Human Resources
Human Resources
Purpose
The Human Resources department is responsible for the administration of employment, payroll, benefits and pension, health and safety, staff training, and labour relations functions. Each of these functions requires a variety of computer and hard copies of data. Record retention is referenced in legislation under Employment Standards, Freedom of Information and Privacy regulations. This policy provides a guideline for the period of time for retaining documents as well as method of documentation destruction. For more information, visit the Human Resources website.
Policy
All files acquired or generated by the Human Resources Department at Trent will be maintained and/or destroyed in keeping with this policy.
Procedures
General Records, Public
| Document/Record | Access | Retention | Location |
|---|---|---|---|
| Anonymized Surveys General Announcements | Internet | Indefinite | Electronic Archival Files |
General Records, Intranet
| Document/Record | Access | Retention | Location |
|---|---|---|---|
| Trent HR Policies Employee Benefit Booklets Employee Assistance Program Information | Intranet | 5 years after update | Electronic Archival Files |
Personal Information Databanks
Labour Relations Files
Legal Authority: Trent University Act 1963 and Ontario Labour Relations Act 1995
| Document/Record | Access | Retention | Location |
|---|---|---|---|
| Memoranda of agreements Grievance files Arbitration files/awards Labour Board files (includes Human Rights) Termination agreements Legal files Multi-University agreements OPSEU Seniority Lists | HR staff, Senior Mgmt Managers/Supervisors | Indefinitely | Where possible, files will be stored electronically. DHR Office and Archived Files in Storage |
| Attendance Records | Records will be destroyed seven years after they are made. | Files will be stored electronically. | |
| Job Evaluation Ratings | HR staff, Senior Mgmt Managers/Supervisors JJEC committee | Electronic rating will be kept indefinitely; files will be destroyed 5 years following a position becoming obsolete | Files will be stored electronically. DHR Office and Archived Files in Storage |
| Job Descriptions | Internet | To be destroyed 5 years following a position becoming obsolete | Files will be kept where possible. DHR Office and Archived Files in Storage |
- Information Maintained: Trent faculty, staff, management
- Uses: To determine legal rights of employees/employers
- Users: HR staff and affiliated departmental manager
- Retention: General records – Indefinite; personal records (normally) 1 year after termination of employment
Payroll Information and Personnel File Including Medical files
- Legal Authority: Trent University Act 1963Revenue Canada Regulations
- Information Maintained: Name, DOB, SIN, hiring date, payroll information, training files, timesheets, tax/CPP/EI information, education, leaves of absence, performance evaluations, resumes, personal requests and workplace accommodations.
- Individuals in Bank: Current and past Trent employees
- Uses: Administration of payroll and employment
- Users: HR staff and affiliated departmental manager
- Retention: 7 years after departure, then destroyed (Electronic summary records maintained indefinitely)
Job Competition Files
- Legal Authority: Trent University Act 1963
- Information Maintained: Names, resumes(applications) of interviewed external applicants, resumes (applications) of all internal applicants, interview records; may contain test results and references, copy of posting, Hiring Request Form, Appointment Letter, e-mail correspondence
- Individuals in Bank: Job applicants
- Uses: Hiring
- Users: HR staff and affiliated departmental manager
- Retention: 3 years
Pension Records
- Legal Authority: Trent University Act 1963 and Revenue Canada regulations
- Information Maintained: Pension Plan documents/contracts, compensation records
- Individuals in Bank: Current and retired Trent employees
- Uses: Guarantee of individual access to contracted rights
- Users: HR staff
- Retention: In general, pension plan records should be kept for the life of the plan.
The risk in destroying pension plan records is inability to mount a defense in the event of litigation. Currently the two areas where litigation most often arises are:
- Surplus ownership - Trend’s surplus ownership wording is clear as a result of earlier litigation. The files related to the surplus ownership litigation are stored in the Human Resources storage room and are clearly marked “Permanent files”.
- Claims from former members that they did not receive pension information on termination of employment/and or a settlement of pension benefits – there is a slight risk that by destroying personnel files for pension plan members, we will be unable to confirm payment to a former employee who may come forward with a claim to pension benefits. In some cases, employers have had to make a settlement to a former member due to the lack of documentation. Since this risk is small, we will apply the seven year Canada Revenue Agency requirement.
The Trustee of the pension plan maintains records of payments for seven years.
The following are guidelines for retention of pension documents:
| Type of Record | Comments | Retention Guideline |
|---|---|---|
| Pension plan documents and plan amendments | Permanent | |
| Copies of Employee Booklets | Permanent | |
| Minutes of Pension Committee Meetings | Permanent | |
| Annual Information Returns; Audited financial statements and related working papers Actuarial Valuations | All of the above are filed with regulatory authorities (Pension Commission of Ontario or Financial Services Regulatory Authority) and are held permanently by the regulatory authority. In addition, copies of actuarial reports can be obtained from the Actuary’s permanent files. Current actuary, AON was appointed in 1998 – copies of valuations from July 1, 1998 are held by AON. | 7 Plan Years (July to June) |
| Files for Terminated or Deceased Active Members or Deceased Retired Members where there is no survivor benefit | Since 2001, the Pension Co-coordinator has maintained a computerized master list of payments to members, including name of member, SIN, date of termination, date of payment, amount of payment and payment instructions. This process should continue. | 7 years from date of event (i.e. termination date, date of death). Master lists of payments– Permanent |
| Pension Adjustments | Calculated annually; appear on T4’s. Master lists provided to Pension Co-coordinator | 7 Years |
| PAR Filings | Most members who terminate employment, and receive a settlement, are assessed a Pension Adjustment Reversal which restores RRSP contribution room. The PAR is filed with Canada Revenue Agency (copy to the member). CRA will report the restoration of RRSP contribution room directly to the member on the annual Notice of Assessment | 7 Years from date of filing |
| General Pension Files | From time-to-time special programs are introduced – past service purchase; VER; early retirement window. | Permanent |
HEALTH AND SAFETY
General Records
- WSIB Records - Retention: indefinite
- Hazardous Waste Disposal - Retention: 7 years
- Health and Safety Inspections - Retention: 2 years
- Joint Health and Safety Committee (original agendas, minutes, and committee reports) - Retention: Permanent.
- Fire Wardens Lists – Retention Location Lists: 1 year; Retention Training Lists: indefinite
- Fire Safety Plans and related Files - Retention: until superseded by subsequent year’s plans
Personal Information Databanks
First Aid Training Employee / Student List
- Legal Authority: Trent University Act 1963
- Information Maintained: contact information, location, employee number and first aid training history.
- Individuals in Bank: university staff and students training in formal first aid training.
- Uses: Used to identify first aid coverage in each university building.
- Users: EHS Officer, Risk Management Administrative Assistant, Director, Risk Management.
- First aid training is valid for a maximum of two years and then requires recertification.
- Format: paper and electronic.
- Retention & Disposal: Current year (1) + 3 years Inactive, then delete/shred.
Mandatory Ministry of Labour Health and Safety Training
- Legal Authority: Trent University Act 1963, OHSA
- Information Maintained: employee number and training history.
- Individuals in Bank: university staff and paid graduate students.
- Uses: Used to identify employees and paid graduate students who have completed mandatory Ministry of Labour Health and Safety Training.
- Users: EHS Officer, Risk Management Administrative Assistant, Manager of Payroll.
Training certificate is permanent. - Type: Secure electronic database (HRIS system); related excel electronic summary, paper copy of external training records provided.
- Retention & Disposal: Indefinite.