Western Libraries

Western Libraries - Archives and Research Collections Centre: Financial Services Schedules

The University of Western Ontario

WESTERN'S RECORDS RETENTION AND DISPOSAL SCHEDULES

05 - Student Affairs
05.01
Student Population
05.02
Student Recruitment
05.03
Admissions Management (Operational Records)
05.04
Admissions Management (Policies and Procedures)
05.05
Admissions Management – Incomplete, Unsuccessful or Not Registered Applicants
05.06
Registration Management (Policies and Procedures)
05.07
Registration Management (Operational Records)
05.08
Student Academic Records
05.09
Student Information Requests
05.10
Undergraduate Student Files
05.11
Accessibility Category Profiles
05.12
Graduate Student Files
05.13
Student Academic Counselling
05.14
Student Evaluation
05.15
Student Scholastic Offences and Academic Requests for Relief
05.16
Student Code of Conduct
05.17
Student Appeals
05.18
Convocation
05.19
Alumni Activities and Services
05.20
Alumni Files
05.21
Alumni Organizations
05.22
Academic Orientation Programs and Services (Policies and Procedures)
05.23
Academic Orientation Programs and Services- Student Records
05.24
Exchange Programs (Program Files)
05.25
Exchange Programs-Student Files
05.26
Career Information Services (Program Files)
05.27
Learning Skills Services (Program Files)
05.28
International Student Services (Program Files)
05.29
First Nations Student Services (Program Files)
05.30
Services for Students with Disabilities (Program Files)
05.31
Psychological Services (Program Files)
05.32
Student Services-Client Files
05.33
Financial Assistance Services (Program Files)
05.34
Bursaries, Needs-Based Awards and Work Studies (Program Files)
05.35
Scholarships and Awards (Program Files)
05.36
Government Loans and Grants (Program Files)
05.37
Loans and Grants Awarded by Outside Organizations (Program Files)
05.38
Financial Assistance-Student Records
05.39
Scholarships and Awards-Student Records
05.40
Student Fee Appeals

 

05 – STUDENT AFFAIRS / STUDENT POPULATION

05.01

STUDENT POPULATION

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.

Affected Unit(s)

Active Retention

Semi-active Retention

Total Retention

Final Disposition

 

Responsible

Institutional Planning and Budgeting

End of Academic Year + 2 years

5 years

End of Academic Year + 7 years

Selective Archival Retention*

Responsible

Faculties

End of Academic Year + 2 years

5 years

End of Academic Year + 7 years

Selective Archival Retention*

Other

All

2 years

--

2 years

Confidential Destruction

*Archival retention of official statistics, studies and reports. Destruction of preliminary records, lists and reports.

Effective Date: 2007-05-01 (New)

 

05 – STUDENT AFFAIRS / STUDENT POPULATION

05.02

STUDENT RECRUITMENT

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.

Affected Unit(s)

Active Retention

Semi-active Retention

Total Retention

Final Disposition

 

Responsible

Registrar


School of Graduate and Postdoctoral Studies

Faculties and Departments

End of Recruitment Cycle

5 years

End of Recruitment Cycle + 5 years

Selective Archival Retention*

Other

All

2 years

--

2 years

Confidential Destruction

* Archival retention of reports describing activities organized and results obtained.

Effective Date: 2009-01-29

 

05 – STUDENT AFFAIRS / ADMISSIONS, REGISTRATION, EVALUATION

05.03

ADMISSIONS MANAGEMENT – OPERATIONAL RECORDS

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.

Affected Unit(s)

Active Retention

Semi-active Retention

Total Retention

Final Disposition

 

Responsible

Registrar

School of Graduate and Postdoctoral Studies

Faculties and Departments

End of Admission Cycle + 1 year*

--

End of Admission Cycle + 1 year

Confidential Destruction

Other

All

End of Admission Cycle + 1 year

--

End of Admission Cycle + 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: 2009-01-29

 

 

05 – STUDENT AFFAIRS / ADMISSIONS, REGISTRATION, EVALUATION

05.04

ADMISSIONS MANAGEMENT – POLICIES AND PROCEDURES

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.

