Brampton
Real Estate Board
RECORD RETENTION
POLICY
1.0 Objectives and
Scope of Policy 1
2.0 Roles and
Responsibilities 2
3.0 Transitory Records 2
3.0 Development of
Retention Requirements 3
4.0
Record Retention or Destruction 4
5.0
Electronic Documents 5
5.1 Electronic Document Types and Guidelines 5
5.2
Compliance 6
6.0 Suspension of the
Destruction or Disposal of Records 6
7.0 Enquiries 7
Annex A 8
Annex B 14
Annex C 15
1.0 Objectives and Scope of Policy
The Brampton Real Estate Board ("BREB" or "the
Board") has prepared this Policy Statement to outline BREB's policy
concerning the retention and destruction of records within the control of the
Board. The Board wishes that decisions as to how long records are kept are made
and applied in a systematic fashion. This is done in order to permit BREB to:
q
Identify, protect, and preserve those records that need to be kept to meet
business, legal, or historical requirements;
q
Reduce
BREB costs;
q
Better manage BREB computer facilities by eliminating
the storage of unnecessary information on the BREB computer network or employee
desktops;
q
Encouraging optimal performance of the BREB
computer network;
q
Eliminating
confusion over different iterations of documents;
q
Ensuring
that important documents are not made unusable by technological upgrades; and
q
Ensuring,
to the degree possible, the authenticity of electronic documents on the network
and the employees' desktops;
q
Protect BREB employees and management from the risks associated with the
inadvertent or inappropriate destruction of BREB assets; and
q
Support the protection of sensitive information by ensuring records are
disposed of in an appropriate fashion.
For the purposes of this policy, records are defined as any
recorded information that is created or received by any individual, whether
employed or contracted by BREB, in the course of conducting BREB business. It
is particularly important to note that such records are the property of BREB
and not the employee or contractor who created or received them. It is equally
important to note that the definition of records applies regardless of the
format or medium of the information. This would include paper, film, and
electronic formats, such as text, image, voice, video, graphics, or e-mail
messages - whether work related or personal - created and/or stored on BREB
desktop/laptop machines, personal digital assistants (should they be provided
by BREB) or the BREB network. See Section 5.0 concerning electronic
documents.
Final disposition of a record typically occurs through physical
destruction or transfer to the BREB archives. When and how individual documents
are disposed of depends on the retention requirements that are established for
each set of records. These are defined by a variety of different factors,
including both business needs and any statutory record keeping requirements.
2.0 Roles and Responsibilities
The Executive Director is responsible for ensuring that the
records produced by BREB, in the course of the Board conducting its business,
are managed according to BREB policies and standards. This includes ensuring
that appropriate retention requirements are defined and applied in the
disposition of records.
The Executive Director is also responsible for supporting the
employees at BREB in the retention and disposition of records by providing
guidelines and by facilitating the actual disposition of records. This formal
and controlled disposition process provides evidence that BREB has exercised
due diligence in the destruction of records.
With respect to records, the Executive Director and the Executive
Assistant are to ensure that they and the employees for which they are directly
responsible comply with this policy. Employees have two key responsibilities
under this Policy. First, is to treat transitory records in a manner consistent
with this policy. Second, is to submit all other records to a reliable
record-keeping system so that they can be disposed of in accordance with BREB
standards.
3.0 Transitory Records
No records should be destroyed by individual employees with the
exception of those that are transitory. Transitory records are defined as those
that:
q
Are not of enduring value;
q
Are not needed for statutory, legal, fiscal,
administrative, operational or archival purposes;
q
Are needed only for a limited period of time
(usually a week or less) to complete a routine action or the preparation of a
record; and
q
Are not regularly filed in a records or information
system.
Transitory records may be considered as falling into seven general
categories:
q
Temporary information;
q
Duplicates;
q
Draft documents and working materials;
Publications;
q
Direct mail;
q
Blank information media; and Personal notes.
Temporary
information includes telephone messages, routing slips, post-it notes, opened
envelopes, memos, notes and messages (either paper, voice or electronic) where
the information has only immediate or very short-term value. Once they have
been used to perform the required activities, the records have no further value
and may be destroyed.
However, it is to be noted that records like this may need to be
kept. For example, envelopes might be kept because the time and date of receipt
are stamped on them. A telephone message slip may have to be filed as it
provides evidence of an individual calling at a certain time and date. If there
is any doubt about whether recorded information will have any further reference
value, file the record.
Duplicates are exact reproductions of a master
document. Examples of such records include photocopies, or extra copies printed
from a computer system or by a commercial printer. After the master version of
a document has been filed, duplicates that are no longer needed may be discarded.
Duplicates that are circulated strictly for reference purposes should be
clearly identified so they will not be filed.
An important caveat to note is that a duplicate is sometimes altered by
someone adding handwritten or electronic notes to it. This action creates a new
record. If this added information is substantive and will have future value,
file the document as a new record.
