ST90 – Student Discipline, Grievances, Appeals, & Petitions [DRAFT]

Records of student discipline, grievance, appeal, and petition cases.

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}

Content & Scope

This class includes records of: petition and grievance cases under Policy 70 – Student Petitions and Grievances; misconduct cases under Policy 71 – Student Discipline; and, Policy 72 – Student Appeals cases. Policy 72 appeal tribunals are made up of members of a faculty committee on student appeals (FCSA) or the University Committee on Student Appeals (UCSA).

This class excludes: reports of Policy 70 petition decisions included in the student’s academic record; records of research misconduct investigations which do not lead to disiplinary action under Policy 71; and, records of cases managed internally by academic support units (e.g. Athletics & Recreation, Housing & Residences, University Library, and Parking Services).

Policy 71 case records include: investigation records, including copies of student work relevant to the case; decisions; summaries of disciplinary action taken (Form 71A); and correspondence. Policy 70 grievance records include: records of the Policy 71 case or other decision being grieved; statements and responses; supporting documents and correspondence; notices of challenge (Form 70B), notices of reassessment challenge (Form 70C), and reports of grievance decision (Form 70D). Policy 70 petition records include the petition for exception to academic regulations (Form 70A), supporting documents and correspondence. Policy 72 appeal records include: records of the Policy 33 – Ethical Behaviour, Policy 70, or Policy 71 case under appeal; supporting documents and correspondence; notices of appeal (Form 72A) and replies (Form 72B); recordings of hearings; and final decisions.

Anonymized summaries of cases are prepared and retained by the Secretariat, and are posted annually on the University's website.

Related Records

• For investigations of alleged research misconduct by students, see RS60 – Research Misconduct Investigations.
• For discipline information to be included in the student’s transcript and summary reports of petition decisions, see ST20 – Student Records.
• Records of cases managed internally by support units are classified with the student records of those units.

Responsible Unit

• Academic departments/schools, for records of the informal resolution of academic offences by course instructors.
• Associate deans, for discipline, grievance and appeal decisions, summaries of disciplinary action, and discipline case files.
• Deans’ offices, for records of the FCSA and the faculty petitions committee.
• Provost’s Office, for records of the banning of a student from University of Waterloo property.
• Academic support units, for records of grievances against decisions or actions of the unit.
• Secretariat, for records of the UCSA and anonymized summaries of cases.

Information Steward

• Vice-President, Academic & Provost, for records of the banning of a student from University of Waterloo property.
• University Secretary, for records of the UCSA.
• Relevant information steward, for grievances of actions or decisions of academic support units (consult the directory of information stewards for guidance).
• Dean of the relevant faculty, for all other records.

Information Confidentiality Classification

• Public: anonymized summaries of cases.
• Restricted: all other records.

Retention

• Discipline decisions and other records deemed necessary to understand the case: retained by associate deans and the Secretariat as follows:
  • No finding of misconduct: 2 years after the student has graduated or after last registration;
  • Finding of misconduct: 20 years after the decision is rendered.
• Grievance and appeal decisions, and other records deemed necessary to understand the case: retained by associate deans and the Secretariat for 20 years after the decision is rendered.
• Records of the banning of a student from University of Waterloo property: retained by the Vice-President Academic & Provost for 20 years after the decision is rendered.
• Appeal tribunal records:
  • Audio-recordings of hearings must be destroyed once the decision is rendered.
  • All other records: retained by the relevant dean's office (FCSA tribunals) or the Secretariat (UCSA tribunals) for 3 years after the decision is rendered.
• Discipline, grievance, and appeal case file materials (supporting documents, correspondence, etc.) which are not retained with the decision, and records of the informal resolution of academic offences by course instructors: 2 years after the decision is rendered or informal resolution.
• Petition case file materials: 2 years after the student’s graduation or last registration.
• Anonymized summaries of discipline, grievance, and appeal cases: retained permanently by the Secretariat.

Disposition

Secure Destruction.

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.

Authority

• University of Waterloo Act, 1972;
• Policy 70 – Student Petitions and Grievances
• Policy 71 – Student Discipline
• Policy 72 – Student Appeals

Retention Rationale

The retention period is based on operational use and the basic limitations period under the Ontario Limitations Act.

Other Units with Copies

• Registrar's Office.
• Graduate Studies & Postdoctoral Affairs.
• Co-operative Education.
• Tribunal members.
• Other units involved in the case.

Retention of Copies

• Appeal tribunal members: Until the decision is rendered.
• Other units: No more than 1 year after all necessary action on the case has been taken.

Disposition of Copies

Secure Destruction.

Personal Information Banks

Information in case records includes: student’s name, ID number, faculty, program, address, e-mail, telephone, signature, case details and supporting documents, decision, and signature of university authority.

Under Review Date

11 March 2020

Previous Version

26 July 2010

(This records retention schedule replaces: ST80 – Student Appeals Case files, ST85 – Student Discipline Case Files, and ST88 – Student Grievances Case Files)