Financial Services Schedules
The University of Western Ontario
Western's Records Retention and Disposal Schedules
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05 – STUDENT AFFAIRS / STUDENT POPULATION |
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| STUDENT POPULATION | |||||
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Records relating to the forecasting, study, and analysis of the evolution and current profile of the institution’s student population in a given period (e.g. academic year): projections, studies, reports, preliminary and official statements of admissions, registration, statistics, etc. |
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Affected Unit(s) |
Active Retention |
Semi-active Retention |
Total Retention |
Final Disposition
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Responsible |
Institutional Planning and Budgeting |
End of Academic Year + 2 years |
5 years |
End of Academic Year + 7 years |
Selective Archival Retention* |
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Responsible |
Faculties |
End of Academic Year + 2 years |
5 years |
End of Academic Year + 7 years |
Selective Archival Retention* |
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Other |
All |
2 years |
-- |
2 years |
Confidential Destruction |
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*Archival retention of official statistics, studies, and reports. Destruction of preliminary records, lists, and reports. |
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Effective Date: 2007-05-01 (New) |
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05 – STUDENT AFFAIRS / STUDENT POPULATION |
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| STUDENT RECRUITMENT | |||||
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Records relating to promotional activities organized for the purpose of recruiting new undergraduate and graduate students: open houses, tours, participation in information fairs and functions, lists and databases of potential applicants, etc. |
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Affected Unit(s) |
Active Retention |
Semi-active Retention |
Total Retention |
Final Disposition
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Responsible |
Registrar
Faculties and Departments |
End of Recruitment Cycle |
5 years |
End of Recruitment Cycle + 5 years |
Selective Archival Retention* |
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Other |
All |
2 years |
-- |
2 years |
Confidential Destruction |
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* Archival retention of reports describing activities organized and results obtained. |
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Effective Date: 2009-01-29 |
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05 – STUDENT AFFAIRS / ADMISSIONS, REGISTRATION, EVALUATION |
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| ADMISSIONS MANAGEMENT – OPERATIONAL RECORDS | |||||
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Records used in monitoring and reporting transactions associated with the institution’s student undergraduate and graduate admissions process: student identifications, lists of applications for admission, decisions, replies, dates, admission tests (French test, tests required for certain programs), admission reports and surveys, etc. |
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Affected Unit(s) |
Active Retention |
Semi-active Retention |
Total Retention |
Final Disposition
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Responsible |
Registrar School of Graduate and Postdoctoral StudiesFaculties and Departments |
End of Admission Cycle + 1 year* |
-- |
End of Admission Cycle + 1 year |
Confidential Destruction |
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Other |
All |
End of Admission Cycle + 1 year |
-- |
End of Admission Cycle + 1 year |
Confidential Destruction |
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* Documents scanned into a document management system may be transferred upon verification to semi-active storage for 1 year and then confidentially destroyed. The normal retention and disposition requirements apply to the electronic records. |
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Effective Date: 2009-01-29 |
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05 – STUDENT AFFAIRS / ADMISSIONS, REGISTRATION, EVALUATION |
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| ADMISSIONS MANAGEMENT – POLICIES AND PROCEDURES | |||||
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Records relating to development and review of student admissions policies and procedures regarding general and specific conditions of admission, quotas, capacity, admissions assistance, selection tests, statistical admissions reports and surveys, right to appeal follow-up mechanisms. |
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Affected Unit(s) |
Active Retention |
Semi-active Retention |
Total Retention |
Final Disposition
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Responsible |
Registrar School of Graduate and Postdoctoral Studies
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Until Superseded or Obsolete |
3 years |
Until Superseded or Obsolete + 3 years |
Selective Archival Retention* |
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Other |
All |
Until Superseded or Obsolete |
-- |
Until Superseded or Obsolete |
Destruction |
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*Archival retention of official admission policies and statistics. |
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Effective Date: 2009-01-29 |
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05 – STUDENT AFFAIRS / ADMISSIONS, REGISTRATION, EVALUATION |
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| ADMISSIONS MANAGEMENT – INCOMPLETE, UNSUCCESSFUL OR NOT REGISTERED APPLICANTS | |||||
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Records for those applicants (to both undergraduate and graduate programs) whose applications were incomplete and no decision was ever made, or for those applicants who were not accepted by the institution, or who were accepted but did not subsequently register: applications for admission, admissions committee decisions, transcripts. Includes records received and/or maintained in electronic and paper form. Records of registered applicants are maintained in Student Academic Record (5.08), or transferred (e.g. transcripts) to Undergraduate Student File (5.10), or Graduate Student File (5.12). |