Affected Unit(s)

Active Retention

Semi-active Retention

Total Retention

Final Disposition

 

Responsible

Registrar

School of Graduate and Postdoctoral Studies


Faculties and Departments

Until Superseded or Obsolete

3 years

Until Superseded or Obsolete + 3 years

Selective Archival Retention*

Other

All

Until Superseded or Obsolete

--

Until Superseded or Obsolete

Destruction

*Archival retention of official admission policies and statistics.

Effective Date: 2009-01-29

 

05 – STUDENT AFFAIRS / ADMISSIONS, REGISTRATION, EVALUATION

05.05

ADMISSIONS MANAGEMENT – INCOMPLETE, UNSUCCESSFUL OR NOT REGISTERED APPLICANTS

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).

Affected Unit(s)

Active Retention

Semi-active Retention

Total Retention

Final Disposition

 

Responsible

Registrar

School of Graduate and Postdoctoral Studies

Faculties and Departments

Admission Cycle + 1 year *

--

Admission Cycle + 1 year

 

Confidential Destruction **

Other

All

Admission Cycle + 1 year

--

Admission Cycle + 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.

**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.

Effective Date: 2009-01-29

 

05 – STUDENT AFFAIRS / ADMISSIONS, REGISTRATION,EVALUATION

05.06

REGISTRATION MANAGEMENT – POLICIES AND PROCEDURES

Records relating to the development and review of policies, procedures and processes of student registration.

Affected Unit(s)

Active Retention

Semi-active Retention

Total Retention

Final Disposition

 

Responsible

Registrar

Until Superseded or Obsolete

3 years

Until Superseded or Obsolete + 3 years

Confidential Destruction

Other

All

Until Superseded or Obsolete

--

Until Superseded or Obsolete

Confidential Destruction

Effective Date: 2007-05-01 (New)

 

05 – STUDENT AFFAIRS / ADMISSIONS, REGISTRATION, EVALUATION

05.07

REGISTRATION MANAGEMENT – OPERATIONAL RECORDS

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.

Affected Unit(s)

Active Retention

Semi-active Retention

Total Retention

Final Disposition

 

Responsible

Registrar

Academic Year + 2 years *

--

Academic Year + 2 years

Confidential Destruction

Other

All

Academic Year + 2 years

--

Academic Year + 2 years

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 / ADMISSIONS, REGISTRATIONS, EVALUATIONS

05.08a

STUDENT ACADEMIC RECORDS – TRANSACTIONAL RECORDS

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).

Affected Unit(s)

Active Retention

Semi-active Retention

Total Retention

Final Disposition

 

Responsible

Registrar

Academic Year + 1 year*

5 years

Academic Year + 6 years

Confidential Destruction

Other

All

Academic Year + 1 year

--

Academic Year + 1 year

Confidential Destruction

* Source documents used for data entry into an electronic information system or 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: 2008-02-12

 

05 – STUDENT AFFAIRS / ADMISSIONS, REGISTRATIONS, EVALUATIONS

05.08b

STUDENT ACADEMIC RECORDS – PERMANENT TRANSCRIPT RECORDS

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).

Affected Unit(s)

Active Retention

Semi-active Retention

Total Retention

Final Disposition

 

Responsible

Registrar

End of Study + 75 years

--

End of Study + 75 years

Full Archival Retention**

* 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.

Effective Date: 2007-05-01 (New)

 

05 – STUDENT AFFAIRS / ADMISSIONS, REGISTRATIONS, EVALUATIONS

05.09

STUDENT INFORMATION REQUESTS

Records documenting requests by students (e.g. for transcripts (official copies of permanent academic records), statement letters, third party forms etc.).

Affected Unit(s)

Active Retention

Semi-active Retention

Total Retention

Final Disposition

 

Responsible

Registrar

1 year *

--

1 year*

Confidential Destruction

Other

Faculties and Departments

1 year

--

1 year

Confidential Destruction

* 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.

Effective Date: 2008-02-12

 

05 – STUDENT AFFAIRS / ADMISSIONS, REGISTRATIONS, EVALUATIONS

05.10

UNDERGRADUATE STUDENT FILES

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).

