Retention Schedule June 2012

Transcription

1 June 2012 Records Management & Archives Department

2 NOTE Please take note that the retention schedule is currently under revision, and we are adding new rules as soon as they are approved. This is the reason why there is no logical order in the rule numbering so far. The update should be completed by the end of Should you not find the rule you are looking for or should you need help to apply the retention schedule, please contact the Records Management Team: Rachel Marion, Records Officer Nathalie Parant, Records Officer Éric Côté, Records Management Assistant # # #5921 TABLE OF CONTENTS R Accounting Registers and Journals 5 R Accounts Payable 6 R Bank Transactions 7 R Budgets 8 R Accounts Receivable 9 R Investments, Loans and Guaranties 10 R Taxes 11 R Financial Statements and Reports 12 R Accounting Charts 13 R Student Accounts 14 R Restricted Funds Financial Management 15 R Purchasing 16 R Research Grants Financial Management 17 R Collection Files 18 R Supplier Files 19 R Private Estates Management 20 R Public Art Projects 21 R Committees and Meetings 22 R Concordia Events 23 R Conferences and Seminars External 24 R Reference Documents 25 R Requests for General Information 26 R General Administrative Management 27 R Legal Deposit 28 R Academic Code of Conduct Case files 29 Page 2 of 95

3 R Student Tribunals 30 R Copyrights 31 R Trademarks and Industrial Design Certificates 32 R Requests for Access to Public Records and Personal Information 33 R Management of Personal Information Files 34 R Rights and Responsibilities Case Files 35 R Ombudsperson Case Files 36 R Group Insurance 37 R Legal Opinions and Legal Reviews 38 R Litigation Files 39 R Minor Contracts 40 R Licenses and Permits 41 R Records Management and Archives Management Programs 42 R Records Custody and Final Disposition 43 R Archives Holdings Management 44 R Concordia University Publications 45 R External Publications 46 R Concordia University Calendars 47 R Concordia University Calendars Working Files 48 R Student Recruitment 49 R University Identification 50 R Promotional Material 51 R Media Coverage 52 R Internal News and Announcements 53 R Websites 54 R Media Relations 55 R External Relations 56 R University Student Awards, Bursaries and Scholarships 57 R Staff and Seniority Lists 58 R Union Activities 59 R Collectives Agreements 60 R Negotiation Files 61 R Grievance Files 62 R Statistics 63 R Enrolment Statistics and Reports 64 R Support Services for Students 65 R Support Services for Students Case Files 66 R Services for Students with Disabilities 67 R Students with Disabilities Case Files 68 Page 3 of 95

4 R Student Advocate Program Case Files 69 R Student Orientation and Integration 70 R Health Services Patient Files 71 R Loyola and Sir George Williams Student Academic Records 72 R Student Files 73 R Graduation Lists 74 R Applications for Medical or Deferred Notations or for Supplemental Examinations 75 R Diplomas 76 R Unclaimed Diplomas 77 R Applications for Replacement Degree Defaced, Destroyed or Misplaced 78 R Applications for Replacement Degree Change of Name, Sex or Birth Date 79 R Academic Standing - Case Files 80 R Requests for Student Status 81 R Examination Sessions 82 R Examination and Test Questionnaires 83 R Student Assignments and Examinations 84 R Theses and Dissertations Management 85 R Comprehensive Examinations 86 R Historical Evolution 87 R Administrative Organization and Structure 88 R Administrative Planning 89 R Reports, Studies and Analyses 90 R Delegation of Authority 91 R University Policies and Procedures 92 R Charter and By-Laws Awards & Bursary - Payment Files Saving Bonds Campaign Files 95 Page 4 of 95

5 R ACCOUNTING REGISTERS AND JOURNALS Records related to the management of the University accounting system achieved through the Financial Information System (FIS) and Human Resources Information System (HRIS). Records covered by this rule may include: general ledger (FIS), general journal (FIS), journal entries (FIS), cash or treasury journals (FIS), payroll registers (earnings and deductions)(hris), purchases journal and other auxiliary journals (FIS), journal vouchers (eg. cash register tapes), listings and limited reports used as working documents and supporting documentation. Primary General ledger and journals Financial Services and Digital Fiscal year + 6 years Permanent retention in FIS other responsible units Primary Payroll registers Human Resources Digital Fiscal year + 6 years Permanent retention in HRIS Primary Journal entries, listings and reports used as working and supporting documents. Financial Services and other responsible units Digital / Paper Fiscal year + 6 years Destruction Page 5 of 95

6 R ACCOUNTS PAYABLE Records related to the management of accounts payable achieved through the Financial Information System (FIS). Records covered by this rule may include: expense reports, cheque requisitions, petty cash records, vouchers, suppliers account files, copies of cheque issued, reports and lists generated by FIS related to accounts payable. See also, rule R SUPPLIER FILES. Copy Detail of Unit Medium Retention Period Final Disposition records Primary n/a Financial Services Digital/Paper Fiscal year + 6 years Destruction Secondary n/a Other units Digital/Paper 2 years Destruction Page 6 of 95

