201 results found.


Records - All
AD10 - Advice and Inquiries

Purpose:

Records series documenting office inquiries and requests for advice that are typically short-term, one-time interactions.

Scope:

Includes (but is not limited to): correspondence, texts and audio messages.

Cross reference:


Exceptions:


Primary Offices: Units
Primary Office Retention Trigger: Superseded / Obsolete
Primary Office Retention Period: 1 year
Primary Office Disposition: Secure Destruction
Secondary Offices: N/A
Secondary Office Retention Trigger:
Secondary Office Retention Period:
Secondary Office Disposition:
AD20 - Appreciation and Complaints

Purpose:

Records series documenting the receipt of records responding to the activities of the staff, students and the university in general.

Scope:

Includes (but is not limited to): letters of appreciation, complaint, condolence, congratulation, invitation, criticism and related documentation and correspondence.

Cross reference:

For appreciation shown through recognition programs administered by the University, Faculties, Departments or work units see: Recognition Awards (HR60)

Exceptions:


Primary Offices: Units
Primary Office Retention Trigger: Academic Year
Primary Office Retention Period: 5 years
Primary Office Disposition: Transfer to University Archives
Secondary Offices: N/A
Secondary Office Retention Trigger:
Secondary Office Retention Period:
Secondary Office Disposition:
AD30 - Meetings - Staff

Purpose:

Records series documenting the convening and conducting of meetings of staff, supervisors, and directors for the purpose of developing administrative/operational policies, procedures, decisions and other operational related records.

Scope:

Includes (but is not limited to): notices, agendas, minutes, supporting documentation and correspondence.

Cross reference:

For reports and statistics see: Reports and Statistics (AD70)

Exceptions:


Primary Offices: Units
Primary Office Retention Trigger: Superseded / Obsolete
Primary Office Retention Period: 5 years
Primary Office Disposition: Transfer to University Archives
Secondary Offices: N/A
Secondary Office Retention Trigger:
Secondary Office Retention Period:
Secondary Office Disposition:
AD40 - Office Operations

Purpose:

Records series documenting the operation of office support services.

Scope:

Includes (but is not limited to): mailing and distribution lists, travel arrangements for employees, and other general administrative matters.

Cross reference:

For staff meetings see: Meetings - Staff (AD30)

Exceptions:


Primary Offices: Units
Primary Office Retention Trigger: Academic Year
Primary Office Retention Period: 3 years
Primary Office Disposition: Secure Destruction
Secondary Offices: N/A
Secondary Office Retention Trigger:
Secondary Office Retention Period:
Secondary Office Disposition:
AD41 - Vendor Information

Purpose:

Records related to vendor account information

Scope:

Includes (but is not limited to): vendor information retained to complete institutional activities such as: vendor name(s), contact information, vendor ID, banking information, name changes, dates of creation and activities and vendor history.

Cross reference:


Exceptions:

Payments or statements of vendor accounts. See: Financial Transactions - Centrally Processed (FN10) or Financial Transactions - Unit (FN11)

Primary Offices: Units
Primary Office Retention Trigger: Superseded / Obsolete
Primary Office Retention Period: 6 years*
Primary Office Disposition: Secure Destruction
Secondary Offices: N/A
Secondary Office Retention Trigger:
Secondary Office Retention Period:
Secondary Office Disposition:
AD45 - Executive Services

Purpose:

Records series documenting the provision of various administrative services for the university executive (i.e., President, Vice-Presidents, Provosts, Assistant Vice-Presidents and equivalent positions). Services consist of the preparation of replies to letters addressed to executive members, the preparation of briefing notes and the management of issues of concern to executive members.

Scope:

Includes (but is not limited to): reports, briefing notes, supporting documentation, and related correspondence.

Cross reference:


Exceptions:


Primary Offices: Units
Primary Office Retention Trigger: Superseded / Obsolete
Primary Office Retention Period: 10 years
Primary Office Disposition: Transfer to University Archives
Secondary Offices: N/A
Secondary Office Retention Trigger:
Secondary Office Retention Period:
Secondary Office Disposition:
AD50 - Program - Operational Planning

Purpose:

Records series documenting unit programs, functions, activities and operations.

Scope:

Includes (but not limited to): memoranda, organizational charts, delegations of authority, studies, forms, transaction records, work orders, manuals, briefing and issue notes, and related correspondence.

Cross reference:

For management of university wide and unit specific initiated projects and activities see: Project Management (GV51). For meeting minutes see: DalCLASS for meeting specific retentions

Exceptions:

Projects overseen by Facilities Management

Primary Offices: Units
Primary Office Retention Trigger: Superseded / Obsolete
Primary Office Retention Period: 5 years
Primary Office Disposition: Transfer to University Archives
Secondary Offices: N/A
Secondary Office Retention Trigger:
Secondary Office Retention Period:
Secondary Office Disposition:
AD70 - Reports and Statistics

Purpose:

Records series documenting unit reporting functions and related activities.

Scope:

Includes: reports and statistics relating to the units operations and programs.

Cross reference:


Exceptions:

Reports sent to the university executives see: Executive Services (AD45)

Primary Offices: Units
Primary Office Retention Trigger: Superseded / Obsolete
Primary Office Retention Period: 7 years
Primary Office Disposition: Transfer to University Archives
Secondary Offices: N/A
Secondary Office Retention Trigger:
Secondary Office Retention Period:
Secondary Office Disposition:
AD80 - Templates and Forms

Purpose:

Records series documenting the administration of templates and forms that support operations and program activities.

Scope:

Includes (but not limited to): approvals, drafts, comments, examples of final templates and forms, and related correspondence.

Cross reference:


Exceptions:


Primary Offices: Units
Primary Office Retention Trigger: Superseded / Obsolete
Primary Office Retention Period: 1 year
Primary Office Disposition: Transfer to University Archives
Secondary Offices: N/A
Secondary Office Retention Trigger:
Secondary Office Retention Period:
Secondary Office Disposition:
AD99 - This is a test

Purpose:

testing

Scope:

test

Cross reference:

testing

Exceptions:

test

Primary Offices: office
Primary Office Retention Trigger:
Primary Office Retention Period: never
Primary Office Disposition:
Secondary Offices: home
Secondary Office Retention Trigger:
Secondary Office Retention Period:
Secondary Office Disposition:
CS10 - Bookstore Services Coming soon!
CS20 - Campus Card ServicesComing soon!
CS30 - Catering and Vending ServicesComing soon!
CS40 - Conference Services

Purpose:

Records series documenting the provision of campus services for conferences and events.

Scope:

Includes correspondence, copies of contracts or agreements, copies of financial records, forms, and bookings information.

Cross reference:


Exceptions:


Primary Offices: Units responsible for service
Primary Office Retention Trigger: Fiscal Year
Primary Office Retention Period: 3 years
Primary Office Disposition: Secure Destruction
Secondary Offices: N/A
Secondary Office Retention Trigger:
Secondary Office Retention Period:
Secondary Office Disposition:
CS50 - Food ServicesComing soon!
CS60 - Housing ServicesComing soon!
CS70 - Mail ServicesComing soon!
CS80 - Parking ServicesComing soon!
CS90 - Printing and Digitizing ServicesComing soon!
ER10 - Alumni Case FilesComing soon!
ER11 - Alumni ProgramsComing soon!
ER12 - Donors and Potential Donors Case FilesComing soon!
ER13 - Fund DevelopmentComing soon!
ER20 - AssociationsComing soon!
ER30 - Communications and PublicationsComing soon!
ER31 - ExhibitionsComing soon!
ER32 - MarketingComing soon!
ER33 - Presentations - Interviews - SpeechesComing soon!
ER40 - Convocations and CeremoniesComing soon!
ER41 - Conference - Meetings - WorkshopsComing soon!
ER42 - Special EventsComing soon!
ER50 - External Relations Coming soon!
ER51 - Government LiaisonComing soon!
ER52 - Internal RelationsComing soon!
ER60 - Community Engagement and OutreachComing soon!
ER61 - Visits and VisitorsComing soon!
FN10 - Financial Transactions - Processed Centrally

Purpose:

Records documenting the financial transactions managed centrally by the University. All records relating to the management of financial transactions relating to services provided to the Dalhousie community. Documentation related to the tracking and reporting of the payment of funds and receipt of funds payable to the University.

Scope:

Includes (but not limited to): invoices, purchase orders, deposit summaries, journal vouchers (JV's), general journals, case journals (receipts and disbursements), purchase journals, year end working papers, cheques, reimbursements of travel and business expenses, bank generated purchases and travel card transaction statements, cashed cheques and cheques requisition forms, types of expense reimbursements, statement of vendor accounts, payment vouchers, statements, transfers, reconciliations, deposit journals, Canadian and foreign drafts, cash flow reports, petty cash administration, supporting documentation and related correspondence.

Cross reference:

Taxes see: Taxes (FN60) or Taxes - Issuance of Tax Slips/Receipts (FN61)

Exceptions:

Vendor account information see Vendor information (AD41); Research Accounting (FN14), General Ledgers (FN12), Tuition payments see Student Accounts (FN15), Treasurery Journals see: Consolidation of Financial Statements (FN20); Execution of financial transactions relating to investments see: Investment Management (FN37)

Primary Offices: Financial Services
Primary Office Retention Trigger: Fiscal Year
Primary Office Retention Period: 6 years
Primary Office Disposition: Secure Destruction
Secondary Offices: Units
Secondary Office Retention Trigger: Fiscal Year
Secondary Office Retention Period: 2 years
Secondary Office Disposition: Secure Destruction
FN11 - Financial Transactions - Processed by Unit

Purpose:

Record series documenting the management of financial transactions of units that are not processed centrally by Financial Services.

Scope:

Includes (but not limited to): invoices (issued/received), deposit summaries, daily cash floats calculations and tallies, receipts, transaction slips (signed credit card slips, debits printouts), point of sale information, billing letters, credit card activity, reports (daily, summary, and audit), packing slips, statements, transfers, reconciliations, deposit journals, Canadian and foreign drafts, cashed cheques, cash flow reports, petty cash administration, related correspondence and supporting documentation.

Cross reference:

Taxes see: Taxes (FN60) or Taxes - Issuance of Tax Slips/Receipts (FN61)

Exceptions:

Vendor account information see Vendor Information (AD41); Research Accounting (FN14); General Ledgers (FN12); Tuition payments see Student Accounts (FN15), Treasurery Journals see: Consolidation of Financial Statements (FN20); Financial transactions relating to investments see: Investment Management (FN37)

Primary Offices: Unit
Primary Office Retention Trigger: Fiscal Year
Primary Office Retention Period: 6 years
Primary Office Disposition: Secure Destruction
Secondary Offices: N/A
Secondary Office Retention Trigger:
Secondary Office Retention Period:
Secondary Office Disposition:
FN12 - Accounting - General Ledgers

Purpose:

Records series documenting the processing and payment of all financial transactions of the University.

Scope:

Includes (but not limited to): General Ledgers, charts of accounts, and supporting documentation

Cross reference:


Exceptions:


Primary Offices: Financial Services
Primary Office Retention Trigger: Fiscal Year
Primary Office Retention Period: 6 years
Primary Office Disposition: Transfer to University Archives
Secondary Offices: N/A
Secondary Office Retention Trigger:
Secondary Office Retention Period:
Secondary Office Disposition:
FN14 - Research Accounting

Purpose:

Records series documenting the financial administration of research grants and contracts.

