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RES-1000 Compliance


Consists of records relating to research misconduct or non-compliance with University Research Policies including Conflict of Interest in Research and Policy and Procedures on the Responsible Conduct of Research and Scholarship among others. May include conflict of interest reporting and decisions, correspondence, reports, complaints, allegations, investigation files, investigation committee minutes, disclosures to relevant Sponsor or Agency, decision rendered. 

These investigations may result in the creation of a letter of discipline, disciplinary investigation file or record in the employee file, as described in the following Records Series: HUM-0910 Employee Relations: Discipline Case Files, HUM-0920 Employee Relations: Discipline Letters (Faculty Association), HUM-0930 Employee Relations: Discipline Letters (Sessional Lecturers), HUM-0940 Employee Relations: Discipline Letters (Teaching Assistants & Research Assistants)

Retention Trigger

End of employment with UOIT


Trigger + 7 years

Responsible Unit(s)

Research Services



Records System



Policy on the Responsible Conduct of Research
Procedure on the Responsible Conduct of Research

Record Authority

VP Research Innovation and International


Secure destruction

Records Arising from Activity


Retention Rationale

Required for compliance with Agency requirements and other regulatory requirements.

Personal Information


Vital Record