2010-001
Provincial Ombudsperson Case Files
Vice-President Legal Affairs, Office of the
| Records | Active retention (in office) | Semi-active (records centre) | Total retention | Final disposition |
|---|---|---|---|---|
| Case files held by the Office of the Vice-President Legal Affairs | CY final resolution mediated + 1 year | Nil | CY final resolution mediated + 1 year | Full retention |
| Case files held by all other university departments | CY final resolution mediated + 1 year | Nil | CY final resolution mediated + 1 year | Destruction |
CY = Current calendar year; CFY = Current fiscal year; CS = Current semester; S/O = Superseded or obsolete; OPR = Office of Primary Responsibility; Non-OPR = All other departments.
Records relating to investigations conducted by the Provincial Ombudsperson of complaints made against the University.
Records may include, but are not limited to correspondence, meeting notes, the University’s written responses to filed complaints, and records documenting the final resolution of complaints. Documented resolutions may take many forms including letters, reports, or extracts from the annual report issued by the Office of the Provincial Ombudsperson.
This series is a Personal Information Bank; click here for PIB description.
These records are created, used, retained and managed in accordance with the following authorities:
Records are needed to support the University in formulating its response to complaints filed with the Office of the Provincial Ombudsperson. Records also document the final mediated resolution.
Once a resolution has been reached, the records have little ongoing value. A total retention period of “CY final resolution mediated + 1 year” provides a sufficient timeframe to ensure activity on the file has indeed ceased.
Selective archival retention is recommended so that the University maintains evidence of its responses to complaints made against it. The records have long-term reference and precedent setting value.
OFFICE OF THE VICE-PRESIDENT, LEGAL AFFAIRS
Once the University becomes aware of a complaint filed against it, the VP Legal Affairs will contact the department in which the matter originated and request all relevant, original documentation be collocated and forwarded to her for review. A case file is opened for each complaint made against the University. A file should document a single complaint or dispute raised by the Ombudsperson and be closed at the successful resolution of the compliant or dispute. This will allow for the consistent application of retention periods. Add a descriptive file title that includes the complainant's name. Note that upon resolution of the complaint, original supporting records sent to the VP Legal Affairs are returned to the originating department. Thus, this support material does not form a permanent part of the case file.
ALL OTHER UNIVERSITY DEPARTMENTS
Apply the retention guidelines above only if the department in which the complaint originated has created a specific case file to document the matter. This generally will not be the case. Instead, departments are more likely to identify relevant supporting records, collocate the material, and send it to the Office of the VP Legal Affairs for action. Original documentation will be returned to the originating department from the Office of the VP Legal Affairs after the matter has been resolved at which time the material should be re-filed in its original location(s).
ELECTRONIC RECORDS
Duplicate copies of records may exist in electronic form on a departmental shared drive and/or on individual desktops. These electronic duplicates are subject to the same retention periods and final disposition as file "originals". Responsibility to dispose of electronic "copies" of records in accordance with the recommendations in this RRSDA fall to the staff of the Office of the Vice-President, Legal Affairs.
TRANSFERRING RECORDS TO THE URC
At the end of the active retention period (CY final resolution mediated + 1 year) box the files and transfer to the University Records Centre (URC). Prepare and retain a file list of records transferred. For each box prepare a box contents listing, itemizing all files. Always include ONE copy of the file list inside the box sent to the URC taped to the underside of the lid; keep ONE copy for your own records; and send ONE copy (paper or electronic) to the Archives (see Procedures for Transferring Records to the University Records Centre).
RRSDA is in force.
Approved by the University Archivist: 28 Jan 2011