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Affected Unit(s) |
Active Retention |
Semi-active Retention |
Total Retention |
Final Disposition
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Responsible |
Registrar School of Graduate and Postdoctoral StudiesFaculties and Departments |
Admission Cycle + 1 year * |
-- |
Admission Cycle + 1 year |
Confidential Destruction ** |
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Other |
All |
Admission Cycle + 1 year |
-- |
Admission Cycle + 1 year |
Confidential Destruction |
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* Documents scanned into a document management system may be transferred upon verification to semi-active storage for 1 year and then confidentially destroyed.The normal retention and disposition requirements apply to the electronic records. **The Office of the Registrar may retain indefinitely some electronic data about unregistered applicants (excluding educational or work history, or test scores) for statistical purposes. Statistical reports are maintained in 5.04. |
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Effective Date: 2009-01-29 |
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05 – STUDENT AFFAIRS / ADMISSIONS, REGISTRATION,EVALUATION |
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| REGISTRATION MANAGEMENT – POLICIES AND PROCEDURES | |||||
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Records relating to the development and review of policies, procedures, and processes of student registration. |
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Affected Unit(s) |
Active Retention |
Semi-active Retention |
Total Retention |
Final Disposition
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Responsible |
Registrar |
Until Superseded or Obsolete |
3 years |
Until Superseded or Obsolete + 3 years |
Confidential Destruction |
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Other |
All |
Until Superseded or Obsolete |
-- |
Until Superseded or Obsolete |
Confidential Destruction |
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Effective Date: 2007-05-01 (New) |
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05 – STUDENT AFFAIRS / ADMISSIONS, REGISTRATION, EVALUATION |
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| REGISTRATION MANAGEMENT – OPERATIONAL RECORDS | |||||
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Records used in recording and managing the institution’s student registration process: information on students registered per academic year, enrolment by program, class or enrolment lists, course selection, and registration statistics and reports. |
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Affected Unit(s) |
Active Retention |
Semi-active Retention |
Total Retention |
Final Disposition
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Responsible |
Registrar |
Academic Year + 2 years * |
-- |
Academic Year + 2 years |
Confidential Destruction |
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Other |
All |
Academic Year + 2 years |
-- |
Academic Year + 2 years |
Confidential Destruction |
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* Documents scanned into a document management system may be transferred upon verification to semi-active storage for 1 year and then confidentially destroyed. The normal retention and disposition requirements apply to the electronic records. |
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Effective Date: 2008-02-12 |
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05 – STUDENT AFFAIRS / ADMISSIONS, REGISTRATIONS, EVALUATIONS |
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| STUDENT ACADEMIC RECORDS – TRANSACTIONAL RECORDS | |||||
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These records are used as inputs to the student academic record system maintained by the Office of the Registrar. Includes records received and/or maintained in electronic, microform, and paper form. These records consist of transactional records (e.g. add/drop forms, letters of permission, declaration of fees forms, intents to register, summer activation, etc.) about individuals captured and maintained in the student record information or document management systems. Excludes: permanent transcript records (5.08b), and output reports (5.07). |
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Affected Unit(s) |
Active Retention |
Semi-active Retention |
Total Retention |
Final Disposition
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Responsible |
Registrar |
Academic Year + 1 year* |
5 years |
Academic Year + 6 years |
Confidential Destruction |
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Other |
All |
Academic Year + 1 year |
-- |
Academic Year + 1 year |
Confidential Destruction |
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* Source documents used for data entry into an electronic information system or scanned into a document management system may be transferred upon verification to semi-active storage for 1 year and then confidentially destroyed. The normal retention and disposition requirements apply to the electronic records. |
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Effective Date: 2008-02-12 |
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05 – STUDENT AFFAIRS / ADMISSIONS, REGISTRATIONS, EVALUATIONS |
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| STUDENT ACADEMIC RECORDS – PERMANENT TRANSCRIPT RECORDS | |||||
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These records constitute the permanent record of student performance kept by the Office of the Registrar. Permanent record information is that which is required for production of a transcript and includes: a list of all courses attempted and grades achieved, degree attained and date of graduation, academic progress, academic awards, and scholarships. Includes records received and/or maintained in electronic, microform, and paper form. Excludes: student academic records – transactional records (5.08a), undergraduate student files (5.10) and graduate student files (5.12). |
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Affected Unit(s) |
Active Retention |
Semi-active Retention |
Total Retention |
Final Disposition
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Responsible |
Registrar |
End of Study + 75 years |
-- |
End of Study + 75 years |
Full Archival Retention** |
