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Retention Schedule June 2012

Records Management & Archives Department

Retention Schedule

Records Management and Archives Department June 2012

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NOTE

Please take note that the retention schedule is currently under revision, and we are adding new rules as soon as they are approved. This is the reason why there is no logical order in the rule numbering so far. The update should be completed by the end of 2012. Should you not find the rule you are looking for or should you need help to apply the retention schedule, please contact the Records Management Team: Rachel Marion, Records Officer Nathalie Parant, Records Officer Éric Côté, Records Management Assistant 514 848-2424 #3487 514 848-2424 #2411 514 848-2424 #5921 [email protected] [email protected] [email protected]

TABLE OF CONTENTS

R02.001 Accounting Registers and Journals 5 R02.002 Accounts Payable 6 R02.003 Bank Transactions 7 R02.004 Budgets 8 R02.005 Accounts Receivable 9 R02.006 Investments, Loans and Guaranties 10 R02.007 Taxes 11 R02.008 Financial Statements and Reports 12 R02.009 Accounting Charts 13 R02.010 Student Accounts 14 R02.011 Restricted Funds – Financial Management 15 R02.012 Purchasing 16 R02.013 Research Grants – Financial Management 17 R02.014 Collection Files 18 R02.015 Supplier Files 19 R02.020 Private Estates Management 20 R03.001 Public Art Projects 21 R05.001 Committees and Meetings 22 R08.001 Concordia Events 23 R08.002 Conferences and Seminars – External 24 R11.004 Reference Documents 25 R11.005 Requests for General Information 26 R11.006 General Administrative Management 27 R16.001 Legal Deposit 28 R16.002 Academic Code of Conduct – Case files 29

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Retention Schedule


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R16.003 Student Tribunals 30 R16.004 Copyrights 31 R16.005 Trademarks and Industrial Design Certificates 32 R16.006 Requests for Access to Public Records and Personal Information 33 R16.007 Management of Personal Information Files 34 R16.008 Rights and Responsibilities – Case Files 35 R16.009 Ombudsperson – Case Files 36 R16.010 Group Insurance 37 R16.011 Legal Opinions and Legal Reviews 38 R16.012 Litigation Files 39 R16.015 Minor Contracts 40 R16.018 Licenses and Permits 41 R17.001 Records Management and Archives Management Programs 42 R17.002 Records Custody and Final Disposition 43 R17.003 Archives Holdings Management 44 R18.001 Concordia University Publications 45 R18.002 External Publications 46 R18.003 Concordia University Calendars 47 R18.004 Concordia University Calendars – Working Files 48 R19.001 Student Recruitment 49 R19.002 University Identification 50 R19.003 Promotional Material 51 R19.004 Media Coverage 52 R19.005 Internal News and Announcements 53 R19.007 Websites 54 R19.008 Media Relations 55 R20.001 External Relations 56 R23.001 University Student Awards, Bursaries and Scholarships 57 R25.006 Staff and Seniority Lists 58 R25.030 Union Activities 59 R25.032 Collectives Agreements 60 R25.033 Negotiation Files 61 R25.034 Grievance Files 62 R28.001 Statistics 63 R28.003 Enrolment Statistics and Reports 64 R29.001 Support Services for Students 65 R29.002 Support Services for Students – Case Files 66 R29.003 Services for Students with Disabilities 67 R29.004 Students with Disabilities – Case Files 68

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R29.005 Student Advocate Program – Case Files 69 R29.006 Student Orientation and Integration 70 R29.007 Health Services – Patient Files 71 R30.001 Loyola and Sir George Williams Student Academic Records 72 R30.002 Student Files 73 R30.004 Graduation Lists 74 R30.005 Applications for Medical or Deferred Notations or for Supplemental Examinations 75 R30.006 Diplomas 76 R30.007 Unclaimed Diplomas 77 R30.008 Applications for Replacement Degree – Defaced, Destroyed or Misplaced 78 R30.009 Applications for Replacement Degree – Change of Name, Sex or Birth Date 79 R30.010 Academic Standing - Case Files 80 R30.014 Requests for Student Status 81 R31.005 Examination Sessions 82 R31.006 Examination and Test – Questionnaires 83 R31.007 Student Assignments and Examinations 84 R31.008 Theses and Dissertations – Management 85 R31.009 Comprehensive Examinations 86 R32.001 Historical Evolution 87 R32.002 Administrative Organization and Structure 88 R32.003 Administrative Planning 89 R32.004 Reports, Studies and Analyses 90 R32.005 Delegation of Authority 91 R32.006 University Policies and Procedures 92 R32.008 Charter and By-Laws 93 2.408 Awards & Bursary - Payment Files 94 2.409 Saving Bonds Campaign Files 95

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R02.001 ACCOUNTING REGISTERS AND JOURNALS Records related to the management of the University accounting system achieved through the Financial Information System (FIS) and Human Resources Information System (HRIS). Records covered by this rule may include: general ledger (FIS), general journal (FIS), journal entries (FIS), cash or treasury journals (FIS), payroll registers (earnings and deductions)(HRIS), purchases journal and other auxiliary journals (FIS), journal vouchers (eg. cash register tapes), listings and limited reports used as working documents and supporting documentation. Copy Detail of records Unit Medium Retention Period Final Disposition Primary General ledger and journals Financial Services and

other responsible units Digital Fiscal year + 6 years Permanent retention in FIS

Primary Payroll registers Human Resources Digital Fiscal year + 6 years Permanent retention in HRIS

Primary Journal entries, listings and reports used

as working and supporting documents.

Financial Services and other responsible units

Digital / Paper Fiscal year + 6 years Destruction

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R02.002 ACCOUNTS PAYABLE Records related to the management of accounts payable achieved through the Financial Information System (FIS). Records covered by this rule may include: expense reports, cheque requisitions, petty cash records, vouchers, suppliers account files, copies of cheque issued, reports and lists generated by FIS related to accounts payable. See also, rule R02.015 SUPPLIER FILES. Copy Detail of

records Unit Medium Retention Period Final Disposition

Primary n/a Financial Services Digital/Paper Fiscal year + 6 years

Destruction

Secondary n/a Other units Digital/Paper 2 years Destruction

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R02.003 BANK TRANSACTIONS

Records related to the management of the University bank transactions. Records covered by this rule may include but are not limited to: bank deposit slips, bank statements, cheques (cashed, cancelled, returned, copies), reconciliation records and liquidity status, bank service fees records. Copy Detail of records Unit Medium Retention Period Final Disposition Primary n/a Financial Services

and other responsible units

Digital/Paper Fiscal year + 6 years

Destruction

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R02.004 BUDGETS Records related to the preparation, planning, control and follow-up of the University budgets and its formal components (operating funds, investment funds, research funds, special funds, trust funds) achieved through Financial Information System (FIS). Records covered by this rule may include: capital budget files, budget planning and forecast, approved budget, budget reports and any other documents related to the budgetary management and control including supporting documentation and notes; accounting statements including summary statements of revenue and expenditure, statements of surpluses and deficits, deviation analyses, summaries of transfers and additional budgets, reports on capital expenditures. Copy Detail of records Unit Medium Retention Period Final Disposition Primary Official version of approved budgets,

budget plans, investments plans, global statements of expenditures at fiscal year-end and detailed budget statements.

Financial Services Digital Fiscal year + 6 years Permanent retention in RM&A (if there are cumulative reports, only the last statement of the fiscal year will be retained).

Primary Supporting documentation and notes Financial Services Digital/Paper Fiscal year + 6 years

Destruction

Primary Periodical budget forecasts, correspondence, reports, supporting documents and notes.

Other units Digital/Paper Fiscal year + 1 year Destruction

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R02.005 ACCOUNTS RECEIVABLE Records related to the management of University accounts receivable and revenue controls achieved through the Financial Information System (FIS). Records are used in the follow-up payments made to the University by external clients in return for goods and services. Records covered by this rule are client files and may include: invoices, payment forms, receipts, copies of credit card slips. See also, rule R02.010 STUDENT ACCOUNTS. For collection of debt, see R02.014 COLLECTION FILES. Copy Detail of records Unit Medium Retention Period Final Disposition Primary n/a Financial Services and

responsible units


Destruction


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R02.006 INVESTMENTS, LOANS AND GUARANTEES Records related to the management of University investments, loans and guarantees such as: lines of credit, term loan contracts, mortgages, forward exchange contracts, swap contracts, issues of bonds or debentures, share certificates, term deposits and investment or deposit certificates. Records covered by this rule may include: daily statement funds, investment statements, confirmations of notices, deposit and withdraw forms, deposit interest statements, bank statements, management review reports. For Human Resources Pension Investments, see rule R25.019 PENSION PLAN. For investments plans, see rule R02.004 BUDGETS. Copy Detail of records Unit Medium Retention Period Final Disposition Primary n/a Financial Services Digital/Paper Until expiration of loans, investments

and guarantees + 7 years Destruction

Note: research value is ensured by the retention of investments plans and reports included in the budget retention rule.