Draft documents and working materials includes
source materials used in the preparation of documents and earlier versions of
final documents. Usually, drafts and working materials, whether paper or
electronic, do not have long-term value and can be discarded as transitory
records. However, exceptions to this general rule do exist: drafts and working
papers related to the preparation of legal documents, budgets, policies,
standards, guidelines and procedures may not be transitory. If a manager
believes that the information contained in such a record may have some future
value to BREB then that record should be filed. If any employee is unsure as to
the future value of a record, he or she should consult the Executive Director.
Publications include books, magazines,
periodicals, pamphlets, brochures, journals, newspapers and software
documentation obtained from sources outside BREB. If they will have no future
value, they can be discarded once the Executive Director or employee is
finished with them. The master copy of any publication produced by BREB is not
transitory and should be filed.
Direct mail includes solicited or unsolicited
information received from organizations or individuals advertising their
products or services. The vast majority of such mail may be considered junk
mail and may be discarded.
Blank information media includes anything that was
created or acquired for the purpose of collecting or storing information but
which has not been used and has become obsolete. Obsolete blank forms are a
good example. This category also includes storage media such as video, audio,
or dictation tapes, diskettes, magnetic tapes, disk drives, or optical disks,
where sensitive or confidential information was previously stored or where that
information was erased; and where it is possible that someone could recover the
erased information by technical means. Such "non-paper" items are
either to be physically destroyed or erased in a secure manner by
"overwriting".
Personal notes include messages which are not
directly related to the work of employees but does not include personal
information needed for purposes of personnel management.
3.0 Development of Retention
Requirements
Because this policy is designed to facilitate the routine, orderly
and timely archiving or disposition of records by the BREB Executive Director
and employees, it may become apparent that this policy fails to address certain
classes of documents since new types of records or new media to hold records
may be created over time. Accordingly, Annex A of this Policy may
require amendment over time. This should be brought to the attention of the
Executive Director who shall determine (or have determined) the retention
period for the record or class of records in accordance with the process
described below.
This process of developing retention and disposal requirements is
comprised of a small number of steps. As depicted below, the process begins
with the identification of a series of records which represent broad categories
of information that share common management requirements.
The research element is to
identify any statutes or regulations that might apply to each records series.
Some statutes outline very clear retention requirements for particular kinds of
records, such as the Income Tax Act. Others identify more general
requirements to create and retain records, but do not identify a specific time
frame. One or more statutes may apply to any given set of records - sometimes
with conflicting retention requirements which must be reconciled.
Once the research is completed, and whether or not there is a
legal requirement, BREB's business need to retain the record is assessed. This
is especially important in the absence of any legal requirement to retain. The
specific retention periods, reflecting both business needs and any statutory
and regulatory requirements, are then fixed. The retention requirements that result
from this process are documented within the "Record Retention
Schedule" which becomes the official guideline for how long records are to
be kept.
BREB's development of a retention/disposition schedule is
generally a one-time activity that addresses the broad administrative,
financial, legal, audit and historical value of the Board's record holdings. If
records do not fit within existing categories of documentation then the process
outlined above is to be employed. A copy of the current retention schedule for
BREB documents is attached as Annex A.
4.0 Record Retention or Destruction
The attached Annex A has guidelines for the appropriate
retention of numerous types of records. Records will ordinarily be kept in the
Department creating a document unless otherwise directed to be stored
elsewhere. If, after consulting this policy and the schedule attached, there
exists a question regarding the proper disposition or retention of a particular
document or class of documents, it shall be the responsibility of the Executive
Director to determine the proper disposition of the item or items.
Application of the retention schedule occurs upon the disposition
of actual record holdings. Most often this involves reviewing records that have
been transferred to "inactive storage" to determine those that are
eligible for physical destruction or transfer to the BREB's archives. The
following diagram illustrates the process that is followed in applying the
guidelines found in Annex A to BREB record holdings.
At least once a year,
using the retention schedule in Annex A as a guideline, all files that
are scheduled to be destroyed are to be listed. The list is provided to the
Executive Director who will either approve final destruction or advise whether
they should be retained for an additional period of time. This process serves
as a final check on the initial retention decision and also allows for the
application of any changes in requirements.
Once approval to destroy is obtained, records are to be physically
destroyed and the Certificate of Destruction, in the form contained in Annex
B, is completed and filed in the Executive Director’s Office. This provides
a record of what has been destroyed and is used as an audit trail if
destruction practices are questioned.
Paper or electronic records, other than sensitive, financial or
confidential records, may be disposed of in the following manners:
□ Recycling;
□
Shredding;
□
Placement in garbage for regional landfill;
□
Physically destroyed; or
□
Erased in a secure manner by overwriting.
Sensitive, financial or confidential records must to be shredded
or erased in a secure manner before disposal. What constitutes
"sensitive" information is left to be determined at the discretion of
the Executive Director who is to err on the side of caution if there is any
doubt as to the sensitivity of any information scheduled for disposition.
