How to use this table

  1. The search bar on the top right of the table will filter as you type. It searches by any text in the schedules including records series, schedule number, record type, functional area, or other information.
  2. This table includes schedules created by UW System as well as schedules created by the Wisconsin State Department of Administration that the UW System has opted to use. It is updated as new and revised schedules are approved by the Wisconsin Public Records Board.
  3. The “confidential” field serves purely as a guideline. It is possible that records series identified as not confidential here could include some confidential records, and vice versa.

UW System Records Schedules

Schedule NumberSchedule TitleDescriptionRetentionTrigger EventDispositionConfidential?Category
ADMIN200Business Records -- Appointed Staff or Equivalent PositionsBusiness-related correspondence, files, calendars and records of appointed staff or equivalent3 yearsdate of separation from institutionTransfer to archivesfollow agency specific statutory citationsAdministrative (State)
ADMIN201Business Records -- Non Appointed StaffBusiness-related correspondence, files, calendars and records of non-appointed staff or equivalent1 yearcreationDestroy confidentiallyfollow agency specific statutory citationsAdministrative (State)
ADMIN202Transition Briefings -- Appointed Staff or Equivalent PositionsRecords prepared to provide an overview of the organization during transitions from outgoing management to incoming management2 yearsdate outgoing employee separates from institutionDestroynoAdministrative (State)
ADMIN203Transition Briefings -- Non Appointed StaffRecords prepared to provide an overview of a position during a transition from an outgoing employee to an incoming employee1 yeardate new employee begins their position or decision made not to refillDestroynoAdministrative (State)
ADMIN250Organizational Planning DocumentationStrategic business and operational planning files. May include, but not limited to, final plan and supporting background documents.6 yearsdate plan is completed or supersededTransfer to archivesnoAdministrative (State)
ADMIN251Organizational Documents -- Bureaus, Divisions, DepartmentsDocumentation of organizational changes or transfer of high-level administrative, functional or regulatory responsibilities. May include, but not limited to, reports explaining the changes, internal analysis of changes, new organizational charts or descriptions of roles and responsibilities.2 yearsdate change is completedTransfer to archivesnoAdministrative (State)
ADMIN252Organizational Documents -- Sections and Work UnitsDocumentation of organizational changes or transfer of administrative, functional or regulatory responsibilities at the section or work unit level. May include, but not limited to, reports explaining the changes, internal analysis of changes, new organizational charts or descriptions of roles and responsibilities.2 yearsdate change is completedDestroy confidentialnoAdministrative (State)
ADMIN300Administrative Rules -- Development and BackgroundRecords used to develop and revise Administrative Rules including Emergency Rules. May include, but not limited to, background materials, rule drafts, code interpretations, summary of public comments from hearings, Legislative and agency comments, correspondence, fiscal estimates, orders and reports.10 yearsEffective date or legislative objection date of each ruleTransfer to archivesNoAdministrative (State)
ADMIN302Department Lobbyist and Lobbying ActivitiesRecords used for filing lobbying time or expenditure and activity reports at the state level. May include, but not limited to, all accounts, bills, receipts, books, papers and other documents necessary to substantiate the expense statement, including records identifying the amount of time that is spent on lobbying each day as described by Wis. Stat. 13.68(5).3 yearsDate of submittal of expense statementDestroy confidentiallyNoAdministrative
ADMIN303Legal NoticesIncludes legal notices required by law or by court order to be disseminated via methods as described by Wis. Stat. 985.01(2). May include, but not limited to, publication of laws, ordinances, resolutions, financial statement, budgets and proceedings intended to give notice in an area; notice of public hearings before a governmental body and notices of meetings of private and public bodies; notices and certificates of elections, and facsimile ballots; notices intended to inform the public that they may exercise a right within a designated period or by a designated date.1 yearcreationDestroynoAdministrative (State)
ADMIN304Memorandums of Understanding (MOU) and Service Level Agreements (SLA)A MOU OR SLA is typically used for coordination of administrative activities between entities who share a common function. May include, but not limited to, supporting documentation, correspondence setting the terms of the agreement or the final agreement itself.4 yearsDate agreement ends or is supersededDestroyNoAdministrative
ADMIN305Public Records Requests and ResponsesRecords relating to requests for public records as specified under the provisions of Wis. Stat. 19.35-19.37 and the Federal Freedom of Information Act (FOIA).
Includes original request, notice of scope changes to the request, billing , collection of fees, acknowledgement of receipt of request, follow-up letters and transmittal memorandums, requests for extension, third-party notification, access request review recommendations and summaries, listing of records searched and used to respond to requests, and logs maintained documenting receipt and response of requests. May also include request response package including any redaction of information.
Also includes abandoned or withdrawn requests.
3 yearsdate response is provided or request is abandoned or withdrawnDestroy confidentialyesAdministrative (State)
ADMIN306Biennial or Annual Required Report DocumentationSupporting documents related to preparing the biennial or annual reports required by Wis. Stat. 15.04.4 yearsDate report submittedDestroyNoAdministrative
ADMIN350Internal CommunicationsRecords that document communication within an entity/unit between staff regarding its operations. these communications may be provided through a variety of methods such as, but not limited ot, documents, photographs, audio, and video.
Applies to the sender o the original records and not the recipient.
3 yearsdate disseminatedDestroy confidentiallynoAdministrative (State)
ADMIN351External CommunicationsRecords that document communications regarding business service and information outside the entity/unit. These communications may be provided through a variety of methods such as, but not limited to, documents, photographs, audio, video, and social media.
Applies to the sender of the original records and not the recipient.
3 yearsdate disseminatedTransfer to archivesnoAdministrative (State)
ADMIN352Transitory RecordsRecords that are non-substantive, required only for a short time, have little or no documentary or evidential value, and are not required to meet legal or fiscal obligations.
These records shall not be used to initiate, sustain, evaluate, or provide evidence of decision-making or public policy.
Both of the statements/conditions above must be met for the records to be considered transitory and applies regardless of the format of the record.
0 yearsdate created or receivedDestroy confidentiallymay include confidential informationAdministrative (State)
ADMIN353External ComplaintsRecords of complaints from the public regarding issues not related to a specific program and are not otherwise regulated by state or federal requirements.2 yearsdate of complaint resolution, dismissal or end of litigationDestroy confidentiallynoAdministrative (State)
ADMIN354Activity and Production ReportsReports by individuals, offices or teams that document the business of the unit of government. May include, but not limited to, progress reports, workload reports, status of work assignments, backlog or production reports, and ad hoc reports.1 yearcreatedDestroynoAdministrative (State)
ADMIN355Status ReportsReports that document and report on the business functions of the division and its supporting bureaus. These reports are often prepared for the department or agency head, or an equivalent position. May include, but not limited to, accomplishments, goals, statistics, awards received, anticipated program needs and plans, as well as any supplementary documentation to support such reports.3 yearsdate report is submittedTransfer to archivesnoAdministrative (State)
ADMIN356Staff BiographiesBiographies of appointed or equivalent staff and staff whose work has widereaching local, state or international impacts. May include, but not limited to, biographical information, headshots, and materials describing their body of work.3 yearsDate of separation from institutionTransfer to archivesNoAdministrative
ADMIN400Policies and ProceduresPolicies and procedures designed to help employees perform their duties and navigate their department or government unit. May include, but are not limited to, manuals, manual codes, handbooks, and administrative practices.
Procedures under the RDA have typically gone through a vetting process and are intended to support policies in a direct manner.
7 yearsdate policy or procedure is superseded or obsoleteDestroynoAdministrative (State)
ADMIN401Policies and Procedures -- Historically SignificantPolicies and procedures which have government unit or enterprise-wide broad or long-term, significant impact.
These records reflect new policies/procedures or changes to existing policies/procedures that impact employees, or the services provided.
These policies and procedures must meet at least one of the following:
establish precedent and have a broad impact that significantly impacts employees, citizens or the services provided.
Be recognized for its uniqueness by established outside peers or authorities.
Receive widespread attention from the news media.
7 yearsdate policy or procedure is superseded or obsoleteTransfer to archivesnoAdministrative (State)
ADMIN402Project RecordsRecords documenting approved projects with internal impact. The team's work may include, but is not limited to: an exploratory analysis of an issue or addressing an internal issue that does not have a wide-reaching impact. May also include, but not limited to, meeting agendas and minutes, correspondence, project reports, member lists and responsibilities. May be associated with a workgroup, team, a nonstatutorily established committee or similar.5 yearsDate of project completionDestroyNoAdministrative
ADMIN403Project Records -- Historically SignificantRecords documenting approved government unit or enterprise-wide projects with broad impact. These projects must meet at least one of the following: establish precedent and have a broad impact that significantly impacts employees, citizens or the services provided; be recognized for its uniqueness by established outside peers or authorities; or receive widespread attention from the news media. May include, but not limited to, meeting agendas and minutes, correspondence, project reports, member lists and responsibilities. May be associated with a task force, workgroup, team, a non-statutorily established committee or similar.5 yearsDate of project completionTransfer to archivesNoAdministrative
ADMIN404Project Records -- Not CompletedRecords documenting unit or enterprise-wide projects that were not completed. May include, but not limited to, meeting agendas and minutes, correspondence, project reports, member lists and responsibilities.3 yearsDate project was denied or date of last activityDestroyNoAdministrative
ADMIN405Entity Subject RecordsRecords which document the activities of an entity/unit and are typically arranged by topic or subject.
These records do not belong to a specific individual but are held at the highest level in a program area.
5 yearsdate obsolete or supersededTransfer to archivesnoAdministrative (State)
ADMIN450Charity CampaignsCharity campaign records which may include, but are not limited to, committee meeting minutes/agendas, flyers, announcements, and campaign events. Applies to the sender of the original records and not the recipient.3 yearsDate event occursDestroy confidentialNoAdministrative
ADMIN451Events -- Planning and PreparationRecords related to the planning, preparation and administrative activities of special events such as conferences, forums, special programs, performances, and similar. May include, but not limited to, mailing lists, RSVP tracking, attendee lists, seating charts, contracts, room reservations and logistical information, signage and event correspondence, evaluation forms, travel and speaker arrangements.
Events may be hosted at state facilities or sponsored by a unit at a non-state facility.
3 yearsdate event occursDestroy confidentiallynoAdministrative (State)
ADMIN452Events -- Publicity and ProceedingsRecords related to the publicity and proceedings of special events such as conferences, forums, special programs, performances, and similar. May include, but is not limited to, materials created to advertise the event, items distributed to attendees and details about the event itself.
Events may be hosted at state facilities or sponsored by a unit at a non-state facility.
3 yearsdate event occursTransfer to archivesnoAdministrative (State)
ADMIN453Training Course MaterialsMaterials prepared and used by staff to provide routine training targeted to internal and external audiences.
Records may include, but not limited to, presentations, handouts and other materials.
3 monthsdate materials superseded or oboleteDestroynoAdministrative (State)
ADMIN500Forms Catalog/ListingList of blank forms available.0 yearsDate catalog or list is superseded or obsoleteDestroyNoAdministrative
ADMIN501Forms Change Request FilesIncludes development information, change requests received from users, printing specifications and orders, format samples of each approved version and sponsor/program manager approvals.6 monthsDate form is approved for useDestroyNoAdministrative
ADMIN502Forms History FilesA history of authorized final forms created and assigned an official identification number. May include, but not limited to, order sheets, and product history reports.5 yearsDate form is obsoleteDestroyNoAdministrative
ADMIN503Forms Request OrdersRecords used to fill requests for blank forms. May include, but not limited to, inventory location and active orders reports.1 monthDate request filledDestroyNoAdministrative
ADMIN506Mailing Address Lists and UpdatesLists used to send mailings or mail materials to subscribers or regular recipients. Also includes changes used to update address records. May include, but not limited to, USPS, interdepartmental mail, and email lists.0 yearsDate list is superseded or obsoleteDestroy NoAdministrative
ADMIN507Mail and Messenger Service Distribution and Routing Plans, Schedules, and ListsService delivery and pickup routes, schedules, and distribution lists used to administer mail and messenger services such as route diagrams, schedules or charts.0 yearsDate superseded or discontinuedDestroyNoAdministrative
ADMIN508Mail Pickup and Delivery RecordsRecords that document that mail and messages were picked up and delivered. May include, but not limited to, mail and fax logs, certified or registered mail receipt forms, signed pickup and delivery receipts, delivery and pickup route lists, and spreadsheets.1 yearDate of creationDestroy confidentialNoAdministrative
ADMIN509Records InventoryDescriptive reports of inventory for in-house and offsite records storage. Inventory reports may contain information indicating titles, records series, contents, locations, volume, inclusive dates, RDA (Records Retention/Disposition Authorization) numbers, and other attributes of those records. The inventory is used for staff reference to ensure compliance with retention requirements, and to run reports for audit(s) or risk management purposes.10 yearsDate supersededDestroyNoAdministrative
ADMIN510Records Inventory Disposition FilesRecords documenting authorized/approved destruction of records or transfer to an archival repository. May include, but not limited to, destruction request and approval forms, State Records Center annual and mid-year disposition files/reports, purge lists, transfer to archives eligibility, and related correspondence.25 yearsDate of creationDestroyNoAdministrative
ADMIN511Records Storage/Transfer FilesRecords used to transfer and retrieve inventory to and from inactive storage, and to maintain control while in storage. May include, but not limited to, records tracking missing files, boxes, or electronic media. Also, may include retrieval requests, transfer forms or lists, internal storage requests, and charge out slips or logs.3 yearsDate of creationDestroyNoAdministrative
ADMIN512Records Retention Disposition Authorizations (RDA) IndexInternal index used to track RDAs.10 yearsDate index is supersededDestroyNoAdministrative
ADMIN513Records Retention Disposition Authorizations (RDA) -- Government Unit Official RecordRecords Retention Disposition Authorizations (RDAs) approved by the Wisconsin Public Records Board (PRB). This is the agency, campus, or other government unit official record. RDAs must be retained to document compliance with State records management laws and regulations and as the authority to retain and/or dispose of records specified in such policies.20 yearsDate closed or supersededDestroyNoAdministrative
ADMIN514Records Retention Disposition Authorizations (RDA) -- PRB Official RecordRecords Retention Disposition Authorizations (RDAs) approved by the Wisconsin Public Records Board (PRB). This is the PRB official record, which is maintained by the PRB Executive Secretary.100 yearsDate closed or supersededDestroyNoAdministrative
ADMIN515Records Management ProgramRecords used to support the administration of a records management program. May include, but not limited to, correspondence and memoranda, copies of laws, regulations, and other related retention and disposition requirements and documentation compiled to support a records management program. This documentation may be used to draft, amend, or renew a Records Retention Disposition Authorization (RDA). May also include supporting legal information for citations contained in an RDA.10 yearsDate document no longer needed or RDA is approvedDestroyNoAdministrative
BUD00002Budget Director RecordsThe Budget Director File is the main file within the State Budget Office and in state agencies in which many official materials are maintained. It contains the bulk of the policy documents and further information pertaining to the Biennial Budget process.