Scope:

Includes (but not limited to): award notices, lists of individuals receiving allowances from Dalhousie University, applications to open research budget account, financial reports, budget amendments, supporting documents for the control of the research grant budget, analyses, overhead journal files and correspondence.

Cross reference:

Research Contracts and Agreements (RS10); Research Grants and Awards - External (RS11); Research Grants and Awards - Internal (RS12)

Exceptions:

One-time non-research grants. See: Grant Management - Case Files (FN38)

Primary Offices: Financial Services
Primary Office Retention Trigger: Superseded / Obsolete
Primary Office Retention Period: 7 years
Primary Office Disposition: Secure Destruction
Secondary Offices: Office of Research Services
Secondary Office Retention Trigger: Superseded / Obsolete
Secondary Office Retention Period: 2 years
Secondary Office Disposition: Secure Destruction
FN15 - Student Accounts

Purpose:

Records series documenting the collection and management of tuition and other fees payable by students.

Scope:

Includes (but not limited to): student account statements, records dealing with invoicing, payments and recoveries of tuition fees, issuance of receipts for tax purposes or tuition or other fees. Also includes history of tuition fees paid by individual students.

Cross reference:


Exceptions:


Primary Offices: Financial Services
Primary Office Retention Trigger: Superseded / Obsolete
Primary Office Retention Period: 7 years
Primary Office Disposition: Secure Destruction
Secondary Offices: Units
Secondary Office Retention Trigger: Academic Year
Secondary Office Retention Period: 2 years
Secondary Office Disposition: Secure Destruction
FN16 - Purchase and Travel Cards - Distribution

Purpose:

Records series to document the distribution of purchase cards (Pcards) or travel cards.

Scope:

Includes (but is not limited to): approvals, cancellations, renewals, and changes.

Cross reference:

Payment of and statements see: Financial Transactions - Centrally Processed (FN10)

Exceptions:


Primary Offices: Financial Services
Primary Office Retention Trigger: Superseded / Obsolete
Primary Office Retention Period: 7 years
Primary Office Disposition: Secure Destruction
Secondary Offices: Units
Secondary Office Retention Trigger: Superseded / Obsolete
Secondary Office Retention Period: 2 years
Secondary Office Disposition: Secure Destruction
FN20 - Consolidation of Financial Statements

Purpose:

Records series documenting the preparation and management of the statements required for external audits of the University's consolidated financial statements done annually.

Scope:

Includes (but not limited to): copies of material provided to external auditors, audit reports, response(s) to reports, Treasurer Journals, audit tracking, background support material, and related documentation.

Cross reference:


Exceptions:


Primary Offices: Financial Services
Primary Office Retention Trigger: Fiscal Year
Primary Office Retention Period: 20 years
Primary Office Disposition: Transfer to University Archives
Secondary Offices: N/A
Secondary Office Retention Trigger:
Secondary Office Retention Period:
Secondary Office Disposition:
FN21 - Non-Recurring Financial Audits

Purpose:

Record series used to document audits of University finances that are conducted by private auditing firms or internal auditors.

Scope:

Includes copies of material provided to external auditors, audit reports, responses to reports, audit tracking, background support material, and related documentation.

Cross reference:


Exceptions:

Reoccurring audits of the Consolidated of Financial Statements see: Consolidation of Financial Statements (FN20)

Primary Offices: Financial Services
Primary Office Retention Trigger: Superseded / Obsolete
Primary Office Retention Period: 7 years
Primary Office Disposition: Secure Destruction
Secondary Offices: Units
Secondary Office Retention Trigger: Fiscal Year
Secondary Office Retention Period: 3 years
Secondary Office Disposition: Secure Destruction
FN30 - Debt Management

Purpose:

Records series documenting the management of debt management tools.

Scope:

Includes (but is not limited): loans, term loan contracts, guarantees, lines of credit, mortgages, forward exchange contracts and issues of bonds or debentures, terms of accountability, accountability reports, correspondence, and supporting documentation.

Cross reference:

For transaction of payments see Financial Transactions - Centrally Processed (FN10)

Exceptions:


Primary Offices: Financial Services
Primary Office Retention Trigger: Superseded / Obsolete
Primary Office Retention Period: 5 years
Primary Office Disposition: Secure Destruction
Secondary Offices: N/A
Secondary Office Retention Trigger:
Secondary Office Retention Period:
Secondary Office Disposition:
FN33 - Endowments

Purpose:

Record series documenting the negotiation and administration of endowments and donor agreements.

Scope:

Includes (but not limited to): endowments, donor agreements, instruction of issuance of gifts, history of awards, legal opinions, related correspondence, and supporting documentation. This includes the management of donor agreements and wills.

Cross reference:

For management of endowment see: Endowment Management (FN34); for execution of financial transactions relating to investments see: Investment Management (FN37)

Exceptions:


Primary Offices: Office of Advancement
Primary Office Retention Trigger: Superseded / Obsolete
Primary Office Retention Period: 6 years
Primary Office Disposition: Transfer to University Archives
Secondary Offices: Units
Secondary Office Retention Trigger: Superseded / Obsolete
Secondary Office Retention Period: 6 years
Secondary Office Disposition: Secure Destruction
FN34 - Endowment Management

Purpose:

Records series documenting the ongoing management of endowment funds administered by the University and unitization of investments.

Scope:

Includes (but not limited to): unitization tracking, correspondence, probate, share certificates, terms and senate approvals, account statements, T3's, financial records and concerning reports, corrections related correspondence and supporting documentation, related documentation regarding investment and use of sums of money given to the University by individuals, organizations or governments for general or specific purposes.

Cross reference:

Endowment agreements: See Endowments (FN33). For Investments See: Investment Management - Compliance (FN36). For Investment Committee Records see: Board of Governors and Committees (GV10)

Exceptions:

Endowment Agreements see Endowments (FN33); For execution of financial transactions relating to investments see - Investment Management (FN37)

Primary Offices: Financial Services
Primary Office Retention Trigger: Fiscal Year
Primary Office Retention Period: 6 years
Primary Office Disposition: Secure Destruction
Secondary Offices: Units
Secondary Office Retention Trigger: Fiscal Year
Secondary Office Retention Period: 3 years
Secondary Office Disposition: Secure Destruction
FN35 - Investment Management - Agreements

Purpose:

Records series documenting the Investment Management Agreements (IMA). This includes pension and endowment investments.

Scope:

Includes (but not limited to ) agreements, banking agreements, certificates, correspondence, and related documentation.

Cross reference:


Exceptions:


Primary Offices: Financial Services
Primary Office Retention Trigger: Superseded / Obsolete
Primary Office Retention Period: 7 years
Primary Office Disposition: Secure Destruction
Secondary Offices: N/A
Secondary Office Retention Trigger:
Secondary Office Retention Period:
Secondary Office Disposition:
FN36 - Investment Management - Compliance

Purpose:

Records series documenting the management and compliance of Investment Management Agreements (IMA). This includes pension and endowment investments.

Scope:

Includes (but not limited to) externally submitted investment management reports, compliance letters, reports submitted to the relevant university committees, correspondence, and related documentation.

Cross reference:

For Endowment and donor agreements see: Endowments (FN34); For Management of Endowments see: Endowments - Management (FN34). For Investment agreements see: Investment Management - Agreements (FN35); For execution of financial transactions relating to investments see - Investment Management (FN37) For related Investment Committee records see: Board of Governors and Committees (GV10)

Exceptions:


Primary Offices: Financial Services
Primary Office Retention Trigger: Fiscal Year
Primary Office Retention Period: 6 years
Primary Office Disposition: Secure Destruction
Secondary Offices: N/A
Secondary Office Retention Trigger:
Secondary Office Retention Period:
Secondary Office Disposition:
FN37 - Investment Management

Purpose:

Record series documenting the execution of financial transactions relating to investments.

Scope:

Includes (but not limited to) term deposits, exchange, bank statements, processing of payments, correspondence, and related documentation.

Cross reference:

For tax-related records see: Taxes (FN60) or Taxes - Issuance of Tax Slips/Receipts (FN61)

Exceptions:


Primary Offices: Financial Services
Primary Office Retention Trigger: Fiscal Year
Primary Office Retention Period: 6 years
Primary Office Disposition: Secure Destruction
Secondary Offices: N/A
Secondary Office Retention Trigger:
Secondary Office Retention Period:
Secondary Office Disposition:
FN38 - Management of One Time Grants and Donations - Case files

Purpose:

Records Series documenting the management of funds received by units to complete specifically funded projects.

Scope:

Includes (but on limited to): Applications, receipt of funds, reports, tracking of fund use, supporting documentation, and correspondence.

Cross reference:

For the processing of funds see: Financial Transaction - Centrally Processed (FN10); Hiring of positions for funded projects see: Competition Case files (HR70); For processing of wages see: Payroll (HR30)

Exceptions:

Research grants that are part of a government or recognized research funding agency program - See: Research Contracts and Agreements (RS10), Research Grants and Awards - External (RS11), Research Grants and Awards - Internal (RS12)

Primary Offices: Unit submitting grant application or receiving donation
Primary Office Retention Trigger: Superseded / Obsolete
Primary Office Retention Period: 7 years
Primary Office Disposition: Transfer to University Archives
Secondary Offices: N/A
Secondary Office Retention Trigger:
Secondary Office Retention Period:
Secondary Office Disposition:
FN40 - Budgets - Units

Purpose:

Records series documenting the planning, control, and follow-up of unit budgets and their components (operating funds, investment funds, research funds, trust funds).

Scope:

Includes (but not limited to) year-end financial statements, budget frameworks and rules, budget estimates and submissions, approved budgets and revisions, bridging summaries, monthly budget summaries, related documentation, and correspondence.

Cross reference:

University budgets see: Budgets - University (FN41)

Exceptions:


Primary Offices: Units
Primary Office Retention Trigger: Fiscal Year
Primary Office Retention Period: 6 years
Primary Office Disposition: Secure Destruction
Secondary Offices: N/A
Secondary Office Retention Trigger:
Secondary Office Retention Period:
Secondary Office Disposition:
FN41 - Budgets - University

Purpose:

Records series documenting the planning, control, and follow-up of the annual university budget and its components (operating funds, investment funds, research funds, special funds, trust funds).

Scope:

Includes (but not limited to) year-end financial statements, budget frameworks and rules, budget estimates and submissions, approved budgets and revisions, bridging summaries, monthly budget summaries, related documentation, and correspondence.

Cross reference:

Unit specific budgets see: Budgets - Unit (FN40)

Exceptions:


Primary Offices: Financial Services
Primary Office Retention Trigger: Fiscal Year
Primary Office Retention Period: 6 years
Primary Office Disposition: Transfer to University Archives
Secondary Offices: Units
Secondary Office Retention Trigger: Fiscal Year
Secondary Office Retention Period: 3 years
Secondary Office Disposition: Secure Destruction
FN50 - Procurement

Purpose:

Records series documenting the acquisition of goods and services. including bids, tenders, and competitive selection processes.

Scope:

Includes (but not limited to) contracts, specifications, requests for proposals (RFP), requests for tender (RFT), request for information (RFI) or requests for quotes (RFQ), vendor proposals and bids, department requisition forms, purchase orders, related documentation, and related correspondence.

