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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 orda.elves@uwinnipeg.cafor 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:

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

应用学术标准和处理学术吸引力的活动。

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
    • 支持证据
    • 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.
性格行动:毁灭。
Duplicates: destroy once usefulness ceases and not later than retention period.

Citation(s)
Academic Misconduct Procedures, p. 8.
Freedom of Information and Protection of Privacy ActC.C.S.M.C。F175, s. 40-41.

AA-040 ACADEMIC APPEAL CASE FILES

本系列记录了学生学术吸引力。记录包括：

  • Academic appeal case files – containing:
    • student submissions containing a copy of the work which is the subject of the appeal
    • grounds for the appeal
    • 与讲师的对话摘要
    • correspondence
    • DRC recommendations and final decisions

Retention and Disposition
OPI: department office.
Retention trigger: file closed.
Retention period: 2 calendar years.
性格行动:毁灭。
Duplicates: destroy once usefulness ceases and not later than retention period.

Citation(s)
Freedom of Information and Protection of Privacy ActC.C.S.M.C。F175, s. 40-41.

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.
保留触发器：与记录相关的财政年度结束。
Retention period: 6 fiscal years.
性格行动:毁灭。
Duplicates: destroy once usefulness ceases.

Citation(s)
Income Tax Act, R.S.C., 1985, c. 1 (5thSupp.), c. 230(4)(b).
Income Tax ActC.C.S.M.C。i10，SS。48（2）。
Tax Administration and Miscellaneous Taxes ActC.C.S.M.C。T2, c. 18(2)(b).

AA-080 BUDGETS

本系列记录了收入的预测，这些资源利用的计划以及设定和管理预算。记录包括：

  • Final approved budgets

Retention and Disposition
OPI: dean’s office.
保留触发器：与预算有关的财政年度结束。
Retention period: 3 fiscal years.
性格行动:毁灭。
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.
性格行动:毁灭。
Duplicates: destroy once usefulness ceases and not later than retention period.

Citation(s)
Freedom of Information and Protection of Privacy ActC.C.S.M.C。F175, s. 40-41.
Income Tax Act, R.S.C., 1985, c. 1 (5thSupp.), c. 230(4)(b).
Income Tax ActC.C.S.M.C。i10，SS。48（2）。
Tax Administration and Miscellaneous Taxes ActC.C.S.M.C。T2, c. 18(2)(b).

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:

  • 年度活动报告的副本纪录片nting
    • courses taught
    • 学生培训
    • 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.
保留触发器：报告完成。
Retention period: 6 calendar years.
性格行动:毁灭。
Duplicates: destroy once usefulness ceases and not later than retention period.

Citation(s)
Freedom of Information and Protection of Privacy ActC.C.S.M.C。F175, s. 40-41.

AA-140 CHAIR SELECTION[2]

This series contains records documenting the selection of department chairs. Records include:

  • 主席选拔委员会会议纪要，包括投票和信函

*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.
性格行动:毁灭。
Duplicates: destroy once usefulness ceases.

Citation(s)
Freedom of Information and Protection of Privacy ActC.C.S.M.C。F175, s. 40-41.

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
    • 留下申请，建议和批准
    • research/study leave reports
    • 尊重专业发展和成就的材料
    • 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)
Freedom of Information and Protection of Privacy ActC.C.S.M.C。F175, s. 40.
Employment Standards Code,C.C.S.M. c. E110, ss. 135(3).

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.
性格行动:毁灭。
Duplicates: destroy once usefulness ceases and not later than retention period.

Citation(s)
Freedom of Information and Protection of Privacy ActC.C.S.M.C。F175, s. 40.

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
    • 负载图的副本
    • copies of Chair’s recommendations and evaluations

Retention and Disposition
OPI: chair’s office.
Retention trigger: member leaves department.
Retention period: 2 calendar years.
性格行动:毁灭。
Duplicates: destroy once usefulness ceases and not later than retention period.

Citation(s)
Freedom of Information and Protection of Privacy ActC.C.S.M.C。F175, s. 40.

AA-220 RECRUITMENT

本系列文档个性化的招聘ls 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
    • 椅子的建议
    • 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.
性格行动:毁灭。
Duplicates: destroy once usefulness ceases and not later than retention period.

