Records of programs and services in support of human rights, equity, and inclusion (HREI), and the University’s response to allegations of harassment, discrimination, sexual violence and workplace violence.
This records class includes Personal Information Banks.
Related Records | Responsible Unit | Information Steward | Information Confidentiality Classification | Retention | Disposition | Authority | Retention Rationale | Other Units with Copies | Personal Information Banks | Version Information
The University strives to maintain an environment free from harassment and discrimination. Claims and incidents of harassment or discrimination are therefore addressed quickly and effectively. The needs of University community members affected by harassment, discrimination, sexual violence and workplace violence are accommodated appropriately. The University offers educational resources, programs and services promoting conflict management, human rights, equality, inclusion, and sexual violence awareness and prevention, primarily through the Human Rights, Equity and Inclusion Office (HREI Office).
This records class excludes human-rights-based complaints referred to the Ontario Human Rights Tribunal, and records of the formal resolution of cases under Policy 18 – Staff Employment, Policy 71 – Student Discipline, and the University’s agreements with its employee groups.
This class includes records of: management and delivery of HREI educational resources, programs and services; initial or informal consultations with HREI Office staff; informal dispute resolution (e.g., informal facilitation, complaint support, and conflict coaching); complaints and investigations of cases of harassment (including sexual harassment and workplace harassment), discrimination, and workplace violence; and, disclosures and reports of sexual violence incidents and the University’s response.
Case records include: case logs and tracking; witness statements, meeting and interview notes, evidence gathered, investigation reports, correspondence, and documents relating to the outcome of the investigation; agreements to mediate; memoranda of understanding; disclosures and reports of sexual violence incidents; risk assessments; documentation of interim measures while an incident or complaint is being investigated or a decision is being made regarding the incident or complaint; documentation of accommodations and accommodation plans.
- For cases referred to the Ontario Human Rights Tribunal, see AD70 – Legal Proceedings.
- For the formal resolution of complaints or allegations relating to students, see ST90 – Student Discipline, Grievances, Appeals, & Petitions.
- For the formal resolution of complaints or allegations relating to faculty and staff, see HR55 – Employee Dispute Resolution, Grievances, & Discipline.
- HREI Office
- University administrator receiving a disclosure or report of an incident of sexual violence.
Associate Vice-President, Human Rights, Equity & Inclusion.
- Public: educational resources and promotional information on programs and services, intended for public release.
- Restricted: records of initial or informal consultations, complaints and investigations of cases of harassment, discrimination, sexual violence and workplace violence, and associated interim measures and accommodations.
- Confidential: all other records.
- Educational resources: 2 years after superseded or obsolete.
- Records of the management and delivery of HREI programs and services, and initial or informal consultations: 2 years after the last administrative action.
- When further action arises from an initial/informal consultation, the associated records become part of a complaint investigation case file or a discipline case file (see related records, above), as appropriate to the particular issue and its resolution.
- Records of complaints and investigations of alleged human rights infringements: 10 years after the final decision on the case has been rendered.
- Records of informal dispute resolutions; complaints and investigations of cases of harassment, discrimination, sexual violence and workplace violence, and associated interim measures and accommodations: 5 years after last action on case, or the end of the interim measure/ accommodation.
- Information provided by the HREI Office to other units in support of formal resolution of complaints or allegations is retained by those units according to the applicable records retention schedule listed in the Related Records section.
- Anonymized data derived from these records may be retained by the University until superseded or obsolete.
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.
- Policy 33 – Ethical Behaviour.
- Policy 34 – Health, Safety and Environment.
- Policy 42 – Prevention and Response to Sexual Violence.
- University of Waterloo Sexual Violence Response Protocol and Procedures
- University of Waterloo Workplace Violence Prevention Program
- University of Waterloo Workplace Harassment Program
- University of Waterloo Act, 1972;
- Limitations Act, 2002, S.O. 2002, c. 24, Sched. B;
- Ministry of Training, Colleges and Universities Act, R.S.O. 1990, c. M.19; and, O. Reg. 131/16: Sexual Violence at Colleges and Universities.
- Occupational Health & Safety Act, R.S.O. 1990, c.O.1.
The retention period is based on operational use, the University’s need to demonstrate thorough and effective response to sexual violence and human rights cases, and the limitation periods under the Ontario Limitations Act.
Units involved in the case.
Retention of Copies
Until the case is closed.
Disposition of Copies
Case and informal consultation records are personal information banks. See the “Content & Scope" note for information on their content.
10 March 2020
19 December 2011
(This records retention schedule replaces HS04 – Conflict and Unethical Behaviour Case Files, HS05 – Conflict, Unethical Behaviour, and Human Rights Consultations, and HS07 – Human Rights Complaint Files)