7 R BANK TRANSACTIONS Records related to the management of the University bank transactions. Records covered by this rule may include but are not limited to: bank deposit slips, bank statements, cheques (cashed, cancelled, returned, copies), reconciliation records and liquidity status, bank service fees records. Primary n/a Financial Services Digital/Paper Fiscal year + 6 years Destruction and other responsible units Page 7 of 95

8 R BUDGETS Records related to the preparation, planning, control and follow-up of the University budgets and its formal components (operating funds, investment funds, research funds, special funds, trust funds) achieved through Financial Information System (FIS). Records covered by this rule may include: capital budget files, budget planning and forecast, approved budget, budget reports and any other documents related to the budgetary management and control including supporting documentation and notes; accounting statements including summary statements of revenue and expenditure, statements of surpluses and deficits, deviation analyses, summaries of transfers and additional budgets, reports on capital expenditures. Primary Official version of approved budgets, budget plans, investments plans, global statements of expenditures at fiscal year-end and detailed budget statements. Financial Services Digital Fiscal year + 6 years Permanent retention in RM&A (if there are cumulative reports, only the last statement of the fiscal year will be retained). Primary Supporting documentation and notes Financial Services Digital/Paper Fiscal year + 6 years Destruction Primary Periodical budget forecasts, correspondence, reports, supporting documents and notes. Other units Digital/Paper Fiscal year + 1 year Destruction Page 8 of 95

9 R ACCOUNTS RECEIVABLE Records related to the management of University accounts receivable and revenue controls achieved through the Financial Information System (FIS). Records are used in the follow-up payments made to the University by external clients in return for goods and services. Records covered by this rule are client files and may include: invoices, payment forms, receipts, copies of credit card slips. See also, rule R STUDENT ACCOUNTS. For collection of debt, see R COLLECTION FILES. Primary n/a Financial Services and Digital/Paper Fiscal year + 6 years Destruction responsible units Secondary n/a Other units Digital/Paper 2 years Destruction Page 9 of 95

10 R INVESTMENTS, LOANS AND GUARANTEES Records related to the management of University investments, loans and guarantees such as: lines of credit, term loan contracts, mortgages, forward exchange contracts, swap contracts, issues of bonds or debentures, share certificates, term deposits and investment or deposit certificates. Records covered by this rule may include: daily statement funds, investment statements, confirmations of notices, deposit and withdraw forms, deposit interest statements, bank statements, management review reports. For Human Resources Pension Investments, see rule R PENSION PLAN. For investments plans, see rule R BUDGETS. Primary n/a Financial Services Digital/Paper Until expiration of loans, investments and guarantees + 7 years Destruction Note: research value is ensured by the retention of investments plans and reports included in the budget retention rule. Page 10 of 95

11 R TAXES Records related to taxes levied by various levels of government. Records covered by this rule may include: declarations or recoveries of Québec Sales Tax (QST) and Goods and Services Tax (GST) payments (claims, tax statements), transaction reports, excise tax remittance and notices, municipal taxes, school taxes, records dealing with the issue of charitable receipts (including registration numbers). Primary n/a Financial Services / Digital/Paper Fiscal year + 6 years Destruction Advancement and Alumni Relations Page 11 of 95

12 R FINANCIAL STATEMENTS AND REPORTS Records related to the analysis, control and auditing of the University financial statements. Records covered by this rule may include: financial reports and statements, annual financial statements approved by external auditors, auditor s reports including their comments, recommendations and follow-up; annual financial forms submitted to Québec government, calculations and supporting documents used to prepared financial statements (eg. fixed assets calculations). Primary n/a Financial Services Digital/Paper Annual fiscal year + 6 years Permanent retention in RM&A of annual financial statements, annual cumulative financial reports, annual financial forms submitted to Quebec government and audit reports. Destruction of remaining documents. Secondary n/a Other units Digital/Paper 2 years Destruction Page 12 of 95

13 R ACCOUNTING CHARTS Records related to the management of the University accounting charts through the Financial Information System (FIS). Primary n/a Financial Services Digital Until replacement by a new version Permanent retention in FIS Primary n/a Financial Services Paper As long as needed Destruction Page 13 of 95

14 R STUDENT ACCOUNTS Records related to the control of invoicing and management of tuition fees and other fees payable by students. The management is achieved through Student Information System (SIS) and Financial Information System (FIS). Records covered by this rule may include: correspondence, tuition refund documents (requests, copies of final decision letters tuition) and enrolment tax receipts, reports, student account statements and supporting documents. For student collection files, see R COLLECTION FILES. Primary n/a Financial Services Digital/Paper 2 years after final payment of account + 5 years Destruction Page 14 of 95

15 R RESTRICTED FUNDS FINANCIAL MANAGEMENT Records related to the financial management of restricted funds administrated by the University, such as: research funds, designated funds (scholarship, bursaries), trusts, capital funds (buildings and equipment) and agency funds. Administrative management of restricted funds is covered under separate rules. Records covered by this rule may include: account applications and account statements, financial reports, notification of fund number, budget modifications and vouchers used for budget control of grants and contracts. See also, rule R RESEARCH GRANTS - FINANCIAL MANAGEMENT. Primary n/a Financial Services Digital/Paper 7 years following end of use of fund concerned Destruction Note: Research value is ensured by the retention of summary reports and objectives of each fund. Page 15 of 95