Affected Unit(s)

Active Retention

Semi-active Retention

Total Retention

Final Disposition

 

Responsible

Faculties and Departments - Regular

End of Study + 2 years

8 years

End of Study + 10 years

Confidential Destruction

Responsible

Professional Schools*

End of Study + 2 years

48 years

End of Study + 50 years

Confidential Destruction

*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.

Effective Date: 2007-05-01 (New)

 

05 – STUDENT AFFAIRS / ADMISSIONS, REGISTRATIONS, EVALUATIONS

05.11

ACCESSIBILITY CATEGORY PROFILES

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.

Affected Unit(s)

Active Retention

Semi-active Retention

Total Retention

Final Disposition

 

Responsible

Registrar

Admission Cycle + 1 year*

--

Admission Cycle + 1 year

Confidential Destruction

Other

None

--

--

--

 

* 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: 2008-02-12

 

05 – STUDENT AFFAIRS / ADMISSIONS, REGISTRATIONS, EVALUATIONS

05.12

GRADUATE STUDENT FILES

Series documents the admission, registration, academic performance, examination, and graduation of students enrolled in graduate (Master and Doctoral) programs.

Affected Unit(s)

Active Retention

Semi-active Retention

Total Retention

Final Disposition

 

Responsible

School of Graduate and Postdoctoral Studies

End of Study + 2 years

8 years

End of Study + 10 years

Selective Archival Retention**

Other

Faculties and Departments

End of Study + 2 years

8 years

End of Study + 10 years

Selective Archival Retention**

Other

Professional Schools*

End of Study + 2 years

48 years

End of Study + 50 years

Selective Archival Retention**

*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.

Effective Date: 2007-05-01 (New)

 

05 – STUDENT AFFAIRS / ADMISSIONS, REGISTRATIONS, EVALUATIONS

05.13

STUDENT ACADEMIC COUNSELLING

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.

Affected Unit(s)

Active Retention

Semi-active Retention

Total Retention

Final Disposition

 

Responsible

Faculties - Deans’ Offices

Centre for New Students

Until End of Study

10 years

Until End of Study + 10 years

Confidential Destruction

Effective Date: 2007-05-01 (New)

 

05 – STUDENT AFFAIRS / ADMISSIONS, REGISTRATIONS, EVALUATIONS

05.14

STUDENT EVALUATION

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).

Affected Unit(s)

Active Retention

Semi-active Retention

Total Retention

Final Disposition

 

Responsible

Registrar

School of Graduate and Postdoctoral Studies

Academic Year + 1 year*

--

Academic Year + 1 year

Confidential Destruction

Other

All

Academic Year + 1 year

--

Academic Year + 1 year

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 / DISCIPLINE

05.15

STUDENT SCHOLASTIC OFFENCES AND ACADEMIC REQUESTS FOR RELIEF

Records relating to the investigation of student scholastic offences and academic requests for
relief: records created when a student comes before, or appeals to, the Chair, Dean, or Vice-Provost.

Affected Unit(s)

Active Retention

Semi-active Retention

Total Retention

Final Disposition

 

Responsible

Deans' or Vice Provost Offices

 

Departments – Chairs’ Offices

Decision + 1 year

14 years

Decision + 15 years

Selective Archival Retention*

Other

All

Decision + 1 year

--

Decision + 1 year

Confidential Destruction

*Transfer decision record to Archives. Destroy all other records.

Effective Date: 2009-01-29

 

05 – STUDENT AFFAIRS / DISCIPLINE

05.16

STUDENT CODE OF CONDUCT

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.

Affected Unit(s)

Active Retention

Semi-active Retention

Total Retention

Final Disposition

 

Responsible

Faculties – Deans’ Offices

Associate Vice-President (Student Experience)

Decision + 1 year

14 years

Decision + 15 years

Selective Archival Retention*

Other

All

Decision + 1 year

--

Decision + 1 year

Confidential Destruction

*Transfer decision record to Archives. Destroy all other records.

Effective Date: 2007-05-01 (New)

 

05 – STUDENT AFFAIRS / DISCIPLINE

05.17a

STUDENT APPEALS – GRANTED

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.

