Protected Disclosure Process

Function/Activity: To document cases of protected disclosure that may involve research or academic integrity, harassment, or other behaviour that constitutes a breach of the Code of Conduct.

Description/Type of Records: Correspondence, notes pertaining to disclosures, investigative reports, annual reports on protected disclosure activities.

Retention Rules

Office of Primary Responsibility (OPR)	Retention	Disposition
Office of Diversity, Equity and Protected Disclosure
Case files:	12 years from the date the file is closed Select files may be retained at the discretion of the Office of Protected Disclosure	Confidential shred or delete
Annual Reports on Protected Disclosure	5 years for reference purposes	Transfer to the Archives

Office of Secondary Responsibility (OSR)	Retention	Disposition
Deans Managers
Investigative Reports	12 years after action is taken on the findings of the report	Confidential shred or delete

Restrictions:
Records pertaining to a Protected Disclosure are the property of the University and will be safeguarded to ensure confidentiality and, when applicable, the Complainant’s anonymity.

Records Management Instructions:

To facilitate the retention and destruction of records relating to protected disclosure, campus units should maintain these files as a separate series, organized by date rather than by name.

Citations:
For Offices of Primary Responsibility (OPR):
Public Interest Disclosure (Whistleblower Protection) Act
UofC  Procedure for Protected Disclosures
UofC Research Integrity Policy
UofC Investigating a Breach of Research Integrity Procedure
Limitations Act, Chapter L-12, s.3(1).

Approval Information:

• Karen Jackson, General Counsel
• Jo-Ann Munn Gafuik, Senior Officer, Policy and FOIP
• Bonnie Woelk, University Records Committee (Chair)

14 December 2016