16 R PURCHASING Records related to the acquisition by payment of goods and services. Records covered by this rule may include: purchase orders (PO), purchase requisitions and approvals, receipts, delivery orders, import and export customs records, acknowledgements of receipt of goods and in-process files. For suppliers account files, see rule R ACCOUNTS PAYABLE. Primary n/a Financial Services Digital/Paper 7 years after the transaction Destruction Secondary n/a All units Digital/Paper Fiscal year + 1 year Destruction Page 16 of 95

17 R RESEARCH GRANTS - FINANCIAL MANAGEMENT Records related to financial management of research grants accepted. Records covered by this rule may include: research budget account openings, financial reports, budget amendments, grant cheque stubs and all supporting documents required for the control of research grant budgets. For administrative management of grant application, see rule R GRANTS APPLICATIONS. Primary n/a Financial Services Digital/Paper 7 years after the end of research project Destruction Secondary n/a All units Digital/Paper 2 years after the end of research project Destruction Page 17 of 95

18 R COLLECTION FILES Records related to collection of any outstanding amounts due to the University, not involving legal process. This rule applies to tuition fees. Records covered by this rule include: individual case files, collections agencies documents and statistical analyses. For collection of debt involving legal process, see rule R LITIGATION FILES. Primary n/a Responsible unit Digital/Paper 1 year after the debt is discharged + 6 years Destruction Page 18 of 95

19 R SUPPLIER FILES Records related to supplier files created by various University units and used as a reference for acquisition of goods and services. Records covered by this rule may include: catalogue, flyers and price lists. For requisitions and in-process files, see rule R PURCHASING. See also, R ACCOUNTS PAYABLE. Primary n/a Responsible unit Digital/Paper Until replacement by a new version Destruction Page 19 of 95

20 R PRIVATE ESTATES MANAGEMENT Records related to the management of private estates such as Max Stern and Diniacopoulos Estates. Primary n/a Special Projects and Cultural Affairs Digital/Paper As long as current + 7years Selection: Permanent retention in RM&A of legal records and significant records documenting the content of the estate. Destruction of remaining records. Secondary n/a Other units Digital/Paper As long as current Destruction Page 20 of 95

21 R PUBLIC ART PROJECTS Records related to art works acquired by the University. Records covered by this rule may include: individual files of the finalists and the chosen artists; acquisition contracts, agreements; photographs and project descriptions; installation and maintenance specifications. For maintenance contracts see rule (under development). Primary n/a Special Projects Digital/Paper 10 years after the realization of the project Permanent retention in RM&A and Cultural Affairs Secondary n/a Other units Digital/Paper 2 years Destruction Page 21 of 95

22 R COMMITTEES AND MEETINGS Records related to meetings of University academic and administrative bodies or units, such as: committees, task forces, working groups and caucuses. To include organization, discussions, deliberations and follow-up. Records covered by this rule may include: schedules of meetings, notices of meetings; agendas, supporting documentation, minutes, resolutions; status reports; documents discussed, adopted or filed for information; notes, requests for corrections and correspondence. For minutes and supporting documentation of Senior Administration and Governing Bodies, see rule R SENIOR ADMINISTRATION AND GOVERNING BODIES - MEETINGS (under development). Copy Detail of records Unit Medium Retention period Final Disposition Primary n/a Responsible unit Digital/Paper Current year + 1 year Selection: permanent retention in RM&A of records related to meetings. Note: paper copy deposited in the Archives for 5 years. Destruction of records related to meetings preparation (proposed agenda items, notification of meeting). Secondary n/a Other units Digital/Paper 2 years Destruction Page 22 of 95

23 R CONCORDIA EVENTS Records related to official ceremonies and other events organized or held by the University, such as: convocations, President and Chancellor installations, openings of buildings, commemorations, launches, alumni activities and donors and staff recognition events, conferences, seminars, forums and other academic, social or cultural activities. Records covered by this rule may include: programs and orders of proceedings, lists of participants of official ceremonies, guest books, texts of addresses and speeches, promotional materials, press clippings, photographs and specimens of prizes; acts of colloquia and kits given to participants. Copy Detail of Unit Medium Retention period Final Disposition records Primary n/a Responsible unit Audiovisual/Digital/Paper 5 years after the event Permanent retention in RM&A Secondary n/a Other units Audiovisual/Digital/Paper 2 years Destruction Page 23 of 95

24 R CONFERENCES AND SEMINARS - EXTERNAL Records related to conferences, seminars and colloquia held outside the University and attended by one or more members of the University for professional development. Records covered by this rule may include: programs, proceedings, kits given to participants, activity reports prepared by the University member. For conferences and seminars organized or held by the University, see rule R CONCORDIA EVENTS. For records related to interactions between the University and external organizations, see rule R EXTERNAL RELATIONS. Copy Detail of Unit Medium Retention period Final Disposition records Primary n/a Responsible unit Audiovisual/ Digital/Paper 5 years after the event Permanent retention in RM&A of programs and activity reports prepared by the University member. Destruction of remaining documents. Secondary n/a Other units Digital/Paper 1 year Destruction Page 24 of 95