Cross reference:

Vendor account information see: Vendor information (AD41); Surplus & Asset Inventory see: Acquisition and Disposal - Surplus and Asset Inventory (FN51); Warranties see: Acquisition and Disposal - Surplus and Asset Inventory (FN51)

Exceptions:


Primary Offices: Financial Services
Primary Office Retention Trigger: Superseded / Obsolete
Primary Office Retention Period: 7 years
Primary Office Disposition: Secure Destruction
Secondary Offices: Units
Secondary Office Retention Trigger: Superseded / Obsolete
Secondary Office Retention Period: 7 years
Secondary Office Disposition: Secure Destruction
FN51 - Acquisition and Disposal - Surplus Material and University-Owned Assets

Purpose:

Records series documenting the acquisition and disposal of surplus material and university-owned electronic equipment under Procurement procedures.

Scope:

Includes (but not limited to): quotes, related forms, approvals, surplus disposal offers, receipts, E-waste disposal, contracts, certificate of ownership, warranties, related documentation, and correspondence.

Cross reference:

Transferring of funds - See: Financial Transactions - Centrally Processed (FN10); Inventories - See: Asset Inventories (FP10)

Exceptions:


Primary Offices: Financial Services
Primary Office Retention Trigger: Superseded / Obsolete
Primary Office Retention Period: 6 years
Primary Office Disposition: Secure Destruction
Secondary Offices: Units
Secondary Office Retention Trigger: Superseded / Obsolete
Secondary Office Retention Period: 2 years
Secondary Office Disposition: Secure Destruction
FN60 - Taxes

Purpose:

Records series documenting taxes levied by various levels of government.

Scope:

Includes (but is not limited to): tax statements, declarations or recoveries of sales tax and GST payments, remittance vouchers, excise tax remittances, and records dealing with the issue of charitable receipts.

Cross reference:

For payment of taxes see: Financial Transactions - Centrally Processed (FN10); For issuance of specific tax slips/receipts see: Issuance of Tax Slips/Receipts (FN61)

Exceptions:


Primary Offices: Financial Services
Primary Office Retention Trigger: Fiscal Year
Primary Office Retention Period: 6 years
Primary Office Disposition: Secure Destruction
Secondary Offices: Units
Secondary Office Retention Trigger: Fiscal Year
Secondary Office Retention Period: 2 years
Secondary Office Disposition: Secure Destruction
FN61 - Taxes - Issuance of Tax Slips/Receipts

Purpose:

Records series documenting issuance of non-payroll related tax slips/receipts by university units.

Scope:

Includes (but not limited to): Charitable donations.

Cross reference:


Exceptions:

Tax slips/receipts related to: Payroll (T4, T4A,& TD1) see: Payroll (HR30); T3s issued for Endowments see: Endowment Management (FN34)

Primary Offices: Unit Responsible for Issuing
Primary Office Retention Trigger: Fiscal Year
Primary Office Retention Period: 6 years
Primary Office Disposition: Secure Destruction
Secondary Offices: Units
Secondary Office Retention Trigger: Fiscal Year
Secondary Office Retention Period: 2 years
Secondary Office Disposition: Secure Destruction
FP10 - Asset Disposal/Surplus Coming soon!
FP11 - Asset InventoryComing soon!
FP20 - Campus SecurityComing soon!
FP21 - Investigation - Case FilesComing soon!
FP24 - Security Access Control Coming soon!
FP30 - Building PlansComing soon!
FP31 - Capital ProjectsComing soon!
FP32 - Construction and RenovationComing soon!
FP33 - Maintenance and RepairsComing soon!
FP34 - Real PropertyComing soon!
FP40 - Campus PlanningComing soon!
FP41 - Facilities Scheduling

Purpose:

Records series documenting the administration of bookings of academic and non-academic facilities.

Scope:

Includes (but is not limited to) applications for non-academic use of space, booking schedules, correspondence, course update submissions, room booking forms, reports and other related documentation.

Cross reference:


Exceptions:


Primary Offices: Units
Primary Office Retention Trigger: Calendar Year
Primary Office Retention Period: 1 year
Primary Office Disposition: Secure Destruction
Secondary Offices: N/A
Secondary Office Retention Trigger:
Secondary Office Retention Period:
Secondary Office Disposition:
FP50 - Waste and Recycling ManagementComing soon!
FP55 - Operations Services Case Files

Purpose:

Records series documenting the oversight of campus wide services, managed and overseen by Facilities Management - Operations.

Scope:

Includes (but not limited to): service contracts, awarded tenders, vendor performance communications, supporting documentation and other related correspondence.

Cross reference:

For original contracts, requests for proposals, tenders, information or quotes (RFPs, RFTs, RFIs, RFQs etc. see: FN50 - Finance - Procurement. All financial documentation processed centrally with Financial Services see: FN10 - Financial Transactions - Processed Centrally. All financials processed internally by unit see: FN11 - Financial Transactions - Processed by Unit

Exceptions:


Primary Offices: Facilities Management
Primary Office Retention Trigger: Superseded / Obsolete
Primary Office Retention Period: 7 years
Primary Office Disposition: Secure Destruction
Secondary Offices: Units
Secondary Office Retention Trigger: Fiscal Year
Secondary Office Retention Period: 3 years
Secondary Office Disposition: Secure Destruction
GV10 - Board of Governors and Committees

Purpose:

Records series documenting meetings of the Board of Governors and meetings of the Board of Governors' standing, ad hoc committees and subcommittees.

Scope:

Includes (but is not limited to): agendas, final meeting packages, minutes, presentations, reports, supporting documents, and related correspondence.

Cross reference:


Exceptions:


Primary Offices: University Secretariat
Primary Office Retention Trigger: Calendar Year
Primary Office Retention Period: 2 years
Primary Office Disposition: Transfer to University Archives
Secondary Offices: Committees members and other offices
Secondary Office Retention Trigger: Calendar Year
Secondary Office Retention Period: 1 year
Secondary Office Disposition: Secure Destruction
GV11 - Senate and Committees

Purpose:

Records series documenting meetings of Senate and meetings of Senate standing and ad hoc committees, subcommittees and councils.

Scope:

Includes (but is not limited to): agendas, final meeting packages, minutes, presentations, reports, supporting documents, and related correspondence.

Cross reference:

For appeals, see: University Appeals (GV26)

Exceptions:


Primary Offices: University Secretariat
Primary Office Retention Trigger: Calendar Year
Primary Office Retention Period: 2 years
Primary Office Disposition: Transfer to University Archives
Secondary Offices: Committees members and other offices
Secondary Office Retention Trigger: Calendar Year
Secondary Office Retention Period: 1 year
Secondary Office Disposition: Secure Destruction
GV12 - Institutional Committees

Purpose:

Records series documenting proceedings and actions of standing, joint, ad hoc university committees and subcommittees, advisory boards, task forces, etc., pertaining to administration and governance, which are not Senate, Board of Governors, or faculty committees.

Scope:

Includes (but is not limited to): agenda, meeting packages, minutes, reports, working papers, presentations, related documentation and correspondence.

Cross reference:


Exceptions:


Primary Offices: Units
Primary Office Retention Trigger: Superseded / Obsolete
Primary Office Retention Period: 5 years
Primary Office Disposition: Transfer to University Archives
Secondary Offices: Committees members and other offices
Secondary Office Retention Trigger: Superseded / Obsolete
Secondary Office Retention Period: 1 year
Secondary Office Disposition: Secure Destruction
GV13 - Faculty Council and Committees

Purpose:

Records series documenting the meetings of faculty councils and their assemblies, committees, and subcommittees. These bodies fulfill policy and planning functions and deal with academic matters, such as faculty regulations and procedures, curriculum, academic standards, and program development.

Scope:

Includes (but is not limited to): agendas, meeting packages, minutes, presentations, reports, supporting documents, and related correspondence.

Cross reference:


Exceptions:


Primary Offices: Provost & Vice-President Academic; Faculties
Primary Office Retention Trigger: Academic Year
Primary Office Retention Period: 5 years *
Primary Office Disposition: Transfer to University Archives
Secondary Offices: Committees members and other offices
Secondary Office Retention Trigger: Academic Year
Secondary Office Retention Period: 1 year
Secondary Office Disposition: Secure Destruction
GV20 - Contracts - Agreements - MOUsComing soon!
GV21 - Conflicts of InterestComing soon!
GV22 - Intellectual PropertyComing soon!
GV23 - Internal and External Complaints Case FilesComing soon!
GV24 - Internal and External Investigations Case FilesComing soon!
GV25 - Legal Actions and Proceedings

Purpose:

Records series documenting legal actions and proceedings dealt with or submitted to a court of law, administrative tribunal or regulatory agency for or against the institution.

Scope:

Includes (but is not limited to): legal correspondence and pleadings, statements, demands, directions, subpoenas and notices to appear, orders, transcripts, settlements, discharges, rulings and related correspondence.

Cross reference:


Exceptions:


Primary Offices: Legal Counsel
Primary Office Retention Trigger: Superseded / Obsolete
Primary Office Retention Period: 7 years
Primary Office Disposition: Secure Destruction
Secondary Offices: Units
Secondary Office Retention Trigger: Superseded / Obsolete
Secondary Office Retention Period: 0 years
Secondary Office Disposition: Secure Destruction
GV26 - University Appeals

Purpose:

Records series documenting the conduct and administration of university appeals including Academic Integrity and Non-Academic Discipline Appeals, Student Code of Conduct Appeals and Tenure and Promotion Appeals.

Scope:

Includes (but is not limited to): submission forms, waivers, appeal decisions and case files, supporting documentation, recordings of hearing, witness lists, and pertinent correspondence.

Cross reference:


Exceptions:


Primary Offices: University Secretariat
Primary Office Retention Trigger: Superseded / Obsolete
Primary Office Retention Period: 2 years
Primary Office Disposition: Transfer to University Archives
Secondary Offices: Committees members and other offices
Secondary Office Retention Trigger: Superseded / Obsolete
Secondary Office Retention Period: 0 years
Secondary Office Disposition: Secure Destruction
GV27 - University InvestigationsComing soon!
GV30 - Policies, Protocols, and Procedures

Purpose:

Records series documenting the establishment of university or units policies, protocols, and procedures.

Scope:

Includes (but is not limited to): administrative practices, consultations, final documents and approvals, drafts that document major decisions, operating protocols or procedures, proposals, reports, and research papers.

Cross reference:

For reviews of university or units policies see: Governance - Policy Review (GV31) For reviews of university or units protocols, procedures and guidelines see: Governance - Protocols, Procedures and Guidelines Reviews (GV32) For meetings related to Board of Governors see: Governance - Board of Governors and Committees (GV10) For meetings related to Senate see: Governance - Senate and Committees (GV11)

Exceptions:


Primary Offices: Unit responsible or sponsored
Primary Office Retention Trigger: Superseded / Obsolete
Primary Office Retention Period: 5 years
Primary Office Disposition: Transfer to University Archives
Secondary Offices: N/A
Secondary Office Retention Trigger:
Secondary Office Retention Period:
Secondary Office Disposition:
GV31 - Policy - Reviews

Purpose:

Records series documenting the conduct and management of policy reviews.

Scope:

Includes (but not limited to): major drafts, final documents and approvals, background and support information, consultations, notes, correspondence, proposed changes, reports, research and other related documentation.

