RS60 – Research Misconduct Investigations

Records of investigations into allegations of misconduct in research.

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

The University is committed to promoting ethical practices in research. Misconduct in research can be defined as a violation of the principles of intellectual honesty, including the misappropriation of the writings, research and discoveries of others, as described in the University's Integrity in Research Administrative Guidelines.

This records class excludes investigations into allegations of research misconduct against persons covered by the Memorandum of Agreement (Article 14) and records of academic discipline investigations resolved under Policy 71 – Student Discipline.

The records include complaints, responses, supporting documentation, reports, and related correspondence.

Related Records

  • For investigations regarding misconduct in research involving persons covered by the Memorandum of Agreement, see HR43 – Discipline (Faculty) Case Files.
  • For records of academic discipline under Policy 71, see ST85 – Student Discipline.
  • Disciplinary letters and decisions arising from allegations of misconduct in research against staff are retained as part of the person's official employment file: See HR45 – Discipline (Staff) Case Files.

Responsible Unit

  • Academic departments & schools.
  • Faculties.
  • Vice-President, Research & International.

Information Steward

  • Faculty deans.
  • Vice-President, Research & International.

Information Confidentiality Classification



3 years after last action on case.


  • The official record of a case should be retained by the highest level office at which the case was investigated.
  • Audio or video recordings of hearings must be securely destroyed once the decision on the case has been rendered.


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.


  • University of Waterloo Act, 1972.
  • Integrity in Research Administrative Guidelines.

Retention Rationale

The retention period is based on the basic limitation period under the Ontario Limitations Act, 2002.

Other Units with Copies

  • Other units involved in the case.
  • Hearing committee members.

Retention of Copies

Until the decision is rendered.

Disposition of Copies

Secure Destruction.

Approval Date

14 January 2011