25 R REFERENCE DOCUMENTS Documents whose subject matter may vary from unit to unit according to their needs and specific activities. Records covered by this rule may include: publications, press clippings, extracts from books, articles, brochures, catalogues, technical records, manuals, legislation and regulations. Primary n/a Responsible unit Digital/Paper As long as needed. Destruction Note: these records are never sent to RM&A. Page 25 of 95

26 R REQUESTS FOR GENERAL INFORMATION Records related to requests of general or specific interest addressed by persons or external organizations to the University. For information requests requiring the generating of reports, statistics or new sets of information that may have further usefulness or, that document the main activities of the University, see appropriate rules. For requests related to access to public records and personal information, see rule R REQUESTS FOR ACCESS TO PUBLIC RECORDS AND PERSONAL INFORMATION. Primary n/a Responsible unit Digital/Paper 1 year Destruction Page 26 of 95

27 R GENERAL ADMINISTRATIVE MANAGEMENT Records related to the overall management and coordination of administrative and academic units of the University. To include records made, received and used in support of their programs, functions, activities and operations. This is a default retention rule covering all university departmental records not scheduled under a more specific retention rule. Records covered by this rule may include: general correspondence, civilities and greetings (condolences, thanks, etc.), meeting notes, short-term action plans and follow-up, preliminary statistics, drafts, proposals and working documents, instructions to staff, budget control and transaction records, work schedules, work orders, notices, memoranda, contacts and distribution lists, rooms reservation, multiple copies of document, templates, blank forms, social activity for employees, business trip organization, etc. Primary n/a Responsible unit Digital/Paper 2 years Destruction Page 27 of 95

28 R LEGAL DEPOSIT Records related to legal deposit with Library and Archives Canada (LAC) and Bibliothèque et Archives nationales du Québec (BAnQ) of documents published by the University. Records covered by this rule may include: correspondence, administrative forms and legal deposit certificates. Copy Detail of records Unit Medium Retention period Final Disposition Primary n/a Responsible unit Digital/Paper 1 year Selection: permanent retention in RM&A of legal deposit certificates. Secondary n/a Other units Digital/Paper 1 year Destruction Page 28 of 95

29 R ACADEMIC CODE OF CONDUCT CASE FILES Records related to allegations, falling under the University Academic Code of Conduct, of academic dishonesty by a student. Records covered by this rule may include: incident reports, complaints, inquiries, charges, correspondence with the parties involved, supporting documentation; Dean notifications, recommendations and reports to Senate; and applications to appeal. For records related to hearings and records held by the Secretary of Student Tribunals, see rule R STUDENT TRIBUNALS. For records related to decision letters residing in student s files see rule R STUDENT FILES. See also rule R STUDENT ADVOCATE PROGRAM-CASE FILES. Primary Case files upheld Deans of Faculties or Schools Digital/Paper Until final appeal date + 80 years Destruction Primary Case files upheld Enrolment Services Digital/Paper Until graduation of the student + 3 years Destruction Note: Research value is ensured by retention of Dean report or notification in student file. Primary Case files dismiss Faculties Enrolment Services Digital/Paper Until rejection or withdrawal of complaint Destruction Page 29 of 95

30 R STUDENT TRIBUNALS Records related to proceedings of academic hearings panels, appeal panels and other student tribunals. Records covered by this rule may include: students case file, audio-tapes of hearings; applications to appeal; sanctions and closing statements; rules of procedure and Secretary annual reports. For annual reports detailing the number of charges prepared by the Secretary, see rule R REPORTS, STUDIES AND ANALYSIS. For records residing in student files, see rule R STUDENT FILES. See also rule R STUDENT ADVOCATE PROGRAM-CASE FILES. Primary n/a Office of General Digital/Paper Until closure of the file Destruction Counsel + 80 years Primary Audio-tapes of Hearings Office of General Counsel Audiovisual / Digital Until closure of the file + 5 years Destruction Primary n/a Hearing Panel Members Digital/Paper As soon as the case is close Destruction Secondary n/a Other units Digital/Paper As soon as the case is close Destruction Page 30 of 95

31 R COPYRIGHTS Records related to copyrights for which the University holds the rights. To include records related to the rights for consultation and use on behalf of the University faculty, staff and students. Records covered by this rule may include: copyrights for works produced or acquired by the University; copyright permission clearances, assignments of rights, licences or authorizations relating to copyright in the University s name for manuscripts, software, photographs and audio or video recordings. Primary Copyrights Responsible unit Digital/Paper 50 years following author s decease Permanent Retention in RM&A Primary Temporary permissions to use copyrights material Responsible unit Digital/Paper Term of use + 6 years Destruction Secondary Copyrights files Office of the General Counsel Digital/Paper 50 years following author s decease Permanent Retention in RM&A Note: access is strictly reserved to the Office of the general Counsel. Secondary n/a Other units Digital/Paper As long as the agreement is in effect + 1 year Destruction Page 31 of 95

