Academic Affairs Records Schedule
This retention schedule arranges academic records into common activities and groupings (“series”) of records and assigns a code (e.g., AA-020), retention period, and disposal action for each series.
Responsibility for the retention and disposal of academic records is shared among academic offices and, in the case of exams and course work, individual academic staff. For each records series, an office of primary interest (OPI) is indicated. This is the office or individual responsible for retaining and disposing of the given records series in accordance with this schedule. Duplicates of certain records may be located in other, non-OPI offices. A separate retention period and disposition action for duplicates is provided where appropriate.
The retention periods listed constitute both “minimum” and “maximum” retention periods. Records must be kept for the duration of the retention period and then, as soon as reasonably practicable, be disposed as directed by the schedule (i.e., destruction or transfer to the University Archives). A record may be retained after its retention period has elapsed in certain circumstances including ongoing administrative need; to process complaints, audits, or legal proceedings; or with appropriate consent. In no case should a record be destroyed before its retention period has elapsed.
More than one of the following codes may apply to a given record. If you are unsure which schedule code is appropriate, contact your supervisor or privacy@uwinnipeg.ca for assistance. Retention periods are media neutral and apply to records in any format, paper or electronic.
For the purpose of this schedule, an academic year is September 1 –> August 31.
This schedule is arranged into 8 activities, each a major task required to carry out the academic function:
- Academic Standards & Appeals
- Financial Management
- Personnel Hiring & Management
- Course Delivery
- Course Development, Review & Scheduling
- Program Development & Review
- Research & Ethics
- Student Advising & Assistance
Do not destroy any record subject to a records hold notice or that relates to an ongoing or anticipated complaint, audit, or legal proceeding.
ACADEMIC STANDARDS & APPEALS
The activity of applying academic standards and processing academic appeals.
AA-020 ACADEMIC MISCONDUCT CASE FILES
This records series documents alleged instances of academic misconduct. Records include:
- Departmental review committee (DRC) academic misconduct case files – containing:
- meeting minutes
- statements and descriptions of the alleged misconduct
- supporting evidence
- student statements
- correspondence
- DRC recommendations and decisions
Retention and Disposition
OPI: as delegated (presently Dean of Arts).
Retention trigger: file closed.
Retention period: 2 calendar years.
Disposition action: destroy.
Duplicates: destroy once usefulness ceases and not later than retention period.
Citation(s)
Academic Misconduct Procedures, p. 8.
AA-040 ACADEMIC APPEAL CASE FILES
This series documents student academic appeals. Records include:
- Academic appeal case files – containing:
- student submissions containing a copy of the work which is the subject of the appeal
- grounds for the appeal
- summary of the conversation with the instructor
- correspondence
- DRC recommendations and final decisions
Retention and Disposition
OPI: department office.
Retention trigger: file closed.
Retention period: 2 calendar years.
Disposition action: destroy.
Duplicates: destroy once usefulness ceases and not later than retention period.
Citation(s)
FINANCIAL MANAGEMENT
The activity of planning, directing, and managing the financial resources of academic units.
AA-060 ACCOUNTS RECEIVABLE RECORDS
This series documents the collection of non-budget funds. Records include:
- Donations
- Fundraising records
- Fund transfers
Retention and Disposition
OPI: department office.
Retention trigger: end of fiscal year to which records relate.
Retention period: 6 fiscal years.
Disposition action: destroy.
Duplicates: destroy once usefulness ceases.
Citation(s)
AA-080 BUDGETS
This series documents the forecasting of income, planning for the utilization of these resources, and setting and managing budgets. Records include:
- Final approved budgets
Retention and Disposition
OPI: dean’s office.
Retention trigger: end of fiscal year to which budget relates.
Retention period: 3 fiscal years.
Disposition action: destroy.
Duplicates: destroy once usefulness ceases.
AA-100 PAYROLL
This series documents faculty member-specific payroll expenses. Records include:
- Faculty member budgets
- Employment contracts
- Employee timesheets
- Payments to senior scholars and professors emeriti
*Do not use this series to cull individual records from faculty or department personnel files (see AA-160 and AA-180).*
Retention and Disposition
OPI: department office.
Retention trigger: end of fiscal year to which payroll relates.
Retention period: 6 fiscal years.
Disposition action: destroy.
Duplicates: destroy once usefulness ceases and not later than retention period.
