STU 01 STUDENT CUMULATIVE RECORD (UNDERGRADUATE) RECORDS CLASSIFICATION PLAN AND RETENTION SCHEDULE URIMC Approved: November 19, 2014 URIMC Revised: May 12, 2016; May 27, 2019 RIM Edits (consistency, typographical, updates, etc.): October 1, 2015; November 15, 2016; March 2, 2017 Contact the Records and Information Management Program (Archives and Special Collections, University Library) for more information: https://www.uregina.ca/library/rim/
Transcript
STU 01
STUDENT CUMULATIVE RECORD (UNDERGRADUATE)
RECORDS CLASSIFICATION PLAN AND RETENTION SCHEDULE
URIMC Approved: November 19, 2014
URIMC Revised: May 12, 2016; May 27, 2019
RIM Edits (consistency, typographical, updates, etc.): October 1, 2015; November 15, 2016; March 2, 2017
Contact the Records and Information Management Program (Archives and Special Collections, University Library) for more information: https://www.uregina.ca/library/rim/
Records Classification Plan and Retention Schedule University of Regina
Last Action: May 27, 2019 2
STU 01 User Information
Abbreviations & Definitions
AVP – Associate Vice-President
DOME – Dynamic Online Mark Entry
EAG – Executive Administration and Governance
FIN – Finance
OPR – Office of Primary Responsibility. Contact your area’s Designated Records Officer for details on OPRs listed as “Various.”
RIM – Records and Information Management
SAMS – Student Awards Management System
SO – Superseded (updated or replaced by the appropriate position or body) or Obsolete (declared no longer relevant by the appropriate
position or body). Definition of SO for each series is maintained by your area’s Designated Records Officer.
STU – Students
URIMC – University Records and Information Management Committee
End of Year
Unless otherwise noted, the default “year” is the fiscal year which commences on May 1 and ends on April 30. Retention timeframes will
commence in the year following completion/date of last action that activates the retention period.
All records are subject to archival appraisal once their stated retention period has been met.
Contact your area’s Designated Records Officer before initiating disposition.
Managing Other Copies
In instances in which more than one copy of a record exists, the Designated Records Officer for the responsible unit will identify one as
the official record. All other copies of that record are to be destroyed as soon as the purpose for which the copy was created has been
fulfilled. No other copy may be retained for a period exceeding the official record retention period. All copies (official and other copies)
are subject to requests under The Local Authority Freedom of Information and Protection of Privacy Act and therefore put the University
at risk if not managed appropriately.
Records Classification Plan and Retention Schedule University of Regina
Last Action: May 27, 2019 3
STU 01 STUDENT CUMULATIVE RECORD (UNDERGRADUATE) Each individual who has applied for undergraduate admission as well as ESL students taking credit courses will have a Student Master File. This file identifies the individual student record as a functional grouping and the functions associated with it are the functions that document the fulfillment of requirements, the achievement of accomplishments and activities associated with credit classes at the undergraduate level. Thus, STU 01 documents individual undergraduates. Records may include general information about the student, records of the basis for admission, advanced standing/transfer credit granted, transcripts and course outlines from other institutions, faculty transfer confirmations, course withdrawal forms, petition decision letters, academic progress records, courses taken, results by course, study plans and advising worksheets or documents, official name change documentation, copies of immigration status, records of academic awards or honours, University of Regina transcripts, degree conferrals, etc. 100 Admission 200 Registration 300 Appeals Re: Registration, Program, Tuition, Fees and Grades 350 Misconduct [Other Academic and Non-Academic Actions to be added in future] 400 Honours, Awards and Financial Support 500 Advising and Counseling 600 Program, Classes and Grades 700 Project/Practicum/Internship [Placeholder for future development with SOFA group] 800 Graduation and Convocation 900 Personal Information
Records Classification Plan and Retention Schedule University of Regina
Last Action: May 27, 2019 4
STU 01 STUDENT CUMULATIVE RECORD (UNDERGRADUATE) FUNCTION 100 – ADMISSION These records relate to the admission process and include applications and supporting documentation such as transcripts, test results and correspondence. Reasonable security arrangements will be made for records containing personal information in order to protect these records from unauthorized access, collection, use, disclosure or disposal.