32 R TRADEMARKS AND INDUSTRIAL DESIGN CERTIFICATES Records related to registrations establishing legal ownership of trademarks and industrial designs for which the University holds the rights. Records covered by this rule may include: applications for registration and certificates of ownership. For University official marks, see rule R UNIVERSITY IDENTIFICATION Primary Trademarks Responsible unit Digital/Paper Until the last renewal of certificate + 15 years Permanent retention in RM&A of certificates. Destruction of applications. Primary Industrial design Certificates Responsible unit Digital/Paper Until the last renewal of certificate + 10 years Permanent retention in RM&A of certificates. Destruction of applications. Secondary n/a Office of the General Counsel Digital/Paper Until the last renewal of certificate Permanent retention in RM&A Note: access is strictly reserved to the Office of the General Counsel. Page 32 of 95

33 R REQUESTS FOR ACCESS TO PUBLIC RECORDS AND PERSONAL INFORMATION Records related to requests for access to University public records and requests for personal information held by the University. Records covered by this rule may include: requests for access, correction or review, acknowledgements of receipt, replies from the person in charge of access to records and decisions by the Commission d'accès à l'information du Québec (Quebec's access commission) specifically related to the University. See also rule R MANAGEMENT OF PERSONAL INFORMATION FILES Primary n/a Vice-President Institutional Relations and Secretary-General Digital/Paper Until closeout of files + 10 years Permanent retention in RM&A of decisions by the Commission d'accès à l'information du Québec. Secondary n/a Other units Digital/Paper Until closeout of files Destruction Page 33 of 95

34 R MANAGEMENT OF PERSONAL INFORMATION FILES Records related to the management of personal information files kept by the University. Records covered by this rule may include: declarations of personal information files to Quebec's access commission, agreements between public bodies for the transmission of personal information, authorizations by Quebec's access commission and personal information file consultation logs. See also rule R REQUESTS FOR ACCESS TO PUBLIC RECORDS AND PERSONAL INFORMATION Primary n/a Office of the General Counsel Digital/Paper As long as the records are in effect + 6 years Permanent retention in RM&A Note: access is strictly reserved to the Office of the General Counsel. Page 34 of 95

35 R RIGHTS AND RESPONSIBILITIES CASE FILES Records related to unacceptable behaviours identified in the University Code of Rights and Responsibilities. Records are associated with complaint resolution process and/or corrective measures. Records covered by this rule may include: information requests, incident reports, complaints, submission of supporting documentation, short-term interventions, referrals and consultations not requiring formal complaints, charges, notices of hearings, intake forms, applications to appeal and results. For Code of Rights and Responsibilities, see rule R UNIVERSITY POLICIES AND PROCEDURES. For advisor annual report, see rule R REPORTS, STUDIES AND ANALYSES. See also rule R ACADEMIC CODE OF CONDUCT CASE FILES. See also rule R STUDENT TRIBUNALS. Primary Case files Office of Rights and Responsibilities Digital/Paper 10 years following last activity in the file Destruction Note: research value is ensured by retention of statistical information contains in annual reports. Secondary n/a Other units Digital/Paper 2 years following last activity in the file Destruction Page 35 of 95

36 R OMBUDSPERSON CASE FILES Records related to management of complaints deposited at Ombuds Office in regard of the application of policies or regulations of the University. Records are associated with complaint resolution process, corrective measures and actions of the University Ombudsperson. Records covered by this rule are organized as individual case files and may include: complaints, case notes and decision letters; and master lists. For Ombudsperson recommendations and reports, see rule R REPORTS, STUDIES AND ANALYSES. Primary Case files Ombuds Office Digital/Paper Until settlement of the case + 10 years Destruction Note: Research value is ensured by retention of Ombudsperson recommendations and statistics included in annual reports. Primary Master list Ombuds Office Digital/Paper 10 years Destruction Note: Research value is ensured by retention of annual reports. Replaces rule: 19.4 Master list of cases, 19.5 Ombuds Office annual report, 19.6 Ombuds Office Client Files, 19.7 Ombuds Office Reports Page 36 of 95

37 R GROUP INSURANCE Records related to group insurance contracts such as: life, salary, accident, illness, and dental. To include insurance plans for international students. Records covered by this rule may include: contracts and amendments; lists of insured parties, renewals and premium billings. See also rule R BENEFITS PROGRAMS. See also rule R BENEFITS - EMPLOYEE FILES. For other insurance contracts (ex. civil liability), see rule R INSURANCE CONTRACTS. Primary n/a Responsible unit Digital/Paper Retain as long as insurance contracts are in effect or until all claims are settled + 7 years. Destruction Secondary n/a Other units Digital/Paper As long as current Destruction Page 37 of 95

38 R LEGAL OPINIONS AND LEGAL REVIEWS Records related to legal opinions and advices necessary for the conduct of the University operations issued by the Office of the General Counsel or external bodies. Primary n/a Office of the General Counsel Digital/Paper Until settlement of the issue or as long as the legal advice remains operative or in force + 10 years Permanent retention in RM&A Note: the right of consultation is strictly reserved to the Office of the General Counsel. Secondary n/a Other units Digital/Paper Until settlement of the issue or as long as the legal advice remains operative or in force Destruction Page 38 of 95

39 R LITIGATION FILES Records related to legal matters dealt with or submitted to a court of law or an administrative tribunal for or against the University. Records covered by this rule are organized as individual case files and may include: legal correspondence and pleadings, statements, demands, directions, defence, actions, briefs, subpoenas and notices to appear, orders, discharges, rulings, certified transcripts of out-of-court testimony, written submissions, arguments, transactions, discharges and judgments. Primary n/a Office of the General Counsel Digital/Paper Until full settlement of proceedings, including right to appeal or until the execution of judgments + 10 years Permanent retention in RM&A Note: access is strictly reserved to the Office of the General Counsel. Page 39 of 95