Citation(s)
PERSONNEL HIRING & MANAGEMENT
The activity of attracting, screening, selecting, and appointing individuals to fill academic positions, and of managing current faculty members.
AA-120 ACTIVITY REPORTS [1]
This series documents faculty member activities. Records include:
- Copies of annual activity reports documenting
- courses taught
- student training
- student course evaluations
- departmental personnel committee (DPC) evaluations
- research and scholarly activities
*Do not use this series to cull individual records from faculty or department personnel files (see AA-160 and AA-180).*
Retention and Disposition
OPI: dean’s office.
Retention trigger: report completed.
Retention period: 6 calendar years.
Disposition action: destroy.
Duplicates: destroy once usefulness ceases and not later than retention period.
Citation(s)
AA-140 CHAIR SELECTION [2]
This series contains records documenting the selection of department chairs. Records include:
- Minutes of the chair selection committee including votes and correspondence
*Do not use this series to cull individual records from faculty or department personnel files (see AA-160 and AA-180).*
Retention and Disposition
OPI: department office.
Retention trigger: chair selected.
Retention period: 1 calendar year.
Disposition action: destroy.
Duplicates: destroy once usefulness ceases.
Citation(s)
AA-160 FACULTY PERSONNEL FILES
This series documents the employment history of faculty members as set out in the official personnel file referenced in the UWFA collective agreements. Records include:
- Faculty personnel files – containing:
- pre-appointment material
- curriculum vitae
- transcripts
- letters of reference
- employment-related correspondence
- recommendations on tenure, continuing appointment and promotion
- leave applications, recommendations, and approvals
- research/study leave reports
- materials respecting professional development and achievement
- activity and evaluation reports
Retention and Disposition
OPI: dean’s office.
Retention trigger: faculty member resigns or retires.
Retention period: 6 calendar years.
Disposition action: transfer to archives.
Duplicates: destroy once usefulness ceases and not later than retention period.
Citation(s)
AA-180 DEPARTMENT PERSONNEL FILES
This series documents the employment history of faculty and staff members at the department level. Records include:
- Department personnel files – containing:
- copies of activity reports
- copies of research/study leave reports
Retention and Disposition
OPI: department office.
Retention trigger: member leaves department.
Retention period: 6 calendar years.
Disposition action: destroy.
Duplicates: destroy once usefulness ceases and not later than retention period.
Citation(s)
AA-200 CHAIR’S FILES
This series documents employment records maintained by department chairs. Records include:
- Chair’s files – containing:
- copies of activity and evaluation reports
- copies of load charts
- copies of Chair’s recommendations and evaluations
Retention and Disposition
OPI: chair’s office.
Retention trigger: member leaves department.
Retention period: 2 calendar years.
Disposition action: destroy.
Duplicates: destroy once usefulness ceases and not later than retention period.
Citation(s)
AA-220 RECRUITMENT
This series documents the recruitment of individuals to fill vacant academic positions. Records include:
- Department personnel committee (DPC) job competition records – containing:
- advertisements
- applications
- curricula vitae
- committee deliberations and minutes
- contracts
- recommendations
- letters of offer and acceptance
- recommendations from the chair
- copies of job rationales
- Unsolicited applications
- Job rationales
*Do not use this series to cull individual records from faculty or department personnel files (see AA-160 and AA-180).*
AA-220-01: DPC job competition records
Retention and Disposition
OPI: DPC member offices or department office. [3]
Retention trigger: job competition ends.
Retention period: 2 calendar years.
Disposition action: destroy.
Duplicates: destroy once usefulness ceases and not later than retention period.
AA-220-02: Unsolicited applications
Retention and Disposition
OPI: department office.
Retention trigger: receipt of unsolicited application.
Retention period: destroy once usefulness ceases.
Disposition action: destroy.
Duplicates: destroy once usefulness ceases.
AA-220-03: Job rationales
Retention and Disposition
OPI: department office.
Retention trigger: rationale is completed.
Retention period: permanent.
Disposition action: destroy.
Duplicates: destroy once administrative value ceases.