Cross reference:

For establishment and creation of new policies see: Governance - Policies, Protocols and Procedures (GV30) For meetings related to Board of Governors see: Governance - Board of Governors and Committees (GV10) For meetings related to Senate see: Governance - Senate and Committees (GV11)

Exceptions:


Primary Offices: Unit responsible for or sponsored by
Primary Office Retention Trigger: Superseded / Obsolete
Primary Office Retention Period: 5 years
Primary Office Disposition: Transfer to University Archives
Secondary Offices: N/A
Secondary Office Retention Trigger:
Secondary Office Retention Period:
Secondary Office Disposition:
GV32 - Protocols, Procedures and Guidelines - Reviews

Purpose:

Records series documenting the conduct and management of university or unit protocols, procedures, and guidelines reviews done by the institution not covered under a specified series.

Scope:

Includes (but is not limited to): background support information, consultations notes, correspondence, evaluations, minutes, proposed changes, reports, research and other related documentation.

Cross reference:

For the establishment and creation of new protocols or procedures see: Governance - Policies, Protocols and Procedures (GV30)

Exceptions:


Primary Offices: Unit responsible for or sponsored by
Primary Office Retention Trigger: Superseded / Obsolete
Primary Office Retention Period: 7 years
Primary Office Disposition: Transfer to University Archives
Secondary Offices: N/A
Secondary Office Retention Trigger:
Secondary Office Retention Period:
Secondary Office Disposition:
GV40 - Business Continuity and Emergency Management - Plans

Purpose:

Records series documenting the planning for emergencies, crises, disasters, and management of related plans impact campus(es) and re-establishment of business, maintaining business continuity, campus safety and technology recovery of the university.

Scope:

Includes (but is not limited to): identified resources, expectations and responsibilities; risk and insurance assessments, network architecture reviews, data restoration protocols, directories and other related documentation.

Cross reference:

For management of response see; Governance - Business Continuity and Emergency Response Management (GV41)

Exceptions:


Primary Offices: Unit responsible
Primary Office Retention Trigger: Superseded / Obsolete
Primary Office Retention Period: 7 years
Primary Office Disposition: Transfer to University Archives
Secondary Offices: N/A
Secondary Office Retention Trigger:
Secondary Office Retention Period:
Secondary Office Disposition:
GV41 - Business Continuity and Emergency Response Management

Purpose:

Records series documenting the university's response to disasters, major emergencies and reliance on contingency plans that impact campus(es) and re-establishment of business, maintaining business continuity, campus safety and technology recovery of the university.

Scope:

Includes (but is not limited to): correspondence, media releases, meeting notes, project charters and plans, reports, schedules, working papers, and related correspondence.

Cross reference:

For meeting minutes see: Governance - Institutional Committees (GV12) For related statistics see Administration - Reports and Statistics (AD70)

Exceptions:

Minor emergencies as defined in institutions' crisis managed plan, see: Facilities and Property - Campus Security (FP20)

Primary Offices: Unit Responsible
Primary Office Retention Trigger: Superseded / Obsolete
Primary Office Retention Period: 7 years
Primary Office Disposition: Transfer to University Archives
Secondary Offices: Unit
Secondary Office Retention Trigger: Superseded / Obsolete
Secondary Office Retention Period: 7 years
Secondary Office Disposition: Secure Destruction
GV43 - IT Security and Risk AssessmentsComing soon!
GV45 - Risk ManagementComing soon!
GV50 - Strategic PlanningComing soon!
GV51 - Project Management

Purpose:

Records series documenting the management of university wide and unit specific projects, initiatives, and activities not covered under a specified series.

Scope:

Includes (but is not limited to): Approvals , charters, plans, reports, scorecards, supporting documents and related correspondence.

Cross reference:

For institutional final reports and statistics see: Reports and Statistics (AD70)

Exceptions:

Projects overseen by Facilities Management

Primary Offices: Unit Responsible
Primary Office Retention Trigger: Superseded / Obsolete
Primary Office Retention Period: 7 years
Primary Office Disposition: Transfer to University Archives
Secondary Offices: Units
Secondary Office Retention Trigger: Superseded / Obsolete
Secondary Office Retention Period: 7 years
Secondary Office Disposition: Secure Destruction
HL10 - Conflict and Unethical Behaviour Case FilesComing soon!
HL11 - Conflict and Unethical Behaviour ConsultationsComing soon!
HL12 - Human Rights and Equity ConsultationComing soon!
HL13 - Human Rights and Equity Case FilesComing soon!
HL30 - Fire DrillsComing soon!
HL31 - Fire Incidents and InspectionsComing soon!
HL40 - Biomedical Waste DisposalComing soon!
HL41 - Hazardous Waste DisposalComing soon!
HL42 - PCB Storage and DisposalComing soon!
HL50 - Athlete Therapy Case FilesComing soon!
HL51 - Counseling and Psychotherapy Client FilesComing soon!
HL52 - Dentistry Clinic Client FilesComing soon!
HL53 - Occupational Health Case FilesComing soon!
HL60 - Biosafety PermitsComing soon!
HL61 - Biosafety ProgramComing soon!
HL62 - Laser PermitsComing soon!
HL63 - Nuclear Substances and Radiation Devices LicensesComing soon!
HL64 - Radiation Dosimeter ReportsComing soon!
HL65 - Radiation MonitoringComing soon!
HL66 - Radioisotope PermitsComing soon!
HL67 - X-Ray PermitsComing soon!
HL70 - Occupational Health and Safety AccidentsComing soon!
HL71 - Occupational Health and Safety ComplaintsComing soon!
HL72 - Occupational Health and Safety ProgramComing soon!
HL73 - Workplace InspectionsComing soon!
HR10 - Collective Bargaining

Purpose:

Records series documenting collective bargaining relations, agreements and settlements between Employee group and management.

Scope:

Includes (but not limited to): correspondence with bargaining units, guidelines and updates, preparation for negotiations, collective bargaining, materials relating to strikes, minutes of settlement, memoranda of agreement and collective agreements.

Cross reference:


Exceptions:


Primary Offices: Human Resources
Primary Office Retention Trigger: Superseded / Obsolete
Primary Office Retention Period: 25 years
Primary Office Disposition: Transfer to University Archives
Secondary Offices: N/A
Secondary Office Retention Trigger:
Secondary Office Retention Period: N/A
Secondary Office Disposition:
HR15 - Grievances and Arbitrations - Case Files

Purpose:

Records series documenting the adjudication of grievances and arbitrations between employees and/or employee groups and the University.

Scope:

Includes (but not limited to): informal and formal resolutions, grievances, arbitration, awards, correspondence, memoranda of agreement, minutes of settlement, submissions, records of meetings and related documentation. Note: Security Classifications differ - grievances are confidential while arbitrations are public.

Cross reference:

For Dalhousie Faculty Association (DFA) and Non- DFA See HR80 Tenure and Promotion Recommendations; See: GV26 for Appeals

Exceptions:


Primary Offices: Human Resources
Primary Office Retention Trigger: Superseded / Obsolete
Primary Office Retention Period: 25 years
Primary Office Disposition: Secure destruction except for those records listed in Retention Instructions
Secondary Offices: Other Units
Secondary Office Retention Trigger: Superseded / Obsolete
Secondary Office Retention Period: 10 years
Secondary Office Disposition: Secure Destruction
HR20 - Compensation for Employees

Purpose:

Records series documenting the compensation of employment positions within the University. Documents the determination classification and position management programs and increments as provided in collective agreements, and additional compensation such as merit pay, pay equity, and market/anomalies.

Scope:

Includes (but not limited to): correspondence, databases, analyses, pay equity information, planning and scheduling of compensation, procedures, rating questionnaires, surveys, staff censuses, applications for additional compensation, reports, and other related documentation.

Cross reference:

For compensation related to an individual employee see: HR50 Personnel Files- Faculty; HR51 Personnel Files - Non-Faculty; HR52 Personnel Files - Non-Pensionable

Exceptions:


Primary Offices: Human Resources
Primary Office Retention Trigger: Academic Year
Primary Office Retention Period: 10 years
Primary Office Disposition: Disposition Plan
Secondary Offices: Unit responsible for employee or compensation decision
Secondary Office Retention Trigger: Academic Year
Secondary Office Retention Period: 2 years
Secondary Office Disposition: Secure Destruction
HR22 - Position Description, Classification, and Evaluation

Purpose:

Records series documenting position descriptions, classifications, and position evaluations of non-faculty employees.

Scope:

Includes (but not limited to): correspondence, organizational analyses, organizational charts, job fact sheets, position descriptions and summaries, classification ratings, procedures, rating questionnaires, surveys, data sheets, and other related documentation.

Cross reference:


Exceptions:


Primary Offices: Human Resources
Primary Office Retention Trigger: Superseded / Obsolete
Primary Office Retention Period: 5 years
Primary Office Disposition: Transfer to University Archives
Secondary Offices: Unit responsible for employee
Secondary Office Retention Trigger: Superseded / Obsolete
Secondary Office Retention Period: 2 years
Secondary Office Disposition: Secure Destruction
HR30 - Payroll Management

Purpose:

Records series documenting the payment of employees and non-employee payments such as Honoria and third party payroll

Scope:

Includes (but not limited to): Deposits, remittances, tax form issuance including TD1, T4, T4A, ROE, reconciliations and pay period documentation.

Cross reference:

For Direct Deposits see Financial Transactions - Processed Centrally (FN10); Time Sheets see Work Schedules and Absences (HR31); For institutional taxes see Taxes (FN60).

Exceptions:

See Primary Office Retention Instructions for banking information disposition exceptions.

Primary Offices: Human Resources
Primary Office Retention Trigger: Calendar Year
Primary Office Retention Period: 6 years
Primary Office Disposition: Secure Destruction
Secondary Offices: N/A
Secondary Office Retention Trigger:
Secondary Office Retention Period: N/A
Secondary Office Disposition:
HR31 - Work Schedules and Absences

Purpose:

Records series documenting the administration and reporting of employee attendance, shift scheduling, paid and unpaid leaves, and hours of work.

Scope:

Includes (but not limited to): correspondence, reporting forms for paid and unpaid leaves, time sheets, work schedules.

Cross reference:

Request for leave or long term absences see: HR50 Personnel Files- Faculty; HR51 Personnel Files - Non-Faculty.

Exceptions:

Excludes Student Employee Timesheets see: HR53 Personnel Files - Student Hires

Primary Offices: Human Resources
Primary Office Retention Trigger: Calendar Year
Primary Office Retention Period: 6 years
Primary Office Disposition: Secure Destruction
Secondary Offices: Unit responsible for employee
Secondary Office Retention Trigger: Calendar Year
Secondary Office Retention Period: 2 years
Secondary Office Disposition: Secure Destruction
HR40 - Pension and Benefits Plan Management

Purpose:

Records series documenting the management of pension and benefits plans.

Scope:

Includes (but not limited to): brochures, correspondence, explanatory documents regarding benefits offered to employees, general information on plans, and reports.

Cross reference:

For payment of plan funds: See FN12 Accounts Payable; For specific individual retiree case files: See HR42 Retired Employees - Case Files

Exceptions:


Primary Offices: Human Resources
Primary Office Retention Trigger: Calendar Year
Primary Office Retention Period: 55 years
Primary Office Disposition: Transfer to University Archives
Secondary Offices: N/A
Secondary Office Retention Trigger:
Secondary Office Retention Period:
Secondary Office Disposition:
HR41 - Pension and Benefits Plan Agreements

Purpose:

Records series documenting the pension and benefits plan agreements.

