HR45 – Discipline (Staff) Case Files

Records of disciplinary processes for regular non-union and regular unionized staff 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, neglect of duties, misuse of University property, and unethical behaviour. Written warnings (disciplinary letters) are part of a staff member's official employment file.

This records class excludes investigative files related to human rights related complaints and investigations into allegations of misconduct in research involving staff.

The records include notes regarding oral warnings, reprimands and disciplinary letters, responses, supporting documentation, and related correspondence.

Related Records

  • In the event a disciplinary action is grieved or disputed, some records may become part of a dispute resolution, grievance or arbitration case file, or a legal proceeding. See HR48 – Dispute Resolution and Grievances and AD70 – Legal Proceedings.
  • For investigative files arising from human rights related complaints, see HS07 – Human Rights Complaint Files and HR48 – Dispute Resolution and Grievances.
  • For investigations into allegations of misconduct in research, see RS60 – Research Misconduct Investigations.

Responsible Unit

  • Human Resources.
  • Staff member's unit.

Information Steward

Vice-President, Administration & Finance.

Information Confidentiality Classification



2 years after last disciplinary action, subject to exceptions specified in Policy 18 and Article 18.5 of the C.U.P.E. agreement as appropriate for the particular staff member.


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.


  • Policy 18 – Staff Employment.
  • Policy 33 – Ethical Behaviour.
  • Union Agreement between the University of Waterloo and the Canadian Union of Public Employees C.L.C. Local 793, Article 18 (5).

Retention Rationale

The retention period is based on provisions of Policy 18 and the CUPE agreement.

Approval Date

26 October 2011