Citation(s)
AA-240 RESEARCH/STUDY LEAVE
This series contains records documenting research/study leaves. Records include:
- Research/Study Leave Committee (RSLC) records – containing:
- reports of previous research/study leaves
- correspondence between applicant and committee chair
- minutes
- letters of recommendation sent to Deans and applicants by committee chair
- copies of research/study leave eligibility charts
- Research/Study Leave Entitlement Charts
- annual chart signed by member and department chair
*Do not use this series to cull individual records from faculty or department personnel files (see AA-160 and AA-180).*
AA-240-01: Research/Study Leave Committee Records
Retention and Disposition
OPI: as delegated by RSLC.
Retention trigger: end of academic year.
Retention period: 7 calendar years.
Disposition action: destroy.
Duplicates: destroy once usefulness ceases and not later than retention period.
AA-240-02: Research/Study Leave Entitlement Charts
Retention and Disposition
OPI: dean’s office.
Retention trigger: member resigns or retires.
Retention period: 6 calendar years.
Disposition action: destroy.
Duplicates: destroy once usefulness ceases and not later than retention period.
Citation(s)
AA-260 VISITING LECTURERS
This series documents the selection and ongoing administration of visiting lecturers. Records include:
- Visiting Lecturers Committee (VLC) records – containing:
- budgets
- payment vouchers
- personal information of lecturers
- emails and correspondence
- deliberations
- selections
Retention and Disposition
OPI: as delegated by VLC.
Retention trigger: end of academic year.
Retention period: 7 calendar years.
Disposition action: destroy.
Duplicates: destroy once usefulness ceases and not later than retention period.
Citation(s)
AA-280 STAFFING
This series documents annual department staffing exercises. Records include:
- Staffing tables
- Regular academic staff hiring requests
- Completed workload forms/load charts
*Do not use this series to cull individual records from faculty or department personnel files (see AA-160 and AA-180).*
Retention and Disposition
OPI: dean’s office.
Retention trigger: end of academic year.
Retention period: 6 calendar years.
Disposition action: destroy.
Duplicates: destroy once usefulness ceases.
COURSE DELIVERY
The activity of delivering the University’s academic courses.
AA-300 COURSE ENROLMENT
This series documents annual course enrolments. Records include:
- Course number, instructor, and class size, arranged by academic year
*Do not use this series to cull individual records from faculty or department personnel files (see AA-160 and AA-180).*
Retention and Disposition
OPI: department office.
Retention trigger: end of academic year.
Retention period: 10 calendar years.
Disposition action: transfer to archives.
Duplicates: destroy once usefulness ceases.
AA-320 COURSE WORK
This series documents student course work. Records include work done by students as part of courses, laboratories, internships, or other program requirements.
Retention and Disposition
OPI: course instructor’s office.
Retention trigger: grade posted to WebAdvisor.
Retention period / disposition action: return to student or retain for 8 weeks. Once this period elapses, destroy any course work that remains. [4]
Duplicates: destroy once usefulness ceases and not later than retention period.
Citation(s)
AA-340 EXAMINATIONS
This series documents completed exams and exam marks related to a given course, laboratory, etc. Example records include:
- Completed exams
- Initial exam marks
- Final exam marks approved by the departmental personnel committee (DPC)
AA-340-01: Completed exams
Retention and Disposition
OPI: course instructor’s office.
Retention trigger: grade posted to WebAdvisor.
Retention period / disposition action: return to student or retain for 1 calendar year. Once this period elapses, destroy any exams that remain. [5]
Duplicates: destroy once usefulness ceases and not later than retention period.
AA-340-02: Exam marks
Retention and Disposition
OPI: course instructor’s office.
Retention trigger: grades posted to WebAdvisor.
Retention period: 1 calendar year.
Disposition action: destroy.
Duplicates: destroy once usefulness ceases and not later than retention period.
Citation(s)
AA-360 GRADES
This series documents student grades achieved in courses, laboratories, internships, and other program requirements.
Retention and Disposition
OPI: department office.
Retention trigger: grades received by department.
Retention period: 3 calendar years.
Disposition action: destroy.
Duplicates: destroy once usefulness ceases and not later than retention period.
Citation(s)
COURSE DEVELOPMENT, REVIEW, & SCHEDULING
The activity of developing, reviewing, and scheduling the University’s academic courses.
AA-380 COURSE CALENDARS
This series documents all courses offered at the department level in a given academic year. Records include:
- Course calendars and related records
Retention and Disposition
OPI: department office.
Retention trigger: course calendar finalized.
Retention period: 9 calendar years.
Disposition action: transfer to archives.