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R02.007 TAXES Records related to taxes levied by various levels of government. Records covered by this rule may include: declarations or recoveries of Québec Sales Tax (QST) and Goods and Services Tax (GST) payments (claims, tax statements), transaction reports, excise tax remittance and notices, municipal taxes, school taxes, records dealing with the issue of charitable receipts (including registration numbers). Copy Detail of records Unit Medium Retention Period Final Disposition Primary n/a Financial Services /

Advancement and Alumni Relations


Destruction

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R02.008 FINANCIAL STATEMENTS AND REPORTS Records related to the analysis, control and auditing of the University financial statements. Records covered by this rule may include: financial reports and statements, annual financial statements approved by external auditors, auditor’s reports including their comments, recommendations and follow-up; annual financial forms submitted to Québec government, calculations and supporting documents used to prepared financial statements (eg. fixed assets calculations). Copy Detail of records Unit Medium Retention Period Final Disposition Primary n/a Financial Services Digital/Paper Annual fiscal year + 6 years Permanent retention in RM&A of annual financial

statements, annual cumulative financial reports, annual financial forms submitted to Quebec

government and audit reports.

Destruction of remaining documents.


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R02.009 ACCOUNTING CHARTS Records related to the management of the University accounting charts through the Financial Information System (FIS). Copy Detail of records Unit Medium Retention Period Final Disposition Primary n/a Financial Services Digital Until replacement by a new version

Permanent retention in FIS

Primary n/a Financial Services Paper As long as needed

Destruction

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R02.010 STUDENT ACCOUNTS Records related to the control of invoicing and management of tuition fees and other fees payable by students. The management is achieved through Student Information System (SIS) and Financial Information System (FIS). Records covered by this rule may include: correspondence, tuition refund documents (requests, copies of final decision letters tuition) and enrolment tax receipts, reports, student account statements and supporting documents. For student collection files, see R02.014 COLLECTION FILES.

Copy Detail of records Unit Medium Retention Period Final Disposition Primary n/a Financial Services Digital/Paper 2 years after final payment of account + 5 years

Destruction

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R02.011 RESTRICTED FUNDS – FINANCIAL MANAGEMENT Records related to the financial management of restricted funds administrated by the University, such as: research funds, designated funds (scholarship, bursaries), trusts, capital funds (buildings and equipment) and agency funds. Administrative management of restricted funds is covered under separate rules. Records covered by this rule may include: account applications and account statements, financial reports, notification of fund number, budget modifications and vouchers used for budget control of grants and contracts. See also, rule R02.013 RESEARCH GRANTS - FINANCIAL MANAGEMENT. Copy Detail of records Unit Medium Retention Period Final Disposition Primary n/a Financial Services Digital/Paper 7 years following end of use of

fund concerned Destruction

Note: Research value is ensured by the retention of summary reports and objectives of each fund.

Retention Schedule


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R02.012 PURCHASING Records related to the acquisition by payment of goods and services. Records covered by this rule may include: purchase orders (PO), purchase requisitions and approvals, receipts, delivery orders, import and export customs records, acknowledgements of receipt of goods and in-process files. For suppliers account files, see rule R02.002 ACCOUNTS PAYABLE.

Copy Detail of records Unit Medium Retention Period Final Disposition Primary n/a Financial Services Digital/Paper 7 years after the transaction Destruction

Secondary n/a All units Digital/Paper Fiscal year + 1 year Destruction

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R02.013 RESEARCH GRANTS - FINANCIAL MANAGEMENT Records related to financial management of research grants accepted. Records covered by this rule may include: research budget account openings, financial reports, budget amendments, grant cheque stubs and all supporting documents required for the control of research grant budgets. For administrative management of grant application, see rule R22.005 GRANTS APPLICATIONS.

Copy Detail of records Unit Medium Retention Period Final Disposition Primary n/a Financial Services Digital/Paper 7 years after the end of research project

Destruction

Secondary n/a All units Digital/Paper 2 years after the end of research project Destruction

Retention Schedule


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R02.014 COLLECTION FILES Records related to collection of any outstanding amounts due to the University, not involving legal process. This rule applies to tuition fees. Records covered by this rule include: individual case files, collections agencies documents and statistical analyses. For collection of debt involving legal process, see rule R16.002 LITIGATION FILES.

Copy Detail of records Unit Medium Retention Period Final Disposition Primary n/a Responsible unit Digital/Paper 1 year after the debt is discharged + 6 years

Destruction

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R02.015 SUPPLIER FILES Records related to supplier files created by various University units and used as a reference for acquisition of goods and services. Records covered by this rule may include: catalogue, flyers and price lists. For requisitions and in-process files, see rule R02.012 PURCHASING. See also, R02.002 ACCOUNTS PAYABLE.

Copy Detail of records Unit Medium Retention Period Final Disposition Primary n/a Responsible unit Digital/Paper Until replacement by a new version Destruction

Retention Schedule


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R02.020 PRIVATE ESTATES MANAGEMENT Records related to the management of private estates such as Max Stern and Diniacopoulos Estates.

Copy Detail of records Unit Medium Retention Period Final Disposition Primary n/a Special Projects

and Cultural Affairs Digital/Paper As long as current + 7years Selection: Permanent retention in RM&A of

legal records and significant records documenting the content of the estate. Destruction of remaining records.

Secondary n/a Other units Digital/Paper As long as current Destruction

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R03.001 PUBLIC ART PROJECTS Records related to art works acquired by the University. Records covered by this rule may include: individual files of the finalists and the chosen artists; acquisition contracts, agreements; photographs and project descriptions; installation and maintenance specifications. For maintenance contracts see rule (under development).

Copy Detail of records Unit Medium Retention Period Final Disposition Primary n/a Special Projects

and Cultural Affairs Digital/Paper 10 years after the realization of the project Permanent retention in RM&A


Retention Schedule


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R05.001 COMMITTEES AND MEETINGS Records related to meetings of University academic and administrative bodies or units, such as: committees, task forces, working groups and caucuses. To include organization, discussions, deliberations and follow-up. Records covered by this rule may include: schedules of meetings, notices of meetings; agendas, supporting documentation, minutes, resolutions; status reports; documents discussed, adopted or filed for information; notes, requests for corrections and correspondence. For minutes and supporting documentation of Senior Administration and Governing Bodies, see rule R05.002 SENIOR ADMINISTRATION AND GOVERNING BODIES - MEETINGS (under development).

Copy Detail of records Unit Medium Retention period Final Disposition Primary n/a Responsible unit Digital/Paper Current year + 1 year

Note: paper copy deposited in the Archives for 5 years.

Selection: permanent retention in RM&A of records related to meetings. Destruction of records related to meetings preparation (proposed agenda items, notification of meeting).


Retention Schedule


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R08.001 CONCORDIA EVENTS Records related to official ceremonies and other events organized or held by the University, such as: convocations, President and Chancellor installations, openings of buildings, commemorations, launches, alumni activities and donors and staff recognition events, conferences, seminars, forums and other academic, social or cultural activities. Records covered by this rule may include: programs and orders of proceedings, lists of participants of official ceremonies, guest books, texts of addresses and speeches, promotional materials, press clippings, photographs and specimens of prizes; acts of colloquia and kits given to participants.

Copy Detail of records

Unit Medium Retention period Final Disposition

Primary n/a Responsible unit Audiovisual/Digital/Paper 5 years after the event

Permanent retention in RM&A

Secondary n/a Other units Audiovisual/Digital/Paper 2 years Destruction

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R08.002 CONFERENCES AND SEMINARS - EXTERNAL Records related to conferences, seminars and colloquia held outside the University and attended by one or more members of the University for professional development. Records covered by this rule may include: programs, proceedings, kits given to participants, activity reports prepared by the University member. For conferences and seminars organized or held by the University, see rule R08.001 CONCORDIA EVENTS. For records related to interactions between the University and external organizations, see rule R20.001 EXTERNAL RELATIONS.