Series Code Series Description OPR & Official Record
Location
Specialized Electronic
System
OPR Minimum Retention
Period
Archival Instructions for OPR
STU01-101 (Old #: STU01-100-10)
Admissions – Admitted
Records include students who were admitted and eligible to register (even if they did not register). Document types include applications and supporting documentation such as transcripts, test results, letters of petition and correspondence.
Appropriate Enrolment
Services Office
Banner
UR Docs
Permanent Retained permanently by OPR.
Enrolment Services transfers records to the Registrar’s Office as process dictates for admission type.
By mutual agreement the OPR may transfer control of portions of the record to Archives.
Records Classification Plan and Retention Schedule University of Regina
Last Action: May 27, 2019 5
Series Code Series Description OPR & Official Record
Location
Specialized Electronic
System
OPR Minimum Retention
Period
Archival Instructions for OPR
STU01-102 (Old #: STU01-100-20)
Admissions – Not Admitted
Records for students who have never been admitted to the University and were not eligible to register, as well as those who received conditional offers of admission (i.e. those who did not submit all required documentation, those who were deemed to be ineligible for admission, those who did not accept their offers). Records include applications and supporting documentation such as transcripts, test results, letters of petition and correspondence.
Appropriate Enrolment
Services Office
Banner
UR Docs
3 years (9 terms from
term applied for)
Send list of records that have met retention requirements to Archives. The response will authorize the destruction of the records and request a copy of the ‘Confirmation of Secure Destruction’ form.
STU01-103 Academic Unit Requirements
Includes submissions required by individual faculties to align with their selection criteria (auditions, recital recordings, portfolios, personal statements, panel review notes, etc.).
Academic Units
Admission Decision +
1 year
Send list of records that have met retention requirements to Archives. The response will authorize the destruction of the records and request a copy of the ‘Confirmation of Secure Destruction’ form.
Records Classification Plan and Retention Schedule University of Regina
Last Action: May 27, 2019 6
STU 01 STUDENT CUMULATIVE RECORD (UNDERGRADUATE) FUNCTION 200 – REGISTRATION These records document the registration process. Records may include course registration and transaction forms, change of program or course, documentation related to degree and program status (including records related to academic holds, “required to discontinue” status and related changes in status), documents related to auditing or cancelling courses, letters of petition, transfer credit evaluations, worker compensation forms, letter of permission for transfer credit/letter of permission, applications for exchanges, documentation related to special permissions or exceptions to registration or course requirements, and related records created as part of individual student-University transactions associated with the registration process. Reasonable security arrangements will be made for records containing personal information in order to protect these records from unauthorized access, collection, use, disclosure or disposal.
Series Code Series Description OPR & Official Record
Location
Specialized Electronic
System
OPR Minimum Retention
Period
Archival Instructions for OPR
STU01-201 (Old #: STU01-200-10)
Registration Process
Includes records noted in the function description.
Various Banner
UR Docs
Permanent Retained permanently by OPR, but by mutual agreement the OPR may transfer control of portions of the record to Archives.
STU01-202 (Old #: STU01-200-20)
Registration Process – Short Term Supports
Includes phone notes, background information, etc.
Various UR Docs End of term of
creation + 2 years
Send list of records that have met retention requirements to Archives. The response will authorize the destruction of the records and request a copy of the ‘Confirmation of Secure Destruction’ form.
STU01-203 (Old #: STU01-200-30)
Changes to Registration Status
Includes application form and decision letter.
Various Banner
UR Docs
Permanent Retained permanently by OPR, but by mutual agreement the OPR may transfer control of portions of the record to Archives.
Records Classification Plan and Retention Schedule University of Regina
Last Action: May 27, 2019 7
STU 01 STUDENT CUMULATIVE RECORD (UNDERGRADUATE) FUNCTION 300 – APPEALS RE: REGISTRATION, PROGRAM, TUITION, FEES AND GRADES This function includes all records related to appeals regarding registration, program, tuition, fees and grades. While criteria relating to the initiation of these appeals may vary, once an appeal has been received they are all handled in a similar manner and retention requirements are consistent throughout. Reasonable security arrangements will be made for records containing personal information in order to protect these records from unauthorized access, collection, use, disclosure or disposal. See EAG20-204 and EAG20-303 for appeals of other academic and non-academic actions.