No employee is to retain any "private" or
"secret" files. Retention of such files is grounds for dismissal.
No tape recordings are to be retained. Meetings, other than
hearings, may only be taped with the approval of the Executive Director and
such tapes must be erased immediately after the preparation of the report.
Employees who knowingly destroy, without authorization, any of the
Board documents will be immediately suspended pending an inquiry by the
Executive Director, the employee may be subject to disciplinary measures up to
and including termination. If it is found that the employee knowingly destroyed
documents related to litigation or to complaints, the employee will be subject
to disciplinary measures up to and including termination.
5.0 Electronic Documents
With respect to their obligations in retaining electronic
documents - including e-mail, Web files, text files, PDF documents, and all
other formatted files - employees are to refer to this
section of the record retention policy.
5.1 Electronic Document Types and Guidelines
Unless otherwise listed for retention in Annex A and
subject to Section 6.0, the following are the types of electronic
documents covered under this policy and the corresponding period of time in
which each document should be retained. Other formats may be added as
necessary.
E-mail - In addition to the employee's
obligations regarding e-mail contained in BREB Employee Handbook,
the employee must delete all e-mail - either from internal or
external sources after six (6) months. Employees will strive to keep the
majority of their e-mail related to business issues. In case the e-mail
needs to be referenced or retrieved, the Executive may archive e-mail upon
request for six months after the employee has deleted it, after which time the
e-mail will be permanently deleted. Employees will not store BREB-related
e-mail on non-work-related computers. Employees will take care should they be
required to send confidential/proprietary BREB information to outside sources.
Any e-mail an employee deems vital to the performance of their job should be
stored.
Voice Mail/Phone Messages - Voice mail is transitory in nature and
may be deleted at will. There are times, however, where voice mail may require
a longer retention period. For example, this may be the case where the message
may be potentially used as evidence in a legal or regulatory proceeding.
Web page files-Employees will delete Web page files
saved on the network or their local machines after one (1) year. This includes
such pages saved from Web sites onto an employee's laptop/desktop.
Text/formatted files-Employees will conduct annual reviews
of all text formatted files (e.g., Microsoft Word documents) and will delete
all those containing personal information and those they consider unnecessary or
out dated. Text formatted files the
employee deems vital to the performance of his or her job should be printed and
stored in the employee's workspace.
Spreadsheets-Spreadsheets other than those required to be retained
by BREB for tax reasons shall be retained for approximately one (1) year or
until BREB's next budget year, whichever is the earlier. Only those employees
with access to BREB accounting information are permitted to delete
spreadsheets.
PowerPoint presentations-All PowerPoint presentations
should be deleted once they have served their useful purpose or after one (1)
year whichever is the earlier.
PDF documents-Employees will
delete PDF files from their network shares and/or laptops and desktops once
they have served their useful purpose or after one (1) year, whichever is the
earlier.
If it has been determined that an electronic document is required
to be retained and it is printed or transferred to another media for longer
term storage, all relevant information associated with the electronic document
must also be stored. For example, header information on an e-mail would be
stored in the original electronic form and should not be lost if the e-mail is
printed and stored.
5.2 Compliance
BREB does not currently employ the means to automatically delete
electronic files beyond the dates specified in this policy. Because of this, it
is vital that employees adhere to this Policy. Each year, the BREB will choose
one employee at random and check their user shares on the network and their
laptops/desktop to ensure they are in compliance. Files that are beyond the
designated retention date will be deleted in accordance with this policy.
6.0 Suspension of the Destruction
or Disposal of Records
There are some instances where records must be held beyond the
established retention period because of a complaint against a BREB Member, a
privacy request, an audit, litigation, or the possibility of litigation that
either does or may involve BREB.
BREB will suspend the application of a record retention schedule
to a record or class of records:
1) Upon becoming aware of an allegation, claim, audit,
investigation or pending claim, audit or
investigation
directed at BREB;
2) Where required by law or by order of a tribunal;
3) Where it is necessary to permit the ORES to pursue available
remedies or limit any damages that it may sustain; and
4) Upon written notice of the commencement against a Member or
employee of:
a) A judicial proceeding;
b) An administrative, regulatory or professional investigation;
c) A proceeding arising from an administrative, regulatory or
professional investigation; or
d) An investigation by law enforcement or national security
authorities;
The Executive Director, or other person as directed by the
Executive Director, will create a list of records, or classes of records, for
which destruction is to be suspended and attach any supporting rationale that
can explain the reason for suspension. The list should provide as many details
of the records to be frozen as required. Once notification of the requirement
to suspend destruction or disposal is received from the Executive Director,
employees will retain the affected records and suspend their destruction until
appropriate notification to the contrary is received. The form of notice is found
in Annex C. This notice provides a record of what has not been
destroyed and is used as an audit trail if destruction practices are
questioned. This suspension of destruction or disposal also applies to
transitory records and electronic documents.
7.0 Enquiries
Any enquiries relating to the application of this policy should be
directed to the Executive Director.