Unit Medium Retention period Final Disposition

Primary n/a Responsible unit

Audiovisual/ Digital/Paper

5 years after the event

Permanent retention in RM&A of programs and activity reports prepared by the University member. Destruction of remaining documents.

Secondary n/a Other units Digital/Paper 1 year Destruction

Retention Schedule


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R11.004 REFERENCE DOCUMENTS Documents whose subject matter may vary from unit to unit according to their needs and specific activities. Records covered by this rule may include: publications, press clippings, extracts from books, articles, brochures, catalogues, technical records, manuals, legislation and regulations.

Copy Detail of records Unit Medium Retention Period Final Disposition Primary n/a Responsible unit Digital/Paper As long as needed.

Note: these records are never sent to RM&A.

Destruction

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R11.005 REQUESTS FOR GENERAL INFORMATION Records related to requests of general or specific interest addressed by persons or external organizations to the University. For information requests requiring the generating of reports, statistics or new sets of information that may have further usefulness or, that document the main activities of the University, see appropriate rules. For requests related to access to public records and personal information, see rule R16.006 REQUESTS FOR ACCESS TO PUBLIC RECORDS AND PERSONAL INFORMATION. Copy Detail of records Unit Medium Retention Period Final Disposition

Primary n/a Responsible unit Digital/Paper 1 year Destruction

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R11.006 GENERAL ADMINISTRATIVE MANAGEMENT Records related to the overall management and coordination of administrative and academic units of the University. To include records made, received and used in support of their programs, functions, activities and operations. This is a default retention rule covering all university departmental records not scheduled under a more specific retention rule. Records covered by this rule may include: general correspondence, civilities and greetings (condolences, thanks, etc.), meeting notes, short-term action plans and follow-up, preliminary statistics, drafts, proposals and working documents, instructions to staff, budget control and transaction records, work schedules, work orders, notices, memoranda, contacts and distribution lists, rooms reservation, multiple copies of document, templates, blank forms, social activity for employees, business trip organization, etc.

Copy Detail of records Unit Medium Retention Period Final Disposition Primary n/a Responsible unit Digital/Paper 2 years

Destruction

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R16.001 LEGAL DEPOSIT Records related to legal deposit with Library and Archives Canada (LAC) and Bibliothèque et Archives nationales du Québec (BAnQ) of documents published by the University. Records covered by this rule may include: correspondence, administrative forms and legal deposit certificates.

Copy Detail of records Unit Medium Retention period Final Disposition Primary n/a Responsible unit Digital/Paper 1 year

Selection: permanent retention in RM&A of legal deposit certificates.


Retention Schedule


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R16.002 ACADEMIC CODE OF CONDUCT – CASE FILES Records related to allegations, falling under the University Academic Code of Conduct, of academic dishonesty by a student. Records covered by this rule may include: incident reports, complaints, inquiries, charges, correspondence with the parties involved, supporting documentation; Dean notifications, recommendations and reports to Senate; and applications to appeal. For records related to hearings and records held by the Secretary of Student Tribunals, see rule R16.003 STUDENT TRIBUNALS. For records related to decision letters residing in student’s files see rule R30.002 STUDENT FILES. See also rule R29.005 STUDENT ADVOCATE PROGRAM-CASE FILES.

Copy Detail of records Unit Medium Retention Period Final Disposition Primary Case files

upheld

Deans of Faculties or Schools

Digital/Paper Until final appeal date + 80 years

Destruction

Primary Case files upheld

Enrolment Services Digital/Paper Until graduation of the student + 3 years

Note: Research value is ensured by retention of Dean report or notification in student file.

Destruction

Primary Case files dismiss

Faculties Enrolment Services

Digital/Paper Until rejection or withdrawal of complaint Destruction

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R16.003 STUDENT TRIBUNALS Records related to proceedings of academic hearings panels, appeal panels and other student tribunals. Records covered by this rule may include: students’ case file, audio-tapes of hearings; applications to appeal; sanctions and closing statements; rules of procedure and Secretary annual reports. For annual reports detailing the number of charges prepared by the Secretary, see rule R32.004 REPORTS, STUDIES AND ANALYSIS. For records residing in student files, see rule R30.002 STUDENT FILES. See also rule R29.005 STUDENT ADVOCATE PROGRAM-CASE FILES.

Copy Detail of records Unit Medium Retention Period Final Disposition Primary n/a Office of General

Counsel

Digital/Paper Until closure of the file + 80 years

Destruction

Primary Audio-tapes of Hearings

Office of General Counsel

Audiovisual / Digital Until closure of the file + 5 years

Destruction

Primary n/a Hearing Panel Members

Digital/Paper As soon as the case is close Destruction

Secondary n/a Other units Digital/Paper As soon as the case is close Destruction

Retention Schedule


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R16.004 COPYRIGHTS Records related to copyrights for which the University holds the rights. To include records related to the rights for consultation and use on behalf of the University faculty, staff and students. Records covered by this rule may include: copyrights for works produced or acquired by the University; copyright permission clearances, assignments of

rights, licences or authorizations relating to copyright in the University’s name for manuscripts, software, photographs and audio or video recordings.

Copy Detail of records Unit Medium Retention Period Final Disposition Primary Copyrights Responsible unit Digital/Paper 50 years following author’s decease

Permanent Retention in RM&A

Primary Temporary

permissions to use copyrights material

Responsible unit Digital/Paper Term of use + 6 years

Destruction

Secondary Copyrights files Office of the General Counsel

Digital/Paper 50 years following author’s decease

Permanent Retention in RM&A

Note: access is strictly reserved to the Office of the general Counsel.

Secondary n/a Other units Digital/Paper As long as the agreement is in effect + 1 year

Destruction

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R16.005 TRADEMARKS AND INDUSTRIAL DESIGN CERTIFICATES Records related to registrations establishing legal ownership of trademarks and industrial designs for which the University holds the rights. Records covered by this rule may include: applications for registration and certificates of ownership. For University official marks, see rule R19.002 UNIVERSITY IDENTIFICATION

Copy Detail of records Unit Medium Retention Period Final Disposition Primary Trademarks Responsible unit Digital/Paper Until the last renewal of certificate

+ 15 years Permanent retention in RM&A of certificates.

Destruction of applications.

Primary Industrial design

Certificates Responsible unit Digital/Paper Until the last renewal of certificate

+ 10 years Permanent retention in RM&A of certificates.

Destruction of applications.

Secondary n/a Office of the

General Counsel Digital/Paper Until the last renewal of certificate Permanent retention in RM&A

Note: access is strictly reserved to the Office

of the General Counsel.

Retention Schedule


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R16.006 REQUESTS FOR ACCESS TO PUBLIC RECORDS AND PERSONAL INFORMATION Records related to requests for access to University public records and requests for personal information held by the University. Records covered by this rule may include: requests for access, correction or review, acknowledgements of receipt, replies from the person in charge of access to records and decisions by the Commission d'accès à l'information du Québec (Quebec's access commission) specifically related to the University. See also rule R16.007 MANAGEMENT OF PERSONAL INFORMATION FILES

Copy Detail of records Unit Medium Retention Period Final Disposition Primary n/a Vice-President

Institutional Relations and Secretary-General

Digital/Paper Until closeout of files + 10 years

Permanent retention in RM&A of decisions by the Commission d'accès à l'information du

Québec.

Secondary n/a Other units Digital/Paper Until closeout of files Destruction

Retention Schedule


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R16.007 MANAGEMENT OF PERSONAL INFORMATION FILES Records related to the management of personal information files kept by the University. Records covered by this rule may include: declarations of personal information files to Quebec's access commission, agreements between public bodies for the transmission of personal information, authorizations by Quebec's access commission and personal information file consultation logs. See also rule R16.006 REQUESTS FOR ACCESS TO PUBLIC RECORDS AND PERSONAL INFORMATION

Copy Detail of records Unit Medium Retention Period Final Disposition Primary n/a Office of the General

Counsel Digital/Paper As long as the records are in effect

+ 6 years Permanent retention in RM&A

Note: access is strictly reserved to the Office of the General Counsel.