Series Code Series Description OPR & Official Record
Location
Specialized Electronic
System
OPR Minimum Retention
Period
Archival Instructions for OPR
STU01-301 (Old #: STU01-300-10)
Appeals Case Files
Records that document the appeal process including the notice of appeal and supporting documentation.
Registrar’s Office
Banner
UR Docs
End of term in which
decision letter was created +
3 years
Send list of records that have met retention requirements to Archives. The response will authorize the destruction of the records and request a copy of the ‘Confirmation of Secure Destruction’ form.
STU01-302 (Old #: STU01-300-20)
Appeals – Application & Decisions
Application for Appeal and Decision Letter.
Student medical certificates are filed in STU01-904.
Registrar’s Office
UR Docs Permanent Retained permanently by Registrar’s Office, but by mutual agreement the Registrar’s Office may transfer control of portions of the record to Archives.
Records Classification Plan and Retention Schedule University of Regina
Last Action: May 27, 2019 8
STU 01 STUDENT CUMULATIVE RECORD (UNDERGRADUATE) FUNCTION 350 – MISCONDUCT This function includes all records related to student involvement with the University’s academic and non-academic codes of behavioural conduct. Records may include complaints, submissions, interview notes, hearing documents, security reports, decisions, agreements, appeals documentation, regulations, codes of conduct, correspondence and related documentation. Reasonable security arrangements will be made for records containing personal information in order to protect these records from unauthorized access, collection, use, disclosure or disposal. See EAG20-204 and EAG20-303 for decision documentation and appeals of academic and non-academic actions to Senate and Council.
Series Code Series Description OPR & Official Record
Location
Specialized Electronic
System
OPR Minimum Retention
Period
Archival Instructions for OPR
STU01-351 (Old #: STU01-350-10)
Non-Academic Misconduct Case Files
Includes working papers for individual cases addressed as non-academic misconduct.
AVP, Student Affairs
10 years after last
action
Send list of records that have met retention requirements to Archives. The response will authorize the destruction of the records and request a copy of the ‘Confirmation of Secure Destruction’ form.
STU01-352 Academic Unit-Based Misconduct Case Files
Includes records relating to academic misconduct incidents in the academic units (both those that are handled by the investigating Dean (or delegate) within the Faculty and those that are escalated to the Council Discipline Committee.
Academic Units
10 years after last
action
Send list of records that have met retention requirements to Archives. The response will authorize the destruction of the records and request a copy of the ‘Confirmation of Secure Destruction’ form.
Records Classification Plan and Retention Schedule University of Regina
Last Action: May 27, 2019 9
STU 01 STUDENT CUMULATIVE RECORD (UNDERGRADUATE) FUNCTION 400 – HONOURS, AWARDS AND FINANCIAL SUPPORT Records relating to financial support to students in which the University facilitates student applications for loans and assists or manages the awarding of scholarships and bursaries. Reasonable security arrangements will be made for records containing personal information in order to protect these records from unauthorized access, collection, use, disclosure or disposal. See FIN20-454 for records relating to Band Funding, third party assistance (external adjudicators, sports teams and employer-funded education), foreign government sponsorship and foreign government scholarships.
Series Code Series Description OPR & Official Record
Location
Specialized Electronic
System
OPR Minimum Retention
Period
Archival Instructions for OPR
STU01-401 (Old #: STU01-400-10)
Canadian Federal/Provincial/Territorial Government Student Assistance Program Case Files
Records relating to individual student applications.
Appropriate Enrolment
Services Office
Banner
UR Docs
6 years Send list of records that have met retention requirements to Archives. The response will authorize the destruction of the records and request a copy of the ‘Confirmation of Secure Destruction’ form.
STU01-402 (Old #: STU01-400-20)
U.S. Government Student Funding Case Files
Records relating to individual students applications.
Appropriate Enrolment
Services Office
Banner
UR Docs
6 years Send list of records that have met retention requirements to Archives. The response will authorize the destruction of the records and request a copy of the ‘Confirmation of Secure Destruction’ form.