Scope:

Includes (but not limited to): plan, agreements, contracts, and amendments

Cross reference:


Exceptions:


Primary Offices: Human Resources
Primary Office Retention Trigger: Superseded / Obsolete
Primary Office Retention Period: 25 years
Primary Office Disposition: Transfer to University Archives
Secondary Offices: N/A
Secondary Office Retention Trigger:
Secondary Office Retention Period:
Secondary Office Disposition:
HR42 - Retired Employees - Case Files

Purpose:

Records series documenting the pensions and benefits of former or retired employees.

Scope:

Includes (but not limited to): bank requests for electronic funds, direct transfer request forms, agreements, declarations of marital status and beneficiary designations and pension forms, consultation notes, buybacks.

Cross reference:

For payment of funds: see HR30 Payroll Management.

Exceptions:

For banking information: see retention instructions exceptions.

Primary Offices: Human Resources
Primary Office Retention Trigger: Superseded / Obsolete
Primary Office Retention Period: 75 years
Primary Office Disposition: Secure Destruction
Secondary Offices: N/A
Secondary Office Retention Trigger:
Secondary Office Retention Period:
Secondary Office Disposition:
HR50 - Personnel Files - Faculty

Purpose:

Record series considered the principle personnel file a documenting the employment history of all pensionable Faculty employees and Faculty employees eligible for RRSPs (temporary, part-time, full-time) from initial hiring to end of employment.

Scope:

Includes (but not limited to): individual records of employment and administration, records of compensation, benefits and pension, specific training certifications, and other supporting documentation.

Cross reference:


Exceptions:

Excludes: Non-Faculty (HR51), Teaching and Research Assistants (HR52), Non-Pensionable (HR52), and Student Hires (HR53) Personnel Files

Primary Offices: Department or other such unit as defined in the DFA Agreement (Article 1.08); Human Resources
Primary Office Retention Trigger: Superseded / Obsolete
Primary Office Retention Period: 2 years
Primary Office Disposition: Transfer to University Archives
Secondary Offices: N/A
Secondary Office Retention Trigger:
Secondary Office Retention Period:
Secondary Office Disposition:
HR51 - Personnel Files - Non-Faculty

Purpose:

Records series documenting the employment history of non-faculty Dalhousie employee groups from initial hiring to end of employment; Includes Non-Pensionable Facilities Management Personnel.

Scope:

Includes (but not limited to): individual records of employment and administration, records of compensation, benefits and pension, annual assessments, performance development plans, and other supporting documentation.

Cross reference:

Temporary, casual, and interim employees, where hiring records are not sent to Human Resources, the unit responsible for hiring will be considered the Primary Office for the personnel file. Also See: HR52 Personnel Files - Non- Pensionable

Exceptions:

Excludes: Personnel covered under Dalhousie Faculty Association (DFA) Group as they are covered under HR50 Personnel Files - Faculty, Personnel Files- Non-Pensionable (HR52), and Personnel Files - Student Hires (HR53). Excluded: Medical Documentation - resides with Human Resources only.

Primary Offices: Human Resources; Facilities Management
Primary Office Retention Trigger: Superseded / Obsolete
Primary Office Retention Period: 60 years
Primary Office Disposition: Secure Destruction
Secondary Offices: Units
Secondary Office Retention Trigger: Superseded / Obsolete
Secondary Office Retention Period: 2 years
Secondary Office Disposition: Secure Destruction
HR52 - Personnel Files - Non-Pensionable

Purpose:

Records series documenting the employment history employees not eligible for pension contributions from initial hiring to termination.

Scope:

Includes (but not limited to): individual records of employment and administration records of compensation and benefits, and other supporting documentation.

Cross reference:


Exceptions:

Excludes: Personnel Files - Student Hires (HR53), and Non-Pensionable Facilities Management Personnel (covered under HR51 Personnel Files -Non -Faculty)

Primary Offices: Human Resources; Unit responsible for hire
Primary Office Retention Trigger: Superseded / Obsolete
Primary Office Retention Period: 7 years
Primary Office Disposition: Secure Destruction
Secondary Offices: Units
Secondary Office Retention Trigger: Superseded / Obsolete
Secondary Office Retention Period: 7 years
Secondary Office Disposition: Secure Destruction
HR53 - Personnel Files - Student Hires

Purpose:

Records series documenting the temporary employment of students though (but not limited to): co-op, work term, Honoria, research grants, hourly wage, or stipends. Documents the student term of employment from initial hiring to end of employment.

Scope:

Includes but not limited to): hiring documentation and any records generated during their time of employment. May contain (but not limited to): Correspondence, letter of hire, schedules, time sheets, confidentiality agreements, evaluations, CV or Resume, anonymized reference checks.

Cross reference:

For direct deposits see: HR30 Payroll Management and FN12 Accounts Payable

Exceptions:


Primary Offices: Unit responsible for hire
Primary Office Retention Trigger: Superseded / Obsolete
Primary Office Retention Period: 7 years
Primary Office Disposition: Secure Destruction
Secondary Offices: N/A
Secondary Office Retention Trigger:
Secondary Office Retention Period:
Secondary Office Disposition:
HR60 - Recognition Awards

Purpose:

Records Series documenting recognition programs administered by the University, Faculties, Departments or work units.

Scope:

Includes (but not limited to): award criteria, correspondence, applications, nominations, evaluation, approval records, list of recipients and reports. Such as (but not limited to): university-wide awards, teaching awards, graduate students awards, community involvement awards, alumni awards, research awards, service, and retirement recognition.

Cross reference:

For event planning see: ER42 Special Events

Exceptions:


Primary Offices: Unit responsible for management of award
Primary Office Retention Trigger: Superseded / Obsolete
Primary Office Retention Period: 2 years
Primary Office Disposition: Transfer to University Archives
Secondary Offices: N/A
Secondary Office Retention Trigger:
Secondary Office Retention Period:
Secondary Office Disposition:
HR61 - Professional Development and Training

Purpose:

Records series documenting the administration of professional development training programs for Dalhousie employees.

Scope:

Includes (but not limited to): course development, training packages, facilitator information, presentations, schedules, attendance records, registration, and evaluations.

Cross reference:


Exceptions:


Primary Offices: Unit responsible for training
Primary Office Retention Trigger: Superseded / Obsolete
Primary Office Retention Period: 5 years
Primary Office Disposition: Secure Destruction
Secondary Offices: N/A
Secondary Office Retention Trigger:
Secondary Office Retention Period:
Secondary Office Disposition:
HR70 - Competition Case Files

Purpose:

Records series documenting the recruitment and hiring of non-faculty personnel; appointments of (as per the DFA agreement article 12) initial faculty; and the appointments of Post Doctoral Fellows and Research Assistants.

Scope:

Includes (but not limited to) application packages, resumes, curriculum vitae (CV), correspondence, interview schedules and results, interview notes, recruitment request, approval documentation, references, and other supporting documentation.

Cross reference:


Exceptions:

Excludes hiring of students, unsolicited applications, tenure and promotions. Hiring of Students, see: Human Resources - Competition Case Files - Students (HR72); Unsolicited applications, see; Human Resources - Unsolicited Resumes (HR74); Tenure and Promotions, see: Human Resources - Tenure and Promotion Recommendations (HR80)

Primary Offices: Human Resources; Facilities Management
Primary Office Retention Trigger: Calendar Year
Primary Office Retention Period: 2 years
Primary Office Disposition: Secure Destruction
Secondary Offices: Units
Secondary Office Retention Trigger: Calendar Year
Secondary Office Retention Period: 2 years
Secondary Office Disposition: Secure Destruction
HR72 - Competition Case Files - Students

Purpose:

Records series documenting the recruitment and hiring of students.

Scope:

Includes (but not limited to): application packages, correspondence, interview schedules and results, interview notes, offer letters, recruitment requests, and approval documentation and references.

Cross reference:

HR53 Personnel Files- Student Hire; HR74 Unsolicited Applications HR75 Unsolicited Applications - Students; HR80 Tenure and Promotion Recommendations.

Exceptions:

All competitions managed in MyCareer will be maintained by Bissett Centre for Student Success (under Student Affairs). This classification is for all student hiring in units and not maintained by Student Affairs.

Primary Offices: Unit responsible for hiring
Primary Office Retention Trigger: Calendar Year
Primary Office Retention Period: 1 year
Primary Office Disposition: Secure Destruction
Secondary Offices: N/A
Secondary Office Retention Trigger:
Secondary Office Retention Period:
Secondary Office Disposition:
HR74 - Unsolicited Resumes

Purpose:

Records series documenting the receipt resumes from unsolicited applicants not applying to a specific competition or currently being considered for employment.

Scope:

Includes (but not limited to): communications of formal response, unsolicited applications, resumes, and curriculum vitae (CV).

Cross reference:


Exceptions:

Excludes Hiring of Students. See: HR72- Competition Case Files - Students; HR75 Unsolicited Applications - Students

Primary Offices: Human Resources; Units
Primary Office Retention Trigger: See retention instructions
Primary Office Retention Period: 6 months
Primary Office Disposition: Secure Destruction
Secondary Offices: N/A
Secondary Office Retention Trigger:
Secondary Office Retention Period:
Secondary Office Disposition:
HR75 - Unsolicited Resumes - Students

Purpose:

Records series documenting the receipt of applications, resumes and curriculum vitae received through the student hiring processes.

Scope:

Includes data and information contained in online job bank application for student hires

Cross reference:


Exceptions:


Primary Offices: Student Affairs; Units
Primary Office Retention Trigger: See retention instructions
Primary Office Retention Period: See retention instructions
Primary Office Disposition: Secure Destruction
Secondary Offices: N/A
Secondary Office Retention Trigger:
Secondary Office Retention Period:
Secondary Office Disposition:
HR76 - Employment Programs

Purpose:

Records series documenting program management and related activities of recruiting and hiring personnel for positions available through specific employment programs.

Scope:

Includes (but not limited to) program supporting documentation, meeting notes, applications, resumes and CVs, questionnaires, correspondence, and related documentation. Example: Talent Pathway Program, employment equity programs

Cross reference:

For competition case files for Non-Faculty see HR70 Competition Case Files; For hiring of students see: HR72 - Competition Case Files - Students; Records related to successfully placed applicants will be contained in their personnel files see: HR52 Personnel Files - Non-Pensionable; Anonymized Statistical Data See: AD70- Reports and Statistics

Exceptions:


Primary Offices: Human Resources
Primary Office Retention Trigger: Superseded / Obsolete
Primary Office Retention Period: 1 year
Primary Office Disposition: Secure Destruction
Secondary Offices: N/A
Secondary Office Retention Trigger:
Secondary Office Retention Period:
Secondary Office Disposition:
HR80 - Tenure and Promotion Recommendations

Purpose:

Records series documenting the consideration of faculty members applying for tenure and/or promotion based on evaluations of teaching, research, and service to the community.

Scope:

Includes applications forms, decision letters, letters of recommendation, curriculum vitae (CV), and supporting documentation.

Cross reference:

Letters of recommendations will be also be maintained on Personnel File (HR50). Committee work will be captured under the Governance (GV) section under the appropriate committee classification. For appeals, see GV26 University Appeals.

