Records Classification and Retention Schedule

Purpose

The purpose of this Directive is to provide a comprehensive list of the types of University Records and rules to retain and protect them according to operational and compliance needs.

Definitions

For the purposes of this Directive the following definitions apply:

“Approved Repository” means a records repository (physical filing or information system) that has been approved by the Record Authority for use in retaining and protecting University Records.

“Citations” means a reference to applicable legislation, regulations, accreditation requirements, professional association guidance or University Policy Instruments that create recordkeeping obligations.

“Disposition” means the final action to be taken on a University Record after its Retention Period has expired.

“Hybrid” means a Records System comprising both paper and electronic records.

“Official Copy” means the copy of a University Record designated in local procedures to satisfy the University’s retention requirements where multiple copies exist.

“Protection” means the level of protection to be provided for a particular Records Series.

“Record Authority” means the position responsible for determining the operational value of a particular Records Series and authorizing Approved Repositories.

“Records Series” means a classification of Records that are related by the function and activity they support.

“Records System” means the paper or electronic system that houses a given Records Series.

“Responsible Unit” means the unit that must ensure Official Copies of the University Records of a particular Records Series are retained in an Approved Repository for the full duration of their retention period and disposed of when eligible. This may be a particular unit, or it may be the originating unit if multiple units have responsibility for records in a Records Series.

“Retention Period”, “Retention” means the length of time Records in a Records Series must be retained before Disposition.

“Retention Trigger”, “Trigger” means the event that causes the Retention Period to start counting down.

“Description” means a description of the characteristics, functions and documents that make up the records in a Records Series.

“Source” means the origin(s) of a Records Series, whether another internal unit, or a third party.

“Transitory Copy” means an exact duplicate of the content of an Official Copy.

“University Record” means a fixed unit of information in any format that documents a transaction, decision or relationship made by the University. It has continuing value in the future to complete further work, to provide evidence, to serve as institutional memory of obligations, responsibilities, decisions and actions, or to document the unique character and history of the institution.

“Vital Record” means a University Record necessary to continue the core functions of the University.

Scope and authority

This Directive applies to all University Records.

The University Secretary and General Counsel, or successor thereof, is the Policy Owner and is responsible for overseeing the implementation, administration and interpretation of this Directive.

Directive

Transitory and Official Copies

1. Official Copies are subject to all of the rules and requirements of the Records Series.

2. Transitory Copies may be disposed of as soon as their value is complete, but must not be kept longer than their Retention Period. They are subject to the same method of disposition and access protections as Official Copies.

Functional categories of University Records

1. Campus Administrative Services (CAS)

   Consists of records related to services such as asset maintenance, facilities and inventory management, space planning, utilities, health and safety, and emergency management.

2. Compliance, Legal and Risk Management (CMP)
   Consists of records related to compliance including access to information and privacy, records management and mandated government reporting, legal matters including legal advice, litigation and claims and risk management. 

3. Finance (FIN)
   Consists of records relating to the management of the University’s finances including accounting, audits, banking, budgets, procurement, financial reporting and taxes.

4. Governance (GOV)
   Consists of records related to University policy and the bicameral governance of the University including meeting minutes and elections of the Board of Governors and Committees, Academic Council and Committees, Faculty Councils and PACIP.

5. Government, Community and Institutional Relations (GCIR)
   Consists of records related to enhancing the reputation of the University, establishing, strengthening and growing relationships and partnerships with all levels of government, business, other institutions and the community, donors, students and alumni, and marketing and promoting the University.

6. Human Resources (HUM)
   Consists of records related to employees, attendance and scheduling, employee relations, compensation, payroll, pension and benefits, recruitment and hiring, performance evaluation, training and development as well as search committees. Also includes records of Academic Affairs: Faculty Official Files, tenure and promotion, collective bargaining and grievances and arbitration.

7. Information Technology Services (ITS)
   Consists of records related to Information technology, including learning tools and other IT assets, software acquisition and the provision of access rights.

8. Local Administration (LAD)
   Consists of general records that may be applicable to all units. This section should serve as general guidelines if no other records series apply. If specific operational or compliance needs apply to certain records, those should be documented in a functional records series. 

9. Research (RES)
   Includes records related to the administration of research, including partnerships and collaboration applications and proposals, agreements, and projects.  Also includes records required for compliance with contractual and grant obligations, and research materials and data that have been licensed to the University by IP holders.

10. Students (STU)
    Includes records related to degree granting and to student academic performance including applications, admissions, discipline, grades, transcripts and communications.  Also included are records related to support services for students including accommodations, advising, employment and careers, exchange and international students, financial assistance, internships and orientation.

11. Teaching and Learning (TEA)
    Includes records related to faculty administrative and teaching functions such as accreditation, courses and curriculums, program reviews, scheduling and enrolment as well as student evaluations and the Library functions. Also includes institutional research and analysis to support student retention and other institutional goals.

Monitoring and review

This Directive will be reviewed as necessary each year to ensure that any new or changed operational or compliance obligations are considered.  The Records Management Coordinator, or successor thereof, is responsible to monitor and review this Directive.

Relevant legislation

Freedom of Information and Protection of Privacy Act, RSO 1990, c F.31

Other relevant legislation is documented within Records Series.

Related policies, procedures & documents

Records Management Policy

Records Disposition Procedure

Disposition Authorization Form

Document Imaging Policy

Access to Information and Protection of Privacy Policy