Retention Schedule


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R16.008 RIGHTS AND RESPONSIBILITIES – CASE FILES Records related to unacceptable behaviours identified in the University Code of Rights and Responsibilities. Records are associated with complaint resolution process and/or corrective measures. Records covered by this rule may include: information requests, incident reports, complaints, submission of supporting documentation, short-term interventions, referrals and consultations not requiring formal complaints, charges, notices of hearings, intake forms, applications to appeal and results. For Code of Rights and Responsibilities, see rule R32.006 UNIVERSITY POLICIES AND PROCEDURES. For advisor annual report, see rule R32.004 REPORTS, STUDIES AND ANALYSES. See also rule R16.002 ACADEMIC CODE OF CONDUCT – CASE FILES. See also rule R16.003 STUDENT TRIBUNALS.

Copy Detail of records Unit Medium Retention Period Final Disposition Primary Case files Office of Rights and

Responsibilities

Digital/Paper 10 years following last activity in the file

Destruction Note: research value is ensured by retention of statistical information contains in annual reports.

Secondary n/a Other units Digital/Paper 2 years following last activity in the file

Destruction

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R16.009 OMBUDSPERSON – CASE FILES Records related to management of complaints deposited at Ombuds Office in regard of the application of policies or regulations of the University. Records are associated with complaint resolution process, corrective measures and actions of the University Ombudsperson. Records covered by this rule are organized as individual case files and may include: complaints, case notes and decision letters; and master lists. For Ombudsperson recommendations and reports, see rule R32.004 REPORTS, STUDIES AND ANALYSES.

Copy Detail of records Unit Medium Retention Period Final Disposition Primary Case files Ombuds Office Digital/Paper Until settlement of the case

+ 10 years Destruction

Note: Research value is ensured by retention of Ombudsperson recommendations and statistics included in annual reports.

Primary Master list Ombuds Office Digital/Paper 10 years Destruction Note: Research value is ensured by retention of annual reports.

Replaces rule: 19.4 Master list of cases, 19.5 Ombuds Office annual report, 19.6 Ombuds Office Client Files, 19.7 Ombuds Office Reports

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R16.010 GROUP INSURANCE Records related to group insurance contracts such as: life, salary, accident, illness, and dental. To include insurance plans for international students. Records covered by this rule may include: contracts and amendments; lists of insured parties, renewals and premium billings. See also rule R25.016 BENEFITS PROGRAMS. See also rule R25.017 BENEFITS - EMPLOYEE FILES. For other insurance contracts (ex. civil liability), see rule R16.014 INSURANCE CONTRACTS.

Copy Detail of records Unit Medium Retention Period Final Disposition Primary n/a Responsible unit Digital/Paper Retain as long as insurance

contracts are in effect or until all claims are settled + 7 years.

Destruction


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R16.011 LEGAL OPINIONS AND LEGAL REVIEWS Records related to legal opinions and advices necessary for the conduct of the University operations issued by the Office of the General Counsel or external bodies.

Copy Detail of records Unit Medium Retention Period Final Disposition Primary n/a Office of the

General Counsel

Digital/Paper Until settlement of the issue or as long as the legal advice

remains operative or in force + 10 years


Note: the right of consultation is strictly reserved to the Office of the General Counsel.

Secondary n/a Other units Digital/Paper Until settlement of the issue or

as long as the legal advice remains operative or in force

Destruction

Retention Schedule


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R16.012 LITIGATION FILES Records related to legal matters dealt with or submitted to a court of law or an administrative tribunal for or against the University. Records covered by this rule are organized as individual case files and may include: legal correspondence and pleadings, statements, demands, directions, defence, actions, briefs, subpoenas and notices to appear, orders, discharges, rulings, certified transcripts of out-of-court testimony, written submissions, arguments, transactions, discharges and judgments.

Copy Detail of records Unit Medium Retention Period Final Disposition Primary n/a Office of the

General Counsel

Digital/Paper Until full settlement of proceedings, including right to appeal or until the execution of judgments + 10 years



Retention Schedule


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R16.015 MINOR CONTRACTS Records related to contracts for minor purchases and services (under 20,000$). Records covered by this rule may include: negotiation files, contract studies, contracts, guarantee and pre-sale inspection files. See also rule R16.016 MAJOR CONTRACTS. See also rule R02.012 PURCHASING.

Copy Detail of records Unit Medium Retention Period Final Disposition Primary n/a Responsible unit Digital/Paper For the duration of the contract + 10 years

Destruction

Secondary n/a Other units Digital/Paper For the duration of the contract Destruction

Retention Schedule


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R16.018 LICENSES AND PERMITS Licences and permits necessary for the conduct of some activities of University units, such as alcohol permits. For licenses related to copyrights, see rule R16.004 COPYRIGHTS. For construction permits (rule under development).

Copy Detail of records Unit Medium Retention Period Final Disposition Primary n/a Responsible unit Digital/Paper As long as the license or permit is valid + 3 years

Destruction

Retention Schedule


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R17.001 RECORDS MANAGEMENT AND ARCHIVES MANAGEMENT PROGRAMS Records covered by this rule may include: retention schedules, classification plans, preservation programs for archival records and records management of vital records.

Copy Detail of records Unit Medium Retention Period Final Disposition Primary n/a RM&A Digital/Paper Until its replacement by a new version Permanent retention in RM&A.

Retention Schedule


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R17.002 RECORDS CUSTODY AND FINAL DISPOSITION Records related to University records transfer to the Records Management and Archives Department for custody and their final disposition. Records covered by this rule may include: box listings, lists of University administrative and academic units and lists for each unit of employees with permission to consult and retrieve records (access authorization forms), and destruction approval forms.

Copy Detail of records Unit Medium Retention Period Final Disposition Primary Lists of depositors RM&A Digital/Paper Until replacement by a new version


Primary Access authorization

forms

RM&A Digital/Paper Until replacement by a new version

Destruction

Primary Box listings RM&A Digital/Paper Until destruction of the box

Destruction

Primary Records disposition approval forms

RM&A Digital/Paper 10 years

Destruction

Secondary Box listings and disposition approval

forms

Depositor units Digital/Paper 1 years

Note: copies of box listings are destroyed as soon as the approval form has been sent to RM&A.

Destruction

Retention Schedule


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R17.003 ARCHIVES HOLDINGS MANAGEMENT

Records related to the transfer, conservation, processing, consultation and diffusion of archival holdings, private and institutional fonds, under custody of the Records Management and Archives Department. Records covered by this rule may include: acquisition and management files with accession forms, monetary appraisals, consultation authorizations, donation contracts and understandings; processing files, listings of records including files description and finding aids.

Copy Detail of records Unit Medium Retention Period Final Disposition Primary n/a RM&A department Digital/Paper As long as records are under RM&A

custody Permanent retention

Note: When a private fonds be no longer under custody of RM&A, permanent retention of acquisition and administration files only.

Retention Schedule


of 95

R18.001 CONCORDIA UNIVERSITY PUBLICATIONS Records related to administrative, academic and educational publications produced by the University. To include records dealing with the preparation, production and distribution of the publications. Records covered by this rule may include: handbooks, newspapers, newsletters, bulletins, guidelines, policy statements, procedure manuals, brochures, annual reports, posters, books, periodicals, monographs, learned or scientific publications and any other documentation published by a unit in the course of its activities; manuscripts and photographs; files of publishing projects accepted or rejected (forms, grant applications, submissions, publicity); published texts. For University Calendars, see rule R18.003 CONCORDIA UNIVERSITY CALENDARS.

Copy Detail of records Unit Medium Retention period Final Disposition Primary n/a Responsible unit Digital/Paper As long as needed + 2 years

Permanent retention in RM&A: 2 copies of all printed and published material and selection of significant supporting documentation.

Secondary n/a Other units Digital/Paper As long as needed Destruction

Retention Schedule


of 95

R18.002 EXTERNAL PUBLICATIONS

Records related to all types of publications originating from external bodies and used for reference or information purposes. Records covered by this rule may include: books, magazines and periodicals, notices, reports, brochures, bulletins, newsletters, calendars. For internal publications see rule R18.001 CONCORDIA UNIVERSITY PUBLICATIONS.