Exceptions:


Primary Offices: Human Resources
Primary Office Retention Trigger: Superseded / Obsolete
Primary Office Retention Period: 7 years
Primary Office Disposition: Secure Destruction
Secondary Offices: Department or other such unit as defined by the DFA Agreement (Article 1.08)
Secondary Office Retention Trigger: Superseded / Obsolete
Secondary Office Retention Period: 7 years
Secondary Office Disposition: Secure Destruction
HS20 - Environment Health and Safety - Management System Development

Purpose:

Records series documenting the creation, development, and dissemination of the Environmental Health and Safety programs’ framework.

Scope:

Includes (but is not limited to): designated responsibilities, safe work practices, program material, program evaluation, best practices, guidelines, standards, work instructions, reviews and updates of protocols and procedures, communication plans, and supporting documentation for development of all aspects of the program.

Cross reference:

Establishment of policies, protocols, and procedures see: Protocols, and Procedures (GV31); Training and resources development, see: ___(HS## -coming soon); For records related to facilities, see: Facilities and Property (FP); For committee records , see: Institutional Committees (GV12)

Exceptions:

Annual Reports and statistics, see: Reports and Statistics (AD70); Reported workplace incidents, see: ____(HS## -coming soon); Workplace investigations, see: ____(HS## -coming soon); Audits, monitoring and reviews, see: TBA

Primary Offices: Environmental Health and Safety Office
Primary Office Retention Trigger: Superseded / Obsolete
Primary Office Retention Period: 5 years
Primary Office Disposition: Transfer to University Archives
Secondary Offices: N/A
Secondary Office Retention Trigger:
Secondary Office Retention Period:
Secondary Office Disposition:
IM11 - Access and Privacy Program

Purpose:

Records series documenting the access and privacy management program and compliance with legislation on access to information and privacy protection.

Scope:

Includes (but is not limited to): procedures, guidelines, templates and forms, privacy notices, Personal Information Inventory, tracking and resoultion of privacy breaches, privacy consultations and advice internal to the university, supporting documentation and related correspondence.

Cross reference:

Templates and forms see: Administration - Templates and Forms (AD80) Creation of new protocols, procedures and guidelines see: Governance - Policies, Protocols and Procedures (GV30) Investigation of privacy breaches see: Information Management and Technology - Privacy Incidents (IM13) Privacy Impact Assessments (PIA), see: Information Management and Technology - Assessments (IM14)

Exceptions:

For FOIPOP Request see: Information Management and Technology - Access Request (IM12)

Primary Offices: Privacy Office
Primary Office Retention Trigger: Superseded / Obsolete
Primary Office Retention Period: 5 years
Primary Office Disposition: Transfer to University Archives
Secondary Offices: N/A
Secondary Office Retention Trigger:
Secondary Office Retention Period:
Secondary Office Disposition:
IM12 - Access Requests

Purpose:

Records series documenting access to information requests made under the Freedom of Information and Protection of Privacy Act (FOIPOP) and complaints regarding privacy breaches.

Scope:

Includes (but is not limited to): access recommendations, access request forms, acknowledgement letters, appeals, consultations with other public sector agencies, correspondence, fee estimates, record search worksheets, research agreements, third party notices, notice and confirmation of appeals and written representations, appeal outcomes, supporting documentation and related correspondence.

Cross reference:

Tracking data, reports and statisitcs see: Administration - Reports and Statistics (AD70); Routine access requests see: Information Management and Technology - Access and Privacy Program (IM11)

Exceptions:


Primary Offices: Privacy Office
Primary Office Retention Trigger: Superseded / Obsolete
Primary Office Retention Period: 8 years*
Primary Office Disposition: Secure Destruction
Secondary Offices: Units
Secondary Office Retention Trigger: Calendar Year
Secondary Office Retention Period: 2 years
Secondary Office Disposition: Secure Destruction
IM13 - Privacy Incidents

Purpose:

Records documenting the investigation of privacy breaches, complaints and other incidents to determine if unauthorized access, collection, use or disclosure of personal information has occurred.

Scope:

Includes (but is not limited to): Notificaition of incident, investigation records, reviews, reports, management of incident, meeting notes, supporting documentation and related correspondence.

Cross reference:

For reports and statistics see: Administration - Reports and Statistics (AD80)

Exceptions:


Primary Offices: Privacy Office
Primary Office Retention Trigger: Superseded / Obsolete
Primary Office Retention Period: 8 years
Primary Office Disposition: Secure Destruction
Secondary Offices: Units
Secondary Office Retention Trigger: Calendar Year
Secondary Office Retention Period: 2 years
Secondary Office Disposition: Secure Destruction
IM14 - Assessments

Purpose:

Records documenting the process and completion of assessments related to risk, security and privacy of programs, projects, activities, and systems (used or owned by the institution) related to information collected, used, managed and stored by the institution.

Scope:

Includes (but is not limited to): Privacy Impact Assessments (PIA), security assessments, risk assessments, consultations, related correspondence, and supporting documentation.

Cross reference:

License and service level agreements or contracts, see: Finance - Procurement (FN50); Privacy incidents or breaches, see: Information Management and Technology - Privacy Incidents (IM13)

Exceptions:

Audits, see: Governance - ____ (GV## Coming soon); Risk management strategies, see: Governance - ____ (GV## - Coming soon)

Primary Offices: Unit Responsible
Primary Office Retention Trigger: Superseded / Obsolete
Primary Office Retention Period: 5 years
Primary Office Disposition: Transfer to University Archives
Secondary Offices: Units
Secondary Office Retention Trigger: Superseded / Obsolete
Secondary Office Retention Period: 1 year
Secondary Office Disposition: Secure Destruction
IM21 - Change ManagementComing soon!
IM22 - Network and Communications ManagementComing soon!
IM23 - Service Desk - Incident ManagementComing soon!
IM24 - System Support DocumentationComing soon!
IM25 - Technology InnovationComing soon!
IM30 - AcquisitionsComing soon!
IM31 - Collections ManagementComing soon!
IM32 - User SupportComing soon!
IM40 - Records Management ProgramComing soon!
IM41 - Records Disposal Coming soon!
IM42 - Retention and Disposition SchedulesComing soon!
RS10 - Research Contracts and Agreements

Purpose:

Records series documenting the development and administration of research contracts and agreements.

Scope:

Includes (but not limited to): contracts and related agreements (such as: notice of award, grant-in-aid, license, technology transfer, material transfer, release of funds, confidentiality/non-disclosure), applications, related protocols, reports, project descriptions, budgets and working papers, and pertinent correspondence.

Cross reference:

For grant and fund administration, see: Research Grants and Awards - Internal (RS12) or Research Grants and Awards - External (RS13).

Exceptions:


Primary Offices: Office of Research Services, Faculties
Primary Office Retention Trigger: Superseded / Obsolete
Primary Office Retention Period: 10 years
Primary Office Disposition: Transfer to University Archives
Secondary Offices: Units
Secondary Office Retention Trigger: Superseded / Obsolete
Secondary Office Retention Period: 10 years
Secondary Office Disposition: Secure Destruction
RS11 - Review of Sponsor-Researcher Contracts

Purpose:

Record series documenting the review of sponsor-researcher contracts.

Scope:

Includes (but not limited to): contract, decision and review notes, legal advice, field/area expert advice, external advice, risk reviews, and all related correspondence.

Cross reference:

For contracts and agreements see: Research Contracts and Agreements (RS10); For general records related to REB membership and qualifications of members see: Ethics - Unit Operations (RS20)

Exceptions:


Primary Offices: Office of Research Services, Unit responsible for allocating research funds
Primary Office Retention Trigger: Superseded / Obsolete
Primary Office Retention Period: 10 years
Primary Office Disposition: Transfer to University Archives
Secondary Offices: N/A
Secondary Office Retention Trigger:
Secondary Office Retention Period:
Secondary Office Disposition:
RS12 - Research Grants and Awards - Internal

Purpose:

Records series documenting the administration of internally adjudicated research funds.

Scope:

Includes (but is not limited to): applications, award notices, evaluations, reports, and related correspondence.

Cross reference:

For contracts and agreements see: Research Contracts and Agreements (RS10); For committee records, see: Institutional Committees (GV12)For financial records related to research accounting see: Finance - Research Accounting (FN14); For financial documentation processed centrally with Financial Services see: Financial Transactions - Processed Centrally (FN10). For financials processed internally by unit see: Financial Transactions - Processed by Unit (FN11); For contracts and agreement see - Research - Research Contracts and Agreements (RS10).

Exceptions:

External research grants and awards see: Research - Research Grants and Awards - External (RS13)

Primary Offices: Office of Research Services, Unit responsible for allocating research funds
Primary Office Retention Trigger: Superseded / Obsolete
Primary Office Retention Period: 10 years*
Primary Office Disposition: Transfer to University Archives
Secondary Offices: Units
Secondary Office Retention Trigger: Fiscal Year
Secondary Office Retention Period: 3 years
Secondary Office Disposition: Secure Destruction
RS13 - Research Grants and Awards - External

Purpose:

Records series documenting the application for and administration of external grants for which terms and conditions are not negotiable and for which intellectual property remains with researcher.

Scope:

Includes (but is not limited to): applications and proposals, award notices, budgets, project descriptions, reports and related correspondence,

Cross reference:

For contracts and agreements see: Research - Research Contracts and Agreements (RS10); For review of ponsor-researcher contracts see: Review of Sponsor-Researcher Contracts (RS11); For financial records related to research accounting see: Finance - Research Accounting (FN14); For financial documentation processed centrally with Financial Services see: Financial Transactions - Processed Centrally (FN10). For financials processed internally by unit see: Financial Transactions - Processed by Unit (FN11)

Exceptions:

Internal research grants and awards see: Research - Research Grants and Awards - Internal (RS12)

Primary Offices: Office of Research Services, Faculties
Primary Office Retention Trigger: Superseded / Obsolete
Primary Office Retention Period: 10 years*
Primary Office Disposition: Transfer to University Archives
Secondary Offices: Units
Secondary Office Retention Trigger: Fiscal Year
Secondary Office Retention Period: 3 years
Secondary Office Disposition: Secure Destruction
RS20 - Ethics - Unit Operations

Purpose:

Records documenting the specific operations to the Research Ethics unit.

Scope:

Includes (but is not limited to): Research Ethics Board (REB) and committee memberships and qualifications Letters of appointments and resignations, copies of curriculum vitae, certificates, participation in relevant research ethics training, unit-level annual reports, procedures, training and onboarding materials, supporting documentation, and related correspondence.

Cross reference:

For project files related to approved research see: Research Ethics Board (REB) - Project Case Files (RS22). For records documenting general operations of office support services see Office Operations (AD40). For policies, procedures, protocols and standards see: Polices and Procedures (GV30). For reviews and advice pertaining to sponsor-researcher contracts see: Review of Sponsor - Researcher Contracts (RS11)

Exceptions:

Ethic reviews in relation to animals use and research, see: See: Protocols Reviews – Animal Use (RS27); Research and reviews completed by units, see: Ethics Reviews - Unit-Level (RS24); or regarding biohazard materials, see: Health and Safety (HL)

Primary Offices: Office of Research Services
Primary Office Retention Trigger: Calendar Year
Primary Office Retention Period: 5 years*
Primary Office Disposition: Transfer to University Archives
Secondary Offices: N/A
Secondary Office Retention Trigger:
Secondary Office Retention Period:
Secondary Office Disposition:
RS22 - Research Ethics Board (REB) - Project Case Files

Purpose:

Records series documenting Research Ethics Board (REB) administration of approved applications, including multi-jurisdictional/ board of record acknowledgement processes, and clinical trials.