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* Information needed for the production of transcripts must be retained through periodic migrations to new platforms. At each migration, system metadata must be transferred on paper to Western Archives (see University Policy on Student Record Information Privacy). Archival retention of electronic records may occur in Western Archives or Office of the Registrar as appropriate. **Microfilm of permanent transcript records should be transferred to Western Archives after it has been digitized and verified. |
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Effective Date: 2007-05-01 (New) |
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05 – STUDENT AFFAIRS / ADMISSIONS, REGISTRATIONS, EVALUATIONS |
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| STUDENT INFORMATION REQUESTS | |||||
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Records documenting requests by students (e.g. for transcripts (official copies of permanent academic records), statement letters, third party forms etc.). |
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Affected Unit(s) |
Active Retention |
Semi-active Retention |
Total Retention |
Final Disposition
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Responsible |
Registrar |
1 year * |
-- |
1 year* |
Confidential Destruction |
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Other |
Faculties and Departments |
1 year |
-- |
1 year |
Confidential Destruction |
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* Documents scanned into a document management system may be transferred upon verification to semi-active storage for the balance of the active retention period and then confidentially destroyed. The normal retention and disposition requirements apply to the electronic records. |
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Effective Date: 2008-02-12 |
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05 – STUDENT AFFAIRS / ADMISSIONS, REGISTRATIONS, EVALUATIONS |
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| UNDERGRADUATE STUDENT FILES | |||||
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Series documents the admission, registration, academic performance, examination, exchanges, and graduation of students enrolled in undergraduate (Bachelor’s degree) programs (including Concurrent degrees and Scholar’s Electives), including professional school programs. Includes applications, copies of academic records and transcripts, letters of reference, applications for graduation, examination and grade reports, correspondence, photographs, academic appeal documentation, etc. Excludes: student academic records and transcripts kept by the Office of the Registrar (5.08). |
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Affected Unit(s) |
Active Retention |
Semi-active Retention |
Total Retention |
Final Disposition
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Responsible |
Faculties and Departments - Regular |
End of Study + 2 years |
8 years |
End of Study + 10 years |
Confidential Destruction |
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Responsible |
Professional Schools* |
End of Study + 2 years |
48 years |
End of Study + 50 years |
Confidential Destruction |
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*Those professional schools that require retention of records for credentialing individuals over the course of their careers may use the longer 50-year total retention period. This includes the Schulich School of Medicine and Dentistry, the Faculty of Health Sciences, the Faculty of Law, the Ivey Business School, the Faculty of Engineering, and the Faculty of Education. |
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Effective Date: 2007-05-01 (New) |
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05 – STUDENT AFFAIRS / ADMISSIONS, REGISTRATIONS, EVALUATIONS |
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| ACCESSIBILITY CATEGORY PROFILES | |||||
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Records documenting receipt and review of various Accessibility Category Profiles. Applicants for admission may submit forms that provide additional information pertaining to various circumstances that adversely affected their high school academic performance. |
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Affected Unit(s) |
Active Retention |
Semi-active Retention |
Total Retention |
Final Disposition
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Responsible |
Registrar |
Admission Cycle + 1 year* |
-- |
Admission Cycle + 1 year |
Confidential Destruction |
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Other |
None |
-- |
-- |
-- |
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* Documents used for data entry into an electronic information system or scanned into a document management system may be transferred upon verification to semi-active storage for 1 year and then confidentially destroyed.The normal retention and disposition requirements apply to the electronic records. |
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Effective Date: 2008-02-12 |
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05 – STUDENT AFFAIRS / ADMISSIONS, REGISTRATIONS, EVALUATIONS |
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| GRADUATE STUDENT FILES | |||||
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Series documents the admission, registration, academic performance, examination, and graduation of students enrolled in graduate (Master and Doctoral) programs. |
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Affected Unit(s) |
Active Retention |
Semi-active Retention |
Total Retention |
Final Disposition
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Responsible |
School of Graduate and Postdoctoral Studies |
End of Study + 2 years |
8 years |
End of Study + 10 years |
Selective Archival Retention** |
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Other |
Faculties and Departments |
End of Study + 2 years |
8 years |
End of Study + 10 years |
Selective Archival Retention** |
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Other |
Professional Schools* |
End of Study + 2 years |
48 years |
End of Study + 50 years |
Selective Archival Retention** |