40 R MINOR CONTRACTS Records related to contracts for minor purchases and services (under 20,000$). Records covered by this rule may include: negotiation files, contract studies, contracts, guarantee and pre-sale inspection files. See also rule R MAJOR CONTRACTS. See also rule R PURCHASING. Primary n/a Responsible unit Digital/Paper For the duration of the contract + 10 years Destruction Secondary n/a Other units Digital/Paper For the duration of the contract Destruction Page 40 of 95

41 R LICENSES AND PERMITS Licences and permits necessary for the conduct of some activities of University units, such as alcohol permits. For licenses related to copyrights, see rule R COPYRIGHTS. For construction permits (rule under development). Primary n/a Responsible unit Digital/Paper As long as the license or permit is valid + 3 years Destruction Page 41 of 95

42 R RECORDS MANAGEMENT AND ARCHIVES MANAGEMENT PROGRAMS Records covered by this rule may include: retention schedules, classification plans, preservation programs for archival records and records management of vital records. Primary n/a RM&A Digital/Paper Until its replacement by a new version Permanent retention in RM&A. Page 42 of 95

43 R RECORDS CUSTODY AND FINAL DISPOSITION Records related to University records transfer to the Records Management and Archives Department for custody and their final disposition. Records covered by this rule may include: box listings, lists of University administrative and academic units and lists for each unit of employees with permission to consult and retrieve records (access authorization forms), and destruction approval forms. Primary Lists of depositors RM&A Digital/Paper Until replacement by a new version Permanent retention in RM&A Primary Access authorization forms RM&A Digital/Paper Until replacement by a new version Destruction Primary Box listings RM&A Digital/Paper Until destruction of the box Destruction Primary Records disposition approval forms RM&A Digital/Paper 10 years Destruction Secondary Box listings and disposition approval forms Depositor units Digital/Paper 1 years Note: copies of box listings are destroyed as soon as the approval form has been sent to RM&A. Destruction Page 43 of 95

44 R ARCHIVES HOLDINGS MANAGEMENT Records related to the transfer, conservation, processing, consultation and diffusion of archival holdings, private and institutional fonds, under custody of the Records Management and Archives Department. Records covered by this rule may include: acquisition and management files with accession forms, monetary appraisals, consultation authorizations, donation contracts and understandings; processing files, listings of records including files description and finding aids. Primary n/a RM&A department Digital/Paper As long as records are under RM&A custody Permanent retention Note: When a private fonds be no longer under custody of RM&A, permanent retention of acquisition and administration files only. Page 44 of 95

45 R CONCORDIA UNIVERSITY PUBLICATIONS Records related to administrative, academic and educational publications produced by the University. To include records dealing with the preparation, production and distribution of the publications. Records covered by this rule may include: handbooks, newspapers, newsletters, bulletins, guidelines, policy statements, procedure manuals, brochures, annual reports, posters, books, periodicals, monographs, learned or scientific publications and any other documentation published by a unit in the course of its activities; manuscripts and photographs; files of publishing projects accepted or rejected (forms, grant applications, submissions, publicity); published texts. For University Calendars, see rule R CONCORDIA UNIVERSITY CALENDARS. Copy Detail of records Unit Medium Retention period Final Disposition Primary n/a Responsible unit Digital/Paper As long as needed + 2 years Permanent retention in RM&A: 2 copies of all printed and published material and selection of significant supporting documentation. Secondary n/a Other units Digital/Paper As long as needed Destruction Page 45 of 95

46 R EXTERNAL PUBLICATIONS Records related to all types of publications originating from external bodies and used for reference or information purposes. Records covered by this rule may include: books, magazines and periodicals, notices, reports, brochures, bulletins, newsletters, calendars. For internal publications see rule R CONCORDIA UNIVERSITY PUBLICATIONS. Copy Detail of records Unit Medium Retention period Final Disposition Primary n/a All units Digital/Paper As long as needed Destruction Page 46 of 95

47 R CONCORDIA UNIVERSITY CALENDARS Records related to Concordia University annual Calendars. Calendars are official publications compiling information, such as: academic calendars, University mission statement and regulations, admissions and financial aid information, descriptions of academic and support services, lists of governing bodies, descriptions of programs and courses within each Faculty, the School of Graduate Studies and the Centre for Continuing Education. Records covered by this rule include: final version of Calendars. See also rule R CONCORDIA UNIVERSITY CALENDARS WORKING FILES. For other University publications, see rule R CONCORDIA UNIVERSITY PUBLICATIONS. Primary n/a Enrolment Services School of Graduate Studies Centre for Continuing Education Digital/Paper Digital copies (PDF) of final version of Calendars are to be deposited in the Archives as soon as produced. Permanent retention of final version of Calendars, paper and digital format (PDF), in the Office of the Registrar, the School of Graduate Studies and the Centre for Continuing Education. Permanent retention in RM&A Note: RM&A will migrate digital copies of Calendars to preservation quality format. Secondary n/a Other units Digital/Paper Until replacement by a new version Destruction Page 47 of 95