Duplicates: destroy once usefulness ceases.
*Do not use this series to destroy copies of the general UWinnipeg undergraduate and graduate Academic Calendars*
AA-400 COURSE OUTLINES
This series contains records documenting the creation and review of course materials Records include:
- Course outlines – containing
- course descriptions
- readings
- assignments
- course breakdowns
- grade equivalencies
- course policies
- bibliographies
- course announcements
Retention and Disposition
OPI: department office.
Retention trigger: course outline finalized.
Retention period: permanent.
Disposition action: n/a.
Duplicates: destroy once usefulness ceases.
AA-420 COURSE TIMETABLING
This series contains records documenting the formulation of course timetables. Records include:
- Final course timetables
Retention and Disposition
OPI: department office.
Retention trigger: timetable finalized.
Retention period: 4 calendar years.
Disposition action: destroy.
Duplicates: destroy once usefulness ceases.
AA-440 CURRICULUM
This series contains records documenting the planning, development, and approval of new, existing, and experimental courses. Records include:
- Course submissions – containing
- draft course proposals
- course outlines
- course revisions
- course consultations
- Records documenting changes to degree requirements
Retention and Disposition
OPI: dean’s office.
Retention trigger: course submission or change document received by dean’s office.
Retention period: 4 calendar years.
Disposition action: transfer to archives.
Duplicates: destroy once usefulness ceases.
PROGRAM DEVELOPMENT & REVIEW
The activity of developing and reviewing the University’s academic programs.
AA-460 PROGRAM REVIEWS
This series contains records documenting external reviews of University programs. Records include:
- Program review reports and related records
Retention and Disposition
OPI: dean’s office.
Retention trigger: program review completed.
Retention period: permanent.
Disposition action: transfer to archives.
Duplicates: destroy once usefulness ceases.
RESEARCH & ETHICS
The activity of reviewing and recommending research projects and research and travel grants.
AA-480 GRANTS
This series contains records documenting the approval of travel and major research grants. Records include:
- Grant submissions to the departmental research and ethics committee (REC)
- Recommendations
*Do not use this series to cull individual records from faculty or department personnel files (see AA-160 and AA-180).*
Retention and Disposition
OPI: department office.
Retention trigger: end of academic year.
Retention period: 7 calendar years.
Disposition action: destroy.
Duplicates: destroy once usefulness ceases.
STUDENT ADVISING AND ASSISTANCE
The activity of advising, assisting, and supporting students in their academic and career development.
AA-500 ADVISING RECORDS
This series contains records documenting program- or course-specific academic advising at the department level. Records include:
- Advising schedules
- Advising notes
- Completed permission and honours forms
- Degree and major declarations forms
Retention and Disposition
OPI: department office.
Retention trigger: record created or received by department.
Retention period: end of academic year to which record relates.
Disposition action: destroy.
Duplicates: destroy once usefulness ceases and not later than retention period.
Citation(s)
AA-520 AWARDS
This series contains records documenting the distribution of academic awards. Records include:
- Departmental awards committee minutes
Retention and Disposition
OPI: department office.
Retention trigger: end of academic year.
Retention period: 7 calendar years.
Disposition action: destroy.
Duplicates: destroy once usefulness ceases.
Footnotes
[1] AA-120 applies only to copies of activity reports that are maintained by certain faculties as a stand-alone records series. Faculties are not required to maintain activity reports other than on faculty and department personnel files (see AA-160 and AA-180).
[2] Departments are not required to create records documenting the selection process for department chairs. As such, this retention and disposition requirement only applies where such records exist.
[3] A DPC may elect to have one of its members or the department office maintain a single copy of job competition records upon conclusion of the competition, with all other copies destroyed.
[4] Exceptions: 1) Should an academic staff member wish to retain a piece of course work after the retention period elapses, such as in the case of exemplary work, they may do so (with the consent of the student if appropriate) 2) This retention / disposition action does not apply to course work retained in Nexus, as it will be automatically destroyed in accordance with Nexus course retention / disposition requirements.
[5] Exceptions: 1) Should an academic staff member wish to retain a piece of course work after the retention period elapses, such as in the case of exemplary work, they may do so (with the consent of the student if appropriate) 2) This retention / disposition action does not apply to exams retained in Nexus, as they will be automatically destroyed in accordance with Nexus course retention / disposition requirements.