1.0             Purpose

 

The purpose of this procedure is to define the method for Control of Records that are required by the Quality Management System. 

 

 

2.0             Scope  

 

This procedure is applicable to all records that are generated from processes and activities that are described within the Operational Plan and/or its referenced SLDs, SOPs and WIs

 

 

3.0             Definitions

 

·        DWQMS – Drinking Water Quality Management Standard

·        MOE – Ontario Ministry of the Environment

·        SLD – System-Level Document

·        SOP – Standard Operating Procedure

·        WI – Work Instruction

 

 

4.0             Procedure

 

4.1   Records are maintained as objective evidence that the requirements of applicable Ontario legislation and the DWQMS are being effectively addressed.

4.2   Each Section Manager shall be responsible for control of records within his/her group.

4.3   Records may be retained in hard copy (i.e. test reports, lab results, equipment maintenance [Hansen] and calibration…) or in electronic format (i.e. various databases, MS Outlook…).

Records Retention

4.4   All records required by Ontario legislation and all records required to demonstrate conformance and compliance to the requirements of the DWQMS shall be maintained per the regulations. Minimum retention times for all records required to demonstrate compliance to Ontario legislation and DWQMS are:

 

2 YEARS

 

Schedule 6 – Operation Checks, Sampling and Testing, O. Reg. 170/03

Schedule 7 – Operational Checks, O. Reg. 170/03

Schedule 10 – Microbiological Sampling & Testing, O. Reg. 170/03

Schedule 17 – Corrective Action, O. Reg. 170/03 (Section 17-5, 17-6 and 17-9)

 

Every record or report related to a test required under an approval or order, unless the parameter is listed in Schedule 23, Schedule 24 of O. Reg. 170/03 or Schedule 3 of O. Reg. 169/03

 

5 YEARS

 

Training Records per

·         Certification of Operators – O. Reg. 128/04

 

Record Keeping

·         Logs and other record-keeping mechanisms Section 28 (6), O. Reg. 128/04

 

QMS Records

·         Corrective Action Requests

·         Internal QMS Audit Results

·         External QMS Audit Results

·         Management Review Minutes

·         Calibration Results

·         Consumer Enquiries (Relating to Drinking Water Quality)

·         Maintenance/Service Requests

·         Emergency Plan Test Results

·         Any other records listed in any SLDs and SOPs

 

6 YEARS

 

Schedule 13 - Chemical Sampling and Testing, O. Reg. 170/03 (excluding Section 13-8 and 13-9)

 

Schedule 15.1 – Lead, O. Reg. 170/03

 

Schedule 17 – Corrective Action, O. Reg. 170/03 (section 17-10, 17-11 and 17-12)

 

Section 11 – Annual Reports, O. Reg. 170/03

 

Schedule 22 – Summary Reports for Municipalities, O. Reg. 170/03

 

Every record or report related to a test required under an approval or order, for the parameters listed in Schedule 23, Schedule 24 of O. Reg. 170/03 or Schedule 3 of O. Reg. 169/03

 

15 YEARS

 

Schedule 13 – Chemical Sampling and Testing, O. Reg. 170/03 (section 13-8 and 13-9)

 

Schedule 17 – Corrective Action, O. Reg. 170/03 (section 17-13)

 

Every report under subsection 2(2), paragraph 7 or 2(3)(a), O. Reg. 170/03

 

Records Maintenance

 

4.5   All logs, records and reports that demonstrate compliance and/or conformance shall be retained/filed chronologically [O. Reg. 128/04 27 (2)] by type and in such a manner as to make them accessible.  

4.5.1       Data and information entered into all logs, records and reports shall clearly identify the date of the entry and the individual responsible for making the entry.

4.6   All records and reports that demonstrate compliance to regulations and/or conformance to the requirements of the DWQMS shall be stored in a manner that protects them from damage or deterioration. 

4.6.1       Care shall be taken to ensure that no records, hard or soft copy, are exposed to elements or conditions that may damage the integrity of the information contained therein.

4.7   All records generated by electronic means or systems may be retained in either hard or soft copy per the retention times indicated in section 4.4.

4.8   Records that have exceeded the minimum retention times, and are not required to be retained for knowledge, legal or other purposes, shall be archived or disposed of, at the discretion of the Section Manager responsible for those records.

4.8.1       Any records that are retained for knowledge, legal or other purposes beyond the specified minimum retention time shall be stored separate from those records that are deemed to be current.

4.9   Where required by regulation, records shall be made available for public viewing through the Corporate website, or by other practical means.

4.10         All records shall be readily retrievable for the purposes of the utility owner, internal and external auditors, municipal employees and inspectors, as appropriate.

 

Network Back-Up

 

4.11         The ITS Manager shall ensure the network QMS folder, other network drives, and email folders are backed-up.

 

4.11.1  Tape backups of all servers shall be performed every weekday evening.

 

4.11.2  Backup software shall be used.

 

4.11.3  Tapes shall be rotated bi-weekly, with an appropriate number of tapes allocated for backups.

 

4.11.4  Tapes shall be stored in the ITS fireproof safe.

 

Data restores from tape shall be tested quarterly by ITS personnel.

 

 

5.0             Associated SOPs

 

·        Not applicable

 

 

6.0             References

 

·        DWQMS Element 5 Document and Records Control

·        Legislative references as outlined in Section 5.0

 

 

7.0             Records

 

·        Not Applicable

 

 

8.0             History of Changes

 

Revision

Date

Description

By

2.0

Jul. 15, 08

Section 4.4 revised

H. Dutaud