May include, but not limited to, memoranda, reports, directives, correspondence files and annual reports within the Director’s possession.
6 yearsFiscal yearTransfer to archivesNoBudget (State)
BUD00003Biennial Review EstimatesReport of actual and estimated revenues for the current and forthcoming biennium required by Wis. Stat. §16.43.6 yearsFiscal yearTransfer to archivesNoBudget (State)
BUD00004Program Revenue Supplements and PositionsRecords of program revenue supplement and appropriation requests under Wis. Stat. §§ 16.505(2) and 16.515.
May include, but not limited to, memos, requests, justifications, budget analyst analysis, supporting documentation and recommendation.
6 yearsFiscal yearTransfer to archivesNoBudget (State)
BUD00005Supplemental Federal Positions & Related ReportsReports by the Department of Administration as required under Wis. Stat. § 16.54(8) on federal funds allotted in excess of those approved in the biennial budget process. These reports contain the specific agency name, alpha appropriation, dollar increase over authorized amount and also an explanation of the increase for the related position.6 yearsFiscal yearDestroyNoBudget (State)
BUD00006Budget Development DocumentsRecords include supporting documentation and budget related policy documents used in the preparation and completion of the biennial budget under Wis. Stat § 16.46.
May include, but not limited to, final agency requests, justifications/analyses, policy papers (from the Department of Administration and the Legislative Fiscal Bureau (LFB)), statutory language proposal drafted by the Legislative Reference Bureau, requests for information and final agency responses for policy clarifications, requests for information to and from agency staff and SBO and LFB analysts, and related correspondence.
Also includes agency head presentation to Joint Finance Committee on the agency budget request. May include comments from public hearings if Governor does these hearings as part of the biennial budget development.
6 yearsFiscal yearDestroyNoBudget (State)
BUD00009Position Control Allocation RequestSeries includes requests, responses and supporting documentation used to change the information on positions on the file and to delete positions under Wis. Stat. §§ 13.10, 16.54, 16.505(1)(c) and (2) related to Wis. Stat. § 16.004(7).6 yearsFiscal yearDestroyNoBudget (State)
BUD00010Position ListingsDetailed position reports showing the full salary funding calculation under standard budget adjustments.6 yearsFiscal yearDestroyNoBudget (State)
BUD00011Budget Related Research and AnalysisBudget studies, reports, and surveys developed relating to budget planning.
May include, but not limited to, surveys used to compare a business unit or the State to other entities.
6 yearsFiscal yearDestroyNoBudget (State)
BUD00015Proposed VetoesSuggestions and policy rationale submitted to the Governor on draft vetoes pertaining to the proposed budget, appropriation or other legislative bills.6 yearsFiscal yearDestroyNoBudget (State)
BUD00018Decision Item Narratives (DINs) and Related DocumentsThese records contain succinct summaries of the need, options, and
proposed solution. They provide a description of the decision item such
as building operations, additional financial positions, increased Limited-Term Employees (LTE) funds, ongoing capital equipment needs and technical position consolidation. DINs
may also be developed for proposed statutory language changes without fiscal consequences.
May include, but not limited to, final briefing papers, spreadsheets with
statistics and calculations,
worksheets, schedules, research materials, and supporting documents
pertaining to the reconciliation process.
6 yearsFiscal yearDestroyNoBudget (State)
BUD00020Base ReconciliationSummaries of expenditure items including permanent and project position salaries, fringe benefits, supplies and services, permanent
properties, non-allotted reserves, and other supporting documents as well as the adjusted base year level of funds associated with each item.
6 yearsFiscal yearDestroyNoBudget (State)
BUD00021Biennial Budget SubmissionAll documents related to the final biennial budget submission under Wis. Stat. § 16.42 which are
submitted to the State Budget Office, their forms or equivalents.
May include, but not limited to, Agency Budget Request, Revenue Projections/Balance Statement, Title Final Details Listing and Department Appropriation Structure File Maintenance, Department Summaries
Form, Program Summaries Form, and
the Position Changes and Salary Documentation Worksheet.
6 yearsFiscal yearDestroyNoBudget (State)
BUD00022External Briefing DocumentsRecords include materials prepared by budget staff to brief decision-makers on initiatives contained in the biennial budget.
May include, but not limited to, issue papers, summaries, correspondence, briefings and other information.
6 yearsFiscal yearDestroyNoBudget (State)
BUD00024Final Budget Submitted to an Oversight BoardBudget submitted to an oversight board. May include, but not limited to, summaries of all divisions, departments that exist and also details what amounts of funds should be allocated to each of them. Applies only to government units with
boards which review and approve biennial budget requests before submittal to the budget office.
6 yearsFiscal yearDestroyNoBudget (State)
BUD00030Original Approved Annual Operating BudgetRecords related to establishing the base level annual operating budget each fiscal year.
May include, but not limited to, initial dollar allotment and position allocation for each fiscal year and travel and training plans within the organization.
5 yearsFiscal yearDestroyNoBudget (State)
BUD00031Amendments and Adjustments to Annual Operating BudgetRecords related to amendments and adjustments to annual operating budgets.
May include, but not limited to, changes to budget lines either self-initiated by the government unit or
that require external approval; requests and decisions on supplements for pay plan or space; revenue re-estimates and expenditure studies; mandatory lapses of approved budget amounts; separate legislation passed into law that contains appropriated funds; supplements or requests under Wis. Stat. § 13.10; requests and decisions under Wis. Stat. §§ 16.505 and 16.515; and federal appropriation re- estimates under Wis. Stat. § 16.54.
5 yearsFiscal yearDestroyNoBudget (State)
BUD00040Management Review/Studies/AuditsReports or studies that are either mandated by state law or directed to be conducted by the Governor or agency head. Also includes budget related management audits as mandated by Wis. Stat. § 16.004(6).5 yearsDate report is completedTransfer to archivesNoBudget (State)
BUD00041Legislative Fiscal Estimates and Bill Analysis FilesFiscal estimate records under Wis. Stat. § 13.093(2)(a).
May include, but not limited to, bill analyses, fiscal estimates and notes, final working documents, and correspondence.
4 yearsFiscal yearTransfer to archivesNoBudget (State)
BUD00042Joint Finance Committee Meeting MaterialsMeeting materials of the Joint Finance Committee established under Wis. Stat. § 13.10.
May include, but not limited to, agendas, minutes, agency requests, analyses and recommendations.
5 yearsFiscal yearTransfer to archivesNoBudget (State)
FAC00002Six Year Facilities PlansPlans submitted by a government unit to governing bodies, such as the State Building Commission.12 yearsDate submittedDestroyNoFacilities (State)
FAC00003Master Facility PlansLong range planning documents for major facilities or groups of related facilities.1 yearDate of termination of state ownershipDestroyNoFacilities (State)
FAC00004Agency Biennial Capital Budget RequestOfficial capital budget request for those state agencies that operate facilities.6 yearsDate submittedDestroyNoFacilities (State)
FAC00005Agency Capital Budget Analysis RequestsAnalysis done on behalf of the State Building Commission at an agency’s request.4 yearsDate analysis completedDestroyNoFacilities (State)
FAC00006Sales of Facilities and/or LandProjects where the state sells, or plans to sell, either facilities and/or land assets. Records may include, but are not limited to, appraisals and related valuations.6 yearsDate sold, transferred or termination of transactionDestroyNoFacilities (State)
FAC00007Receipt by Gift of Facilities and/or LandProjects where land and/or buildings are being gifted to a government unit.6 yearsDate sold, transferred or termination of transactionTransfer to archivesNoFacilities (State)
FAC00009Environmental Assessment and Impact StatementsEnvironmental assessments, impact statements, correspondence, supporting materials and documentation related to state construction project and facility or land acquisitions.6 yearsDate of termination of state ownership or decision not to acquireTransfer to archivesNoFacilities (State)
FAC00010Cultural Resource Review Records -- Archaeological and Historic Site Case FileRecords in this series include, but are not limited to, Archaeological survey reports, information on documented archaeological sites, and information on documented historic structures related to Wis. Stat. § 44.40.10 yearsDate of termination of state ownership or decision not to acquireTransfer to archivesNoFacilities (State)
FAC00011Construction Project FileAll documents pertaining to the project which may include, but are not limited to, design and construction contracts, proposed and approved amendments to all contracts, bidding plans, planning and design work reports, consultant plans and specifications, related correspondence and all other project materials.10 yearsDate construction project is closedDestroy confidentiallyYesFacilities (State)
FAC00012Construction Project File -- Historically Significant FacilitiesAll documents pertaining to the project which may include, but are not limited to, design and construction contracts, proposed and approved amendments to all contracts, bidding plans, planning and design work reports, consultant plans and specifications, related correspondence and all other project materials. These projects are typically large-scale and may include new construction of a state facility or institution as well as projects involving facilities significant to the State of WI or United States history; buildings on the State or National Register of Historic
Places.
10 yearsDate construction project is closedTransfer to archivesYesFacilities (State)
FAC00013Asbestos and Hazardous Material and Environmental Remediation Case FileProject files related to asbestos abatement and hazardous materials and environmental
remediation projects.
PermanentPermanentYesFacilities (State)
FAC00014Unsuccessful Bids and Unsolicited ProposalsBids and proposals from developers or construction firms for building projects or
leases which were not selected.
4 yearsDate rejectedDestroyNoFacilities (State)
FAC00015As-Built Plans and Original Building Drawings for Completed Construction ProjectsFinal as-built plans and original building drawings for state-
owned facilities.
6 yearsDate of termination of ownershipTransfer to archivesYesFacilities (State)
FAC00016Land Titles, Conveyances,
Easements, and Use
Restrictions
Documentation for state owned land. Includes, but is not limited to, any legal rights granted to state owned land.PermanentPermanentNoFacilities (State)
FAC00019Major Agency LeasesLease file for each property leased by the state. Records may include, but are not
limited to, proposed and final lease, approval, and supporting documentation.
6 yearsDate of expiration of lease or final payment, whichever is laterDestroy confidentiallyNoFacilities (State)
FAC00020State Rental RatesFile contains calculations,
recommendations and
State Building Commission approval of property rental rates and supporting documentation.
6 yearsFiscal yearDestroyNoFacilities (State)
FAC00021Bond Sales/Legal DocumentsThis is a single depository of all state general, revenue, and appropriation obligation debt. Includes original debt contracts and working files.
Documents include, but are not limited to, public offering documents and working files.
6 yearsLast maturity or call date of bond seriesDestroyNoFacilities (State)
FAC00022Master Lease ProgramRecords relating to master equipment lease schedules. This may include, but is not limited to, the original request,
approvals acceptance certificates, lease schedules, legal opinion and other items related to assignment of security interest under Wis. Stat. § 16.76(4).
