HR43 – Discipline (Faculty) Case Files

Records of investigations into allegations of misconduct and other potential grounds for discipline by faculty members.

This records class is a Personal Information Bank.

Related Records | Responsible Unit | Information Steward | Information Confidentiality Classification | Retention | Disposition | Authority | Retention Rationale | Other Units with Copies | Version Information

Content & Scope

Grounds for disciplinary action may include misconduct, including misconduct in research, neglect of duties, misuse of University property, and unethical behaviour.

Where disciplinary action is taken these records are part of the member's official employment file.

The records include complaints and allegations, notes, memoranda, investigation documents, reports, settlement agreements, disciplinary decisions, and related correspondence.

Related Records

In the event a disciplinary investigation or action is grieved or otherwise disputed, some records may become part of a grievance/arbitration case file or a legal proceeding. See HR48 – Dispute Resolution and Grievances and AD70 – Legal Proceedings.

Responsible Unit


Information Steward

Vice-President, Administration & Finance.

Information Confidentiality Classification



  • No disciplinary action taken: 3 years after conclusion of investigation.
  • Disciplinary action taken: 3 years after last disciplinary action, except that if the grounds for disciplinary action included harassment, discrimination, or other verbally, physically, or psychologically abusive behaviour, the file may be retained for 10 years according to the provisions of Policy 75 – Official Employment Files of Regular Faculty Members, Appendix A.


Secure Destruction.


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.


  • Memorandum of Agreement between the Faculty Association of the University of Waterloo and the University of Waterloo, Articles 8 and 14.
  • Policy 75 – Official Employment Files of Regular Faculty Members.
  • Policy 33 – Ethical Behaviour.

Retention Rationale

The retention period for cases where disciplinary action is taken is based on the provisions of Policy 75. The retention period for case files where no disciplinary action was taken is based on the basic limitation period under the Ontario Limitations Act, 2002.

Other Units with Copies

Other units or individuals involved in the investigation.

Retention of Copies

Until the decision on the case has been rendered.

Disposition of Copies

Secure Destruction.

Approval Date

26 October 2011