What should I file?

Examples of cases and documents to be filed

Ask yourself: Am I working on an assignment, case or project, which...

  • is legally binding, such as agreements and related correspondence/memoranda/casework, i.e. a case in which access to documents can later be requested or may trigger a complaint?
  • means that I or others will later have to make decisions or settlements, e.g. applications for funding, planning of research projects, approval of rule, strategy, policy, setting up a work procedure or internal rules and procedures?
  • contains information which should be saved for posterity, e.g. agenda, minutes and other meeting material from management meetings, local liaison committee, occupational health and safety committee, departmental forum, important working groups and committees appointed by the management?
  • contains documents or knowledge that I want to keep, or which will be time-consuming or almost impossible to reconstruct, and which might be relevant for my colleagues or myself in the future?

Overall examples could be:

  • Agendas, appendices and minutes from meetings of formal bodies
  • Correspondence about a formal agreement or research application, which will lead to a decision/settlement or which is relevant to the case
  • Internal documents, which are available in the final version
  • Cases of a special or principled nature as well as case presentations and associated appendices which have been submitted to a governing body, e.g. board of studies
  • Co-operation agreements with external contacts, public authorities, other universities/research institutes, special interest organisations, collaboration with companies and other organisations, which consist of, for example, draft of external agreements of any kind, negotiations, contracts or the like
  • Contract-like conditions, e.g. in connection with procurement, loan of equipment or analysis work
  • Permission or approval from government agencies and institutions

 


If the answer is yes, then you must file the documentation in Workzone.


Here you will find examples of cases handled by VIP, which must be filed.


AU look-up tool

In this AU tool created by HRDD you will find more examples of documents for record-keeping. The list is relevant for both TAP and VIP.

The list is not exhaustive.

VIP record-keeping in Workzone   Examples of documents to be filed

Visit from external parties/stakeholders

  • Dialogue with foreign PhD students (when agreement has been settled)
  • Visiting professorships
  • Mobility application
  • Research programs and centers (activity plans)

Data processor agreements

  • Background documentation handed out to informants
  • The agreement itself
  • Data transfer to e.g. other universities

Research projects with external financing*

  • E.g. AUFF, FKK, EU, Carlsberg etc.
(When external cooperation agreements are involved, we recommend that the record-keeping is initiated from start-up of the project e.g. correspondence in relation to align expectations.)

Cooperation agreements

  • Cooperation agreements e.g. research collaboration

(When external cooperation agreements are involved, we recommend that the record-keeping is initiated from start-up of the project e.g. correspondence in relation to align expectations.)

Contracts on purchase or lending equipment

  • Equipment for e.g. research purposes

Participation in formal Danish councils and committees as well as international committees, memberships and networks

  • Relevant correspondence
  • Nominations, agendas, appendices, minutes**

(As to AU’s internal councils and committees there is usually a chairman or secretary, who will file the relevant documentation.)  

Inquiries from external stakeholders such as authorities, companies, organizations and individuals

  • Incoming mails, responses or inquiries

Conferences hosted by AU

  • Event, conferences hosted by AU - both at and outside campus.

*Research applications for foundations, grants and recommendations are filed by IKK's research consultant, Pernille Roholt.

In addition, several documents are filed in AU's project and finance departments. We are currently working on mapping which other administrative units are storing (19-08-2021). We expect continuous updating.

** For other Danish (external) and international conferences or alike, where you participate by virtue of your employment at AU, the mentioned documents should be filed.