6 yearsDate of expiration of lease or final payment, whichever is laterDestroyNoFacilities (State)
FAC00026Appraisals -- Land or Structure Not ObtainedAppraisals performed by, or on behalf of, the government unit which does not result in a sale.3 yearsDate of appraisalDestroyNoFacilities (State)
FAC00050Application and Permit for Use of FacilitiesApplication and permit for use of facilities, where required.3 yearsDate of permit expiration, revocation, or rejectionDestroy confidentiallyNoFacilities (State)
FAC00051Facility and Building MaintenanceFacility and building maintenance, custodial and grounds keeping related records. Records may include, but are not limited to, work orders, logs, work assignments, checklists, inspections, key requests, correspondence and related reports.3 yearsCreationDestroy confidentiallyNoFacilities (State)
FAC00054Equipment Installation, Repair and ServiceDocuments the installation, maintenance, service and history of both building installed equipment and equipment commonly used to maintain facilities.1 yearDate of removal or disposal of installed equipmentDestroyNoFacilities (State)
FAC00055Warranty FilesDocuments the manufacturer’s vendor’s warranty to replace and/or repair defective materials or equipment.1 yearDate of expiration of warranty or discontinuation of equipment, whichever comes firstDestroyNoFacilities (State)
FAC00057Physical Plant Monitoring and Inspection ReportsRecords documenting the operation of all facets of facilities: HVAC, plumbing, mechanical, electrical, structural as well as special monitoring of building components.6 yearsDate of inspectionDestroyNoFacilities (State)
FAC00059Equipment Related Check Out-In RecordsDocumentation of who signed out and accepted responsibility for use of state equipment and when the equipment was returned.3 monthsDate equipment returnedDestroy confidentiallyNoFacilities (State)
FAC00060Building Leases and Tenant InformationFiles that document negotiations for, and completion of, leases for space. Records may include, but are not limited to, leases, correspondence with owners, other tenants and lease approvals.6 yearsExpiration of lease or final payment, whichever is laterDestroy confidentiallyNoFacilities (State)
FAC00061Space Allocation and Project Planning InformationSpace allocation plans and related documentation, which may include the final requests, project plans, space estimates, justifications, specifications, quotations for projects or furniture, copies of building plans, floor layouts, and supporting documentation. Also includes the current space allocation plan.1 yearDate space is vacated or planning documents are supersededDestroyNoFacilities (State)
FAC00062Parking Permit and Parking Space AssignmentsParking permit applications, parking space assignments, waitlists and designated parking coordinators lists.1 yearDate parking permit is cancelled or list supersededDestroy confidentiallyNoFacilities (State)
FAC00066Fuel Use/Power Created and Related RecordsData and related reports on fuels used and output reports on plant utilities produced.6 yearsCreationDestroyNoFacilities (State)
FAC00068Chemical Application RecordsDocumentation of the application of chemicals with potential long-term health consequences.3 yearsDate of applicationDestroyNoFacilities (State)
FAC00069Americans with Disabilities Act (ADA) Facility Reviews and AuditsRecords cover ADA inspections, investigations, complaint investigations, facility logs and reports regarding ADA compliance relating to facilities and structures. This series may also include ADA compliance background information and correspondence related to audits.6 yearsCompletion of review or auditDestroy confidentiallyNoFacilities (State)
FAC00070Designation of Agency Facility CoordinatorsList of tenant designated facility coordinators in state owned and leased buildings.0 yearsDate list is supersededDestroy confidentiallyNoFacilities (State)
FAC00080Building and Facility Admittance RecordsRecords document assignment of building access, temporary access passes and access cards. Includes detailed data on the date, time and specific doors opened by specific cards.
Also includes manual or automated logs documenting who was granted access to a facility or secure areas within a facility.
3 yearsDate of visit or access removedDestroy confidentiallyNoFacilities (State)
FAC00082Monitoring and Surveillance Recordings – With IncidentMonitoring and surveillance recordings that document incidents that may lead to claims against the governmental unit. As with all public records, if the monitoring or surveillance record is required for any legal or program purpose, including open records requests, claims or litigation holds, the record must be retained until no longer needed to meet the legal or program requirement.120 daysCreationDestroyNoFacilities (State)
FAC00082AMonitoring and Surveillance Recordings – Without IncidentMonitoring and surveillance recordings showing no discernable incidents. As with all public records, if the monitoring or surveillance record is required for any legal or program purpose, including open records requests, claims or litigation holds, the record must be retained until no longer needed to meet the legal or program requirement.3 daysCreationDestroyNoFacilities (State)
FAC00083Access Cards, Identity Badges/Name Plates and Photo IdentificationDocumentation of request and assignment of access cards, identity badges, name plates and/or photo identification as an employee or contractor.6 monthsDate returned or reported lostDestroy confidentiallyNoFacilities (State)
FAC00087Emergency Response Management Plans and Related DocumentsDetailed information for emergency situations and supporting documentation.3 yearsDate supersededDestroy confidentiallyYesFacilities (State)
FAC00088Final Continuity of Operations/Continuity of Government Operational Plan and DocumentationOfficial plan and documentation of the Continuity of Operations/Continuity of Government.1 yearSupersededDestroy confidentiallyYesFacilities (State)
FAC00089Final Continuity of Operations -- Exercises and After-Action ReportsOfficial exercise plan and documentation to assess the viability of all Continuity of Operations Plans and After-Action Reports.7 yearsDate of exercise or after-action improvement plan is completedDestroy confidentiallyYesFacilities (State)
FAC00090Recovery RecordsRecords created during the recovery process. Records held in reserve in the event that an information system fails to function and records need to be recovered and restored.4 yearsCompletion of recovery process or date of the final Financial Services Report, whichever is laterDestroy confidentiallyYesFacilities (State)
FAC00100Health, Safety or Fire Code/Regulations VariancesRequests for relief from health, safety or fire standards and regulations and records of approved variances.3 yearsDate variance is denied or no longer in effectDestroyNoFacilities (State)
FAC00101Health, Safety or Fire Code compliance Records -- No ViolationsHealth, safety or fire safety inspections, complaints, violation correction plans, and records that document compliance with applicable fire prevention and building codes.3 yearsDate report is receivedDestroy confidentiallyNoFacilities (State)
FAC00102Health, Safety or Fire Code Compliance Records -- ViolationsHealth, safety or fire safety inspections, complaints, violation correction plans, and reports that document compliance with applicable fire prevention and building codes.3 yearsDate reinspection passed or violation correctedDestroy confidentiallyNoFacilities (State)
FAC00103Health, Safety or Fire Code Compliance CertificatesHealth, Safety or Fire Code Compliance Certificates.3 yearsDate certificate expiresDestroyNoFacilities (State)
FAC00120Grave Registration RecordsRecords that describe who is buried, the date of death, interment and location of the remains.PermanentPermanentYesFacilities (State)
FIS00001Audit Reports, Agency Responses and Audit Finding ResolutionsAgency audit reports created by the Legislative Audit Bureau, agency internal auditors, and other state, federal or private entities that monitor, examine, and verify the accounts and fiscal affairs of an agency, and agency responses. Audit reports created by state, federal or private entities that monitor, examine and verify accounts of sub-grantees that received federal funds passed through a state agency or received direct state funds. Uniform Guidance 2CFR 11 Part 200 sets the federal standard for retention of audits. This
becomes the de-facto
standard for all audit reports.
3 yearsIssuance of final reportDestroyNoFiscal/Accounting (State)
FIS00002Audit Work PapersPlans, analysis research materials, draft reports, background materials and related records used to plan and prepare audit reports.3 yearsIssuance of final reportDestroy confidentiallyYesFiscal/Accounting (State)
FIS00003Internal Control PlanRecords and supporting documentation regarding the development and administration of agency internal controls, including reports, plans, articles, policies and procedures, and related material, arranged by subject or topics such as risk management, risk assessment, management practices, operational efficiency and audit methods.3 yearsDate supersededDestroyNoFiscal/Accounting (State)
FIS00004Chart of Accounts -- IndexList of codes, such as fund, appropriation, account, program or project code, and other chartfields that further sub-classify accounting information used in the general ledger. Also includes descriptions of the chartfields, codes, and sub-classifications.PermanentPermanentNoFiscal/Accounting (State)
FIS00005Chart of Accounts -- RequestsRequests for new codes and sub-classifications, requests to edit or update codes and sub-classifications, requests for approvals and denials, and related correspondence. May include, but not limited to, documentation of code request, approval for code request and supporting documentation.7 yearsDate code superseded, inactivated, or request deniedDestroyNoFiscal/Accounting (State)
FIS00010Authorization/Approval for Purchasing CardForms and approvals for individuals to obtain procurement card. May include authorizations, cardholder agreements, and related forms to establish accounts.10 yearscancellation of cardholder approvalDestroy confidentiallyNoFiscal/Accounting (State)
FIS00011Credit Card Receipts or Information Received from SalesCredit card receipts and related documentation associated with credit card transactions.3 yearsDate of transactionDestroyNoFiscal/Accounting (State)
FIS00020Receipts and Disbursement TransactionsRecords related to the receipt of funds for goods or services provided and the purchase of goods or services and the supporting documentation. This series includes Accounts Payable and Accounts Receivable transactions. May include approved claims, purchase orders, invoice requests, merchandise receipts, vendor invoices, agency vouchers, service reports, and other supporting documentation. Also includes records used by an agency accounts payable/claims office to track and monitor the claims and payment process on a daily basis, including manual and automated logs, registers, listings and related records. Additionally, may include records documenting receipt of funds including forms, cash register receipts, receipts remittance forms, cash receipts and attached documentation, accounts receivable invoices, deposit forms, lockbox reports, lists of checks received and accounts receivables.6 yearsFiscal yearDestroyNoFiscal/Accounting (State)
FIS00021Federal Cash Draw TransactionsThe detail, expenditure, and available to draw reports are used daily to determine the state draw. The reports show each detailed expenditure by aid category, Catalog of Federal Domestic Assistance (CFDA), major fed aid numbers, Cash Management Improvement Act (CMIA) scheduled draws, type of transaction and reference numbers.6 yearsFiscal yearDestroyNoFiscal/Accounting (State)
FIS00023Fiduciary RecordsBanks and insurance companies doing business in the State of Wisconsin are statutorily required to have collateral on deposit with the DOA. Records include: reports from the custodian holding the securities; transmittal forms; correspondence regarding account activity; and audit reports as well as related records, correspondence and reports.3 yearsDate of transactionDestroy confidentiallyYesFiscal/Accounting (State)
FIS00024General Obligation Bond RecordsThe DOA, State Controller’s Office is responsible for the timely transfer of debt service payments once bonds have been issued. Agencies maintain records on each issue to verify interest and principal payments. The files include related records, correspondence and reports.50 yearsBond matures or is calledDestroyNoFiscal/Accounting (State)
FIS00025Collection Case Files -- Delinquent and Uncollectable AccountsThese records include notices of late payment, “dunning” letters, other documentation of collection efforts, payment agreements and the amount of debt defaulted or written off as uncollectable. Also, could include documentation of bad debts sent to an outside collection agency and other efforts to tie collection to state or local government programs i.e., computer matching.7 yearsDate written offDestroy confidentiallyYesFiscal/Accounting (State)
FIS00026Tax RecordsRecords or reports filed with the federal Internal Revenue Service, Social Security Administration or State Department of Revenue, or other state agency related to administration of tax collection. Also includes records received for collection of taxpayer identification.6 yearsFiscal yearDestroy confidentiallyYesFiscal/Accounting (State)
FIS00027Paid/Canceled ChecksCanceled checks provided by the state’s working bank and are the primary media utilized to provide copies of paid checks as “proof of payment.”7 yearsMonth paidDestroy confidentiallyNoFiscal/Accounting (State)
FIS00028Checks -- Alignment and Control and VoidedAlignment and control checks are typically the first and last checks written on a particular warrant register. These checks are used as a control to ensure that each check series is written in numerical sequence and that all checks in the sequence are accounted for. These checks are physically marked “VOID.” Void checks result from errors in the printing or processing of checks. This includes mutilated checks, reprinted checks and blank checks. During check processing it is not unusual to reprint an entire batch of checks when something goes wrong in the printing or post processing operations. These checks are kept in a secure location until destroyed.1 yearCreationDestroy confidentiallyNoFiscal/Accounting (State)
FIS00029Forgery and Stop Payment RecordsRequests for Stop Payment and Affidavits of Forged Endorsement; related correspondence with the agency’s working bank; internal reports/files showing check series, payee, amount, date of issue and reissued check information. Also applies to agency petty cash funds.6 yearsDate, batched by month, which the stop payment was executedDestroy confidentiallyNoFiscal/Accounting (State)
FIS00030Canceled and Unpaid Check ReportState issued checks are typically payable at the State’s working bank for 1 year from the date of issue; however, the State continues to have a liability to pay on any check for up to 6 years as provided in the State Constitution. This record series includes records relating to the disposition of unpaid items between the period of time they are 1-6 years old and includes agency requests for reissuance of checks. Also applies to agency petty cash funds.5 yearsFiscal yearDestroyNoFiscal/Accounting (State)
FIS00040Capital Accounting -- Accounts Payable Records -- Special Federal RequirementsRecords may include the following records: acquisitions: capital assets; depreciation schedules; fixed assets; material transfer files; mortgage ledgers; facility/plant ledgers; property detail reports; property inventory reports; and reports on property sold.
Federal regulations for tax exempt bonding require that expenditure records must be retained for 6 years past the maturity date of a bond.
6 yearsBond maturesDestroyNoFiscal/Accounting (State)
FIS00041Capital Accounting -- Accounts Payable Records -- Projects Not Funded with Tax-Exempt DebtRecords may include the following records: acquisitions; capital assets; depreciation schedules; fixed assets; material transfer files; mortgage ledgers; facility/plant ledgers; property detail reports; property inventory reports; and reports on property sold.4 yearsProject closedDestroyNoFiscal/Accounting (State)
FIS00042Capital Accounting -- Project Budget Transactions (Allotments)Records may include budget-related records for specific capital projects including details by project and sub-project; vendors; and vendor types.6 yearsFiscal yearDestroyNoFiscal/Accounting (State)
FIS00050Inventories -- Capital Equipment, Supplies, Commodities and PartsRunning inventories of capital equipment, supplies, commodities and parts that typically describe each item, indicate its location and provide cumulative totals and/or current stock balances.4 yearsFiscal yearDestroyNoFiscal/Accounting (State)
FIS00051Surplus Property Disposition RecordsRecords that identify surplus property, expedite its transfer to the SWAP program, if applicable, and track the disposition of property. These records include requests for disposal of surplus property, receipts, reporting forms and supporting documentation that describes the property and the proposed method of disposition.3 yearsProperty disposed ofDestroyNoFiscal/Accounting (State)
FIS00052Surplus Property Disposition Records -- Restricted Disposition or Noncompliance ItemsRecords that identify restricted or noncompliant surplus property, expedite and track the property’s disposition. Restricted Disposition - items with restrictive requirements that effect their disposition. Noncompliance - items that have been declared to be in noncompliance with property transfer restrictions.1 yearDate restriction ends or compliance case is closedDestroyNoFiscal/Accounting (State)
RISK0001RMIS Output ReportsThese records include monthly or quarterly reports which are distributed to department heads, division administrators in state agencies and UW institutions. Reports support program initiatives. Examples of these reports include benchmark reports.0 yearsSuperseded or when no longer neededDestroyNoRisk Management (State)
RISK0002Proposals for Insurance Coverage§16.865 Wis. Stats. mandates responsibility for statewide risk management coordination. This includes providing insurance coverage for state agencies. Records may include non-selected bids for property, liability, and Worker’s Compensation coverage. Successful proposals for insurance coverage would then produce insurance contracts, which would be handled as underlined under RDAs RISK0025 and RISK0035. Agencies that receive authorization from DOA’s BSRM may secure coverage for specific business purposes on their own.7 yearsBid is closedDestroyNoRisk Management (State)
RISK0003Risk Management Conference MaterialsDOA’s Annual Risk Management Conference publications and materials.
