: LEGAL/LICENSING: Permits - Building Permits and Inspections (LL 013)

Retention Legend: A = Active; I = Inactive; AR = Archival Review; C = Current Year; DY = Days; D = Destroy; M = Month(s); P = Permanent; S = Superseded; T = Termination – based on specific criteria

Code Record Title Originating A I Total Disposition Comments/Legislation Office WO-007 Schedules and Service C+2 17 C+19 D Strategy & Records relating to upcoming service details such as Customer service changes and summaries describing these Experience changes. Records form basis of work by schedule writers which becomes the communication device for customers’ notification of changes in service.

WO-008 Signs, Banners and Canopies Strategy & T 5 T+5 D Comments: Customer T = when sign no longer in use. Records relating to the use and display of signs, Experience File closed upon expiration of banners, and canopies. Documents may include permit. sketches and drawings of banners and signs and Operations accompanying correspondence. Legislation/Regulation: Engineering, City of Toronto Municipal Construction Code Chapter 693, Signs & Expansion

WO-009 Snow Removal Operations C+2 13 C+15 D Legislation/Regulation: City of Toronto Municipal Records relating to snow removal from TTC locations Code Chapter 719, Snow and which is undertaken to ensure public safety and to Ice Removal. facilitate vehicle movement. Includes information on salting, sanding, snowploughing, snow blowing, and Limitations Act, S.O. 2002, c. shovelling. Documents include snow removal 24, Sched. B. (Last amendment: schedules, snow route plans, and complaints. 2010, c. 16, Sched. 4, s. 27) s. 15. (2) - No proceeding shall be commenced in respect of any claim after the 15th anniversary of the day on which the act or omission on which the claim is based took place.

WO-010 Traffic Signs and Signals Equipment Engineering, T +2 13 T+15 D T= Decommissioning of signal Construction system or traffic signs Records relating to the manufacture, & Expansion installation, and inspections of traffic signs and Legislation/Regulation: signals equipment. May include inspection Operations Highway Traffic Act, R.S.O. reports, copies of vendor brochures and 1990, c H.8 (Last amendment: catalogues, product specifications, copies of 2012, c. 8, Sched. 22, s. 20) purchase orders, and error reports. s. 144. (31) - approvals of erection of traffic control signals and signal systems.

Limitations Act, S.O. 2002, c. 24, Sched. B. (Last amendment: 2010, c. 16, Sched. 4, s. 27) s. 15. (2) - No proceeding shall be commenced in respect of any claim after the 15th anniversary of the day on which the act or omission on which the claim is based took place. WO-011 Transit Control & Communication Information Operations C+3 0 C+3 D System (C.I.S.) Audio Recordings

Transit Control and Communication Information Systems (C.I.S) audio recordings are internally recorded calls initiated or received at either the Transit Control Centre or at the various C.I.S. offices and equipped transit vehicles across the entire TTC system. The audio recordings capture operational and emergency related communications on a 24 hour basis largely involving emergency response personnel, TTC operating personnel, supervisors and other authorized internal and external parties. Records may be transferred to Legal for pending claims.

WO-012 Transportation Monitoring and All C+19 0 C+19 AR Travel Survey Programs

Records relating to travel surveys and monitoring of TTC operated transportation programs. Includes information on ridership statistics, monitoring programs and ridership indicators. Documents include travel and transportation studies, statistical data and reports

WO-013 Utility Applications and Plans Operations T+2 P P P

Records relating to applications for the Engineering, installation of utilities on land properties and Construction sites. This includes the routing of fiber-optics, & Expansion phone lines, cable, power, and gas lines. Documents include construction reference drawings, applications, completed approval forms, utility permits, and copies of notices of hearings

WO-014 Vehicle Pre-Trip/Post Trip Inspections & Vehicle All CY+3 0 CY+3 D Legislation/Regulation: Sign-in sheet Highway Traffic Act, (Commercial Motor Vehicle Records relating to the regular and ongoing automotive Inspections) R.R.O. 1990, inspections of the TTC’s revenue and non-revenue Reg. 575, ss 11(b) - Keep vehicles. These inspections examine the mechanical inspection report that does not and operating conditions of vehicles prior to them show a defect(s) for three being used for daily trips and tasks and after they have months after report is been returned by the operator. Inspection results and completed. recommendations are recorded in inspection reports. Documents may also include supporting documentation such as the vehicle sign-in sheet signed by the operator after returning a vehicle.

WO-015 Waybills, Run/ Crew Guides, Transfer Distribution Service C+1 2 C+3 D Sheets Delivery

A waybill is an Operator’s individual schedule that they pick up at the beginning of their shift, along with the fare box and transfers. It is a personal log kept by all TTC operators which serves as a tally-sheet and provides details of the day’s events. Also included is the run guides that validates the times taken to reach each destination. Transfer Distribution report is to show the number of transfers allocated to all runs for each route for a given period. The Summary of Transfer reports the total number of transfers allocated to each route without listing all the runs.

Crew Guide outlines the details of the work involved in the operation of a route identifying the crews that Operators/Collectors work.

These documents are required in the event of a legal claim against the TTC.

Retention Legend: A = Active; I = Inactive; AR = Archival Review; C = Current Year; DY = Days; D = Destroy; M = Month(s); P = Permanent; S = Superseded; T = Termination – based on specific criteria Code Record Title Originating A I Total Disposition Comments Legislation Office WO-016 Work Orders & Material Requisitions C+2 4 C+6 D Operations Records relating to the creation and processing of Work Orders. Work Orders are initiated internally and issued Engineering, to TTC employees indicating required tasks to be Construction performed such as repairs and design. Includes cyclical, & Expansion emergency, preventive, non-emergency and maintenance completed Work Orders and Material Requisition forms, estimates, summaries and final charges.

Retention Legend: A = Active; I = Inactive; AR = Archival Review; C = Current Year; DY = Days; D = Destroy; M = Month(s); P = Permanent; S = Superseded; T = Termination – based on specific criteria