Records Classification Plan and Retention Schedule University of Regina
Last Action: May 27, 2019 10
Series Code Series Description OPR & Official Record
Location
Specialized Electronic
System
OPR Minimum Retention
Period
Archival Instructions for OPR
STU01-403 (Old #: STU01-400-30)
Scholarships, Bursaries and Awards – Successful
Applications, recipient notifications, correspondence, etc.
Appropriate Enrolment
Services Office
Banner
SAMS
UR Docs
7 years Send list of records that have met retention requirements to Archives. The Archives will appraise the records. They will reply with an indication of which records are to be transferred to Archives and which records are to be destroyed, as well as the process to be followed in each case.
STU01-404 (Old #: STU01-400-40)
Scholarships, Bursaries and Awards – Unsuccessful
Applications, non-recipient notifications, correspondence, etc.
Appropriate Enrolment
Services Office
Banner
SAMS
UR Docs
3 years Send list of records that have met retention requirements to Archives. The response will authorize the destruction of the records and request a copy of the ‘Confirmation of Secure Destruction’ form.
STU01-405 (Old #: STU01-400-50)
Emergency Student Funding
University-funded short term loans, includes applications, supporting documentation and recommendations.
Appropriate Enrolment
Services Office
Academic
Units
UR Docs 6 years Send list of records that have met retention requirements to Archives. The response will authorize the destruction of the records and request a copy of the ‘Confirmation of Secure Destruction’ form.
Records Classification Plan and Retention Schedule University of Regina
Last Action: May 27, 2019 11
STU 01 STUDENT CUMULATIVE RECORD (UNDERGRADUATE) FUNCTION 500 – ADVISING AND COUNSELING Records documenting advice and counseling provided to individual students. Reasonable security arrangements will be made for records containing personal information in order to protect these records from unauthorized access, collection, use, disclosure or disposal.
Series Code Series Description OPR & Official Record
Location
Specialized Electronic
System
OPR Minimum Retention
Period
Archival Instructions for OPR
STU01-501 (Old #: STU01-500-10)
Academic Recovery Program
Includes contracts, meeting notes, student portfolios, etc.
Student Success Centre
Completion of program
+ 2 years
Send list of records that have met retention requirements to Archives. The Archives will appraise the records. They will reply with an indication of which records are to be transferred to Archives and which records are to be destroyed, as well as the process to be followed in each case.
STU01-502 (Old #: STU01-500-20)
Assessment & Student Tracking
Includes learning skills, meeting notes, assessments, etc.
Student Success Centre
End of term + 4
years
Send list of records that have met retention requirements to Archives. The response will authorize the destruction of the records and request a copy of the ‘Confirmation of Secure Destruction’ form.
STU01-503 (Old #: STU01-500-30)
UR Guarantee
Includes contracts, meeting notes, student questionnaires and reflections.
Student Success Centre
Caspur
URCourses
Graduation + 3 years
Send list of records that have met retention requirements to Archives. The Archives will appraise the records. They will reply with an indication of which records are to be transferred to Archives and which records are to be destroyed, as well as the process to be followed in each case.
Records Classification Plan and Retention Schedule University of Regina
Last Action: May 27, 2019 12
Series Code Series Description OPR & Official Record
Location
Specialized Electronic
System
OPR Minimum Retention
Period
Archival Instructions for OPR
STU01-504 Academic Unit Advisors’ Records
Includes academic unit advice provided to individual students.
Academic Units
Graduation/Inactive +
1 year
Send list of records that have met retention requirements to Archives. The response will authorize the destruction of the records and request a copy of the ‘Confirmation of Secure Destruction’ form.
Records Classification Plan and Retention Schedule University of Regina
Last Action: May 27, 2019 13
STU 01 STUDENT CUMULATIVE RECORD (UNDERGRADUATE) FUNCTION 600 – PROGRAM, CLASSES AND GRADES Records documenting change of program or course documentation related to degree and program status including records related to academic holds, changes in status, transfer credit evaluations, documentation related to special permissions or exceptions to registration or course requirements and leave of absence records, transfer from thesis to course based programs, supervisor changes, voluntary withdrawals, program extensions, re-instatements, grade changes and registration corrections. See STU01-904 for medical information. Reasonable security arrangements will be made for records containing personal information in order to protect these records from unauthorized access, collection, use, disclosure or disposal.