48 R CONCORDIA UNIVERSITY CALENDARS WORKING FILES Records related to the editing of Concordia University annual Calendars. Records covered by this rule may include: tracking of curriculum changes; page proofs with edits and preliminary versions; correspondence and working documents. See also rule R CONCORDIA UNIVERSITY CALENDARS. Primary n/a Enrolment Services / School of Graduate Studies/ Centre for Continuing Education Digital/Paper 10 years Destruction Page 48 of 95

49 R STUDENT RECRUITMENT Records related to the organization of promotional activities for the purpose of recruiting new students, such as: visits of recruitment officers to institutions and participation at information fairs; open house activities and campus tours. Records covered by this rule may include: planning records, calendar of activities; display material, audiovisual presentations and information material, such as: brochures, posters, CDs and videos; information kits; activity reports, correspondence and working documents. For records related to publicity and advertising in the media or posted in public places, see rule R PUBLICITY AND MARKETING. Primary n/a Responsible unit Audiovisual/ Digital/Paper 5 years Selection: permanent retention in RM&A of records documenting the substance of recruitment activities. Secondary n/a Other units Audiovisual/ Digital/Paper Until the end of activities Destruction Page 49 of 95

50 R UNIVERSITY IDENTIFICATION Records related to definition, design and modification of all forms of official corporate identification of the University. Records covered by this rule may include: depictions of the University name (signs, official stationery), the University logo, signatures and related insignia; graphic standards; the University coat of arms, mottos, seals, colours, anthems, flags and emblems. Primary n/a University Communications Audiovisual Media Until replacement by a new Permanent retention in RM&A Services Digital/Paper/Object version Secondary n/a Other units Audiovisual Media Digital/Paper/Object As long as needed Destruction Page 50 of 95

51 R PROMOTIONAL MATERIALS Records related to design and production of promotional materials used by the University to promote its activities and special projects. Records are associated with publicity campaigns and marketing activities. This rule applies to the following medium and formats: pictures, photographs, printed materials, audiovisual materials (still images, sound recordings, sound clips and moving images), multimedia (audio podcasts, videos, and webcasts), objects and artifacts. Records covered by this rule may include: templates, page proofs, preliminary and final versions of promotional materials (folders, posters, brochures, displays and objects) published in the print and electronic media and/or posted in public places; schedules and technical specifications. Records covered by this rule may also include: proofs, out-takes, video footage, preliminary and final versions of promotional videos, pre and post production, video spots, author waivers and Concordia release forms; records supplying information on the nature, contents and production, such as: research materials, scripts, interviews and story boards. See also, rule R WEBSITES. Primary Final version of Audiovisual Media / Until the production is productions Digital/Object/Paper completed + 3 years University Communication Services, other responsible units or external supplier Permanent retention in RM&A of final version, distribution copy of completed audiovisual and multimedia productions, materials that may be reusable in other productions, author waivers and Concordia release forms, significant research materials, scripts, interviews and story boards. Destruction of technical specifications and preliminary versions. Secondary Access copies of final version of productions. Other units Audiovisual Media / Digital/Object/Paper As long as needed Destruction Page 51 of 95

52 R MEDIA COVERAGE Records related to news coverage of University activities in the specific targeted media or mass media. Records covered by this rule may include: media coverage reports, articles, press clippings, selected audiovisual extracts from radio and television news programs and online media. For press releases and press conferences, see rule R MEDIA RELATIONS. For news and announcements intended for members of the University, see rule R INTERNAL NEWS AND ANNOUNCEMENTS. Primary n/a University Communications Services Audiovisual Media/ Digital/Paper 2 years Permanent retention in RM&A Note: selection to be done by the Records Management and Archives Department. Only significant events news coverage will be retain. Secondary n/a Other units Audiovisual Media/ Digital/Paper 1 year Destruction Page 52 of 95

53 R INTERNAL NEWS AND ANNOUNCEMENTS Records related to internal news and announcements informing all members of the University. Records covered by this rule may include: announcements published on University websites and posted on network communication systems (listservs and Digital Information Screens - DIS), preliminary and final versions of notices. For press releases and press conferences, see rule R MEDIA RELATIONS. Primary n/a University Communications Services and other responsible units Digital 2 years Permanent retention in RM&A of final version of important announcements and news. Secondary n/a Other units Digital As long as current Destruction Page 53 of 95

54 R WEBSITES Records related to the creation, development and updating of University website(s). Records covered by this rule may include: templates, presentation pages and static elements (i.e. information texts); records associated with management of dynamic elements such as databases and utilization of content management software; audiovisual materials embedded in websites, pictures, University websites lists, and website graphic presentation standards manuals. For information content presented on websites and, records collected, transmitted or exchanged through University websites, see appropriate retention rules related to these records. See also rule R PROMOTIONAL MATERIALS. Primary n/a University Communication Services and other creator units Audiovisual Media/Digital Until replacement by a new version or application of major changes + 1 year Permanent retention in RM&A of website structure and appearance, lists of University websites and graphic presentation standards manuals. Page 54 of 95