Records series may include comprehensive, original materials documenting planning for Risk Management conferences as well as original conference hand-outs.
5 yearsDate of risk management conferenceDestroyNoRisk Management (State)
RISK0010Worker's Compensation Claims Case FilesWorker’s compensation claims filed by state and UW System employees. These claims can be categorized as:
Medical Claims (No Lost Time): A claim where an injured employee obtains medical treatment but does not lose more than three (3) days from work as a result of the injury.
Lost Time Claims: A claim where an injured employee requires four (4) or more days off from work. Typically, claims include the same records as in medical claims files, as well as lost time documentation and disability payment material. Hazardous Duties Employment Claims: A claim presented by certain occupational classes and of hazardous nature as defined in §230.36. Wis. Stats. Hazardous duties employment claims include the same records as those in medical claims, as well as those stated in §230.36, Wis. Stats., (hazardous employment) documentation (e.g. hazardous duties related positions).
Typical records may include, but are not limited to: accident reports, medical reports, employee exposure records, certifications, payment information, medical invoices, investigation materials, subrogation files, workers compensation claims fact sheet, medical information authorization, labor market availability restriction statement, vocational rehabilitation information, related correspondence and other related forms.
This information is also entered into the Department of Administration’s Risk Management Information System (RMIS). This system is managed by DOA’s Bureau of State Risk Management. The information entered in the system originates from the official paper files related to medical claims (no lost time), lost time claims, and hazardous employment claims and includes: claim number, name, address, social security number, date of birth, type of claim, agency identification code, location of claim, cause of claim, result of injury, payment histories, etc. All agencies and UW-System have access to this database.
This record series covers the electronic data in the RMIS and the paper files kept at the agencies and the UW-System.
30 yearsClaim is closedDestroy confidentiallyYesRisk Management (State)
RISK0011State Government Workers Compensation Guidelines, Procedures, Policies and Other Related RecordsRecords include Workers Compensation program guidelines, procedures, policies and other related records for managing workers compensation claims per Chapter 102 Wis. Stats.7 yearsSupersededDestroyNoRisk Management (State)
RISK0015Property and Liability General CorrespondenceGeneral correspondence relating to ongoing administration/management of state self-funded property and liability programs is generated under §16.865, §20.865 (f) (fm) (dm) Wis. Stats. Records may include letters and memos relating to all aspects of state risk management property and liability programs. Examples include Van Driver Training records and applications; Driver Abstract reviews and findings shared with agency staff.5 yearsClosure of specific issue addressed by the correspondenceDestroyNoRisk Management (State)
RISK0016State Government Property and Liability Guidelines, Procedures, Policies and Other Related RecordsRecords include property and liability program guidelines, procedures, policies and other related records for managing property and liability claims per §16.865, 20.865, 896.82 and 895.46 Wis. Stats.7 yearsSupersededDestroyNoRisk Management (State)
RISK0017Statewide Premium Process and DocumentationAnnually, the Bureau of State Risk Management under authority of §16.865, and §20.865 (1) (f) Wis. Stats., develops fiscal year premium documents which support the State Risk Management Program. This process reviews both the exposure and the experience of state agencies and incorporates this information into the development of state agency premiums. The premiums generated pay liability, worker’s compensation and property claims and maintain the administrative functions of the program.
This record series may include documents comprised of building values and content inventories. It also includes RMIS reports generated to support the agency’s related experience over time, written documentation explaining the purpose and process of the premium function. Official copy is at DOA. All state agencies maintain background information.
20 yearsCreationDestroy confidentiallyYesRisk Management (State)
RISK0025Property Insurance Policies (General and Excess)Pursuant to §16.865(5) Wis. Stats., the Department of Administration Bureau of State Risk Management (BSRM) is responsible to arrange appropriate insurance contracts for the transfer of risk of loss on the part of the state or its employees to the extent such loss cannot reasonably be assumed by individual agencies or self-funded programs. Agencies that receive authorization from BSRM may secure coverage for specific business purposes on their own. This file may include the original copy of the policy, endorsements to the policy, list of carriers, coverage limits and premiums.30 yearsPolicy effective dateDestroyNoRisk Management (State)
RISK0026Property Claim Files§16.865 Wis. Stats., mandates responsibility for statewide risk management coordination including managing the statewide self-funded property program.
Claim files may include accident/property loss reports, investigative reports, evidential documents such as photographs, payment vouchers and any related correspondence. These records represent the official property claim files.
5 yearsClaim is closedDestroy confidentiallyNoRisk Management (State)
RISK0027Precedent-Setting Property ClaimsThis records series pertains to property claims which have precedent-setting impact on the State of Wisconsin and the State Risk Management program. Claim files to be retained include those that are catastrophic in nature and/or breach one million dollars. Additionally, large losses that have multiple locations, such as the June 2008 flooding, or claims that may have large subrogation actions would also be included.
Files may contain complete property investigations and supporting documentation.
25 yearsClaim is closed Transfer to archivesNoRisk Management (State)
RISK0028Property Incident and Denial Reports -- No Claim FiledIncident and denial files may include accident reports, damage reports, repair orders, estimates, adjuster claim reports and other investigative materials. No claim was generated and no payment was made.5 yearsDate of incidentDestroy confidentiallyNoRisk Management (State)
RISK0035Liability Insurance Policies (General and Excess)Pursuant to §16.865(5) Wis. Stats., the Department of Administration Bureau of State Risk Management (BSRM) is responsible to arrange appropriate insurance contracts for the transfer of risk of loss on the part of the state or its employees to the extent such loss cannot reasonably be assumed by individual agencies or self-funded programs. Agencies that receive authorization from BSRM may secure coverage for specific business purposes on their own. This file may include the original copy of the policy, endorsements to the policy, list of carriers, coverage limits and premiums.75 yearsPolicy effective dateDestroy confidentiallyNoRisk Management (State)
RISK0036Liability Claim Files§16.865 Wis. Stats., mandates responsibility for statewide risk management coordination including managing the statewide self-funded liability program. Claim files may include normal liability claims and claims involving a minor or a structured settlement. In cases where a minor is involved, records must be retained for 11 years after the minor reaches age 18. For structured settlements, records must be kept for 11 years after the structure is paid off. Documents include accident reports, damage reports, repair orders, estimates, adjuster claim reports and release of all claims. Payment letters and photocopies of checks are also included.11 yearsClaim is closed (for normal liability claims) OR Date minor turns 18 (claims involving a minor) OR Date structured settlement is paid off (structured settlement claims)Destroy confidentiallyYesRisk Management (State)
RISK0037Precedent-Setting Liability ClaimsThis records series pertains to liability claims which have precedent-setting impact on the State of Wisconsin and the State Risk Management program. Claim files to be retained include those that are catastrophic in nature and/or breach one million dollars.
Files may contain complete liability investigations and supporting documentation.
25 yearsClaim is closedTransfer to archivesYesRisk Management (State)
RISK0038Liability Incident and Denial Documentation -- No Claim FiledIncident and denial files may include accident reports, damage reports, repair orders, estimates, adjuster claim reports and other investigative materials. No claim was generated and no payment was made.11 yearsDate of incidentDestroy confidentiallyYesRisk Management (State)
RISK0039Volunteer Health Care Program (VHCP)The Volunteer Health Care Program was originally enacted in 1989 as a pilot program in Brown & Racine Counties. It has since spread state wide to address health care needs of the uninsured, underinsured and those on different state run medical programs. Documentation related to the approval of all volunteer health care applicants for this statewide program. Document examples include completed applications, approval letters, Department of Safety and Professional Services (DSPS) information on licensure for each applicant, policy decisions and program expansion correspondence. Claims generated from this program are handled by the liability program and the files are covered within RDA RISK0036.25 yearsDate BSRM approves or denies applicationDestroy confidentiallyNoRisk Management (State)
RISK0045Incident Reports (Incidents Only, No Lost Time)This records series covers incident reports for which no expenses have been incurred. Incidents only, no medical expenses incurred and no lost time. Information on incidents is documented in the accident report, supervisory analysis, safety officer analysis and related correspondence. See RDA RISK0049 for the retention of the occupational exposure incidents records.12 yearsDate of incidentDestroy confidentiallyYesRisk Management (State)
RISK0046Near-Miss ReportsThese records are documentation on accident analysis forms describing hazardous working conditions that could lead to worker’s compensation claims. Data from these forms are gleaned to study trends and to improve a safe working environment.5 yearsDate of incidentDestroy confidentiallyYesRisk Management (State)
RISK0047Safety and Health ProgramState agency’s written safety programs, annual plans, policies, procedures, guidelines, components, monitoring data and reports for programs such as Confined Space, Ergonomics, Hazard Communication, Bloodborne Pathogens, Fall Protection, Hot Work, Lockout/Tagout, Hazard Communication, Hearing Conservation, Respiratory Protection, Powered Industrial Trucks, Personal Protective Equipment and other similar safety programs. Also includes agency Emergency Action Plans and Employee Summary Guides (i.e. agencies’ evacuation and safe sheltering plans and procedures for employee safety during emergency conditions, evacuation routes, etc. It also includes agency fire and tornado drill reports).7 yearsSupersededDestroyNoRisk Management (State)
RISK0048Safety Data Sheets (SDS)Per OSHA each workplace is required to keep SDSs provided by manufacturers and importers of hazardous chemicals.0 yearsSDS is superseded OR use of chemical is discontinuedIf SDS destroyed, destroy previous SDS and keep the most current one OR if use of chemical is discontinued, retain SDS for 30 years and destroyNoRisk Management (State)
RISK0049Exposure RecordsIncludes the specifics of the incident and any agency related form, report or record. It also includes records of personal exposures required to be maintained by the agency that has conducted or contracted for the monitoring. In most cases records includes documents such as personal exposure samples for chemicals, ionizing radiation, asbestos, lead, and noise; wipe samples to determine surface contamination; bulk samples to analyze for asbestos content; and reports or inspections or surveys of activities related to actual or potential occupational exposures.75 yearsDate of exposureDestroy confidentiallyYesRisk Management (State)
RISK0050Internal Workplace Safety inspectionsIncludes safety inspections, audits, surveys or reviews of the workplace initiated or contracted by the resident state agency.7 yearsDate of reportDestroyNoRisk Management (State)
RISK0051Compliance Workplace Safety InspectionsSafety inspections, audits, department orders, section violations, corrective action orders and surveys or reviews of the workplace performed by an outside compliance agency such as OSHA or the Department of Safety and Professional Services. Includes citations and notifications of penalties, results of investigations, Modification Abatement Plan requests, and final Abatement Plan documentation.7 yearsDate of resolution or compliance planDestroyNoRisk Management (State)
RISK0052Job Hazard AnalysisJob safety surveys and analysis of a specific job or task. Includes documents used to identify, analyze and record the steps involved in performing a specific job, existing or potential safety and health hazards associated with each step and the recommended action(s)/procedure(s) that will eliminate or reduce the hazards and the risk of a workplace injury or illness.7 yearsSuperseded or task eliminatedDestroyNoRisk Management (State)
RISK0053Ergonomics Assessments and Related MaterialIncludes individual and workstation evaluations, pre-evaluation questionnaires, potential procurement documents, follow-ups and all related materials.7 yearsDate of assessmentDestroy confidentiallyNoRisk Management (State)
RISK0054OSHA LogsIncludes OSHA Form 300- Log of Work Related Injuries and Illnesses, Form 301 – Injury & Illness Incident Report and other equivalent forms.7 yearsDate of logDestroy confidentiallyNoRisk Management (State)
RISK0055Industrial Hygiene Supporting Documents and ReportsIncludes control measures that protect employees from chemical, physical and/or biological stressors, such as noise, chemical exposures, excessive temperatures, dusts, mists, and vapors, and air quality evaluations/results.
Included among these records are indoor air quality surveys, noise and hearing conservation, respiratory protection, compliance exposure monitoring, baseline noise surveys, and other similar industrial hygiene surveys, assessments and reports.
30 yearsDate of reportDestroyNoRisk Management (State)
RISK0056General Safety Reports, Issues, Complaints and Inquiries Received/Generated by Safety StaffIncluded in the file are responses to all inquiries and noted follow-up steps, if any, to correct any noted deficiencies.
Also includes periodic reports concerning agency safety activities, including minutes of monthly safety meetings, accident data analysis, safety and health program assessments, trend or accident analysis reports, chemical inventory lists, SCBA (Self-Contained Breathing Apparatus) inspections and other similar or related reports.