Copy Detail of records Unit Medium Retention period Final Disposition Primary n/a All units

Digital/Paper As long as needed Destruction

Retention Schedule


of 95

R18.003 CONCORDIA UNIVERSITY CALENDARS Records related to Concordia University annual Calendars. Calendars are official publications compiling information, such as: academic calendars, University mission statement and regulations, admissions and financial aid information, descriptions of academic and support services, lists of governing bodies, descriptions of programs and courses within each Faculty, the School of Graduate Studies and the Centre for Continuing Education. Records covered by this rule include: final version of Calendars. See also rule R18.004 CONCORDIA UNIVERSITY CALENDARS – WORKING FILES. For other University publications, see rule R18.001 CONCORDIA UNIVERSITY PUBLICATIONS.

Copy Detail of records Unit Medium Retention Period Final Disposition Primary n/a Enrolment Services

School of Graduate Studies Centre for Continuing Education

Digital/Paper Digital copies (PDF) of final version of Calendars are to be deposited in the Archives as soon as produced. Permanent retention of final version of Calendars, paper and digital format (PDF), in the Office of the Registrar, the School of Graduate Studies and the Centre for Continuing Education.


Note: RM&A will migrate digital copies of Calendars to preservation quality format.

Secondary n/a Other units Digital/Paper Until replacement by a new version Destruction

Retention Schedule


of 95

R18.004 CONCORDIA UNIVERSITY CALENDARS – WORKING FILES

Records related to the editing of Concordia University annual Calendars. Records covered by this rule may include: tracking of curriculum changes; page proofs with edits and preliminary versions; correspondence and working documents. See also rule R18.003 CONCORDIA UNIVERSITY CALENDARS.

Copy Detail of records Unit Medium Retention Period Final Disposition Primary n/a Enrolment Services /

School of Graduate Studies/ Centre for Continuing Education

Digital/Paper 10 years

Destruction

Retention Schedule


of 95

R19.001 STUDENT RECRUITMENT Records related to the organization of promotional activities for the purpose of recruiting new students, such as: visits of recruitment officers to institutions and participation at information fairs; open house activities and campus tours. Records covered by this rule may include: planning records, calendar of activities; display material, audiovisual presentations and information material, such as: brochures, posters, CDs and videos; information kits; activity reports, correspondence and working documents. For records related to publicity and advertising in the media or posted in public places, see rule R19.003 PUBLICITY AND MARKETING.

Copy Detail of records Unit Medium Retention Period Final Disposition Primary n/a Responsible unit Audiovisual/


Selection: permanent retention in RM&A of records documenting the substance of recruitment activities.

Secondary n/a Other units Audiovisual/ Digital/Paper

Until the end of activities

Destruction

Retention Schedule


of 95

R19.002 UNIVERSITY IDENTIFICATION Records related to definition, design and modification of all forms of official corporate identification of the University. Records covered by this rule may include: depictions of the University name (signs, official stationery), the University logo, signatures and related insignia; graphic standards; the University coat of arms, mottos, seals, colours, anthems, flags and emblems. Copy Detail of records Unit Medium Retention Period Final Disposition Primary n/a University Communications

Services Audiovisual Media

Digital/Paper/Object Until replacement by a new

version


Secondary n/a Other units Audiovisual Media Digital/Paper/Object

As long as needed Destruction

Retention Schedule


of 95

R19.003 PROMOTIONAL MATERIALS Records related to design and production of promotional materials used by the University to promote its activities and special projects. Records are associated with publicity campaigns and marketing activities. This rule applies to the following medium and formats: pictures, photographs, printed materials, audiovisual materials (still images, sound recordings, sound clips and moving images), multimedia (audio podcasts, videos, and webcasts), objects and artifacts. Records covered by this rule may include: templates, page proofs, preliminary and final versions of promotional materials (folders, posters, brochures, displays and objects) published in the print and electronic media and/or posted in public places; schedules and technical specifications. Records covered by this rule may also include: proofs, out-takes, video footage, preliminary and final versions of promotional videos, pre and post production, video spots, author waivers and Concordia release forms; records supplying information on the nature, contents and production, such as: research materials, scripts, interviews and story boards. See also, rule R19.007 WEBSITES. Copy Detail of records Unit Medium Retention Period Final Disposition Primary Final version of

productions University

Communication Services, other

responsible units or external supplier

Audiovisual Media / Digital/Object/Paper

Until the production is completed + 3 years

Permanent retention in RM&A of final version, distribution copy of completed audiovisual and multimedia productions, materials that may be reusable in other productions, author waivers and Concordia release forms, significant research materials, scripts, interviews and story boards. Destruction of technical specifications and preliminary versions.

Secondary Access copies of final version of productions.

Other units Audiovisual Media / Digital/Object/Paper

As long as needed Destruction

Retention Schedule


of 95

R19.004 MEDIA COVERAGE Records related to news coverage of University activities in the specific targeted media or mass media. Records covered by this rule may include: media coverage reports, articles, press clippings, selected audiovisual extracts from radio and television news programs and online media. For press releases and press conferences, see rule R19.008 MEDIA RELATIONS. For news and announcements intended for members of the University, see rule R19.005 INTERNAL NEWS AND ANNOUNCEMENTS. Copy Detail of records Unit Medium Retention Period Final Disposition Primary n/a University Communications

Services Audiovisual Media/

Digital/Paper 2 years Permanent retention in RM&A

Note: selection to be done by the Records Management and Archives Department. Only significant events news coverage will be retain.

Secondary n/a Other units Audiovisual Media/ Digital/Paper

1 year Destruction

Retention Schedule


of 95

R19.005 INTERNAL NEWS AND ANNOUNCEMENTS Records related to internal news and announcements informing all members of the University. Records covered by this rule may include: announcements published on University websites and posted on network communication systems (listservs and Digital Information Screens - DIS), preliminary and final versions of notices. For press releases and press conferences, see rule R19.008 MEDIA RELATIONS. Copy Detail of records Unit Medium Retention Period Final Disposition Primary n/a University Communications

Services and other responsible units

Digital 2 years Permanent retention in RM&A of final version of important announcements and news.

Secondary n/a Other units Digital As long as current Destruction

Retention Schedule


of 95

R19.007 WEBSITES Records related to the creation, development and updating of University website(s). Records covered by this rule may include: templates, presentation pages and static elements (i.e. information texts); records associated with management of dynamic elements such as databases and utilization of content management software; audiovisual materials embedded in websites, pictures, University websites lists, and website graphic presentation standards manuals. For information content presented on websites and, records collected, transmitted or exchanged through University websites, see appropriate retention rules related to these records. See also rule R19.003 PROMOTIONAL MATERIALS. Copy Detail of records Unit Medium Retention Period Final Disposition Primary n/a University

Communication Services and other

creator units

Audiovisual Media/Digital

Until replacement by a new version or application of major changes

+ 1 year

Permanent retention in RM&A of website structure and appearance,

lists of University websites and graphic presentation standards

manuals.

Retention Schedule


of 95

R19.008 MEDIA RELATIONS Records related to public statements (press releases and press conferences) released by the University to the media and intended to inform the general or specific targeted publics about University policies, programs and activities. Records covered by this rule may include: interviews, speeches, press conferences, press releases, press lines, lists of contact persons, invitations, photographs, press kits and promotional materials. Copy Detail of records Unit Medium Retention Period Final Disposition Primary n/a University Communications

Services and other responsible units.

Audiovisual Media/Digital/Paper

5 years Permanent retention in RM&A

Retention Schedule


of 95

R20.001 EXTERNAL RELATIONS

Records related to relations between senior University representatives and external organizations, such as: relation with governments, representation on external committees, involvement in the organization of joint activities and participation at social activities. Records covered by this rule may include: strategies, statistics and reports required by various governmental authorities, position papers and proposals; minutes, official correspondence, programs, addresses and speeches, proceedings and activity reports. See also rule COOPERATION AND PARTNERSHIP (rule under development).

Copy Detail of records Unit Medium Retention Period Final Disposition Primary n/a Responsible unit Digital/Paper As long as current

+ 5 years Permanent retention in RM&A of strategies, position papers and propositions submitted to governments, statistics and reports; addresses and speeches. Selection of programs and official correspondence. Destruction of remaining records.