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*Those professional schools that require retention of records for credentialing individuals over the course of their careers may use the longer 50-year total retention period. This includes the Schulich School of Medicine and Dentistry, the Faculty of Health Sciences, the Faculty of Law, the Ivey Business School, the Faculty of Engineering, and the Faculty of Education. **Retention of files of individual students as recommended by the Dean of Graduate Studies, the Dean of the Faculty, or Chair of the department based on their review of the list of files at the time of final disposition. Retained files to be weeded to remove duplicates and routine administrative documents, such as tracking forms, letters of transmittal, etc. Confidential destruction of files that are not selected and all weeded documents, subject to prior review by Legal Counsel. |
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Effective Date: 2007-05-01 (New) |
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05 – STUDENT AFFAIRS / ADMISSIONS, REGISTRATIONS, EVALUATIONS |
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| STUDENT ACADEMIC COUNSELLING | |||||
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Records relating to the provision of counselling and advice to students regarding course selection or changes, withdrawals and special permissions, progression requirements and mandatory withdrawal, academic accommodation for illnesses or other problems, special examinations or extensions, letters of permission, appeals, interpretation of Senate regulations, or graduation problems. Files include special permission forms, special examination forms, medical documents, correspondence, and notes of interviews with academic counsellors. |
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Affected Unit(s) |
Active Retention |
Semi-active Retention |
Total Retention |
Final Disposition
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Responsible |
Faculties - Deans’ Offices Centre for New Students |
Until End of Study |
10 years |
Until End of Study + 10 years |
Confidential Destruction |
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Effective Date: 2007-05-01 (New) |
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05 – STUDENT AFFAIRS / ADMISSIONS, REGISTRATIONS, EVALUATIONS |
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| STUDENT EVALUATION | |||||
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Records documenting the collection, verification, and recording of students’ academic results: official student lists, lists of results by course (examinations, etc.) or program, grade/mark submission forms, and reports. Final grades are retained as part of permanent transcript records series (5.08b). |
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Affected Unit(s) |
Active Retention |
Semi-active Retention |
Total Retention |
Final Disposition
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Responsible |
Registrar School of Graduate and Postdoctoral Studies |
Academic Year + 1 year* |
-- |
Academic Year + 1 year |
Confidential Destruction |
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Other |
All |
Academic Year + 1 year |
-- |
Academic Year + 1 year |
Confidential Destruction |
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*Documents used for data entry into an electronic information system or scanned into a document management system may be transferred upon verification to semi-active storage for 1 year and then confidentially destroyed. The normal retention and disposition requirements apply to the electronic records. |
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Effective Date: 2009-01-29 |
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05 – STUDENT AFFAIRS / DISCIPLINE |
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| STUDENT SCHOLASTIC OFFENCES AND ACADEMIC REQUESTS FOR RELIEF | |||||
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Records relating to the investigation of student scholastic offences and academic requests for |
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Affected Unit(s) |
Active Retention |
Semi-active Retention |
Total Retention |
Final Disposition
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Responsible |
Deans' or Vice Provost Offices
Departments – Chairs’ Offices |
Decision + 1 year |
14 years |
Decision + 15 years |
Selective Archival Retention* |
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Other |
All |
Decision + 1 year |
-- |
Decision + 1 year |
Confidential Destruction |
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*Transfer decision record to Archives. Destroy all other records. |
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Effective Date: 2009-01-29 |
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05 – STUDENT AFFAIRS / DISCIPLINE |
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| STUDENT CODE OF CONDUCT | |||||
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Records relating to investigation of complaints made to the Deans or Associate Vice-President (Student Experience) about misconduct under the Student Code of Conduct. Records include Campus Police occurrence reports or other notification, complaint summaries, correspondence, and decisions. |
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Affected Unit(s) |
Active Retention |
Semi-active Retention |
Total Retention |
Final Disposition
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Responsible |
Faculties – Deans’ Offices Associate Vice-President (Student Experience) |
Decision + 1 year |
14 years |
Decision + 15 years |
Selective Archival Retention* |
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Other |
All |
Decision + 1 year |
-- |
Decision + 1 year |
Confidential Destruction |
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*Transfer decision record to Archives. Destroy all other records. |
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Effective Date: 2007-05-01 (New) |
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05 – STUDENT AFFAIRS / DISCIPLINE |
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| STUDENT APPEALS – GRANTED | ||||||||||
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Records documenting appeals heard by Senate or Board committees to review decisions regarding student offences, grading practice, academic accommodation, Code of Conduct, or other matters. Files include applications for hearing, submitted evidence, and decisions. |
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Affected Unit(s)
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Active Retention
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Semi-active Retention
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Total Retention