Series Code Series Description OPR & Official Record
Location
Specialized Electronic
System
OPR Minimum Retention
Period
Archival Instructions for OPR
STU01-601 Program(s) and Classes – Registrar’s Office
Includes records that are not in Banner.
Registrar’s Office
UR Docs
Permanent Retained permanently by Registrar’s Office.
STU01-602 Program(s) and Classes – Academic Unit
Includes records relating to degree and program status.
Academic Units
Banner Graduation/Inactive + 1
year
Send list of records that have met retention requirements to Archives. The response will authorize the destruction of the records and request a copy of the ‘Confirmation of Secure Destruction’ form.
Records Classification Plan and Retention Schedule University of Regina
Last Action: May 27, 2019 14
Series Code Series Description OPR & Official Record
Location
Specialized Electronic
System
OPR Minimum Retention
Period
Archival Instructions for OPR
STU01-603 Grades
Final grades (including grade changes).
Registrar’s Office
Banner
UR Docs (implementation anticipated 2019)
DOME
Permanent Retained permanently by Registrar’s Office.
Records Classification Plan and Retention Schedule University of Regina
Last Action: May 27, 2019 15
STU 01 STUDENT CUMULATIVE RECORD (UNDERGRADUATE) FUNCTION 800 – GRADUATION AND CONVOCATION Records documenting individual student graduations from application to verification and convocation. Reasonable security arrangements will be made for records containing personal information in order to protect these records from unauthorized access, collection, use, disclosure or disposal.
Series Code Series Description OPR & Official Record
Location
Specialized Electronic
System
OPR Minimum Retention
Period
Archival Instructions for OPR
STU01-801 (Old #: STU01-800-10)
Graduation Applications and Other Requests
Applications, early release of parchment, duplicate diplomas, etc. However, if the records are part of a batch they remain in STU 50.
Registrar’s Office
Banner 3 years Send list of records that have met retention requirements to Archives. The response will authorize the destruction of the records and request a copy of the ‘Confirmation of Secure Destruction’ form.
STU01-802 (Old #: STU01-800-20)
Official Graduation Verification
Documents related to degree audit at the faculty level, etc. However, if the records are part of a batch they remain in STU 50.
Registrar’s Office
Banner
Degree Audit
Permanent Retain for 1 year and transfer to Archives.
Records Classification Plan and Retention Schedule University of Regina
Last Action: May 27, 2019 16
STU 01 STUDENT CUMULATIVE RECORD (UNDERGRADUATE) FUNCTION 900 – PERSONAL INFORMATION Records documenting personal information such as address and contact information, legal name changes, birth and death information, title changes, gender changes, etc. Reasonable security arrangements will be made for records containing personal information in order to protect these records from unauthorized access, collection, use, disclosure or disposal.
Series Code Series Description OPR & Official Record
Location
Specialized Electronic
System
OPR Minimum Retention
Period
Archival Instructions for OPR
STU01-901 (Old #: STU01-900-10)
Contact Information
Any address and contact information for the individual.
Registrar’s Office
Banner
UR Docs
Permanent Any records outside of Banner relating to contact information are handled as transitory records and destroyed immediately after Banner is updated.
STU01-902 (Old #: STU01-900-20)
Identity Information
Legal name, name change, residency status, gender changes, copies of passports, title changes, etc.
Registrar’s Office
Banner
UR Docs
Permanent By mutual agreement the OPR may transfer control of portions of the record to Archives.
STU01-903 (Old #: STU01-900-30)
Third Party Authorizations
Records may include authorizations for access by parents, guardians, funding agencies, etc.
Registrar’s Office
UR Docs Permanent Retained permanently by Registrar’s Office.
Records Classification Plan and Retention Schedule University of Regina
Last Action: May 27, 2019 17
Series Code Series Description OPR & Official Record
Location
Specialized Electronic
System
OPR Minimum Retention
Period
Archival Instructions for OPR
STU01-904 Medical Information
Medical information relating to students or their associated persons submitted for various reasons (i.e., appeals, requests to withdraw, leave of absences, etc.).
Registrar’s Office
SO Send list of records that have met retention requirements to Archives. The response will authorize the destruction of the records and request a copy of the ‘Confirmation of Secure Destruction’ form.