AA-220-02：未经请求的应用程序

Retention and Disposition
OPI: department office.
Retention trigger: receipt of unsolicited application.
保留期：一次有用的破坏停止。
性格行动:毁灭。
Duplicates: destroy once usefulness ceases.

AA-220-03: Job rationales

Retention and Disposition

OPI: department office.
Retention trigger: rationale is completed.
Retention period: permanent.
性格行动:毁灭。
Duplicates: destroy once administrative value ceases.

Citation(s)
Freedom of Information and Protection of Privacy ActC.C.S.M.C。F175, s. 40.

AA-240 RESEARCH/STUDY LEAVE

This series contains records documenting research/study leaves. Records include:

  • 研究/学习离开Committee (RSLC) records – containing:
    • reports of previous research/study leaves
    • 申请人与委员会主席之间的信件
    • 分钟
    • letters of recommendation sent to Deans and applicants by committee chair
    • copies of research/study leave eligibility charts
  • 研究/学习离开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.
性格行动:毁灭。
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.
性格行动:毁灭。
Duplicates: destroy once usefulness ceases and not later than retention period.

Citation(s)
Freedom of Information and Protection of Privacy ActC.C.S.M.C。F175, s. 40.

AA-260 VISITING LECTURERS

This series documents the selection and ongoing administration of visiting lecturers. Records include:

  • Visiting Lecturers Committee (VLC) records – containing:
    • budgets
    • 付款代金券
    • 讲师的个人信息
    • emails and correspondence
    • deliberations
    • selections

Retention and Disposition
OPI: as delegated by VLC.
Retention trigger: end of academic year.
Retention period: 7 calendar years.
性格行动:毁灭。
Duplicates: destroy once usefulness ceases and not later than retention period.

Citation(s)
Freedom of Information and Protection of Privacy ActC.C.S.M.C。F175, s. 40.

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.
性格行动:毁灭。
Duplicates: destroy once usefulness ceases.

COURSE DELIVERY

提供大学学术课程的活动。

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：课程讲师办公室。
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)
Freedom of Information and Protection of Privacy ActC.C.S.M.C。F175, s. 40.

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：课程讲师办公室。
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：课程讲师办公室。
Retention trigger: grades posted to WebAdvisor.
Retention period: 1 calendar year.
性格行动:毁灭。
Duplicates: destroy once usefulness ceases and not later than retention period.

Citation(s)
Freedom of Information and Protection of Privacy ActC.C.S.M.C。F175, s. 40.

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.
性格行动:毁灭。
Duplicates: destroy once usefulness ceases and not later than retention period.

Citation(s)
Freedom of Information and Protection of Privacy ActC.C.S.M.C。F175, s. 40.

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
    • 课程描述
    • 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课程时间表

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.
性格行动:毁灭。
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:

  • 课程提交 - 包含
    • draft course proposals
    • course outlines
    • course revisions
    • course consultations
  • Records documenting changes to degree requirements

Retention and Disposition
OPI: dean’s office.
保留触发器：院长办公室收到的课程提交或更改文件。
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计划评论

This series contains records documenting external reviews of University programs. Records include:

  • 计划审查报告和相关记录

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.

研究与道德

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.
性格行动:毁灭。
Duplicates: destroy once usefulness ceases.

STUDENT ADVISING AND ASSISTANCE

为学生提供学术和职业发展的建议，协助和支持学生的活动。

AA-500 ADVISING RECORDS

This series contains records documenting program- or course-specific academic advising at the department level. Records include:

  • 建议时间表
  • 建议笔记
  • Completed permission and honours forms
  • Degree and major declarations forms

Retention and Disposition
OPI: department office.
保留触发器：部门创建或收到的记录。
保留期：与记录相关的学年结束。
性格行动:毁灭。
Duplicates: destroy once usefulness ceases and not later than retention period.

Citation(s)
Freedom of Information and Protection of Privacy ActC.C.S.M.C。F175, s. 40.

AA-520奖项

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.
性格行动:毁灭。
Duplicates: destroy once usefulness ceases.

脚注

[1]AA-1220仅适用于某些学院维持的活动报告的副本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.

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