Retention Schedule


of 95

R23.001 UNIVERSITY STUDENT AWARDS, BURSARIES AND SCHOLARSHIPS Records related to the management of student applications and operations of selection committees for awards, bursaries and scholarships awarded by the University to students including scholarships established by various donors and sponsors. Records covered by this rule may include: program descriptions; student applications and supporting documentation (letters of reference, statements of interest), notifications of acceptance, selection committees evaluations and recommendations, detailed lists of selected candidates and all case files created in the various departments in the course of processing applications; status reports statistics and correspondence. For researches subsidized by outside organizations and governments, see rule R22.008 and R22.009 RESEARCH GRANT APPLICATIONS (under development).

Copy Detail of records Unit Medium Retention Period Final Disposition Primary Programs description, detailed lists of

grants holders, summary tables of evaluations from selection committees and statistics.

Responsible unit Digital/Paper 6 years Permanent retention in RM&A

Note: Letters of acceptation reside in individual student files in SIS (Student Information System).

Primary Candidate files, supporting

documentation and working files.

Responsible unit Digital/Paper 6 years Destruction

Primary Candidates - Refused

Responsible unit Paper 1 year Destruction


Retention Schedule


of 95

R25.006 STAFF & SENIORITY LISTS Records covered by this rule may include: lists of administrative personnel, seniority lists and cumulative listings of faculty appointments.

Copy Detail of records Unit Medium Retention Period Final Disposition Primary n/a Responsible unit Digital/Paper Until its replacement by a new version Permanent retention in RM&A

Secondary n/a Other units Digital/Paper As long as needed Destruction Replaces rule: n/a

Retention Schedule


of 95

R25.030 UNIONS ACTIVITIES Records covered by this rule may include: identification of union delegates and executive members, requests and advice for leave for union activities, statistics and reports related to number of hours used for union activities. See also rules R28.001 STATISTICS and R32.004 REPORTS, STUDIES AND ANALYSIS

Copy Detail of records Unit Medium Retention Period Final Disposition Primary Lists of union delegates and

executive members

Human Resources Digital/Paper Until replacement by a new version + duration of the next two collective

agreements

Destruction

Primary Leaves for union activities Human Resources Digital/Paper I year

Destruction

Secondary n/a Other units Digital/Paper 1 year Destruction Replaces rule: 23.12

Retention Schedule


of 95

R25.032 COLLECTIVE AGREEMENTS Records covered by this rule may include: original copies of collective agreements, letters of agreement attached and documents relating to the interpretation of collective agreements. See also rule R25.033 NEGOTIATION FILES

Copy Detail of records Unit Medium Retention Period Final Disposition Primary n/a Human Resources Digital/Paper Permanent retention of 1 signed copy in

Human Resources


Secondary n/a Other units Digital/Paper Until replacement by a new version

Destruction

Retention Schedule


of 95

R25.033 NEGOTIATION FILES Records covered by this rule may include: mandates, bargaining files, exchange of proposals, strategy records, proceedings of bargaining sessions, legal opinions, cost projections, lists of employees, etc. See also rule R25.0032 COLLECTIVES AGREEMENTS

Copy Detail of records Unit Medium Retention Period Final Disposition Primary n/a Human

Resources Digital/Paper Until collective agreements signature

+ Duration of the next 2 collective agreements

Selection: permanent retention in RM&A of documents necessary to understand negotiation progress. Destruction of working documents.

Secondary n/a Other units Digital/Paper Until collective agreements signature Destruction

Retention Schedule


of 95

R25.034 GRIEVANCE FILES Records related to grievances, arbitrations, adjudications, and complaints under labour code, complaints of harassment and other labour disputes for unionized and non-unionized employees. Records covered by this rule may include: grievance forms; settlements, reports of hearings, letters of agreement, legal action or procedures, legal decisions, injunctions; definitions of essential services and press files. See also rule R25.035 LABOUR RELATION – CASE FILES


Unit Medium Retention Period Final Disposition

Primary n/a Human Resources

Digital/Paper Until case is closed + 5 years

Selection: permanent retention in RM&A of decisions, arbitration, judgements and significant records on major labour disputes. Notes: Records related to disciplinary measures should be destroyed immediately after the expiry of the retention period set out in the collective agreement concerned on the griever’s employee file.

Primary

n/a Legal Counsel Digital/Paper Until case is closed + 10 years



Secondary n/a Other units Digital/Paper Until case is closed Destruction Replaces rule: 23.11

Retention Schedule


of 95

R28.001 STATISTICS Records related to statistical data concerning any aspects of the administrative and academic management of University units, and that document the development of their primary activities. Records covered by this rule may include: data collection, Excel worksheets, periodical and/or annual statistics, cumulative and summary data analysis. For statistics related to student population, see rule R28.003 ENROLMENT STATISTICS AND REPORTS.

Copy Detail of records Unit Medium Retention period Final Disposition Primary n/a Responsible unit Digital/Paper 5 years

Selection: permanent retention in RM&A of cumulative and summary statistics. Destruction of lists and tables of short-term usefulness and/or other records from which data has been drawn or summarized in final versions of statistical reports.


Retention Schedule


of 95

R28.003 ENROLMENT STATISTICS AND REPORTS Records related to statistics and reports generated by the Student Information System (SIS), such as: student population forecasts, admissions reports, studies and analyses of the University's student population profile and its evolution; students’ grade point average; various statistics and reports requested by University units, government and other outside organizations. Records covered by this rule may include: data collection; admissions reports; lists of projection and statistics; periodical and/or annual statistical reports. For statistics created for internal management, see rule R28.001 STATISTICS.

Copy Detail of records Unit Medium Retention Period Final Disposition Primary n/a Enrolment

Services Institutional Planning


Note: Security copy of significant statistics, studies and reports is sent to RM&A as soon as produced.

Selection: permanent retention in RM&A of Admissions reports and other significant statistics, studies and reports. Destruction of working documents and records of short-term usefulness and/or other records from which data has been drawn or summarized in final versions of statistical reports.


Retention Schedule


of 95

R29.001 SUPPORT SERVICES FOR STUDENTS Records related to the definition and evolution of the support services provided to students by the University, such as: orientation and integration activities, international student services, learning assistance, academic advising and referral, advocacy programs, financial assistance services, career information services. Records covered by this rule may include: lists and description of services, identification of student needs, studies, analyses, statistical and other reports. For individual case files, see rule R29.002 SUPPORT SERVICES FOR STUDENTS - CASE FILES.

Copy Detail of records Unit Medium Retention period Final Disposition Primary n/a Responsible unit Digital/Paper Until next evaluation or re-

definition of services provided by the unit + 3 years



Retention Schedule


of 95

R29.002 SUPPORT SERVICES FOR STUDENTS - CASE FILES Records related to the provision of individualized support services, where the student has required ongoing advising regarding academic, financial, social or cultural matters. Records covered by this rule are organized as individual case files and may include: general information on the student, questionnaires, interview summaries and notes, case supervisor reports, advice and referrals, memoranda, correspondence and personal documents provided by students. See also rule R29.001 SUPPORT SERVICES FOR STUDENTS. For specific case files, see rule R29.004 STUDENTS WITH DISABILITIES - CASE FILES and rule R29.005 STUDENT ADVOCATE PROGRAM - CASE FILES.

Copy Detail of records Unit Medium Retention Period Final Disposition Primary n/a Responsible unit Digital/Paper 3 years following

no activity in student file Destruction

Note: research value ensured by retention of general records (not containing any personal information) on activities and services provided to the students.


Retention Schedule


of 95

R29.003 SERVICES FOR STUDENTS WITH DISABILITIES Records related to the implementation and evolution of activities and services for students with disabilities. Records covered by this rule may include: resource listings (such as interpreters, note takers, attendants); inventories of specialized equipment (such as wheelchairs, furniture, Braille printers, scanners, visual reading devices); activity reports documenting services provided, statistics and evaluation of services. For individual case files, see rule R29.004 STUDENTS WITH DISABILITIES - CASE FILES.

Copy Detail of records Unit Medium Retention Period Final Disposition Primary n/a Advocacy and

Support Services Audiovisual/ Digital/Paper

5 years after conclusion of activity or replacement of

document by a new version

Selection: permanent retention in RM&A of programs, statistics and reports of activities. Retention of samples of documents adapted to students with disabilities (large print, Braille, etc.). Destruction of working documents.

