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Schedule Number
FM3250
Primary Title
Internal Audit and Investigations
Office of Primary Responsibility
Enterprise Risk Management and Assurance
| Reference and duplicate copies of records are considered transitory and should only be kept as long as necessary and never longer than the retention of the official record. |
Description
Operating under BoG Policy SC15, internal audit and investigations ensures internal control of the university’s finances by conducting regular financial audits, quality improvements into financial practices and investigations into whistleblower allegations.
Vital: No
PIB: Yes
Authority:
BoG Policy SC15: Financial Investigations Policy
BoG Policy FM5: Endowment Policy
Freedom of Information and Protection of Privacy [RSBC 1996] Chapter 165, section 30
UBC Information Security Standard U1
Records Management Office Digitization Standard
Date Approved: 20220729
Retention Schedule Secondaries
| Secondary No. | Secondary Title, Scope & Content | Retention, Destruction & Disposition |
|
01 |
Policies and Procedures Includes internal audit plans. |
EV+5Y, FR EV=Date superseded or obsolete FR=UA will fully retain records from this series |
|
05 |
General |
EV+5Y, D EV=Date superseded or obsolete |
|
10 |
Audits |
EV+6Y, SR EV=Date audit is complete and all issues resolved SR=UA will retain summary information from this series |
|
15 |
Investigations |
EV+6Y, SR EV=Date investigation is complete SR=UA will retain summary information from this series |
|
25 |
Quality Assurance |
FY+6Y, D |
|
Whistleblower Allegations |
EV+6Y, SR EV=Date matter is closed, and/or investigation is complete |
|
|
45 |
Issues |
FY+5Y, D |
|
60 |
Reports |
FY+5Y, SR SR=UA will selectively retain records from this series |
Acronym Key: AY = Academic Year; CY = Calendar Year; D = Destroy; EV = Event; FY = Fiscal Year; FR = Full Retention by University Archives unless otherwise noted; OPR = Office or Department responsible for source of truth records; SO = when superseded or obsolete; SR = Selective Retention by University Archives; UA = University Archives; Y = Year