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Final Disposition
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Responsible |
University Secretariat |
Decision + 1 year |
4 years |
Decision + 5 years |
Confidential Destruction |
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Other |
All |
Decision + 1 year |
--
|
Decision + 1 year |
Confidential Destruction |
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Effective Date: 2007-05-01 (New) |
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05 – STUDENT AFFAIRS / DISCIPLINE |
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| STUDENT APPEALS – NOT GRANTED | |||||
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Records documenting appeals heard by Senate or Board committees to review decisions regarding student offences, grading practice, academic accommodation, Code of Conduct, or other matters. Files include applications for hearing, submitted evidence, and decisions. |
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Affected Unit(s) |
Active Retention |
Semi-active Retention |
Total Retention |
Final Disposition
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Responsible |
University Secretariat |
Decision + 1 year |
14 years |
Decision + 15 years |
Selective Archival Retention* |
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Other |
All |
Decision + 1 year |
-- |
Decision + 1 year |
Confidential Destruction |
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*Transfer decision record to Archives. Destroy all other records. |
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Effective Date: 2007-05-01 (New) |
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05 – STUDENT AFFAIRS / GRADUATES |
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| CONVOCATION | |||||
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Records relating to the organization of convocation ceremonies for the university’s graduates: programs, lists of graduates by faculty, presentation speeches, albums, video and audio recordings, event planning records. Official lists of graduates are attached to Senate Minutes. NOTE: original records of convocation should be forwarded to the University Secretariat for retention and disposition. |
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Affected Unit(s) |
Active Retention |
Semi-active Retention |
Total Retention |
Final Disposition
|
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Responsible |
Registrar University Secretariat
|
Convocation + 1 year |
3 years |
Convocation + 4 years |
Selective Archival Retention* |
|
Other |
All |
Convocation + 1 year |
-- |
Convocation + 1 year |
Destruction |
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*Archival retention of official institution publications (e.g. programs), transcripts of speeches and recordings of proceedings and speeches. |
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Effective Date: 2008-01-29 |
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05 – STUDENT AFFAIRS / GRADUATES |
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| ALUMNI ACTIVITIES AND SERVICES | |||||
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Records relating to the organization of activities and services to encourage involvement, participation and social activities of institution alumni: alumni services (library, Internet, courses, credit cards, insurance, etc.), exchange activities between alumni and students, recreational activities, events (reunions, homecomings, and conferences), alumni newsletters and magazines, involvement of alumni in fund-raising committees and campaigns. |
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Affected Unit(s) |
Active Retention |
Semi-active Retention |
Total Retention |
Final Disposition
|
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|
Responsible |
Alumni Relations and Development Faculties and Departments |
Fiscal Year + 2 years |
3 years |
Fiscal Year + 5 years |
Selective Archival Retention* |
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*Archival retention of promotional materials, publications and reports documenting alumni activities, events and types of services offered by the institution. |
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Effective Date: 2008-01-29 |
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05 – STUDENT AFFAIRS / GRADUATES |
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| ALUMNI FILES | |||||
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Records on individual alumni kept to maintain contact with them. Includes personal data, degree obtained and date, correspondence, etc. |
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Affected Unit(s) |
Active Retention |
Semi-active Retention |
Total Retention |
Final Disposition
|
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|
Responsible |
Advancement Services Faculties and Departments |
Until Death + 1 year |
-- |
Until Death + 1 year |
Selective Archival Retention* |
|
Other |
All |
Until Death + 1 year |
-- |
Until Death + 1 year |
Confidential Destruction |
|
*Archival retention of cumulative logs of alumni in Western Archives or Advancement Services as appropriate. |
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Effective Date: 2007-05-01 (New) |
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05 – STUDENT AFFAIRS / GRADUATES |
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| ALUMNI ORGANIZATIONS | |||||
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Records relating to alumni associations, organizations, and groups: requests for recognition or accreditation, organizational records such as minutes, membership lists, etc. |
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Affected Unit(s) |
Active Retention |
Semi-active Retention |
Total Retention |
Final Disposition
|
|
|
Responsible |
Alumni Relations and Development Faculties and Departments |
2 years |
5 years |
7 years |
Selective Archival Retention* |
|
Other |
All |
2 years |
-- |
2 years |
Confidential Destruction |
|
*Archival retention of minutes and other records documenting the creation, recognition, and achievements of associations and groups of alumni. |
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Effective Date: 2008-01-29 |
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05 – STUDENT AFFAIRS / STUDENT SERVICES |
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| ACADEMIC ORIENTATION PROGRAMS AND SERVICES - PROGRAM FILES | |||||
