SFU Records Retention Schedule and Disposal Authority (RRSDA)
Harassment Formal Investigation Case Files

Description | PIB | Authorities | Retentional rational | Rentention and filing guidelines | Status

RRSDA number


Record series

Harassment Formal Investigation Case Files

Office of Primary Responsibility (OPR)

Human Rights Office

Retention periods

Records Active retention (in office) Semi-active (records centre) Total retention Final disposition
Harassment Resolution Office: CY case closed + 2 years 8 years CY case closed + 10 years Full Retention by Archives
All other university departments: CY case closed Nil CY case closed Transfer to Harassment Resolution Office

CY = Current calendar year; CFY = Current fiscal year; CS = Current semester; S/O = Superseded or obsolete; OPR = Office of Primary Responsibility; Non-OPR = All other departments.

Description, purpose and use of records

Records relating to the intake, review and resolution of harassment complaints at the formal investigation stage as defined by the university's Harassment Policy (GP 18, Revision B 1998).

Records include correspondence, memoranda, notes to file; Letters of Request / Appeal, Notices of Decision on requests, appeals, violation, discipline and remedies; submissions and responses of complainants, respondents and witnesses; hearing and interview transcripts, Investigator's Reports, Reviewer's Reports.

Under Policy GP 18, complaints of harassment may be resolved by either informal or formal procedures. The resolution process passes through four stages: Informal - (1) Consultation; (2) Informal Resolution; Formal - (3) Mediation; (4) Investigation. Complaints may be resolved at any stage or proceed through all of them. This schedule applies to records relating to complaints which have gone through to formal investigation, i.e. (4) above. Records created during the earlier stages of the resolution process (Mediation, Informal Resolution and Consultation) are carried forward as part of the case file.

Formal Investigation procedures begin with a written request for Investigation by either party to the Chair of the Harassment Resolution Policy Board. For record-keeping purposes a complaint is considered to have proceeded to the Investigation stage even if the request for Investigation is ultimately denied.

A number of different Harassment administrators will be involved in the process of complaint resolution at the formal Investigation stage. Their files relating to the case are transferred to the HRO upon the complaint closing or their active involvement coming to an end.

Formal Investigation case files created under the old Harassment Policy have been scheduled under a one-time schedule, RRSDA 1995-040.

Personal Information Bank (PIB)

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:

Retention and filing guidelines

Use colour coding to distinguish case files which close at the Informal stages: (e.g. house them in red file folders).

When other administrators involved in the case transfer their files to the HRO, add these files to the HRO case file, but maintain them in separate folders, each clearly labelled with the title of the administrator who created the records.


RRSDA is in force.

Approved by the University Archivist: 17 Jul 1998

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