Secondary n/a Other units Audiovisual/ Digital/Paper

Until conclusion of activity or replacement of record by a

new version

Destruction

Retention Schedule


of 95

R29.004 STUDENTS WITH DISABIBLITIES – CASE FILES Records related to the provision of individualized services and academic accommodations for students with disabilities. Records covered by this rule are organized as individual case files and may include: general information on the student, copies of government applications for special needs allowance, official medical certificates, release of information forms, requests for special examination arrangements, correspondence with advisors, professors and other units involved with providing adapted service, and any other information the student provides. See also rule R29.003 SERVICES FOR STUDENTS WITH DISABILITIES.

Copy Detail of records Unit Medium Retention Period Final Disposition Primary n/a Advocacy &

Support Services Digital/Paper 5 years following

no activity in student file

Destruction

Note: research value ensured by retention of summary information on activities and services provided to each student; also by statistics and annual reports.


Retention Schedule


of 95

R29.005 STUDENT ADVOCATE PROGRAM – CASE FILES Records related to the defense of students facing charges under the Academic Code of Conduct and the Code of Rights and Responsibilities or related to assistance given to students regarding grade re-evaluation applications and appeals. Records covered by this rule are organized as individual case files and may include: intake forms, correspondence with the parties involved, supporting documentation, release of information forms, copies of litigious work, copies of the defense, references, advice and notes. See also rule R16.003 STUDENT TRIBUNALS.

Copy Detail of records Unit Medium Retention Period Final Disposition Primary n/a Advocacy &

Support Services Digital/Paper 10 years following

student's last visit Destruction

Note: research value ensured by retention of general records (not containing any personal information) on activities and services provided to students.

Secondary n/a Other units Digital/Paper As soon as case closed Destruction

Retention Schedule


of 95

R29.006 STUDENT ORIENTATION AND INTEGRATION Records related to orientation and integration activities for the students of the University, such as: pre-registration activities, beginning of semester activities, workshops and information sessions for students. Records covered by this rule may include: audiovisual presentations, information materials and kits, display material, statistics and activity reports.


Selection: permanent retention in RM&A of records documenting the holding and substance of orientation and integration activities.


Retention Schedule


of 95

R29.007 HEALTH SERVICES - PATIENT FILES Records related to medical, psychological and counseling patient files. Records covered by this rule are organized in individual case files and may include: patient general information, intake and registration forms, health history, progress notes, test and laboratory results, referral requests, diagnostics, prescribed cares and evaluation reports.

Copy Detail of records Unit Medium Retention Period Final Disposition Primary n/a Health Services Digital/Paper 10 years after the last entry in the patient

file

Destruction

Retention Schedule


of 95

R30.001 LOYOLA AND SIR GEORGE WILLIAMS STUDENT ACADEMIC RECORDS Records related to comprehensive report of academic history of students from Loyola and Sir George Williams. Records covered by this rule include: student records dated before 1972 for Sir George Williams and 1976 for Loyola.

Copy Detail of records Unit Medium Retention Period Final Disposition Primary n/a Enrolment

Services Paper 60 years Permanent retention in RM&A

Retention Schedule


of 95

R30.002 STUDENT FILES Records related to official student files residing in the Student Information System (SIS) database. Records in student files are related to admission and academic progression of students of the University. To include paper copies of supporting documentation for admission and other records related to the academic progression of students that have been scanned and integrated in student files. Records covered by this rule may include but are not limited to: admission applications, birth certificates, immigration papers, tests results, cv, transcripts and diplomas from other institutions; changes of course or concentration, scholarship applications, confidential academic, requests, progress reports, student academic records (grades), grade point average, graduation applications, grad cards, graduate letters. For student academic records not residing in SIS, see rule R30.001 LOYOLA AND SIR GEORGE WILLIAMS STUDENTS ACADEMIC RECORDS.

Copy Detail of records Unit Medium Retention Period Final Disposition Primary Batches of

scanned records Enrolment Services Paper Until exhaustive validation of

scanned records quality + 3 years

Destruction

Primary Student files – admitted and registered

Enrolment Services Digital/Paper 80 years after termination of studies

Selection: permanent retention in RM&A of records documenting the student’s provenance, academic progression, courses taken, results obtained and study programs completed.

Primary Student files – application denied / withdrawn

Enrolment Services Digital/ Paper

2 years after application for admission

Destruction

Secondary Student files Academic departments

Digital/Paper 2 years following no activity in student file

Note: significant and necessary records should reside in student files in the SIS database.

Destruction

Retention Schedule


of 95

R30.004 GRADUATION LISTS

Records related to lists of graduating students created at the end of each semester and submitted to Senate for approval. These are the most accurate lists of graduating students in each semester. Records covered by this rule may include: partial lists such as pass lists, pending lists and deleted lists and final lists sent to University Senate for approval.

Copy Detail of records Unit Medium Retention Period Final Disposition Primary Final graduation lists Enrolment Services

School of Extended Learning



Primary Partial lists Enrolment Services School of Extended Learning

Digital/Paper Current semester + 1 semester

Destruction


Retention Schedule


of 95

R30.005 APPLICATIONS FOR MEDICAL OR DEFERRED NOTATIONS OR FOR SUPPLEMENTAL EXAMINATIONS Records related to applications submitted by undergraduate students unable to attend a final examination because of a medical incapacity or for other serious reason or by students who wish to take a supplemental examination. Records covered by this rule may include: application forms, official medical certificates or documents supporting the requests, copy of student records, decision letters, and scheduling propositions.


Destruction

Retention Schedule


of 95

R30.006 DIPLOMAS Records related to diplomas issued to students who have completed their program of study. Records covered by this rule may include: specimens of diplomas, diploma templates and signatures; schedules and procedures for issuing diplomas. For unclaimed diplomas, see rule R30.007 UNCLAIMED DIPLOMAS. For honorary degree recipients, see rule R08.006 HONORARY DISTINCTIONS. For replacement of diplomas, see rule R30.008 and R30.009 APPLICATIONS FOR REPLACEMENT DEGREE.



Digital/Paper Until replacement by a new version


Secondary n/a Other units Digital/Paper Until replacement by a new version Destruction

Retention Schedule


of 95

R30.007 UNCLAIMED DIPLOMAS Records related to unclaimed diplomas. See also rule R30.006 DIPLOMAS.



Paper 2 years

Destruction

Retention Schedule


of 95

R30.008 APPLICATIONS FOR REPLACEMENT DEGREE – DEFACED, DESTROYED OR MISPLACED Records related to requests for replacement degrees when original diplomas have been defaced, destroyed, or misplaced. Records covered by this rule may include: applications for replacement degrees, affidavits, and previous original degrees. See also rule R30.009 APPLICATIONS FOR REPLACEMENT DEGREE - CHANGE OF NAME, SEX OR BIRTH DATE.




Destruction

Retention Schedule


of 95

R30.009 APPLICATIONS FOR REPLACEMENT DEGREE – CHANGE OF NAME, SEX OR BIRTH DATE Records related to requests for replacement degrees because of changes in name, date of birth, or sex. Records covered by this rule may include: applications for replacement degrees, affidavits, previous original degrees, certified copies of legal documents approving the change of name, date of birth, or sex. See also rule R30.008 APPLICATIONS FOR REPLACEMENT DEGREE - DEFACED, DESTROYED OR MISPLACED.



Digital/Paper Paper copies of records are destroyed after scanning. Digital copies reside in student file in SIS. Note: scanning procedures comply with requirements to ensure integrity of records.

Permanent retention in student file

Retention Schedule


of 95

R30.010 ACADEMIC STANDING – CASE FILES Records related to the evaluation of the Grade Point Average (GPA) of graduate students. Records covered by this rule may include: files with copies of evaluations, reviews, correspondence, notes and various working documents.

Copy Detail of records Unit Medium Retention Period Final Disposition Primary n/a School of Graduate

Studies

Digital/Paper As long as student is registered Destruction

Secondary n/a Other units Digital/Paper As long as student is registered Destruction

Retention Schedule


of 95

R30.014 REQUESTS FOR STUDENT STATUS Records related to the processing of requests for student transcripts or attestation letters. Records covered by this rule may include: requests, letters of attestation, forms, certifications of graduation, and copies of transcripts.



Digital/Paper Request forms on paper are destroyed as soon as scanned. Working files and unclaimed transcripts or letters are kept 2 years after reception of requests.

Note: scanning procedures comply with requirements to ensure integrity of records.