2 yearsDate of resolutionDestroyNoRisk Management (State)
RISK0057Safety PermitsApproved plan of work for specific job safety action. Examples include permits for Confined Space Entry, Lockout/Tagout, Hot Works and other related permits.1 yearExpiration of permitDestroyNoRisk Management (State)
RISK0058Hoists, Cranes and Personnel Lifts InspectionsIncludes inspection reports for hoists, slings and chains, gantry cranes, man-lifts, scissor lifts, and other and similar records.5 yearsDate of inspectionDestroyNoRisk Management (State)
RISK0059Safety Training NOT Required by LawAny safety related training not required by law whether provided internally by safety staff or contracted out. Includes materials created or used by state agencies and/or the Bureau of State Risk Management to promote training or train state employees. Includes training schedules, course materials, evaluations, study guides, questionnaires, registration, sign-in sheets and tracking.5 yearsSupersededDestroyNoRisk Management (State)
RISK0060Safety Training Required by LawAny safety related training required by law whether provided internally by safety staff or contracted out. Includes materials created or used by state agencies and/or the Bureau of State Risk Management to promote training or train state employees. Includes training schedules, course materials, evaluations, study guides, questionnaires, registration, sign-in sheets and tracking.30 yearsDate of trainingDestroyNoRisk Management (State)
RISK0070Air Compliance RecordsRecords documenting compliance with air permits and area source regulations.
May include permit documents, measurements and performance tests, monitoring data, calibration checks, emission test results, annual reports and supporting documents and data and other documents relating to air programs.
7 yearsSuperseded by the revised documentsDestroyNoRisk Management (State)
RISK0071Waste Disposal Site RecordsRecords series includes documents related to potential liability associated with sending waste for disposal. Includes uniform hazardous waste and non-hazardous special waste manifests, land disposal restriction forms, medical waste manifests, non-hazardous manifests, non-hazardous bills-of-lading, and certificates of receipt/destruction, waste site audits and other related records supporting potential site liability issues for disposal sites.PermanentPermanentNoRisk Management (State)
RISK0073Infectious Waste RecordsRecords documenting compliance with NR 526, Medical Waste Management. Records of the amount of infectious waste sent off−site for treatment, records that certify infectious waste was treated, copies of annual reports and similar records.7 yearsDate waste was shippedDestroyNoRisk Management (State)
RISK0074Medical Waste Reduction DocumentsRecords documenting compliance with NR 526, Subchapter III Medical Waste Reduction. May include records of the amount of infectious waste sent off−site for treatment, medical waste audits and medical waste reduction plans.7 yearsSupersededDestroyNoRisk Management (State)
RISK0075PCB (Polychlorinated Biphenyl) RecordsIncludes PCB annual logs, PCB concentration logs, annual records, on-site storage locations, inventory lists, test reports, analytical reports, one year exception reports, spill cleanup records, equipment inspection logs and other similar records.
See RDA# RISK0071 “Waste Disposal Site Records” for retention and disposition of PCB manifests and Certificates of Disposal retention.
7 yearsCreationDestroyNoRisk Management (State)
RISK0076RCRA (Resource Conservation and Recovery Act) ComplianceRCRA regulates how waste is disposed. Includes records documenting procedural compliance with NR 600 – 679. May include annual reports, inspection logs, waste analysis/profile documents, exception reports, and other related records.
See RDA# RISK0071 “Waste Disposal Site Records” for retention and disposition of PCB manifests and Certificates of Disposal retention.
7 yearsCreationDestroyNoRisk Management (State)
RISK0077RCRA Compliance -- Large Quantity Generator Contingency PlanRecords documenting compliance with NR 665 Subchapter D: Contingency Plan and Emergency Procedures. Description of the actions facility personnel will take in response to fires, explosions or any unplanned sudden or non−sudden release of hazardous waste or hazardous waste constituents to air, soil or surface water at the facility. Keep copies of all revisions of the plan until facility closes per NR 665.0054.7 yearsDate of facility closureDestroyNoRisk Management (State)
RISK0078RCRA Compliance -- Large Quantity Generator Training RecordsRecords documenting compliance with NR 665.0016(5), personnel training: job title, employee name, written position description, type and amount of training to be provided, documentation that training has been provided and completed.7 yearsDate employee last worked in the facilityDestroyNoRisk Management (State)
RISK0079Clean Water Act Compliance RecordsRecords documenting compliance with Clean Water Act and other water regulations.
Includes records related to Spill Prevention Control and Countermeasure (SPCC), Wisconsin Pollution Discharge Elimination System (WPDES), stormwater management and other records relating to environmental compliance with water regulations.
7 yearsSupersededDestroyNoRisk Management (State)
RISK0080Safe Drinking Water Act Compliance RecordsRecords documenting compliance with Safe Water Drinking Act 40 CFR 141 and related programs. Microbiological analyses and turbidity analyses, records of chemical analyses, action taken by the system to correct violations of primary drinking water regulations, written reports, summaries or communications relating to sanitary surveys of the system.10 yearsCreationDestroyNoRisk Management (State)
RISK0085Hazardous Materials Regulations Training RecordsRecords documenting compliance with training of hazmat employees in accordance with 49 CFR 172.704 (USDOT). The training record must include the employee's name, the most recent training completion date of the employee's training, a description, copy, or the location of the training materials used to meet the requirements, the name and address of the person providing the training and certification that the hazmat employee has been trained and tested as required.
Per 49 CFR 172.704 (USDOT): A record of current training, inclusive of the preceding three years shall be created and retained for each hazmat employee.
7 yearsEmployee current certification dateDestroyNoRisk Management (State)
RISK0086Hazardous Materials Shipping PapersRecords documenting compliance with shipping papers used to offer hazardous materials other than waste in accordance with 49 CFR 172.201(e) (USDOT).
See RDA# RISK0071 “Waste Disposal Site Records” for retention and disposition of hazardous waste and PCB manifests and Certificates of Disposal retention. 49 CFR 172.201(e). Retention and Recordkeeping.
Each person who provides a shipping paper must retain a copy of the shipping paper required by 49 CFR 172.200(a), or an electronic image thereof, that is accessible at or through its principal place of business and must make the shipping paper available, upon request, to an authorized official of a Federal, State, or local government agency at reasonable times and locations.
3 yearsDate material was accepted by initial carrierDestroyNoRisk Management (State)
RISK0090Radioactive Materials/Radiation -- Supporting DocumentsIncludes documents and related records that support radioactive materials and or radiation management program that may be disposed prior to the termination of the license or program requiring the record. Includes audits/reviews, area/package surveys, leak test results, tests on entry control devices, irradiator use 157.73(22); industrial radiography devices DHS 157.45; medical use records DHS 157.71; records relating to x-rays devices: diagnostic DHS 157.75, veterinary DHS 157.79; CT DHS 157.80 and dental DHS 157.77, DHS 157.78.7 yearsCreationDestroyNoRisk Management (State)
RISK0091Radioactive Materials/Radiation -- License DocumentsIncludes documents and related records that support radioactive materials and or radiation management program that may not be disposed prior to the termination of the license or program requiring the record. Provisions of the program, surveys, measurements, calculations used to determine dose. Measurement and calculations used to determine release of radioactive effluent, doses to members of the general public DHS 157.31; irradiator use 157.73(22); industrial radiography devices DHS 157.45; medical use records DHS 157.71.0 yearsTermination of license or registration of the deviceDestroyNoRisk Management (State)
RISK0092Radioactive Materials/Radiation -- Individual Monitoring RecordsRecords of doses for those whom monitoring is required under DHS 157.25 (2), planned special exposures, accidents, emergencies. Records include whole body deep dose equivalent, lens dose equivalent, skin, extremity dose; estimated intake of radionuclides, total effective dose equivalent DHS 157.31.PermanentPermanentYesRisk Management (State)
RISK0093Radioactive Materials/Radiation -- Records related to DecommissioningInformation related to decommissioning of a facility in an identified location. Records include Spill records, list, drawings and modifications of restricted areas, waste-burial areas, funding for decommissioning DHS 157.15(7).0 yearsDate site is approved by DHS for unrestricted useDestroyNoRisk Management (State)
RISK0094Radioactive Materials/Radiation Device Receipt and Disposition RecordsLicensee or registrant’s records showing the receipt, transfer and disposal of all sources of radiation per DHS 157.06(1) DHS 157.06(1) R ECORDS . A licensee or registrant shall maintain records showing the receipt, transfer and disposal of all sources of radiation until the department terminates the license or registration authorizing possession of the device or material, and for 3 years following transfer or disposal of the device or material.3 yearsDate of termination of the license/registration authorizing possession of the materials or radiation deviceDestroyNoRisk Management (State)
RISK072Emergency Planning and Community Right to Know (EPCRA)Records documenting compliance with Emergency Planning and Community Right-to-Know Act (EPCRA) and Chapter 323 Wis. Stats.
Includes emergency planning notification records section 302, emergency plans, emergency release notifications section 304, hazardous chemical reporting documentation (Tier II) reports section 311 and documentation, Toxics Release Inventory (TRI) reporting section 313.
7 yearsDate submittedDestroyNoRisk Management (State)
UWADM018Agendas/MinutesThis series includes the meeting materials for official university meetings. Groups include, but are not limited to, departments, official committees, governance meetings, council meetings, personnel/executive committees and university-wide meetings.
Records include, but are not limited to, meeting minutes and agendas, supplementary documents or other materials that are associated with the minutes. Records may also include voting materials for elections to committees, actions to be taken and formal ballots on issues of promotion or tenure decided by executive committees. Depending on the purpose of the group, some records may contain PII.
The minutes of the meetings should serve as the official record of events. Audio or video recordings of official meetings can be destructed once the meeting minutes are approved.
Closed session materials may be confidential pursuant to Wis. Stat. § 19.85(1)(c)(e)(f)(g) and Wis. Stat § 19.36(5).
3 yearsMeeting dateTransfer to ArchivesPotentially; contact the records creator for more informationAdministrative
UWADM024Accreditation FilesFiles created by departments and schools or colleges in the process of accreditation or reaccreditation of their programs by external accreditation agencies such as the American Library Association, the Commission on Collegiate Nursing Association, the Planning Accreditation Board, and others. The series may include correspondence, faculty vitae, program descriptions or summaries, accreditation applications, copies of internal program reviews, course syllabi, final reports to the accreditation committee, results of the accreditation process, and other material.11 yearsEnd of the accreditation cycle or creation of the final accreditation report, whichever is later.Transfer to ArchivesNoAdministrative
UWADM025Federal Lobbying ReportsThe Federal Lobbying Report is compiled and submitted quarterly by the Chancellor's Office for the entire University, as required by Federal Law. All entities, public and private, that lobby Congress or the Executive Branch are required to file these reports, which summarized contacts between individuals on UW campuses and federal or state officials. Each quarter a request is made of each Dean's office, asking about lobbying interactions with federal officials and their offices or staffs. After hearing back from each office from around the campus, the Chancellor's Office compiles a single summary report for the entire university. This is filed electronically with the Clerk of the House and Secretary of the Senate. A copy of the Report and the supporting forms submitted to us from around the campus are kept by the Chancellor's Office for reference and supporting documentation to the report and are considered the official record holder. Some Dean's offices may keep copies of these forms as proof of submission but these are considered copies.6 yearsDate report filedDestroyYesAdministrative
UWADM027Outside Activity ReportsEvery year, faculty, academic staff and other individuals listed on human subjects protocols or Federal grants, including graduate students, report outside activities and financial interests related to their field(s) of professional work to comply with Federal, State, and University policy. Using an electronic form, faculty and academic staff must submit a report even if it only indicates no outside activities.3 yearsCompletion of reviewDestroy confidentiallyNoAdministrative
UWADM028Statements of Economic InterestEvery year, faculty, academic staff and other individuals listed on human subjects protocols or Federal grants, including graduate students, report outside activities and financial interests related to their field(s) of professional work to comply with Federal, State, and University policy. The Statement of Economic Interest is completed by those individuals who have the capacity to commit resources of the university and is in addition to, not instead of, the Outside Activity Report.3 yearsCompletion of reviewDestroy confidentiallyNoAdministrative
UWADV001Academic Advising Records - UndergraduateRecords created to document and support comprehensive and planned guidance for matriculated undergraduate students so that both the basic requirements and those of specific majors and minors are fulfilled. This records series does not include informal and isolated communications of faculty and staff who do not provide regular advising services. Academic advising records pertain to undergraduate students and are maintained in two ways: one, by a centralized advising center which advises students for a variety of academic departments and two, by specific academic departments and colleges. The records are kept as a means for staff to provide consistency and comprehensiveness in advising of students. Files are generally organized by student name and may contain, but are not limited to: advising notes, curriculum planner, degree planning sheets, consortium agreements, worksheets, applications and worksheets particular to a department and copies of key advising email and other correspondence. A wide variety of other documents are frequently found in these files including: student academic reports, student progress summaries, requests for modification, requests for late ad/drop, copies of add/drop cards, copies of college and high school transcripts, appeals for late/drop, checklists, waiting lists, internship or independent study agreements and worksheets. Frequently, active records are separated from inactive records to facilitate retrieval and disposition routines. Inactive files can contain information about students who have graduated, have stopped attending or who have formally withdrawn from the program, college or university. This series includes all undergraduate programs except those that are for professional licensure or certification (See ADV003).3 yearsLast semester of attendance and when no longer needed for ongoing administration.DestroyYesAcademic Advising
UWADV002Academic Advising Records - GraduateRecords created to document and support comprehensive and planned guidance for matriculated graduate students completing their degrees. This records series does not include informal and isolated communications of faculty and staff who do not provide regular advising services. The academic advising file, which is generally the same or a part of a student's graduate application, matriculation and graduation record, typically contains a standard admission to candidacy form for a graduate degree (master's or doctorate), certificate or achievement program, official transcripts, a resume, standard graduate admission test results (i.e. GRE, GMAT, MAT), documentation of specific academic content areas, letters of recommendation, a personal statement describing why the applicant is pursuing this program, a certificate of admission, research proposal form, copies of key advising email and other correspondence. This series includes all graduate programs except those that are for professional licensure or certification (See ADV003).3 yearsLast semester of attendance and when no longer needed for ongoing administration.DestroyYesAcademic Advising
UWADV003Academic Advising Records - Certificate, License ProfessionalRecords created to document comprehensive and planned guidance for matriculated undergraduate and graduate students who are pursuing professional licensure or certification in areas such as education, social work, nursing, and counseling. This records series does not include informal and isolated communications of faculty and staff who do not provide regular advising services. The records include documents kept for both undergraduate advising and graduate academic advising, but also records specialized for specific professions. This series may include, but is not limited to: student academic reports, a signed statement of commitment to an ethical code, a background information disclosure (BID), a criminal background report, a student responsibilities agreement, a contact information sheet, an application for formal admission to the undergraduate or graduate program, a volunteer reference, practicum documents, teaching materials, clinical assignments, copies of key advising email and other correspondence, and other documents related to specific program preparing students for licensed and professional employment. Certificate, license, professional advising records are kept longer than other advising records for particular programmatic needs.8 yearsLast semester of attendance and when no longer needed for ongoing administration.DestroyYesAcademic Advising
UWADV004Academic Advising Records - Prospective StudentProspective student files are kept for students who express interest, but never attend the university. The file contains various documents including but not limited to recruiting and advising notes, worksheets, unofficial or official transcripts, applications, copies of key advising email and other correspondence and may include a variety of other documents. This records series does not include informal and isolated communications of faculty and staff who do not provide regular advising services. Academic advising records and documents of students who are admitted and attend the university become part of the records series: ADV001, ADV002, and ADV003.2 yearsLast contact with individual.DestroyYesAcademic Advising
UWATH001WIAC Commissioner's Budget DocumentationDocumentation created during the process of developing the annual budget fo the conference office.6 yearsEnd of Fiscal YearNoAthletics
UWATH002WIAC Commissioner's Student Eligibility RecordsRecords kept by the WIAC commissioner's office documenting the eligibility of student athletes in compliance with NCAA and WIAC rules. Records, sometimes called "eligibility packets," include the WIAC Eligibility Certificate filed by each campus for each sport, and may also include WIAC Transfer Player Eligibility Statement, Athletics Tracer Report, Medical Hardship Request Form (contains medical records) and the Petition for Waver of Conference Eligibility Rules. Also included in the series are Season of Participation/Competition Forms.6 yearsEnd of last year of eligibilityDestroy ConfidentiallyYesAthletics
UWATH003WIAC Commissioner's Scholastic Honor RollSeries enumerating individual student athletes for their outstanding work in the classroom for each academic year.3 yearsEnd of academic year createdDestroy ConfidentiallyNoAthletics
UWATH004Photographs and Video RecordingsRecords documenting a visual history of the University's athletic programs as well as documenting and adhering to athletic licensing requirements. Records include, but are not limited to, photographs and video recordings taken for use by the Athletic Department for scouting, player and coaching improvement (game film), marketing materials and news media usage.6 yearsEnd of academic year createdTransfer for University ArchivesNoAthletics
UWATH005Recruitment RecordsRecords documenting contact between the school and a prospective student-athlete (PSA). These records include, but are not limited to, correspondence with a recruit, recruitment questionnaire and recruitment-related forms. Also included may be correspondence with other institutions regarding transfer of student athletes.9 yearsEnd of year recruitment file createdDestroy ConfidentiallyYesAthletics
UWATH006Participation RecordsForms and associated records created in the process of documenting student athletes who participated in each sport in each season for conference, compliance, or academic eligibility and financial aid reasons.
