1000-3Records Retention Policy

Issue Date:
April 14, 2016
Supersedes Date:
June 17, 2010

Upon request, the college will provide a copy of this policy in an alternate format.

Lambton College has the legal and moral duty to keep and maintain records. The retention schedules have been developed to govern how Lambton College meets legislation requirements, and student, client and partner expectations for the management of college documents and records.

Records may be paper- or electronic-based, and may be of an administrative or academic nature. All records should be retained for a period long enough to meet all legal requirements and foreseeable needs, but not so long that an unreasonable and unnecessary cost or burden is imposed on the College. The decision to retain records implies a commitment to maintain the records in a safe manner that is likely to preserve them for the required time.

Policy

  1. All College records will be retained in a safe manner for the length of time prescribed in the Retention Schedule.
  2. Records will be stored in a manner that prevents loss through misplacement, deterioration, accidental destruction, or theft, and unauthorized or inappropriate access. They shall be stored in a manner that ensures their continued readability and, in the case of electronic records, with the software and hardware necessary for readability. In some cases, the safe long-term storage of important records may require the duplication of the records and separate or off-site storage of the duplicates.
  3. The retention and safe storage of records and documents as required by law, the Retention Schedule and good business practice is the responsibility of the dean or director identified below or, secondly, of the administrator of the department that generates the document or record.
    1. The Director of Finance is responsible for the retention of all financial documents and records; the Vice President, Corporate Performance and Employee Relations is responsible for the retention of all human resource records; and the Registrar is responsible for the retention of all student records and grades.
    2. The director or dean is responsible for all other records and documents generated by departments or operations under his/her direction unless specifically stated otherwise.
    3. The academic and student records and documents of the academic divisions and the Registrar’s Office that do not fall within the scope of the Director of Finance or the Vice President, Corporate Performance and Employee Relations shall be maintained by the Registrar, or dean or director of each school or division according to the Retention Schedule.
    4. The Director of Finance and the Vice President, Corporate Performance and Employee Relations may delegate the maintenance and retention of records to other department administrators and shall provide direction to the other departments on the retention of records that fall under their purview but are being held by the other department.
  4. The administrator responsible for the retention of records is responsible for identifying those records that have met the required retention period, and directing and authorizing the destruction of them and for the conversion of records into another storage medium and the observance of all legal requirements pertaining to the conversion.
  5. No records identified on the Retention Schedule with a required retention period of more than two years may be destroyed without the explicit permission of the administrator responsible for them.
  6. Records should be destroyed in a manner that ensures the required confidentiality of the documents is maintained.
  7. Records of all files within their purview that are destroyed must be maintained and retained by the Director of Finance, the Registrar and the Vice President, Corporate Performance and Employee Relations. Records of the destruction of other files must be maintained and retained by the appropriate director or dean.
  8. The retention period is defined as from the date of creation for all financial, human resources and administration records, and from the end of the semester in which the document was created for all academic records, and student records and materials. Any document not listed in the Records Retention Schedule shall be retained for a period of 7 years from the date on which it was created.
  9. All student records maintained by the Registrar must be retained during the student's presence at the College. After the student has left the College, the Registrar will retain records of student awards, and misconduct and discipline permanently. Otherwise, the only permanent record that must be maintained is the transcript, which must include the following items:
    1. the student's full name,
    2. student number,
    3. at least one other source of identification (social insurance number, date of birth, last permanent address),
    4. the cumulative academic record, which shall consist of the following:
      • the course number, title and credit weight,
      • the final grade in each course,
      • the semester date in which the grade was earned, and
      • graduation status, if any.

Retention Schedule

Academic Records

Table 1. Academic Records Retention Schedule
RecordYears after end of term creation
Student work retained or not received by student1
Student evaluations retained or not received by student1
Student course evaluation records (i.e. term marks and calculation of final grade) – retained by faculty and Dean1
valuation instruments (tests, etc.)1
Credit Course outlinesInfinity
Program information (description, course titles, admission and graduation requirements)Infinity
Course calendarsInfinity
PAC minutes2
Articulation Agreements (after expiration)2
Program proposals5
Program approvals, suspensions and cancellations7

Student Records - Registrar

Table 2. Student Records - Registrar
RecordYears after end of term creation
Student transcript as per policyInfinity
Student records: behaviour, discipline, academic dishonestyInfinity
Student records (other) and files after departure2
Scholarships, Bursaries7
Student Immunization Records7
Student Medical Records7
Student Loans2
Student Loan Appeals2
Section Lists1
Timetables5
Audited Enrollment ReportsInfinity
Records of Files DestroyedInfinity

Human Resources

Table 3. Human Resources Retention Schedule
RecordYears after end of term creation
Applications for employment1
Applications for posted positions1
Employee records information that is outdated after an update1
Accident reports7
Employee records after termination7
Job postings7
Sick Leave reports7
Insurance - disability, pension7
Safety & Occupational Health correspondence7
Payroll Registers7
Payroll Timesheets7
Payroll T4s/T4As7
Payroll Year-End Reports7
Pension/Superannuation Reports7
Personnel Files (active employees)7
Professional Development files - after termination5
SWFs5
Collective AgreementsInfinity
Performance Evaluation Records5
Grievance Files7
Benefits Statements and Correspondence7
Position Description - after revision1
Absentee Reports7
Records of files destroyedInfinity

Financial Records

Financial Records Retention Schedule
RecordYears after end of term creation
Detailed budget working papers5
Equipment inventory and inventories year-end7
Bank deposit books7
Bank statments7
Bond applications7
Capital project documentation7
Correspondence, special projects7
Donation receipts7
Expense reports7
Federal & Provincial tax returns (GST, HST, etc.)7
Insurance policies - expired Infinity
Agreements and contracts - after expiration7
Purchasing documentation - requisitions, orders, tenders 7
Research projects7
Source documentation - invoices, sales summaries, journal entries7
Final year-end ledgers and journals Infinity
Approved budgets 5
Annual reports Infinity
Audited financial statements Infinity
Legal deeds and leases Infinity
Property documentationInfinity
Public bodies reports Infinity
Real property records - acquisition, sale, mortgage, disposal Infinity
Records of files destroyed Infinity

General Administration

Table 4. Academic Records Retention Schedule
RecordYears after end of term creation
General correspondence5
Correspondence - Public Relations5
Legal correspondenceInfinity
Committee minutesInfinity
Mission and goals statementsInfinity
Board minutesInfinity
Board bylawsInfinity
Board committee minutesInfinity
Records of files destroyedInfinity

For questions or concerns regarding policies, please contact:

Jim Elliott
Director, Quality Assurance & Institutional Research
519-542-7751 x 3489
jim.elliott@lambtoncollege.ca

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