Destruction

Retention Schedule


of 95

R31.005 EXAMINATION SESSIONS Records related to management of University examination sessions. Records covered by this rule may include: examination schedules, instructions or information given to monitors and students, attendance sheets signed by students, incident reports (not related to academic misconduct) completed by monitors and notes. For incident reports related to academic misconduct, see rule R16.002 ACADEMIC CODE OF CONDUCT – CASE FILES (under development).

Copy Detail of records Unit Medium Retention Period Final Disposition Primary n/a Enrolment Services /

School of Graduate Studies


Destruction


Retention Schedule


of 95

R31.006 EXAMINATION AND TEST - QUESTIONNAIRES Records related to the evaluation of student performance and competence in a particular course of study. Records covered by this rule may include: questionnaires, answer keys and marking criteria. For examinations and tests completed by students, see rule R31.007 STUDENT ASSIGNMENTS AND EXAMINATIONS.

Copy Detail of records Unit Medium Retention Period Final Disposition Primary n/a Academic

Departments Audiovisual/ Digital/Paper

1 year after the end of semester

Selection: permanent retention in RM&A of sampling of examination(s) questions, answers and marking criteria of one course in each academic department in each semester.

Retention Schedule


of 95

R31.007 STUDENT ASSIGNMENTS AND EXAMINATIONS

Records related to the evaluation of student performance and competence in a particular course of study. This rule applies to assignments or examination copies a professor decides to retain, or for unclaimed assignments or examinations. Records covered by this rule may include: completed mid-term or final examinations and tests; projects and term papers, essays and laboratory work papers; art works and any other projects submitted by students as course work. See also rule R31.006 EXAMINATION AND TEST - QUESTIONNAIRES.

Copy Detail of records Unit Medium Retention Period Final Disposition Primary n/a Academic

Departments Audiovisual/ Digital/Paper

1 year after the end of semester Destruction Note: some selected works may be transferred

to RM&A.

Retention Schedule


of 95

R31.008 THESES AND DISSERTATIONS - MANAGEMENT Records related to the management of submissions, evaluations, and cataloguing of master’s theses and doctoral dissertations done by students as part of a master or doctoral program. Copies of theses and dissertations are sent to University Libraries for permanent retention. Records covered by this rule are organized as individual case files and may include: transfer forms, thesis checklists with student name, file number, thesis or dissertation number and title, research field and date of deposit; Examining Committee reports and certifications; licenses to reproduce theses and any other legal forms.

Copy Detail of records Unit Medium Retention Period Final Disposition Primary n/a School of

Graduate Studies




Retention Schedule


of 95

R31.009 COMPREHENSIVE EXAMINATIONS Records related to graduate students evaluation of knowledge and competence in their field of study before admission to candidacy for the degree. Records covered by this rule may include: comprehensive examinations and correspondence. Copy Detail of records Unit Medium Retention Period Final Disposition Primary n/a School of Graduate

Studies/ Faculties

Digital/Paper 1 year after graduation or withdrawal from the program

Selection: Sampling as follow, 10 examples selected at random among all candidates.

Secondary n/a Other units

Digital/Paper After grades are added to student files in SIS

Destruction

Retention Schedule


of 95

R32.001 HISTORICAL EVOLUTION Records related to the founding and/or historical evolution (growth and orientation) of the University. Records documenting historically significant events, such as: evolution of the University’s administrative organization, historical celebrations, special anniversaries, commemorative ceremonies, etc. Records covered by this rule may include: textual documents, manuscript notes, chronologies, photographs, publications, artifacts and other documents relating in whole or in part to the history of the institution, its components and its members. For creation and development of academic departments and programs, see rule R10.001 CURRICULUM AND PROGRAMS (under development).

Copy Detail of records Unit Medium Retention Period Final Disposition Primary n/a Responsible unit Digital/Paper As long as current Permanent retention in RM&A


Retention Schedule


of 95

R32.002 ADMINISTRATIVE ORGANIZATION AND MANDATES Records related to the definition and evolution of the mandate and administrative structure of the University. Records concern the distribution of mandates including reporting relationships, identification of units, sub-units, functions, types and number of positions. Records covered by this rule may include: organization charts, mandates, consultations and organizational or structural analyses (re-evaluation of mandates, restructuring, creation, closing and merger of administrative units).

Copy Detail of records Unit Medium Retention Period Final Disposition Primary Official versions Responsible unit Digital/Paper As long as current + 3 years Permanent retention in RM&A

Secondary n/a Other units Digital/Paper As long as current. Destruction

Legal Counsel advice: 2009-11-18

Retention Schedule


of 95

R32.003 ADMINISTRATIVE PLANNING Records establishing the priorities and orientations of the University. Records covered by this rule may include: annual, three-year and five-year master plans, strategic planning, action plans and summary records establishing specific and general objectives of University units.

Copy Detail of records Unit Medium Retention Period Final Disposition Primary n/a Responsible

unit Digital/Paper 6 years following the period

covered by the records Selection: permanent retention in RM&A of summary records and final versions of plans.

Secondary n/a Other units Digital/Paper 1 year following the period covered by the records

Destruction

Retention Schedule


of 95

R32.004 REPORTS, STUDIES AND ANALYSES Records related to qualitative and quantitative data related to the activities of the University. Records discussing issues pertaining to some aspect of academic or administrative management and bearing on subjects directly related to the University mission, mandate or activities. Records covered by this rule may include: annual reports, activity reports, progress reports, cumulative and summary reports; questionnaires, surveys and inquiries; studies and analyses. For published reports, see rule R18.001 CONCORDIA UNIVERSITY PUBLICATIONS.

Copy Detail of records Unit Medium Retention Period Final Disposition Primary n/a Responsible unit Digital/Paper As long as current + 3 years

Permanent retention in RM&A of annual reports, cumulative and summary reports. Destruction of remaining records.

Secondary n/a Other units Digital/Paper As long as current. Destruction Replaces rules: 23.2, 23.3

Retention Schedule


of 95

R32.005 DELEGATION OF AUTHORITY Records related to allocation and delegation of authority in administrative units.

Copy Detail of records Unit Medium Retention Period Final Disposition Primary n/a Responsible unit Digital/Paper Until the expiry of the

delegation + 5 years


Secondary n/a Other units Digital/Paper Until the expiry of the delegation Destruction

Retention Schedule


of 95

R32.006 UNIVERSITY POLICIES AND PROCEDURES Records related to internal governance records, general or specific, drawn up by the University or one of its components. To include procedures related to the application of the policies. Records covered by this rule may include: University official policies, codes or regulations and their supporting documentation and updates; procedures and administrative practices.

Copy Detail of records Unit Medium Retention Period Final Disposition Primary Policies, codes or

regulations, procedures and

official administrative practices

Office of the Vice-President Institutional Relation and

Secretary General

Digital/Paper As long as current + 3 years Permanent retention in RM&A

Primary Supporting documentation,

drafts and revisions

Office of General Counsel

Digital/Paper As long as current + 3 years Permanent retention in RM&A



Retention Schedule


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R32.008 CHARTER AND BY-LAWS Records related to official records providing proof of constitution and set out rights, privileges and obligations of the University and its various components, including all of the amendments made to the University constitutive records. To include all constitutive records related to its founding institutions, Sir George Williams University and Loyola College. Records covered by this rule may include: Charters, by-laws, acts, orders and amendments. See also rule, R32.006 OFFICIAL CONCORDIA UNIVERSITY POLICIES (under development).

Copy Detail of records Unit Medium Retention Period Final Disposition Primary n/a Vice-President

Institutional Relations and

Secretary- General

Digital/Paper As long as records are operative


Secondary n/a Other units Digital/Paper As long as records are operative

Destruction

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of 95

2.408 AWARDS AND BURSARY - PAYMENT FILES Records related to requests to Payroll to issue payment to recipients for scholarships, fellowships, awards and bursaries. May include banking information.

Copy Detail of records Unit Medium Retention Period Final Disposition Primary n/a HR-Payroll Digital/Paper 7 years

* The current year is included in

the retention period *

Destruction

Retention Schedule


of 95

2.409 SAVING BONDS CAMPAIGN FILES Records related to the University’s bulk purchase of savings bonds (Canada and Québec Saving bonds). Also include campaign documentation from issuing institution.

Copy Detail of records Unit Medium Retention Period Final Disposition Primary n/a HR-Payroll Digital/Paper 2 years after the campaign Destruction