Affected Unit(s)
Active Retention
Semi-active Retention
Total Retention
Final Disposition

Responsible

University Secretariat

Decision + 1 year

4 years

Decision + 5 years

Confidential Destruction

Other

All

Decision + 1 year

--

Decision + 1 year

Confidential Destruction

Effective Date: 2007-05-01 (New)

 

05 – STUDENT AFFAIRS / DISCIPLINE

05.17b

STUDENT APPEALS – NOT GRANTED

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.

Affected Unit(s)

Active Retention

Semi-active Retention

Total Retention

Final Disposition

 

Responsible

University Secretariat

Decision + 1 year

14 years

Decision + 15 years

Selective Archival Retention*

Other

All

Decision + 1 year

--

Decision + 1 year

Confidential Destruction

*Transfer decision record to Archives. Destroy all other records.

Effective Date: 2007-05-01 (New)

 

05 – STUDENT AFFAIRS / GRADUATES

05.18

CONVOCATION

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.

Affected Unit(s)

Active Retention

Semi-active Retention

Total Retention

Final Disposition

 

Responsible

Registrar

University Secretariat


Officers of Convocation

Convocation + 1 year

3 years

Convocation + 4 years

Selective Archival Retention*

Other

All

Convocation + 1 year

--

Convocation + 1 year

Destruction

*Archival retention of official institution publications (e.g. programs), transcripts of speeches and recordings of proceedings and speeches.

Effective Date: 2008-01-29

 

05 – STUDENT AFFAIRS / GRADUATES

05.19

ALUMNI ACTIVITIES AND SERVICES

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.

Affected Unit(s)

Active Retention

Semi-active Retention

Total Retention

Final Disposition

 

Responsible

Alumni Relations and Development

Faculties and Departments

Fiscal Year + 2 years

3 years

Fiscal Year + 5 years

Selective Archival Retention*

*Archival retention of promotional materials, publications and reports documenting alumni activities, events and types of services offered by the institution.

Effective Date: 2008-01-29

 

05 – STUDENT AFFAIRS / GRADUATES

05.20

ALUMNI FILES

Records on individual alumni kept to maintain contact with them.

Includes personal data, degree obtained and date, correspondence, etc.

Affected Unit(s)

Active Retention

Semi-active Retention

Total Retention

Final Disposition

 

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.

Effective Date: 2007-05-01 (New)

 

05 – STUDENT AFFAIRS / GRADUATES

05.21

ALUMNI ORGANIZATIONS

Records relating to alumni associations, organizations, and groups: requests for recognition or accreditation, organizational records such as minutes, membership lists, etc.

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.

Effective Date: 2008-01-29

 

05 – STUDENT AFFAIRS / STUDENT SERVICES

05.22

ACADEMIC ORIENTATION PROGRAMS AND SERVICES - PROGRAM FILES

Records relating to the organization and supervision of academic orientation activities and services offered to the institution’s students.

Affected Unit(s)

Active Retention

Semi-active Retention

Total Retention

Final Disposition

 

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.

Effective Date: 2008-01-29

 

05 – STUDENT AFFAIRS / STUDENT SERVICES

05.23

SUMMER ACADEMIC ORIENTATION – STUDENT FILES

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.

Affected Unit(s)

Active Retention

Semi-active Retention

Total Retention

Final Disposition

 

Responsible

Centre for New Students

1 year

--

1 year

Confidential Destruction

Other

All

1 year

--

1 year

Confidential Destruction

Effective Date: 2007-05-01 (New)

 

05 – STUDENT AFFAIRS / STUDENT SERVICES

05.24

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).

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

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 exchange programs.

Effective Date: 2007-05-01 (New)

 

05 – STUDENT AFFAIRS / STUDENT SERVICES

05.25

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

05.26

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

05.27

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

05.28

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

05.29

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

05.30

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

05.31

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

05.32

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

05.33

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

05.34

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

05.35

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

05.36

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

05.37

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

05.38

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

05.39

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 – STUDENT AFFAIRS / STUDENT FINANCIAL SERVICES

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