Unlike UWATH007, these records are considered confidential.
Records may include, but are not limited to, forms for each athlete indicating each game they took part in, or withdrawals from a game, beginning of season "squad lists" along with financial aid received, forms documenting participation (e.g., form CAi), certain waivers and redshirt information.
6 YearsEnd of SeasonDestroy ConfidentialYesAthletics
UWATH007Team RosterFinal list of student athletes approved to play in an upcoming season. Roster information may include: student name, position, year in school, height, weight, jersey number, high school, previous season statistics (ERA, FGP, etc.). Unlike UWATH006, this records series in not confidential and may take the form of a distributed media guide. 1 YearEnd of SeasonTransfer to University ArchivesNoAthletics
UWATH008Athletic Event Planning RecordsItineraries, correspondence with game officials, volunteer forms, travel release records and other materials created in the process of organizing and implementing athletic events.6 YearsEnd of SeasonDestroy ConfidentiallyNoAthletics
UWATH009Ticketing Records - PurchasedRecords documenting the sale and distribution of audience attendance to athletic events. Records include, but are not limited to, routine reports for deposits, written requests or applications for tickets by individuals or institutions and other materials created in the process of printing, scheduling, selling and distribution of admission tickets to athletic events. 6 YearsEnd of Fiscal YearDestroy ConfidentiallyNoAthletics
UWATH010Ticketing Records - Not PurchasedRemaining unsold tickets and other ticketing materials that remained unsold or unneeded after an athletic event. 1 WeekEnd of SeasonDestroyNoAthletics
UWATH011Ticketing Records - Complimentary and Preferential SeatingForms, reports and other ticketing materials created in the issuance of complimentary tickets or preferential seating to select individuals including athletes, coaches, and guests of the university and members of the general public.10 YearsEnd of Fiscal YearDestroy ConfidentiallyNoAthletics
UWATH012Campus Hall of Fame Nomination RecordsRecords consist of documentation used to determine an individual's admittance or rejection to a UW campus's Hall of Fame. Records include, but are not limited to, nomination forms, meeting agendas and minutes established to select and honor former athletes, coaches, and friends of athletic programs who have made exceptional and positive contributions to the school's athletic programs.20 YearsCreation of Nomination FileDestroy ConfidentiallyNoAthletics
UWATH013Athletic Achievements RecordsRecords documenting significant athletic and scholarly accomplishments of individual athletes or teams. These records include, but are not limited to, records related to official announcements for induction into a campus or conference Hall of Fame, documentation of significant competitions that an athlete/team participated in, official documentation of athletic achievements (records set), or athlete/team recognition at the conference or national level.20 YearsDate of Record or AccomplishmentTransfer to University ArchivesNoAthletics
UWATH014Staff Certification DocumentationRecords documenting the certification of athletic staff, mainly coaches, in the areas of safety, health and NCAA regulations. Materials include, but are not limited to, up-to-date documentation of CPR and first aid training as well as proof of successful completion of NCAA recruitment rules training.6 YearsSeparation from EmploymentDestroy ConfidentiallyNoAthletics
UWATH015NCAA Compliance RecordsRecords documenting athletic department efforts to educate about, and monitor for, NCAA rules compliance in order to identify and reduce areas of risk within the athletic program. Materials include documentation verifying training activities, investigations of incidents or infractions of NCAA rules or University Policies regarding participation in competitive intercollegiate sports. Records may also include, but are not limited to, documentation of support given to the establishment of any campus rules compliance committees, petitions to conference officials, and formal interpretation of NCAA policies and rules.10 YearsEnd of Fiscal YearTransfer to University ArchivesYesAthletics
UWATH016NCAA Rules Violation Report RecordsRecords documenting any rules violations reported to the NCAA. These are required to be filed using Requests/Self Reports Online (RSRO) system provided by the NCAA. Records identify the details of the violation as well as what steps the school took to correct it or take disciplinary action if needed. Series may also include correspondence and other materials copied and forwarded to the NCAA offices.7 yearsEnd of corrective actionDestroy ConfidentiallyYesAthletics
UWATH017NCAA Program AuditsRecords surrounding the routine external audit of financial reporting and agreed upon procedures specific to compliance rules set out in the NCAA Manual. Records document a program's fidelity to a number of rules regarding governance, eligibility of athletes, financial aid administration, recruiting activities, rules education, coaching playing and practice spaces and other issues.6 YearsConclusion of AuditDestroy ConfidentiallyNoAthletics
UWATH018Student Athlete Aid RecordsRecords specific to Division I and II programs that document the distribution of financial aid specifically to student athletes in accordance to NCAA rules. Materials include documentation of the distribution of NCAA Student Assistance Funds (SAFs) and Student-Athlete opportunity Funds (SAOFs).6 YearsEnd of SeasonDestroy ConfidentiallyYesAthletics
UWFA100Administrative Policies and ProceduresRecords include all written policies, procedures, and related documentation pertaining to fiscal matters. These may be issued by the University of Wisconsin System or by individual institutions.4 yearsDate supersededTransfer to Archives per institutional policyNoFiscal/Accounting
UWFA101ManualsRecords include all fiscal and accounting-related manuals. These may be issued by the University of Wisconsin System or by individual campuses.3 yearsDate supersededTransfer to Archives per institutional policyNoFiscal/Accounting
UWFA102Routine Internal Status and Activity ReportsRecords include internal statistical and narrative reports on routine fiscal and accounting operations, including weekly, monthly, and quarterly reports for operations, management analysis, and planning.0 daysNo longer neededDestroyNoFiscal/Accounting
UWFA103Year-End Reports (GAAP)Reports and all support documentation. Also included in this series are tax-related reports (1098T listings/logs, W-2s, 1099s, etc.) and the Academic Fee Income Report(AFDR).6 yearsFiscal year of creationDestroyYesFiscal/Accounting
UWFA104Annual Financial ReportThis series may include, at the discretion of individual campuses, supporting documentation (otherwise covered in UWFA105) that will be retained permanently together with the Annual Financial Report.PermanentRetain permanently in office of originNoFiscal/Accounting
UWFA105Non-Routine Financial Reports and StudiesReports and studies created for fiscal, accounting, and administrative reviews or analyses, including equity and escrow reports, fringe benefit studies, facility usage reports, cost comparison studies, and other special reports and studies. Also included are fiscal management
subject and correspondence files used to support general fiscal management.
4 yearsFiscal year of creationDestroyNoFiscal/Accounting
UWFA106Audit Documentation: Regularly-Occurring Audit CyclesAll documentation related to regularly occurring audits, including reports, agency/office responses, and findings. Regular audits include A-133 and CAFR audits.3 yearsDate of issuance of final audit reportDestroyNoFiscal/Accounting
UWFA107Audit Documentation: Irregularly-Occurring Audit CyclesAll documentation relating to infrequent audits, including reports, agency/office responses, and findings.10 yearsDate of next audit cycle or 10 yearsDestroyNoFiscal/Accounting
UWFA108Reconciliation Work PapersRecords include intermediate fiscal records of receipts and disbursements used to reconcile accounts. These may include spreadsheets, proof sheets, abstracts of receipts, and disbursements or claims.4 yearsFiscal year of creationDestroyNoFiscal/Accounting
UWFA109Authorization for Access/FormsApplications, authorizations, cardholder agreements, and related forms used to establish accounts. Authorizations may relate to, but are not limited to, SFS, purchasing cards, corporate (travel) cards, and WISDM.4 yearsFiscal year in which account was inactivatedDestroyNoFiscal/Accounting
UWFA110Credit Card Receipts and/or Deposits TransactionsCredit card receipts and other documentation associated with credit card transactions. For electronic transactions, these records include encrypted data containing credit card numbers and related information.3 yearsDate of transactionDestroy ConfidentialNoFiscal/Accounting
UWFA111Payment Card Industry Compliance (PCI)PCI compliance means that a merchant accepting credit or debit cards is operating in a way that protects the confidential information (card number, expiration date, name of cardholder and security code) from being released to anyone other than the acquirer of the transactions going into the credit card processing network. The standards are set by the PCI Standards Council established by the major card brands. This records series pertains to the PCI Operator Training forms and corresponding PCI Compliance Logs.3 yearsCreation yearDestroy ConfidentialYesFiscal/Accounting
UWFA200Internal Control Policies and ProceduresPolicies and procedures governing internal control, and related documentation that explains internal control policies and procedures, including but not limited to: memos, bulletins, and manuals.3 yearsDate on which the policy directive is withdrawn, revised, or superseded, and thereafter destroy.DestroyNoFiscal/Accounting
UWFA201Internal Management Review and Routine Oversight Control Files, Reports and Action FilesAll documentation relating to routine internal management review and oversight of operations.3 yearsDate of completed audit reportDestroyNoFiscal/Accounting
UWFA202Internal Audit Control Files, Reports, Action Files and FindingsAll documentation relating to internal audits of controls and findings.10 yearsDate of next audit cycle or 10 yearsDestroyNoFiscal/Accounting
UWFA203Internal Control Reference FilesAll reference files used to support internal control programs.0 daysDate of supersession of fileDestroyNoFiscal/Accounting
UWFA300Expenditures: Accounts Payable RecordsAll supporting records relating to the purchases of goods or services. These records may include, but are not limited to, vouchers (both regular and student vendors), invoices, travel expense reports and attached receipts, Payment-to-individual (PIR) reports, Academic Support Service Agreements (ASSA), entertainment contracts, Inter-Institutional Agreements, financial aid disbursements, and purchase orders.6 yearsFiscal year of creationDestroyNoFiscal/Accounting
UWFA301Receipts: Accounts Receivable RecordsAll supporting documentation related to the receipt of funds, which may include but are not limited to: deposit forms, remittance forms and any documentation that supports student charges/bills, including, but not limited to: uploads of charges (batch), housing/food plan contracts, manual charges, special fees, etc. Also included in this series are records relating to deposits, as well as invoices to third parties, and financial aid return forms and documentation. Although this General Schedule applies generally to non-student related records, be advised that it does include correspondence and documentation relating to student payments, such as remittances, receipts, and third party settlements. This record series is also described in the General Student
Records Schedule.