Scope:

Includes (but not limited to): Research Ethics Board (REB) review letters, approvals, amendment approvals, working papers, research ethics application files and associated attachments, amendment and modifications to research, reports, and associated correspondence.

Cross reference:

For research contracts and agreements, see: Research Contracts and Agreements (RS10); For ethics reviews done by faculties see: Ethics Reviews - Unit-Level (RS24); For appeals see: Institutional Committees (GV12)

Exceptions:

Protocols regarding care and use of animals in research and teaching, see: Protocols Reviews – Animal Use (RS27). Research and reviews completed by units, see: Ethics Reviews - Unit-Level (RS24); or regarding biohazard materials, see: Health and Safety (HL)

Primary Offices: Office of Research Services
Primary Office Retention Trigger: Superseded / Obsolete
Primary Office Retention Period: 10 years
Primary Office Disposition: Secure Destruction
Secondary Offices: Research Ethics Board Members
Secondary Office Retention Trigger: Calendar Year
Secondary Office Retention Period: 1 year
Secondary Office Disposition: Secure Destruction
RS24 - Unit-Level - Course Based Research

Purpose:

Records series documenting unit-level research of minimal risk student course-based research activities.

Scope:

Includes (but not limited to): application and associated attachments, ethics reviews, modifications to the research, results of review, documentation regarding formal and informal appeals of decisions, incident reporting, reports, and associated correspondence.

Cross reference:

For ethics reviews done by Research Ethics Board (REB) see: Research Ethics Board (REB) - Project Case Files (RS22); For appeals see: Institutional Committees (GV12); For research contracts and agreements, see: Research Contracts and Agreements (RS10); For annual reports of research completed by students in units see: Ethics - Unit Operations (RS20)

Exceptions:

For clinical trials see; Research Ethics Board (REB) - Project Case Files (RS22); For protocols regarding care and use of animals in research and teaching, see: Protocols Reviews – Animal Use (RS27)

Primary Offices: Unit approving ethics review
Primary Office Retention Trigger: Academic Year
Primary Office Retention Period: 10 years
Primary Office Disposition: Secure Destruction
Secondary Offices: N/A
Secondary Office Retention Trigger:
Secondary Office Retention Period:
Secondary Office Disposition:
RS27 - Protocols Reviews – Animal Use

Purpose:

Records series documenting the University Committee on Laboratory Animals (UCLA) and Animal Care and Use Committee (ACUC) administrative practices regarding care and use of animals in research and teaching, including ethics approvals for research proposals and experiments involving animals.

Scope:

Includes (but is not limited to): animal project protocols, protocol renewal forms, records of ethics approval or denial, amendments, extensions, documentation regarding informal or formal appeals of ethics decisions, animal use data forms, and related correspondence.

Cross reference:

Meeting (agendas & minutes) proceedings and actions of committees see: Institutional Committees (GV12).

Exceptions:


Primary Offices: Animal Care, Office of Research Services
Primary Office Retention Trigger: Superseded / Obsolete
Primary Office Retention Period: 10 years*
Primary Office Disposition: Transfer to University Archives
Secondary Offices: Committee Members
Secondary Office Retention Trigger: Calendar Year
Secondary Office Retention Period: 1 year
Secondary Office Disposition: Secure Destruction
RS30 - Goods and Technology ProjectsComing soon!
RS31 - Security AssessmentsComing soon!
RS40 - Research ServicesComing soon!
RS50 - ResearchersComing soon!
RS55 - Research Misconduct InvestigationsComing soon!
ST10 - Recruitment - Events

Purpose:

Records series documenting promotional activities for the purpose of recruiting new students to Dalhousie University such as open houses, tours, participation in information fairs, high school liaison, international recruitment initiatives and functions.

Scope:

Includes (but is not limited to): planning records, presentations, promotional material used, schedules and records used to track potential applicants, and related correspondence.

Cross reference:

For statistics of events see: Reports and Statistics (AD70 )

Exceptions:

Excludes creation of promotion material.

Primary Offices: Registrar
Primary Office Retention Trigger: Academic Year
Primary Office Retention Period: 5 years
Primary Office Disposition: Secure Destruction
Secondary Offices: N/A
Secondary Office Retention Trigger:
Secondary Office Retention Period:
Secondary Office Disposition:
ST11 - Recruitment - Prospective Students

Purpose:

Records series documenting recruitment of identified prospective students.

Scope:

Includes (but is not limited to): planning records, presentations, schedules and related correspondence.

Cross reference:


Exceptions:


Primary Offices: Registrar
Primary Office Retention Trigger: Superseded / Obsolete
Primary Office Retention Period: 5 years
Primary Office Disposition: Disposition Plan
Secondary Offices: N/A
Secondary Office Retention Trigger:
Secondary Office Retention Period:
Secondary Office Disposition:
ST20 - Student Information System (Banner)

Purpose:

Records series documenting the official student record data and administrative processes contained in the student information system (Banner). The system is the repository for the university’s official student record of all academic and related administrative functions of student enrollment at Dalhousie University, for all academic programs which diplomas and transcripts are produced.

Scope:

Includes (but is not limited to): student biographical information, applications, admissions and academic records, instructor biographical information, academic advisement, financial awards, and fee payment records.

Cross reference:

Student advisory records see: Academic Advising (ST40)

Exceptions:


Primary Offices: VP Student Affairs
Primary Office Retention Trigger: Superseded / Obsolete
Primary Office Retention Period: 40 years
Primary Office Disposition: Transfer to University Archives
Secondary Offices: N/A
Secondary Office Retention Trigger:
Secondary Office Retention Period:
Secondary Office Disposition:
ST21 - Orientation Activities

Purpose:

Records series documenting orientation activities for new students.

Scope:

Includes budget, registration and attendance lists, publicity, photographs and recordings, administrative logistics and related correspondence.

Cross reference:

For transaction of payments see Financial Transactions - Centrally Processed (FN10) or Financial Transactions - Processed by Unit (FN11)

Exceptions:


Primary Offices: Unit
Primary Office Retention Trigger: Academic Year
Primary Office Retention Period: 3 years
Primary Office Disposition: Transfer to University Archives
Secondary Offices: N/A
Secondary Office Retention Trigger:
Secondary Office Retention Period:
Secondary Office Disposition:
ST22 - Admissions

Purpose:

Records series documenting enrollment and application for admissions of prospective students into university academic programs or courses (as defined by the Academic Calendar) and/or all credit related programs, that are not found in the student information system. This series includes undergraduate, graduate, and professional programs.

Scope:

Includes (but is not limited to): applications forms, correspondence, departmental recommendations, exchange program applications, portfolio materials, references, resumes, curriculum vitae (CVs), supplementary information forms, test scores, transcripts, transfer credits (see Cross References) , transaction forms, consent forms, requests to enroll late, reactivation requests, requests for non-degree status, reactivation notification letters, alternate enrolment forms, priority enrolment forms, de-enrolment lists and letters, request to audit a course forms and cancelled course notifications.

Cross reference:

For records retained in the student information system see: Student Information System (Banner) (ST20); For transfer credits that are not apart of the initial or regular admissions process See: Student - Transfer Credits (ST23)

Exceptions:


Primary Offices: Registrar Office, Faculty of Graduate Studies, Related Faculty
Primary Office Retention Trigger: Superseded / Obsolete
Primary Office Retention Period: 7 years
Primary Office Disposition: Disposition Plan
Secondary Offices: N/A
Secondary Office Retention Trigger:
Secondary Office Retention Period:
Secondary Office Disposition:
ST23 - Transfer Credits

Purpose:

Records series documenting the acceptance, or rejection, of courses from other institutions as a university accepted credit, that are not apart of the initial, or regular, admissions process.

Scope:

Includes (but not limited to): request for transfer credit, related Dalhousie course information (syllabus or course description), transcript(s) from other institutions, related course information being considered (syllabus or course description), approval or rejection of transfer credit.

Cross reference:


Exceptions:

Transfer credits as part of initial enrollment/admission process, see: Student - Admissions (ST22)

Primary Offices: Registrar Office, Faculty of Graduate Studies, Related Faculty
Primary Office Retention Trigger: Superseded / Obsolete
Primary Office Retention Period: 5 years*
Primary Office Disposition: Disposition Plan
Secondary Offices: N/A
Secondary Office Retention Trigger:
Secondary Office Retention Period:
Secondary Office Disposition:
ST25 - Academic History

Purpose:

Records series documenting student academic history and fulfillment of requirements of academic programs or courses (as defined by the Academic Calendar) that are not found in the student information system.

Scope:

Includes (but not limited to): records from the admission process (ST22), requests to audit a course forms, requests for non-degree status, requests for late enrollment, requests for reactivation and notification letters, enrolment and alternate enrolment priority forms, de-enrolment lists and letters, cancelled course notifications; course transaction forms, change of major/minor/program forms, department-initiated major changes, change of degree status forms, withdrawal notices, change of name forms and supporting documentation, medical documentation, copies of citizenship and visa documents, plan modification/internal transfer forms, cross-registration forms, letters of permission, petition forms and supporting documentation, related academic advising records, advisement transcripts, intent to graduate forms, authorization to graduate, and related correspondence.

Cross reference:

For records contained in Banner- See: Student Information System (Banner) (ST20); For additional records related to student support services offered through the Bissett Centre for Student Success see Student Advisory (ST40); For program accreditations see Teaching and Learning - Accreditation (TL30)

Exceptions:

Students within the Faculty of Medicine Academic Programs see: Academic History - Faculty Of Medicine (ST26); Student that are not in a Academic Program as defined by the Academic Calendar see: Non-Academic Studies - Student Record (ST28)

Primary Offices: Registrar Office, Faculty of Graduate Studies
Primary Office Retention Trigger: Superseded / Obsolete
Primary Office Retention Period: 40 years
Primary Office Disposition: Transfer to University Archives
Secondary Offices: Faculty
Secondary Office Retention Trigger: Superseded / Obsolete
Secondary Office Retention Period: 10 years
Secondary Office Disposition: Secure Destruction
ST26 - Academic History - Faculty of Medicine

Purpose:

Records series documenting students' academic history and fulfillment of requirements for Faculty of Medicine academic programs or courses; includes: UGME, PGME, and graduate students completing residency (as defined by the Academic Calendar), not stored in the student information systems.

Scope:

Includes (but not limited to): records from the admission process (ST22), requests to audit a course forms, requests for non-degree status, requests for late enrollment or extension, requests for reactivation and notification letters, enrolment and alternate enrolment priority forms, de-enrolment lists and letters, cancelled course notifications; course transaction forms, change of major/minor/program forms, department-initiated major changes, change of degree status forms, withdrawal notices, change of name forms and supporting documentation, medical documentation, copies of citizenship and visa/sponsorship documents and financial guarantee forms, contracts, Canadian Resident Matching Service documentation (CaRMS), plan modification/internal transfer forms, cross-registration forms, letters of permission, consent forms, petition forms and supporting documentation, training evaluation reports, related academic advising records, program specific documentation, waivers, credit/certificate documentation, advisement transcripts, intent to graduate forms, authorization to graduate, and related correspondence.