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Records relating to the organization and supervision of academic orientation activities and services offered to the institution’s students. |
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Affected Unit(s) |
Active Retention |
Semi-active Retention |
Total Retention |
Final Disposition
|
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|
Responsible |
Centre for New Students |
Academic Year + 2 years |
3 years |
Academic Year + 5 years |
Selective Archival Retention* |
|
Other |
All |
Academic Year |
-- |
Academic Year |
Confidential Destruction |
|
*Archival retention of reports and statistics documenting services provided, activities organized, student participation, and evaluation of results. |
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Effective Date: 2008-01-29 |
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05 – STUDENT AFFAIRS / STUDENT SERVICES |
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| SUMMER ACADEMIC ORIENTATION – STUDENT FILES | |||||||
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Records consolidating all information about students that participate in summer academic orientation: general information on participants, academic record copies, correspondence (embassies, funding organizations, etc.), requests for one-time financial assistance, etc. Note: If these records are filed in student files (5.10 or 5.12), they must be retained according to that series. |
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Affected Unit(s) |
Active Retention |
Semi-active Retention |
Total Retention |
Final Disposition
|
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|
Responsible |
Centre for New Students |
1 year |
-- |
1 year |
Confidential Destruction |
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Other |
All |
1 year |
-- |
1 year |
Confidential Destruction |
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Effective Date: 2007-05-01 (New) |
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05 – STUDENT AFFAIRS / STUDENT SERVICES |
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| EXCHANGE PROGRAMS (PROGRAM FILES) | |||||||
|
Records relating to the establishment, organization, and supervision of student exchange programs: memoranda of understanding and documentation on exchange programs (objectives, list of participating institutions, names and addresses of those in charge), lists of students participating in exchange programs, supervision of participation conditions and procedures (registration, assistance, insurance, trouble shooting, etc.). Excludes exchange student files (see 5.25). |
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Affected Unit(s) |
Active Retention |
Semi-active Retention |
Total Retention |
Final Disposition
|
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|
Responsible |
Units with delegated authority to administer exchange programs on behalf of the University |
Academic Year + 2 years |
3 years |
Academic Year + 5 years |
Selective Archival Retention |
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|
Other |
All |
Academic Year |
-- |
Academic Year |
Confidential Destruction |
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|
*Archival retention of reports and statistics documenting operation and implementation of exchange programs. |
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|
Effective Date: 2007-05-01 (New) |
|||||||
|
05 – STUDENT AFFAIRS / STUDENT SERVICES |
|||||||
| EXCHANGE PROGRAMS – STUDENT RECORDS |
|||||||
|
Records consolidating all information about students and interns enrolled in exchange programs: general information on participants, academic record copies, correspondence (embassies, funding organizations, etc.), requests for one-time financial assistance, etc. Note: If these records are filed in student files (5.10 or 5.12), they must be retained according to that series. |
|||||||
|
Affected Unit(s) |
Active Retention |
Semi-active Retention |
Total Retention |
Final Disposition
|
|||
|
Responsible |
Units with delegated authority to administer exchange programs on behalf of the University |
2 years after exchange ended* |
3 years |
5 years after exchange ended |
Confidential Destruction |
||
|
Other |
All |
2 years after exchange ended |
-- |
2 years after exchange ended |
Confidential Destruction |
||
| *Documents used for data entry into an electronic information system or scanned into a document management system may be transferred upon verification to semi-active storage for 1 year and then confidentially destroyed. The normal retention and disposition requirements apply to the electronic records. | |||||||
|
Effective Date: 2009-01-29 |
|||||||
|
05 – STUDENT AFFAIRS / STUDENT SERVICES |
|||||||
| CAREER INFORMATION SERVICES (PROGRAM FILES) | |||||||
|
Records relating to the organization and supervision of career-related information (defining of educational goals, research, consultations and workshops on trades, professions, study programs, etc.) Excludes career services client files (see 5.32). |
|||||||
|
Affected Unit(s) |
Active Retention |
Semi-active Retention |
Total Retention |
Final Disposition
|
|||
|
Responsible |
Teaching and Learning Services |
Academic Year + 2 years |
3 years |
Academic Year + 5 years |
Selective Archival Retention |
||
|
Other |
All |
Academic Year |
-- |
Academic Year |
Confidential Destruction |
||
|
*Archival retention of reports and statistics documenting services provided, activities organized, student participation, and evaluation of results. |
|||||||
|
Effective Date: 2007-05-01 (New) |
|||||||
|
05 – STUDENT AFFAIRS / STUDENT SERVICES |
|||||||
| LEARNING SKILLS SERVICES (PROGRAM FILES) | |||||||
|
Records relating to the organization and supervision of learning skills activities and services provided to students: information meetings on effective studying, time management, note taking, effective writing, preparation for oral presentations, etc. Excludes learning skills client files (see 5.32). |
|||||||
|
Affected Unit(s) |
Active Retention |
Semi-active Retention |
Total Retention |
Final Disposition
|
|||
|
Responsible |
Student Development Services |
Academic Year + 2 years |
3 years |
Academic Year + 5 years |
Selective Archival Retention |
||
|
Other |
All |
Academic Year |
-- |
Academic Year |
Confidential Destruction |
||
|
*Archival retention of activity programs and reports and statistics documenting services provided, activities organized, student participation, and evaluation of results. |