6 yearsFiscal year of creationDestroyNoFiscal/Accounting
UWFA400Paid/Cancelled ChecksBoth paper checks and those imaged onto CD-ROM. CD-ROMs are provided by the state's working bank.6 yearsFiscal year of creationDestroy ConfidentialYesFiscal/Accounting
UWFA401Voided ChecksVoided checks resulting from printing errors.6 yearsFiscal year of creationDestroy ConfidentialYesFiscal/Accounting
UWFA402Stop Payment/Voided/Cancelled Check RecordsRecords include requests for stop payments and related Correspondence and reports. These requests include ZBA, Agency, and Contingent Fund accounts. Also included is all documentation relating to unpaid items, such as requests for re-issuance of checks, as well as all reports, logs, follow-up letters and supplemental documentation for stale check follow-up, voids, and reissues.6 yearsFiscal year of creationDestroy ConfidentialYesFiscal/Accounting
UWFA403Bank Statements: All AccountsAll statements and supporting documentation for reconciliation. Also included are bank analysis reports and all documentation relating to signature authority for checks.6 yearsFiscal year of creationDestroyNoFiscal/Accounting
UWFA404Signature Cards: AuthorizationAll documentation relating to requests for signature authority for checks.6 yearsDate of inactivation of signature authorityDestroyNoFiscal/Accounting
UWFA405General Obligation Bond RecordsAll supporting documentation for principal and interest payments, including correspondence and reports.50 yearsDate the bond matures or is calledDestroyNoFiscal/Accounting
UWFA500Collection Case FilesRecords include documentation of collection efforts: correspondence, reports, "dunning" letters, payment agreements, relevant reports to/from the agency and the amount of debt defaulted or written
off as uncollectible. Also included is all correspondence to/from outside collection agencies. Although this General Schedule applies to non-student related records, be advised that this series includes all correspondence and documentation relating to delinquent student accounts. These records can include, but are not limited to, payment plans, deferments, student letters, e-mail correspondence, pre-collect processes, book vouchers, and temporary loans. Note that student collection records and data are integrated with the ISIS/PeopleSoft client server, and that a number of these records may exist in electronic format. This record series is also described in the General Student Records Schedule.
7 yearsDate account is dueDestroyYesFiscal/Accounting
UWFA600Journal EntriesAll supporting documentation for journal uploads or entries into the Shared Financial System General Ledger. These may include, but are not limited to, internal transfers (chargebacks), payment transfers, revenue transfers, budget transfers, and budget entries for projects. Also included is documentation supporting the allocation of purchasing card expenditures, as well as supporting documentation for project budgets.6 yearsFiscal year of creationDestroyNoFiscal/Accounting
UWFA700Capital Accounting Projects: Federal Construction FundsDocumentation of acquisitions, capital assets, depreciation schedules, fixed assets, material transfer files, mortgage ledgers, facility/plant ledgers, property detail reports, property inventory reports, and reports on property sold.30 yearsDate of issuanceDestroyNoFiscal/Accounting
UWFA701Capital Accounting Projects: Non-Federal Construction FundsAll documentation supporting construction fund projects, including acquisitions, capital assets, depreciation schedules, fixed assets, material transfer files, mortgage ledgers, facility/plant ledgers, property detail reports, property inventory reports, and reports on property sold.4 yearsFiscal year of creationDestroyNoFiscal/Accounting
UWFA702Capital Accounting Project BudgetsRecords include budget-related records (allotments) for construction fund projects.4 yearsFiscal year of creationDestroyNoFiscal/Accounting
UWFA800Capital and Non-Capital Equipment InventoriesRecords include running inventories of capital equipment such as motor vehicles, audio-visual equipment, computers, printing and mailing equipment, production copiers, tools lab equipment, furniture, etc., that describe each piece of property, denote its location, and provide totals of each type of institution- or equipment owned by University of Wisconsin System institutions. Also included are the same types of inventories for non-capital equipment such as office supplies, computers, commodities, parts, and materials.4 yearsFiscal year of creationDestroyNoFiscal/Accounting
UWFA801Surplus Property Disposition RecordsDocumentation that identifies surplus property and tracks its disposition. Included
are requests for disposal of property, receipts, Duplicates of reporting forms and supporting documentation that describes the property and the proposed method of disposition. Records may also include acquisition information and depreciation schedules.
4 yearsDate of disposition of propertyDestroyNoFiscal/Accounting
UWFA900Grant Folders: FederalRecords include transmittals, awards, budgets, and all other documentation related to the procurement of federal grants. Also included are all reports, forms, and documentation related to PAR reports, as well as reports and supplemental information for verification of grants and contracts.3 yearsDate of submission of financial report or close of grantDestroyNoFiscal/Accounting
UWFA901Gift and Grant Folders: Non-federalRecords include transmittals, awards, budgets, and all other documentation related to the procurement of non-federal grants, as well as reports and supplemental information for verification of grants and contracts, both individually and in batch form. This schedule applies to grants for which the granting agency requires a 3-year retention.3 yearsDate of close of grantDestroyNoFiscal/Accounting
UWFA901AGift and Grant Folders: Non-federal and Subject to External Agency RestrictionsRecords include transmittals, awards, budgets, and all other documentation related to the procurement of non-federal grants, as well as reports and supplemental information for verification of grants and contracts, both individually and in batch form.
This schedule applies to grants for which the granting agency requires a 6-year retention. It may also be used at the discretion of individual University of Wisconsin institutions that wish to retain 3-year grants (See UWFA901) for a shorter period of time.
6 yearsDate of close of grantDestroyNoFiscal/Accounting
UWFA902AllocationsAll documentation used to verify the fringe, indirect cost, and Facilities and Administration (FandA) allocation processes for grants.6 yearsFiscal year of grant's awardingDestroyNoFiscal/Accounting
UWFA903Letter of Credit: Drawdown InformationAll documentation used to determine draw amounts against federal grants' Letters of Credit.4 yearsDate of submission of LOC draw requestDestroyNoFiscal/Accounting
UWFA904Facilities and Administration (FandA) Cost Rate ProposalsRecords include rate proposals, cost allocation plans, and computations.3 yearsDate of submission of proposalDestroyNoFiscal/Accounting
UWGNT001Grant Folders  Federal and Non-Federal - AcceptedDocumentation associated with grants approved by campus research offices and accepted for funding by grantor agencies. Such documentation may include, but is not limited to: contracts, progress reports, use agreements, final reports, and other related records.EVT + 6 YearsClose of the GrantDestroyNoGrants
UWGNT002Grant Proposals Review Files - RejectedGrant applications, approved by campus research offices and submitted to grantor agencies that have either been directly rejected or have not received a response from the grantor agency for a period of time not exceeding one year after the proposed start date of the grant project.EVT+4 YearsDate Grant RejectedDestroyNoGrants
UWGNT003Grant Files - UW-System AdministeredApplications and documentation for grant programs such as the Challenge Grant and other grants run by UW-System and often facilitated by campus research offices. The files include applications, public meeting minutes, budget forms, award documentation, non-award documentation, and evaluation materials.EVT+6 YearsClose of the GrantDestroyNoGrants
UWGNT004Grant - Internal Grant Award DocumentationDocumentation of the winners of grants awarded by the University Research Office or granting units. Information contained would include, but not be limited to, the name and scope of project, the amount of money requested, and the start and end dates of the projects. This data has long-term administrative and historical value to the Campus Research Offices or granting units on campus in tracking internal grants.EVT+6 YearsClose of the GrantDestroyNoGrants
UWGNT005Scientific or Research Misconduct RecordsRecords documenting accusations of misconduct brought forward by or against faculty or students and relating to research projects. These records include accusation statements; inquiry committee findings; and related correspondence, hearing and review records and final report.EVT+7 YearsDate Audit is ClosedDestroy ConfidentialYesGrants
UWGNT007Grant - Final Reports To Granting Agencies and InstitutionsFinal reports submitted to granting agencies and institutions as the final product of the grant project. Depending on the agency, these reports may contain a breakdown of funds spent, narrative description of the product and results, analysis, work product developed during the grant, or other information intended to explain how grant money was spent.EVT+6 YearsDate of the ReportTransfer to Institutional ArchivesNoGrants
UWHR0100HR Personnel Hiring and Position Change Forms and RequestsThis series document the Human Resource forms, such as Create a Position, Hire a Person(with a Position), Hire a Person(without a Position), Add a Person, Change a Position, Job Change with and Without a Position, Additional Information for Student Help, Change a Person, Vacation Option election Form, Self-Identification Form, Emergency Contact form. These forms function much like the Personnel Action Forms in that they authorize changes to the HRS system.EVT+2 YearsDate the Request is Approved or DeniedDestroy ConfidentialYesHR
UWHR0101Position Vacancy Listing or Position AnnouncementThis series documents the position vacancy or position announcement for Faculty, Academic, and University positions. The position announcement describes the position which is being recruited , including information regarding: employing unit and payroll (funding) sources(s), position title, type of appointment, salary level, dates of availability and appointment, position descriptions and qualifications and approval signatures.EVT+6 YearsDate Position is FilledDestroyNoHR
UWHR0102Criminal Background ChecksThis series documents a record of criminal background checks made on UW employees at the time of hire. These records include, but are not limited to: (1) the confidential self-disclosure job application supplements; (2) the criminal background check reports; (3) Records related to notification of the applicants of a decision not to hire. Original background checks are confidential materials and are to be kept separate from the personnel file. These files are kept per EEOC and Fair Credit Reporting Act. Confidential under Employee Personnel Records Wis. Stat.§ 19.36(10)CR+7 YearsDate of CreationDestroy ConfidentialYesHR
UWHR0103Federal I-9 Employee Eligibility Verification -HiredThis series includes the Federally required forms that verify and or re-verified and check employment eligibility and employee identity. This is maintained in a separate file while the individual is employed.
NOTE: Must Retain while individual is employed. When employment at institution is terminated, the employer must retain the form for either three year after the date of hire, or one year after the employment is terminated, whichever event is later.
8 U.S.C.§13249(a). Confidential under Employee Personnel Records Wis. Stat.§ 19.36(10)
3 years after date of hire or 1 year following separation from employment, whichever is laterDestroy ConfidentialYesHR
UWHR0104Candidate FilesIndividual candidate files include all materials submitted by the candidate as part of the application recruitment process.
NOTE: The information that is gathered or created in TAM or TREMS for recruitment will be retained for the same length of time in the system and/or data warehouse as the candidate file. After the position is filled, it is the intent that part of the successful candidates file will be transferred to their personnel file. Some of the items that currently go into the personnel file are: candidate resume or CV, the initial position description, the criminal background check date, contract/appointment letter etc. A campus may have hard copies of these documents gathered during the recruitment placed in a personnel file or if the campus keeps electronic personnel files these would be transferred.
29 U.S. Code§ 626, 29 CFR§1627.3, 29 CFR§1602.3
EVT+6 YearsDate Position is FilledDestroy ConfidentialYesHR
UWHR0105Search and Screen Committee Records - GeneralThis record series applies to all Search and Screen for positions of Associate Dean and lower levels of administration. It includes documentation of the activities of committeeÂs search activities. This may include documents from outside search firms.
This series includes, but is not limited to: interview documentation, minutes, list of candidates and nominees, list of interviewees, press releases and other publicity materials, position description, position vacancy announcements, list of search and screen committee members, list of colleagues and professional organization from which nominations may have been sought, sample letter sent to applicant, sample questions used in interview process, rejected letter of offer, video presentations, and other correspondences related to the search process.
EVT+6 YearsDate Position is FilledDestroy ConfidentialYesHR
UWHR0106Search and Screen Committee Records Higher Level SearchThis record series applies to all Search and Screen for positions of Dean and higher levels of administration. It includes documentation of the activities of committeeÂs search activities. This may include documents from outside search firms.
This series includes, but is not limited to: interview documentation, minutes, list of candidates and nominees, list of interviewees, press releases and other publicity materials, position description, position vacancy announcements, list of search and screen committee members, list of colleagues and professional organization from which nominations may have been sought, sample letter sent to applicant, sample questions used in interview process, rejected letter of offer, video presentations, and other correspondences related to the search process.
