Records of the employment history of University employees.

This records class is a Personal Information Bank.

Related Records | Responsible Unit | Information Steward | Information Confidentiality Classification | Retention | Disposition | Archival RecordsAuthority | Retention Rationale | Other Units with Copies | Personal Information BanksVersion Information

Content & Scope

Employment records are maintained by supervisors for the individuals reporting to them, and by the Human Resources department for all University employees. Management of regular faculty and staff employment files is governed by Policy 75 – Official Employment Files of Regular Faculty Members, and Policy 18 – Staff Employment Appendix F, The Employment File.

This class excludes: tenure and promotion files which progress to the President; and, discipline, grievance, and arbitration files.

Human Resources is responsible for the employment records of regular staff, records maintained in the enterprise human resources management and pension administration systems, and other supporting records supplementing the enterprise system records. These supporting records include: copies of government-issued identification, marriage certificates, and name-change documentation; employment contracts or appointment letters; termination of employment forms; and, records related to pension and benefits, such as beneficiary designation records.

Records kept by hiring units include: the individual’s application file, CV and copies of appointment letters or contracts; job performance and annual performance review records, where applicable; secondment and leave records; notices of special awards and achievements; copies of relevant qualifications; for faculty, tenure and promotion files which are withdrawn or do not progress to the President; and, related correspondence. Faculties, academic departments and schools should ensure that they are complying with Policy 75 in their management of faculty employment records.

For individuals who are foreign nationals, or were at the time of their appointment or reappointment, their employment records include their work permit and other records relating to the Government of Canada’s permission to hire a foreign national for the position.

Related Records

  • For tenure and promotion files which progress to the President, see HR30 – Tenure & Promotion.
  • For discipline, dispute resolution and grievance cases, see HR40 – Employment Relations.

Responsible Unit

  • Human Resources
  • Hiring unit

Information Steward

Associate Provost, Human Resources

Information Confidentiality Classification

Highly Restricted.

Retention

  • Staff performance appraisals: 5 years
  • Records of vacation entitlement and use: minimum of 5 years.
  • Other employment records maintained by the Human Resources department (including enterprise system records): 8 years after the later of termination of employment or settlement of all entitlements under the University's pension and benefits plans.
  • Employment records maintained by hiring unit:
    • Temprary/casual staff: minimum of 3 years and no more than 5 years after termination of employment
    • All ther records: 5 years after termination of employment or retirement.

Disposition

Archives Selection.

Records which are not selected for the University archives must be securely destroyed at the end of their retention period.

Note

Responsible Units should document the disposal/destruction of official records using the University records destruction form or equivalent documentation, to verify that we are following our records retention rules.

Archival Records

The employment files of tenured faculty members kept by the faculty member’s hiring unit (faculty, academic department or school) are of long-term historical value to the University. Please contact the University Records Manager for further assistance with these records at the end of their retention period.

Authority

  • University of Waterloo Act, 1972.
  • Policy 18 – Staff Employment.
  • Policy 75 – Official Employment Files of Regular Faculty Members.
  • Human Resource Records guideline.

Retention Rationale

The retention is based on operational use and the Human Resource Records guideline. Some records have long-term historical value.

Other Units with Copies

  • Vice-President, Academic & Provost;
  • Faculties, for faculty members appointed in academic departments and schools.

Retention of Copies

Up to 5 years after termination of employment or retirement.

Disposition of Copies

Secure Destruction.

Personal Information Banks

Information may include: name, employee ID, social insurance number, date of birth, address, gender, signature,  appointment date, appointment contract, compensation, tax, and banking information, benefits information including names, birth dates, and addresses of spouse, dependents, and beneficiaries, emergency contact information, educational and employment history, awards, publications and other academic achievements, performance assessments, notices of promotion/tenure, administrative appointments, third party opinions about the individual, notices of leaves.

Under Review Date

10 February 2020

Previous Version

26 October 2011

(This records retention schedule replaces the retention schedules HR05 – Human Resources Management System, HR20 – Employment Files (Other Faculty), HR22 – Employment Files (Regular Faculty), HR24 – Employment Files (Regular Staff), HR26 – Employment Files (Research/Teaching Assistants, Postdoctoral Fellows), HR28 – Employment Files (Temporary/Casual Staff), HR36 – Performance Appraisal (Staff), HR52 – Employment Files (Financial), and HR82 – Vacation Records)