|||||||
|
Effective Date: 2007-05-01 (New) |
|||||||
|
05 – STUDENT AFFAIRS / STUDENT SERVICES |
|||||||
| INTERNATIONAL STUDENT SERVICES (PROGRAM FILES) | |||||||
|
Records relating to the establishment, organization, and supervision of programs and services provided to international students. Excludes international student client files (see 5.32). |
|||||||
|
Affected Unit(s) |
Active Retention |
Semi-active Retention |
Total Retention |
Final Disposition
|
|||
|
Responsible |
Student Development Services |
Academic Year + 2 years |
3 years |
Academic Year + 5 years |
Selective Archival Retention |
||
|
Other |
All |
Academic Year |
-- |
Academic Year |
Confidential Destruction |
||
|
*Archival retention of reports and statistics documenting operation and implementation of programs and services for international students. |
|||||||
|
Effective Date: 2007-05-01 (New) |
|||||||
|
05 – STUDENT AFFAIRS / STUDENT SERVICES |
|||||||
| FIRST NATIONS STUDENT SERVICES (PROGRAM FILES) | |||||||
|
Records relating to the establishment, organization, and supervision of programs and services provided to First Nations students. Excludes First Nations student client files (see 5.32). |
|||||||
|
Affected Unit(s) |
Active Retention |
Semi-active Retention |
Total Retention |
Final Disposition
|
|||
|
Responsible |
Student Development Services |
Academic Year + 2 years |
3 years |
Academic Year + 5 years |
Selective Archival Retention |
||
|
Other |
All |
Academic Year |
-- |
Academic Year |
Confidential Destruction |
||
|
*Archival retention of reports and statistics documenting operation and implementation of First Nation student programs and services. |
|||||||
|
Effective Date: 2007-05-01 (New) |
|||||||
|
05 – STUDENT AFFAIRS / STUDENT SERVICES |
|||||
| SERVICES FOR STUDENTS WITH DISABILITIES (PROGRAM FILES) | |||||
|
Records relating to the implementation and evolution of integration activities and services for students with disabilities (SSD): accessibility of buildings, oral and sign language interpretation services, deployment of human resources (interpreters, etc.), materiel (wheelchairs, etc.), and specialized equipment (Braille printers, etc.), translation of Braille documents, enlargement of font sizes (course outlines, examinations), assistance approaching professors, etc. Excludes disabled student client files (see 5.32). |
|||||
|
Affected Unit(s) |
Active Retention |
Semi-active Retention |
Total Retention |
Final Disposition
|
|
|
Responsible |
Student Development Services |
Academic Year + 2 years |
3 years |
Academic Year + 5 years |
Selective Archival Retention |
|
Other |
All |
Academic Year |
-- |
Academic Year |
Confidential Destruction |
|
*Archival retention of program and activity reports and statistics. |
|||||
|
Effective Date: 2007-05-01 (New) |
|||||
|
05 – STUDENT AFFAIRS / STUDENT SERVICES |
|||||
| PSYCHOLOGICAL SERVICES (PROGRAM FILES) | |||||
|
Records relating to the organization and supervision of psychological counselling activities and services (e.g. group workshops) provided to students for a variety of concerns. Excludes psychological services client files (see 5.32). |
|||||
|
Affected Unit(s) |
Active Retention |
Semi-active Retention |
Total Retention
|
Final Disposition |
|
|
Responsible |
Student Development Services |
Academic Year + 2 years |
3 years |
Academic Year + 5 years |
Selective Archival Retention |
|
Other |
All |
Academic Year |
-- |
Academic Year |
Confidential Destruction |
|
*Archival retention of program and activity reports and statistics. |
|||||
|
Effective Date: 2007-05-01 (New) |
|||||
|
05 – STUDENT AFFAIRS / STUDENT SERVICES |
|||||
| STUDENT SERVICES – CLIENT FILES | |||||
|
Records of individual clients in relation to career information services, learning skills, effective writing, psychological services, First Nation services, international students, mature students, and students with disabilities. Includes examination administration forms, recommended accommodation forms, psychological and learning assessments, test results, transcripts, and correspondence, alternate examination forms. |
|||||
|
Affected Unit(s) |
Active Retention |
Semi-active Retention |
Total Retention |
Final Disposition
|
|
|
Responsible |
Student Development Services Centre for New Students |
3 years after last action or consultation |
7 years |
10 years after last action or consultation |
Confidential Destruction |
|
Other |
All |
3 years after last action or consultation |
-- |
3 years after last action or consultation |
Confidential Destruction |
|
Effective Date: 2007-05-01 (New) |
|||||
|
05 – STUDENT AFFAIRS / STUDENT FINANCIAL SERVICES |
|||||
| FINANCIAL ASSISTANCE SERVICES (PROGRAM FILES) | |||||
|
Records relating to the establishment and general administration of the financial aid services offered by Western to its students: dissemination of information on loans and bursaries (correspondence, documentation, statistics), lists of grant organizations, lists of applicants, bursary students, bursary applications rejected, support measures for students in the process of obtaining financial assistance needed to continue their studies, budget planning advice, etc. Excludes financial assistance student records (5.38). |
|||||
|
Affected Unit(s) |
Active Retention |
Semi-active Retention |
Total Retention |
Final Disposition
|
|
|
Responsible |
Registrar Faculties and Departments |
Academic Year + 2 years |
4 years |
Academic Year + 6 years |
Selective Archival Retention* |
|
Other |
All |
Academic Year |
-- |
Academic Year |
Confidential Destruction |
|
*Archival retention of program and activity summary reports and statistics documenting services provided, student participation, and financial assistance awarded or obtained. |
|||||
|
Effective Date: 2007-05-01 (New) |
|||||
|
05 – STUDENT AFFAIRS / STUDENT FINANCIAL SERVICES |
|||||
| BURSARIES, NEEDS-BASED AWARDS AND WORK STUDIES - PROGRAM FILES | |||||
|
Records relating to the management of need-based bursaries, awards and work studies given by Western to its students: management of applicants, operations of selection committees, lists and profiles of bursary recipients, statistics, correspondence, financial contingency contracts, credit advance policies, financial assistance to doctoral students, etc. Excludes financial assistance student records (5.38). |
|||||
|
Affected Unit(s) |
Active Retention |
Semi-active Retention |
Total Retention |