Cross reference:

For records relating to events and programing for Medical School’s Continuing Professional Development (CPD) programs see (TBA); For student that are not in an academic program as defined by the Academic Calendar see: Non-Academic Studies - Student Record (ST28); For program accreditations see Teaching and Learning - Accreditation (TL30)

Exceptions:


Primary Offices: Registrar Office, Faculty of Graduate Studies, Faculty of Medicine
Primary Office Retention Trigger: Superseded / Obsolete
Primary Office Retention Period: 40 years*
Primary Office Disposition: Transfer to University Archives
Secondary Offices: N/A
Secondary Office Retention Trigger:
Secondary Office Retention Period:
Secondary Office Disposition:
ST28 - Non-Academic Studies - Student Record

Purpose:

Records series documenting participation in non-academic and professional development related courses, programs, certificates.

Scope:

Includes (but is not limited to): Student biographical information, history of enrollment, confirmation of payment, records of registration, attendance, notification of completion and grades.

Cross reference:

For program and course calendars see Teaching and Learning - Academic Calendars (TL10); For registration payment see Financial Transactions - Centrally Processed (FN10) or Financial Transactions - Processed by Unit (FN11)

Exceptions:

Any course or program where Dalhousie is considered a third party provided as outlined in service provider contract see Third Service Party related services (TBA); For records relating to events and programing of Medical School’s Continuing Professional Development (CPD) programs see (TBA);

Primary Offices: Faculty of Open Learning and Career Development, Faculty of Agriculture - Extended Learning
Primary Office Retention Trigger: Superseded / Obsolete
Primary Office Retention Period: 7 years
Primary Office Disposition: Transfer to University Archives
Secondary Offices: N/A
Secondary Office Retention Trigger:
Secondary Office Retention Period:
Secondary Office Disposition:
ST30 - Graduate Student FundingComing soon!
ST32 - Scholarships, Bursaries and Awards - Program FilesComing soon!
ST33 - Scholarships, Bursaries and Awards - Case FilesComing soon!
ST34 - Student Financial Aid - Case FilesComing soon!
ST36 - Unsuccessful Financial Aid and Award ApplicationsComing soon!
ST40 - Academic AdvisingComing soon!
ST41 - Curriculum Services and GraduationComing soon!
ST42 - Document and Verification Requests

Purpose:

Records series documenting current and former student requests for various student record documents such as transcripts, program confirmation, verification of information, “to whom it may concern” and “teacher evaluation” letters, and requests for duplicate or replacement diplomas.

Scope:

Include forms, supporting documentation as required for each type of request, and copies of custom letters produced in response to each type of request.

Cross reference:

For financial records relating to the collection of processing fees, see: Financial Transactions - Centrally Processed (FN10) or Financial Transactions - Processed by Unit (FN11)

Exceptions:


Primary Offices: Registrar
Primary Office Retention Trigger: Academic Year
Primary Office Retention Period: 0 years
Primary Office Disposition: Secure Destruction
Secondary Offices: N/A
Secondary Office Retention Trigger:
Secondary Office Retention Period:
Secondary Office Disposition:
ST46 - Student Misconduct - Case FilesComing soon!
ST60 - Clinical Counseling - Case FilesComing soon!
ST61 - International Student Services - Case FilesComing soon!
ST62 - Student Non- Academic Conduct - Case FilesComing soon!
ST70 - Student Support Services ProgramComing soon!
ST71 - Student Support Services - Case FilesComing soon!
TL05 - Syllabi

Purpose:

Records series capturing approved course syllabi offered in all academic programs.

Scope:

Includes approved course syllabi and related documentation.

Cross reference:

For Templates see: Templates and Forms (AD80); For syllabi related to transfer credits see: Transfer Credits (ST23)

Exceptions:


Primary Offices: Faculty
Primary Office Retention Trigger: Academic Year
Primary Office Retention Period: 10 years
Primary Office Disposition: Transfer to University Archives
Secondary Offices: N/A
Secondary Office Retention Trigger:
Secondary Office Retention Period:
Secondary Office Disposition:
TL10 - Academic Calendars

Purpose:

Records series documenting the preparation, production and distribution of calendars containing university policies and procedures, program requirements and course offerings as part of a noncredit, technical, undergraduate, or graduate program at the university.

Scope:

Includes (but not limited to): print or digital editions of the undergraduate, graduate, summer and supplementary calendars and the planning, design, budget, versions, photographs, releases and correspondence that document their creation.

Cross reference:

For annual reports on the academic scheduling process see: Reports and Statistics (AD70)

Exceptions:


Primary Offices: Registrar and Faculty
Primary Office Retention Trigger: Academic Year
Primary Office Retention Period: 3 years
Primary Office Disposition: Transfer to University Archives
Secondary Offices: N/A
Secondary Office Retention Trigger:
Secondary Office Retention Period:
Secondary Office Disposition:
TL11 - Academic Resource Planning

Purpose:

Records series documenting short and long term enrolment planning and management, faculty complement planning, appointment planning, academic load, budgeting and analysis of resource requirements for academic programs.

Scope:

Includes (but not limited to): models, projections, database content, reports, and related correspondence.

Cross reference:

For meetings related to academic planning in unit see: Faculty Council and Committees (GV13); For final reports and statistics, see: Reports and Statistics (AD70)

Exceptions:

Meetings related to developing administrative/operational policies, procedures, decisions and other operational needs, see: Meetings - Staff (AD30)

Primary Offices: Faculty
Primary Office Retention Trigger: Superseded / Obsolete
Primary Office Retention Period: 3 years
Primary Office Disposition: Transfer to University Archives
Secondary Offices: Academic Unit
Secondary Office Retention Trigger: Superseded / Obsolete
Secondary Office Retention Period: 3 years
Secondary Office Disposition: Secure Destruction
TL12 - Course Scheduling

Purpose:

Records series documenting curriculum coordination and scheduling of courses in degree programs.

Scope:

Includes (but not limited to): course preference forms, course lists by term, course selections, enrolment forecasts, room allocation, timetables, and related correspondence.

Cross reference:

For management and administration of courses see; Course Management and Administration (TL13)

Exceptions:

Non-degree programs and continuing education, see: Continuing Education Programs - Planning (TL21) and Continuing Education Programs -Management (TL22)

Primary Offices: Registrar, Faculties
Primary Office Retention Trigger: Academic Year
Primary Office Retention Period: 3 years
Primary Office Disposition: Secure Destruction
Secondary Offices: N/A
Secondary Office Retention Trigger:
Secondary Office Retention Period:
Secondary Office Disposition:
TL13 - Course Management and Administration

Purpose:

Records series documenting the management and administration of courses in degree programs.

Scope:

Includes (but is not limited to): course descriptions and outlines, course requests and proposals, grading schemes, grade reporting and related correspondence

Cross reference:

For course scheduling see: Course Scheduling (TL12)

Exceptions:

Non-degree programs and continuing education, see: Continuing Education Programs - Planning (TL21) and Continuing Education Programs -Management (TL22)

Primary Offices: Registrar and Faculties
Primary Office Retention Trigger: Academic Year
Primary Office Retention Period: 3 years
Primary Office Disposition: Secure Destruction
Secondary Offices: N/A
Secondary Office Retention Trigger:
Secondary Office Retention Period:
Secondary Office Disposition:
TL14 - Exams and Assessments

Purpose:

Records series documenting exams, assignments, and student performance.

Scope:

Includes work submitted by students and exam lists.

Cross reference:


Exceptions:


Primary Offices: Units
Primary Office Retention Trigger: Superseded / Obsolete
Primary Office Retention Period: 1 year
Primary Office Disposition: Secure Destruction
Secondary Offices: N/A
Secondary Office Retention Trigger:
Secondary Office Retention Period:
Secondary Office Disposition:
TL21 - Continuing Education Program Planning and Review

Purpose:

Records series documenting the planning and review of courses, seminars, and workshops in non-degree programs including accreditation events, non-degree-credit exchange or study abroad programs and internships and programs for non-university students.

Scope:

Includes (but is not limited to): reports, descriptions, evaluations, reviews, proposals, and approved: calendars, course outlines, weekly schedules and calendars, and related correspondence.

Cross reference:

For registration information see Student Information System (Banner) (ST20) or Non-Academic Studies - Student Record (ST28)

Exceptions:

Accreditation of events, see: Accreditation (TL30).

Primary Offices: Units
Primary Office Retention Trigger: Superseded / Obsolete
Primary Office Retention Period: 5 years
Primary Office Disposition: Transfer to University Archives
Secondary Offices: N/A
Secondary Office Retention Trigger:
Secondary Office Retention Period:
Secondary Office Disposition:
TL22 - Continuing Education Programs

Purpose:

Records series documenting the implementation and management of courses, seminars, and workshops in non-degree-credit programs including accreditation events, non-degree-credit exchange or study abroad programs, internships and programs for non-university students.

Scope:

Includes (but is not limited to): appointments and administrative logistics, budgets, drafts of brochures, course outlines, participant lists, schedules, and related correspondence.

Cross reference:

For registration information see Student Information System (Banner) (ST20) or Non-Academic Studies - Student Record (ST28)

Exceptions:

Financial transactions, see: Financial Transactions - Centrally Processed (FN10) or Financial Transactions - Processed by Unit (FN11)

Primary Offices: Unit
Primary Office Retention Trigger: Academic Year
Primary Office Retention Period: 5 years
Primary Office Disposition: Secure Destruction
Secondary Offices: N/A
Secondary Office Retention Trigger:
Secondary Office Retention Period:
Secondary Office Disposition:
TL30 - Accreditation

Purpose:

Records series documenting the accreditation university academic units, academic programs and events organized by the university, that ensures the content meets the standards of the profession. Accreditations are conducted by appropriate professional bodies at provincial, national or international levels.

Scope:

Includes (but is not limited to): self-studies and other reports required by the accrediting body; site visits and between review reports; accreditation decisions; annual, interim, and responses, complaints and appeals of accreditation decisions; and related correspondence.

Cross reference:

For accreditation reviews, see: Program Reviews (TL32)

Exceptions:


Primary Offices: Unit
Primary Office Retention Trigger: Superseded / Obsolete
Primary Office Retention Period: 7 years
Primary Office Disposition: Transfer to University Archives
Secondary Offices: N/A
Secondary Office Retention Trigger:
Secondary Office Retention Period:
Secondary Office Disposition:
TL31 - Program Evaluation and Planning

Purpose:

Records series documenting academic program evaluation and planning.

Scope:

Includes (but is not limited to): proposals, evaluations, planning, supporting documentation, and related correspondence.

Cross reference:


Exceptions:


Primary Offices: Unit
Primary Office Retention Trigger: Superseded / Obsolete
Primary Office Retention Period: 7 years
Primary Office Disposition: Transfer to University Archives
Secondary Offices: N/A
Secondary Office Retention Trigger:
Secondary Office Retention Period:
Secondary Office Disposition:
TL32 - Program Reviews

Purpose:

Records series documenting internal or external reviews of an academic and professional programs, and events.

Scope:

Includes (but is not limited to): background support materials, reports, internal and external reviews, accreditation reviews, and related correspondence.

Cross reference:

For management of accreditation processes see: Accreditation (TL30)

Exceptions:


Primary Offices: Provost & VP Academic; Unit
Primary Office Retention Trigger: Superseded / Obsolete
Primary Office Retention Period: 7 years
Primary Office Disposition: Transfer to University Archives
Secondary Offices: N/A
Secondary Office Retention Trigger:
Secondary Office Retention Period:
Secondary Office Disposition: