Regulatory Services - Personal Information Bank

PERSONAL INFORMATION BANKS:


Administrative Compliance Review Files – Employers

Title Administrative Compliance Review Files – Employers
Type Personal Information Bank
Description Records of routine administrative employer compliance review possibly containing MTO printouts, CRA information, private information pertaining to individual claimants, employer’s accounts, Ministry of Health and Long Term Care billing data, health care records, printed IF entries, notes, data, Internet searches, facebook images, reports, correspondence, and legal opinions.
Division Regulatory Services
Legal Authority Workplace Safety and Insurance Act, 1997. S.O. 1997, c. 16, Sched. A
Uses To conduct a review of relevant information pertaining to allegations concerning non-compliance on the part of workplace parties, to confirm allegations, and to determine the appropriate response.
Users Regulatory Services staff
Individuals in Bank Employers and claimants
Retention and disposal OOnsite – CCY+2 years (after file closed) Offsite – Nil Destroy


Administrative Compliance Review Files – Provider/Workers

Title Administrative Compliance Review Files – Provider/Workers
Type Personal Information Bank
Description Records of providers/workers administrative compliance review possibly containing MTO printouts, CRA information, private information pertaining to individual workers, Ministry of Health and Long Term Care billing data, health care records, printed IF entries, notes, data, internet searches, facebook printouts, reports, correspondence, and legal opinions.
Division Regulatory Services
Legal Authority Workplace Safety and Insurance Act, 1997. S.O. 1997, c. 16, Sched. A
Uses To conduct a review of relevant information pertaining to allegations concerning non-compliance on the part of workplace parties, to confirm allegations, and to determine the appropriate response.
Users Regulatory Services staff
Individuals in Bank Claimants
Retention and disposal Onsite – CCY+2 years (after file closed) Offsite – 8 years Destroy


Canada Revenue Agency (CRA) Records

Title Canada Revenue Agency (CRA) Records
Type Personal Information Bank
Description Personal income tax reporting information received via data exchange with Canada Revenue Agency, paper based printouts containing personal, and corporate tax filing information.
Division Regulatory Services
Legal Authority Workplace Safety and Insurance Act, 1997. S.O. 1997, c. 16, Sched. A
Uses Conduct a review of relevant information pertaining to allegations concerning non-compliance on the part of employers and workers.
Users Regulatory Services staff
Individuals in Bank Claimants
Retention and disposal Onsite – 2 years (from the receipt date) Offsite – 5 years Destroy


Confirmation Records

Title Confirmation Records
Type Personal Information Bank
Description Records include Death Certificates, death notification registers from banks and government, affidavits containing personal information, correspondence and project plans, and personal income tax reporting information received via data exchange with Canada Revenue Agency.
Division Regulatory Services
Legal Authority Workplace Safety and Insurance Act, 1997. S.O. 1997, c. 16, Sched. A, Memorandum of Understanding with Canadian Revenue Agency
Uses Conduct a review of relevant information pertaining to claimants/survivors’ entitlement to benefits.
Users Regulatory Services staff
Individuals in Bank Claimants
Retention and disposal Onsite – CCY+2 years (after all administrative action is completed) Offsite – Nil Destroy

Criminal Code Offences Investigation Case Files

Title Criminal Code Offences Investigation Case Files
Type Personal Information Bank
Description Fraud and non-compliance case files relating to charges laid under the Criminal Code against workers, employers, suppliers and service providers. Records possibly contain MTO printouts, CRA information, private information pertaining to individual workers/employees of the firm, Ministry of Health and Long Term Care billing data, health care records, printed IF entries, statements, reports, exhibits, correspondence, legal opinions, electronic recordings of statements (various formats depending on age of file (e.g. cassette tapes), and CDs.
Division Regulatory Services
Legal Authority Workplace Safety and Insurance Act, 1997. S.O. 1997, c. 16, Sched. A
Uses To facilitate the joint investigation with the police into activities of workplace parties in relation to accusations concerning Criminal Code offences.
Users Regulatory Services staff
Individuals in Bank Claimants, Employers
Retention and disposal Onsite – CCY+2 years (after file closed) Offsite – 27 years Destroy


Criminal Code Offences Prosecutions Files

Title Criminal Code Offences Prosecutions Files
Type Personal Information Bank
Description Fraud and non-compliance case files relating to charges laid under the Criminal Code against workers, employers, suppliers and service providers. Records possibly contain MTO printouts, CRA information, private information pertaining to individual workers/employees of the firm, Ministry of Health and Long Term Care billing data, health care records, printed IF entries, statements, reports, exhibits, correspondence, legal opinions, electronic recordings of statements (various formats depending on age of file (e.g. cassette tapes), and CDs.
Division Regulatory Services
Legal Authority Workplace Safety and Insurance Act, 1997. S.O. 1997, c. 16, Sched. A
Uses To facilitate the joint investigation with the police into activities of workplace parties in relation to accusations concerning Criminal Code offences.
Users Regulatory Services staff
Individuals in Bank Claimants, Employers
Retention and disposal Onsite – CCY+2 years (after file closed) Offsite – 27 years Destroy


Intake/Investigation Case Files – Employers

Title Intake/Investigation Case Files – Employers
Type Personal Information Bank
Description Fraud and non-compliance case files relating to employers, suppliers, and service providers relating to the intake/investigation process. Documents possibly contained in the files consist of MTO printouts, CRA information, private information pertaining to individual workers/employees of the firm, printed IF entries, statements, reports, exhibits, correspondence, electronic recordings of statements (various formats depending on age of file (e.g. cassette tapes), and CDs.
Division Regulatory Services
Legal Authority Workplace Safety and Insurance Act, 1997. S.O. 1997, c. 16, Sched. A
Uses To facilitate the review/investigation of allegations relating to the alleged wrongdoing on the part of employers.
Users Regulatory Services staff
Individuals in Bank Individual workers/employees of the firm
Retention and disposal Onsite – CCY+2 years (after file closed) Offsite – 8 years Destroy


Intake/Investigation Case Files – Workers

Title Intake/Investigation Case Files – Workers
Type Personal Information Bank
Description Fraud and non-compliance case files relating to the surveillance/intake/investigation process. Documents possibly contained in the files consist of MTO printouts, CRA information, claim file documents, printed IF entries, statements, reports, exhibits, correspondence, and surveillance.
Division Regulatory Services
Legal Authority Workplace Safety and Insurance Act, 1997. S.O. 1997, c. 16, Sched. A
Uses To facilitate the review/investigation of allegations relating to the alleged wrongdoing on the part of workers.
Users Regulatory Services staff
Individuals in Bank Claimants and other third parties
Retention and disposal Onsite – CCY+2 years (after file closed) Offsite – Until worker turns 65 years old Destroy


Internal Employee Investigation Case Files

Title Internal Employee Investigation Case Files
Type Personal Information Bank
Description Documents possibly containing MTO printouts, CRA information, private personal biographical information, personal financial information, HR records, data, health care records, printed IF entries, notes, photographs, statements, reports, exhibits, correspondence, legal opinions, electronic recordings of statements (various formats depending on age of file (e.g. cassette tapes), and CDs.
Division Regulatory Services
Legal Authority Workplace Safety and Insurance Act, 1997. S.O. 1997, c. 16, Sched. A
Uses To document internal employee investigations which can result in no action being taken, internal discipline, termination, or referral to police for criminal investigation/prosecution.
Users Regulatory Services staff
Individuals in Bank Claimants and other third parties
Retention and disposal Onsite – CCY+1 year (after file closed) Offsite – 20 years Destroy


Ministry of Transportation Ontario (MTO) Records

Title Ministry of Transportation Ontario (MTO) Records
Type Personal Information Bank
Description Files may contain personal private information (e.g. DOB), detailed driver’s license information, detailed vehicle ownership information, detailed fleet/RIN information, address histories, and driving convictions.
Division Regulatory Services
Legal Authority Freedom of Information and Protection of Privacy Act¸1990. R.S.O. 1990, c. F.31, Inquiry of Services Memorandum
Uses Regulatory Services will access the Ministry of Transportation Ontario’s driver, vehicle, and carrier data in fulfilling compliance, investigation, and prosecution roles, and to assist in locating an individual and/or company related to offences under the Act and debtors.
Users Regulatory Services staff
Individuals in Bank Claimants and other third parties
Retention and disposal Onsite – Within 30 days of the completion of their official use Offsite – Nil Destroy


Prosecutions Files – Employers/Providers

Title Prosecutions Files – Employers/Providers
Type Personal Information Bank
Description Fraud and non-compliance case files documenting work undertaken by Regulatory Services staff in representing the Workplace Safety and Insurance Board in prosecutions relating to charges laid under the Workplace Safety and Insurance Act against employers, suppliers, and service providers. Records contain correspondence, memos - internal and external with lawyers, legal agents, and defendants. Files also may contain court documents, research material, disclosure briefs, transcripts, medical records, copies of cheques, plea agreements, and motion and appeal documents. Excludes: Criminal Code offence prosecutions
Division Regulatory Services
Legal Authority Workplace Safety and Insurance Act, 1997. S.O. 1997, c. 16, Sched. A
Uses Used to document legal action taken pursuant to acts and regulations such as the Workplace Safety and Insurance Act/Provincial offences Act and to keep records of proceedings before courts and tribunals.
Users Regulatory Services staff
Individuals in Bank Individual workers/employees of the firm
Retention and disposal Onsite – CCY+2 years (after file closed) Offsite – 27 years Destroy


Prosecutions Files – Workers

Title Prosecutions Files – Workers
Type Personal Information Bank
Description Fraud and non-compliance case files documenting work undertaken by Regulatory Services staff in representing the Workplace Safety and Insurance Board in prosecutions relating to charges laid under the Workplace Safety and Insurance Act against workers. Records contain correspondence, memos - internal and external with lawyers, legal agents and defendants. Files also may contain court documents, research material, disclosure briefs, transcripts, medical records, copies of cheques, plea agreements, and motion and appeal documents. Excludes: Criminal Code offence prosecutions
Division Regulatory Services
Legal Authority Workplace Safety and Insurance Act, 1997. S.O. 1997, c. 16, Sched. A
Uses Used to document legal action taken pursuant to acts and regulations such as the Workplace Safety and Insurance Act/Provincial offences Act and to keep records of proceedings before courts and tribunals.
Users Regulatory Services staff
Individuals in Bank Claimants
Retention and disposal Onsite – CCY+2 years (after file closed) Offsite – Until worker turns 65 years old Destroy


Surveillance Files

Title Surveillance Files
Type Personal Information Bank
Description Surveillance is used by RSD as an investigative tool to gather information about an allegation of possible non-compliance. Records relating to surveillance process possibly consist of MTO printouts, CRA information, claim file documents, printed IF entries, statements, reports, exhibits, correspondence, and surveillance recordings (various formats depending on age of file (e.g. VHS, DVD, digital files).
Division Regulatory Services
Legal Authority Workplace Safety and Insurance Act, 1997. S.O. 1997, c. 16, Sched. A
Uses To facilitate surveillance of allegations relating to alleged wrongdoing on the part of the worker.
Users Regulatory Services staff
Individuals in Bank Claimants
Retention and disposal Onsite – CCY+2 years (after file closed for paper files; surveillance) Videos and reports are retained in-house until worker turns 65 years old Offsite – Until worker turns 65 years old for paper files. Nil – surveillance videos and reports. Destroy