Final Disposition
|
|
|
Responsible |
Registrar School of Graduate and Postdoctoral Studies |
Academic Year + 2 years |
4 years |
Academic Year + 6 years |
Selective Archival Retention* |
|
Other |
All |
Academic Year + 2 years |
-- |
Academic Year + 2 years |
Confidential Destruction |
|
*Archival retention of programs, reports, statistics, lists of winners, as well as records reflecting the university’s loan and bursary grant policies. |
|||||
|
Effective Date: 2008-01-29 |
|||||
|
05 – STUDENT AFFAIRS / STUDENT FINANCIAL SERVICES |
|||||
| SCHOLARSHIPS AND AWARDS - PROGRAM FILES | |||||
|
Records relating to the management of merit-based scholarships and awards given by the university: management of applicants, operations of selection committees, lists and profiles of scholarship winners, statistics, correspondence, etc. Excludes scholarship and awards student records (5.39). |
|||||
|
Affected Unit(s) |
Active Retention
|
Semi-active Retention |
Total Retention
|
Final Disposition
|
|
|
Responsible |
Registrar School of Graduate and Postdoctoral Studies |
Academic Year + 2 years |
4 years |
Academic Year + 6 years |
Selective Archival Retention* |
|
Other |
All |
Academic Year + 2 years |
-- |
Academic Year + 2 years |
Confidential Destruction |
|
*Archival retention of programs, reports, statistics, lists of winners, as well as records reflecting the institution’s scholarships and awards policies. |
|||||
|
Effective Date: 2008-01-29 |
|||||
|
05 – STUDENT AFFAIRS / STUDENT FINANCIAL SERVICES |
|||||
| GOVERNMENT LOANS AND GRANTS (PROGRAM FILES) | |||||
|
Records relating to the management of student loan and grant programs operated by various government organizations: distribution lists, loans and grants not awarded, publicity, statistics, etc. Excludes financial assistance student records (5.38). |
|||||
|
Affected Unit(s) |
Active Retention |
Semi-active Retention |
Total Retention |
Final Disposition
|
|
|
Responsible |
Registrar |
Academic Year + 2 years |
4 years |
Academic Year + 6 years |
Selective Archival Retention* |
|
Other |
All |
Academic Year + 2 years |
-- |
Academic Year + 2 years |
Confidential Destruction |
|
*Retention of recapitulative statistics documenting the awarding of government loans and grants to students. |
|||||
|
Effective Date: 2007-05-01 (New) |
|||||
|
05 – STUDENT AFFAIRS / STUDENT FINANCIAL SERVICES |
|||||
| STUDENT LOANS AND GRANTS AWARDED BY OUTSIDE ORGANIZATIONS (PROGRAM FILES) | |||||
|
Records relating to the management of student loans and grants awarded by various external organizations: lists of grant applicants, acceptance notifications, correspondence, lists of grant winners, lists of unsuccessful applicants, statistics, etc. Excludes financial assistance student records (5.38). |
|||||
|
Affected Unit(s) |
Active Retention |
Semi-active Retention |
Total Retention |
Final Disposition
|
|
|
Responsible |
Registrar |
Academic Year + 2 years |
4 years |
Academic Year + 6 years |
Selective Archival Retention* |
|
Other |
All |
Academic Year + 2 years |
-- |
Academic Year + 2 years |
Confidential Destruction |
|
*Retention of recapitulative statistics documenting the awarding of loans and grants by outside organizations to students. |
|||||
|
Effective Date: 2007-05-01 (New) |
|||||
|
05 – STUDENT AFFAIRS / STUDENT FINANCIAL SERVICES |
|||||
| FINANCIAL ASSISTANCE – STUDENT RECORDS | |||||
|
Records documenting students’ applications for financial assistance from the university or from outside organizations: financial assistance profiles, financial and social background, school files, letters of recommendation, examiners’ reports, nature and terms/conditions of assistance granted, means of repayment, discharge, etc. Excludes: student records regarding applications received under OSAP (Ontario Student Assistance Plan). These are maintained according to an Ontario government records retention schedule. |
|||||
|
Affected Unit(s) |
Active Retention |
Semi-active Retention |
Total Retention |
Final Disposition
|
|
|
Responsible |
Registrar |
Academic Year + 1 year* |
9 years |
Academic Year + 10 years |
Confidential Destruction |
|
Other |
All |
Academic Year + 1 year |
-- |
Academic Year + 1 year |
Confidential Destruction |
|
*Documents scanned into a document management system may be transferred upon verification to semi-active storage for 1 year and then confidentially destroyed. The normal retention and disposition requirements apply to the electronic records. |
|||||
|
Effective Date: 2008-02-12 |
|||||
|
05 – STUDENT AFFAIRS / STUDENT FINANCIAL SERVICES |
|||||
| SCHOLARSHIPS AND AWARDS – STUDENT RECORDS | |||||
|
Paper or electronic records documenting undergraduate and graduate students’ applications for scholarships and awards: information on applicants, financial and social background, school files, letters of recommendation, examiners’ reports, etc. |
|||||
|
Affected Unit(s) |
Active Retention |
Semi-active Retention |
Total Retention |
Final Disposition
|
|
|
Responsible |
Registrar School of Graduate and Postdoctoral Studies |
Academic Year + 1 year* |
9 years |
Academic Year + 10 years |
Selective Archival Retention** |
|
Other |
All |
Academic Year + 1 year |
Academic Year + 1 year |
Confidential Destruction |
|
|
*Documents scanned into a document management system may be transferred upon verification to semi-active storage for 1 year and then confidentially destroyed. The normal retention and disposition requirements apply to the electronic records. **Archival retention of lists of recipients of major scholarships. |
|||||
|
Effective Date: 2009-01-29 |
|||||
|
05.40 |
STUDENT FEE APPEALS | ||||
|
Paper or electronic records documenting receipt and review of student appeals of certain fees (e.g. late payment or registration fees) charged to their accounts. Records include appeal form or letter along with supporting records (e.g. bank records), and decisions of appeal committee. |
|||||
|
Affected Unit(s) |
Active Retention |
Semi-active Retention |
Total Retention |
Final Disposition
|
|
|
Responsible |
Registrar |
Decision + 2 years* |
-- |
Decision + 2 years |
Confidential Destruction |
|
Other |
All |
Decision + 1 year |
-- |
Decision + 1 year |
Confidential Destruction |
|
*Documents scanned into a document management system may be transferred upon verification to semi-active storage for 1 year and then confidentially destroyed. The normal retention and disposition requirements apply to the electronic records. |
|||||
|
Effective Date: 2008-02-12 |
|||||