55 R MEDIA RELATIONS Records related to public statements (press releases and press conferences) released by the University to the media and intended to inform the general or specific targeted publics about University policies, programs and activities. Records covered by this rule may include: interviews, speeches, press conferences, press releases, press lines, lists of contact persons, invitations, photographs, press kits and promotional materials. Primary n/a University Communications Services and other responsible units. Audiovisual Media/Digital/Paper 5 years Permanent retention in RM&A Page 55 of 95

56 R EXTERNAL RELATIONS Records related to relations between senior University representatives and external organizations, such as: relation with governments, representation on external committees, involvement in the organization of joint activities and participation at social activities. Records covered by this rule may include: strategies, statistics and reports required by various governmental authorities, position papers and proposals; minutes, official correspondence, programs, addresses and speeches, proceedings and activity reports. See also rule COOPERATION AND PARTNERSHIP (rule under development). Primary n/a Responsible unit Digital/Paper As long as current + 5 years Permanent retention in RM&A of strategies, position papers and propositions submitted to governments, statistics and reports; addresses and speeches. Selection of programs and official correspondence. Destruction of remaining records. Secondary n/a Other units Digital/Paper 2 years Destruction Page 56 of 95

57 R UNIVERSITY STUDENT AWARDS, BURSARIES AND SCHOLARSHIPS Records related to the management of student applications and operations of selection committees for awards, bursaries and scholarships awarded by the University to students including scholarships established by various donors and sponsors. Records covered by this rule may include: program descriptions; student applications and supporting documentation (letters of reference, statements of interest), notifications of acceptance, selection committees evaluations and recommendations, detailed lists of selected candidates and all case files created in the various departments in the course of processing applications; status reports statistics and correspondence. For researches subsidized by outside organizations and governments, see rule R and R RESEARCH GRANT APPLICATIONS (under development). Primary Programs description, detailed lists of grants holders, summary tables of evaluations from selection committees and statistics. Responsible unit Digital/Paper 6 years Permanent retention in RM&A Note: Letters of acceptation reside in individual student files in SIS (Student Information System). Primary Candidate files, supporting documentation and working files. Responsible unit Digital/Paper 6 years Destruction Primary Candidates - Refused Responsible unit Paper 1 year Destruction Secondary n/a Other units Digital/Paper 1 year Destruction Page 57 of 95

58 R STAFF & SENIORITY LISTS Records covered by this rule may include: lists of administrative personnel, seniority lists and cumulative listings of faculty appointments. Primary n/a Responsible unit Digital/Paper Until its replacement by a new version Permanent retention in RM&A Secondary n/a Other units Digital/Paper As long as needed Destruction Replaces rule: n/a Page 58 of 95

59 R UNIONS ACTIVITIES Records covered by this rule may include: identification of union delegates and executive members, requests and advice for leave for union activities, statistics and reports related to number of hours used for union activities. See also rules R STATISTICS and R REPORTS, STUDIES AND ANALYSIS Primary Lists of union delegates and executive members Human Resources Digital/Paper Until replacement by a new version + duration of the next two collective agreements Destruction Primary Leaves for union activities Human Resources Digital/Paper I year Destruction Secondary n/a Other units Digital/Paper 1 year Destruction Replaces rule: Page 59 of 95

60 R COLLECTIVE AGREEMENTS Records covered by this rule may include: original copies of collective agreements, letters of agreement attached and documents relating to the interpretation of collective agreements. See also rule R NEGOTIATION FILES Primary n/a Human Resources Digital/Paper Permanent retention of 1 signed copy in Permanent retention in RM&A Human Resources Secondary n/a Other units Digital/Paper Until replacement by a new version Destruction Page 60 of 95

61 R NEGOTIATION FILES Records covered by this rule may include: mandates, bargaining files, exchange of proposals, strategy records, proceedings of bargaining sessions, legal opinions, cost projections, lists of employees, etc. See also rule R COLLECTIVES AGREEMENTS Primary n/a Human Digital/Paper Resources Until collective agreements signature + Duration of the next 2 collective agreements Selection: permanent retention in RM&A of documents necessary to understand negotiation progress. Destruction of working documents. Secondary n/a Other units Digital/Paper Until collective agreements signature Destruction Page 61 of 95

62 R GRIEVANCE FILES Records related to grievances, arbitrations, adjudications, and complaints under labour code, complaints of harassment and other labour disputes for unionized and non-unionized employees. Records covered by this rule may include: grievance forms; settlements, reports of hearings, letters of agreement, legal action or procedures, legal decisions, injunctions; definitions of essential services and press files. See also rule R LABOUR RELATION CASE FILES Copy Detail of Unit Medium Retention Period Final Disposition records Primary n/a Human Resources Digital/Paper Until case is closed + 5 years Selection: permanent retention in RM&A of decisions, arbitration, judgements and significant records on major labour disputes. Notes: Records related to disciplinary measures should be destroyed immediately after the expiry of the retention period set out in the collective agreement concerned on the griever s employee file. Primary n/a Legal Counsel Digital/Paper Until case is closed + 10 years Permanent retention in RM&A Note: access is strictly reserved to the Office of the General Counsel. Secondary n/a Other units Digital/Paper Until case is closed Destruction Replaces rule: Page 62 of 95