EVT+6 YearsDate Position is FilledTransfer to Institutional Archives or destroy confidentially per institutional policyYesHR
UWHR0107Compensation, Titling and Salary Equity RecordsThis series consists of, but is not limited to market compensation data/analysis, position and job family analysis, titling structure, labor market surveys and reports, including those for a specific job.EVT+6 YearsDatethat Analysis or Survey was CompletedDestroyNoHR
UWHR0200Affirmative Action Records -EEOC (Equal Employment Opportunity Commission) - Applicant Pool and Reporting by Job Group/CategoryThis series documents affirmative action form(s) that the applicant is required to complete or fulfill affirmative action job reporting requirements (such as the applicant pool summary race, gender breakdowns and disposition statuses). This is a report of aggregate data from the TAM/recruitment file and applicants as they apply for each position. It also includes reporting by each institution by job group/category. Confidential under Employee Personnel Records Wis. Stat.§ 19.36(10)containing the number of applicants,EVT+ 6 yearsDate Position is FilledDestroy ConfidentialYesHR
UWHR0201Affirmative Action Records -EEOC (Equal Employment Opportunity Commission) - PlansThis series documents Affirmative Action plans for UW-System Campuses in compliance with Wis. Stat.§ 230.04(9) and 29 CFR§ 1602.32 and 29 CFR29§ 1608.4. Each institution within the UW-System has an AA-related plan which contains policy related items and working papers.EVT+3 YearsDate that Plan is Updated, Obsolete, Rescinded or SupersededDestroyNoHR
UWHR0202Discrimination Complaint FilesThis series documents the investigation into any act(s) of discrimination filed by an employee. This series may include, but is not limited to: investigative and interview notes, logs, reports, and Equal Employment Opportunity Commission (EEOC) claims. Also includes Title VI, Title IX and ADA investigations 29 CFR § 1602.1EVT+6 YearsDate that Personnel Action was Resolved or TerminationDestroy ConfidentialYesHR
UWHR0300Grievance/Complaint Tracking LogAn electronic system, database or mechanism to track the grievances filed by employees at the University. Tracking systems or logs may include information about the grievant, contractual language being grieved, relief sought, grievance response, status of grievance and potential arbitration results. Confidential under Employee Personnel Records Wis. Stat.§ 19.36(10)EVT+ 6 YearsDate that Complaint
or Grievance is Resolved
Destroy ConfidentialYesHR
UWHR0301Employee Complaints and/or Grievance RecordsThis series documents the initial complaint, actions, investigation, summary, and deposition of an employee grievance or complaint. This series may include, but is not limited to: investigative and interview notes, logs, and reports and appeals. For formal grievances see record series UWHR0303. Confidential under Employee Personnel Records Wis. Stat.§ 19.36(10)EVT+ 6 YearsDate that Complaint or Grievance is ResolvedDestroy ConfidentialYesHR
UWHR0302Formal University Grievance and AppealThis record series includes grievance ad appeal records that are related to grievances that are filed under the authority of the official University, Faculty, or Academic Staff Policies and Procedures and their appeals processes. Confidential under Employee Personnel Records Wis. Stat.§ 19.36(10)EVT+ 6 YearsDate that Complaint or Grievance is ResolvedTransfer to Institutional Archives per policy for archival reviewYesHR
UWHR0303Employee Lay-Off RecordsEmployee layoff records may include, but are not limited to: notice of risk status or impending layoff; all union/individual notices; copy of the layoff plan to include organizational charts, if appropriate; any other documents that detail or explain the layoff as it affected the employee, seniority lists, referral to other positions, and documentation that a reasonable offer was made and either accepted or turned down. Other records covered under this series are related to the process by which faculty or academic staff is laid off from their position, including hearing transcripts and other evidence and recommendations from the Committee on Faculty rights and Responsibility or other appropriate body. Confidential under Employee Personnel Records Wis. Stat.§ 19.36(10)EVT+ 6 YearsEffective Date of the
Layoff
Destroy ConfidentiallyYesHR
UWHR0304Non-Renewal of Appointment Academic Staff /FacultyThis series includes records relating to incidents where a faculty or academic staff member fails to have their appointment renewed. Records may include, but are not limited to: notice of non-renewal from the employeeÂs supervisor, department, dean or administrative officer making the decision, the reason for non-renewal, the written request for full review or appeal; records of an appeal, and any other reports to the dean or chancellor. Confidential under Employee Personnel Records Wis. Stat.§ 19.36(10)EVT+ 6 YearsDate of Final DecisionDestroy ConfidentialYesHR
UWHR0400Personnel Record University Staff, Academic Staff and Faculty Institutional LevelThere may be institutions where this is occurring at the institutional level. This series documents the university employees Official Personnel record managed by Offices of Human Resources at the institutional level. These records may be in an imaged format. Paper equivalents may be managed by Division, Department or Unit in record series below and scanned and sent to Office of Human Resources. See other Personnel records series if this does not apply. Confidential under Employee Personnel Records Wis. Stat.§ 19.36(10)EVT+ 10 YearsSeparation from InstitutionDestroy ConfidentialYesHR
UWHR0401Personnel File including Faculty Career File - Tenured Faculty and Indefinite (All Campuses)This series contains records related to Tenured Faculty or Academic Indefinite employee during employment at the Institution. This may constitute the official personnel file for most institutions. NOTE: Faculty Career File such as news stories, congratulatory letter, list of publications or articles, awards or commendations. These documents may or may not be included with the file and may contain documents of historical value to the university. Files may contain, but are not limited to the following documents: Letters of application, Resume or Curriculum Vitae (CV), Letters of Recommendation or reference, Letters of offer or appointment, reappointment or promotion, Letter of Acceptance, Tenure or indefinite appointment, Personnel action forms-HRS Forms, Notices of faculty or academic evaluations or performance evaluations or review, Merit Reviews and Responses, Notices of Awards or Grants that the employee received, Notices of Named Professorships, Disciplinary actions, Letters of resignation or retirement, and Notices of non-renewal of appointment for academic staff. Confidential under Employee Personnel Records Wis. Stat.§ 19.36(10)EVT+ 30 YearsSeparation from Unit or Department or InstitutionTransfer to Institutional Archives per policy for archival reviewYesHR
UWHR0402Personnel File Academic and Non-Tenured Faculty (All Campuses Except UW-Madison)
For UW-Madison see UWHR403
This series contains records related to Academic Staff or Non-Tenured Faculty during employment at the Institution. This may constitute the official personnel file for most institutions except UW-Madison due to disposition requirements.
Files may contain, but are not limited to the following documents:Letters of application, Resume or Curriculum Vitae (CV), Letters of Recommendation or reference, Letters of offer or appointment, reappointment or promotion, Letter of Acceptance, Tenure or indefinite appointment, Personnel action forms-HRS Forms, Notices of faculty or academic evaluations or performance evaluations or review, Merit Reviews and Responses, Notices of Awards or Grants that the employee received, Notices of Named Professorships, Disciplinary actions, Letters of resignation or retirement, and Notices of non-renewal of appointment for academic staff.
Confidential under Employee Personnel Records Wis. Stat.§ 19.36(10)
EVT+ 10 YearsSeparation from Unit or Department or InstitutionTransfer to Institutional Archives per policy for archival reviewYesHR
UWHR0403Personnel File Academic and Non-Tenured Faculty (For UW-Madison)This series contains records related to Academic Staff or Non-Tenured Faculty during employment at UW-Madison. This may constitute the official personnel file at UW-Madison due to disposition requirements. Files may contain, but are not limited to the following documents: Letters of application, Resume or Curriculum Vitae (CV), Letters of Recommendation or reference, Letters of offer or appointment, reappointment or promotion, Letter of Acceptance, Tenure or indefinite appointment, Personnel action forms-HRS Forms, Notices of faculty or academic evaluations or performance evaluations or review, Merit Reviews and Responses, Notices of Awards or Grants that the employee received, Notices of Named Professorships, Disciplinary actions, Letters of resignation or retirement, and Notices of non-renewal of appointment for academic staff. Confidential under Employee Personnel Records Wis. Stat.§ 19.36(10)EVT+ 10 YearsSeparation from Unit or Department or InstitutionDestroy ConfidentialYesHR
UWHR0404Personnel File PhD, Graduate, Teaching
Assistant or Researcher, Employees in Training,
Fellowship and Post-Graduate Associates
This series documents the personnel record for PhD, Graduate, Teaching Assistant or Researcher, Employees in Training, Fellowship and Post-Graduate Associates. Files may contain, but are not limited to the following documents: Letters of application, Research proposal (at hire, if required), Resume or Curriculum Vitae (CV), Letters of Recommendation or reference, Letters of offer or appointment, reappointment, promotion, Letter of Acceptance, Position Description, Base rate or any changes in employment status, Personnel action forms-HRS Forms, Base Rate or Title Change request and actions, Notices of Leaves of Absence, Notices of Awards or Grants that the employee received, Grievances that employee may have, Disciplinary actions, Arbitration records, and letters of resignation. Confidential under Employee Personnel Records Wis. Stat.§ 19.36(10)EVT+ 6 YearsDate of terminationDestroy ConfidentialYesHR
UWHR0405Volunteer and Unpaid InternshipsThis records series pertains to records of volunteers and unpaid interns. Records include, but are not limited to: applications, resumes, risk management agreements and other materials related to staffing. Confidential under Employee Personnel Records Wis. Stat.§ 19.36(10)EVT + 2 YearsDate of Assignment CompletionDestroy ConfidentialYesHR
UWHR0500Employee Medical Information Files - DepartmentalThis series includes records relating to an employee's medical status. Records may include such items as ADA accommodation, psychology profile, and other health related documentation on the employee. This information must be maintained separate from the individuals personnel file per CFR29 1630.14(b)(1). This record series does not apply to workers compensation. See the Risk Management general schedule.EVT + 10 YearsSeparation From the InstitutionDestroy ConfidentialYesHR
UWHR0501HIPAA Privacy Complaint FilesThis series may include, but is not limited to: investigative and interview notes, logs, reports, and other documents required by the HIPAA Privacy Rule at 45 CFR Parts 160 and 164.EVT+6 YearsDate that Personnel Action Was Resolved or TerminatedDestroy ConfidentialYesHR
UWHR0600EAP- Statistical Reports and Program AccomplishmentsThis record series includes statistical reports, utilizations summaries, and year-end reports of EAP activities. The information included in this series summarizes program utilizations and various other program activities and is used for purposes of program evaluation, policy/procedure and the development of future program goals.CR + 5 YearsDate of CreationDestroy ConfidentialYesHR
UWHR0601EAP- Employee Assistance Case FilesThis series includes confidential records documenting an employee's contact with EAP. Series many include, but in not limited to: case notes written by EAP staff, signed consents for release of information, medical/treatment records received from the employee's treatment provider, or other reports from internal or external sources. Wis. Stat. 146.81 - 146.84 - Confidentiality of Health Records; Wis. Stat. 51.30 - Mental Health Records; HIPAA Privacy Rule at 45 CFR Parts 160 and 164EVT + 5 YearsDate of Last EncounterDestroy ConfidentialYesHR
UWHR0602EAP- Employee Assistance Satisfaction SurveysThis series includes documents created when campuses conduct EAP satisfaction surveys or when an employee has utilized EAP services.EVT+0Date Survey Analysis Was CompletedDestroy ConfidentialYesHR
UWHR0603University Wellness Program and Related ActivitiesThis series consists of documentation of program activities performed under the university wellness program. Program activities might include, but are not limited to: educational presentations; promotion of wellness; onsite health screenings; health fairs, on-site accessibility classes such as Pilates/Yoga and on-site weight loss programs.CR+ 5 YearsCreationDestroyNoHR
UWHR0700H-1B and E-3 Labor Condition Applications (LCA) Public Access Files.Employers who sponsor H-1B and E-3 petitions are responsible for preparing the supporting documentation that forms the basis for the Labor Condition Application (LCA). The employer must make the documentation available in a public inspection file within one working day after the date of filing the LCA with the Department of Labor (DOL). Any member of the public may request access to the file. The employer should keep the public access file separate from the H-1B and E-3 personnel file. Labor condition application (LCA), Form ETA 9035/9035E is a document that a prospective H-1B or E-3 employer files with ETA when it seeks to employ nonimmigrant workers at a specific job occupation in an area of intended employment for not more than three years. In this document, the employer attests to standards to which it will adhere. It must be certified by the authorized DOL official pursuant to the provisions of 20 C.F.R.§655.740 before it can be used. Forms/documents associated with these files: Master Public Access file (includes summary of benefits offered), Labor Condition Authorization (LCA) form, Prevailing Wage Determination form (ETA 9141), evidence of department and IFSS posting requirements of the LCA in addition to postings at any other work locations listed on the LCA, actual wage data comparison form and certification form, certified copy of LCA (ETA 9035E), FLCDataCenter.com printout from website (if applicable), other corresponding wage surveys (if applicable), email communication between department and IFSS regarding the wage, checklist of contents of public access file.EVT + 1 YearLast Date that Any
H-1B or E-3 Nonimmigrant is employed under the Labor
Condition Application (LCA).
If No Nonimmigrants Were Employed Under the LCA or
One Year from the Date the LCA expired or was withdrawn
Destroy ConfidentialYesHR
UWHR0701PERM = Program Electronic Review Management (also
referred to aslabor certificationÂ).
Copies of PERM applications filed with Department of Labor and all supporting documentation, including: Prevailing wage determination, Advertising and other recruitment activities, Notice of postings/notices to unions, Recruitment reports, Evidence of resumes received and detailed reasons for rejections, Evidence of business necessity (if applicable), Evidence of attempts to contact applicants, and Documentation.EVT + 5 YearsDate of FilingDestroy ConfidentialYesHR
UWHR0702H-1B, TN, E-3, O1, and J1 Files (apart from the above LCA, when applicable).This record series includes but is not limited to: Temporary (Nonimmigrant) Workers (H-1B, TN, E-3 and O1), and Exchange Visitors (J1 research scholars) Forms/documents associated with these files: H-1B, TN, E-3, O1, I-129 petition (if applicable), Supporting documentation including but not limited to CV, appointment letter, degree, transcript, license, publications, passport, visa stamp, I-94 card, evidence of other prior statuses (if applicable), I-797 receipt/approval notice(s), Relevant correspondence between IFSS, department, and beneficiary, DS-2019 application, DS-2019 form and supporting documentation(including but not limited to invitation or appointment letter, English proficiency, financial support, CV, passport copies, dependent passports, marriage certificates, birth certificates), and Correspondence between IFSS, department, and beneficiary information. Confidential under Employee Personnel Records Wis. Stat.§ 19.36(10)EVT+ 3 YearsLast Date of EmploymentDestroy ConfidentialYesHR
UWHR0703PR (Permanent Residency) Files (apart from the above PERM files, when applicable).This record series includes, but is not limited to: Permanent (Immigrant) Workers (permanent residents) Forms/documents associated with these files: PR, I-140 petition, Supporting documentation including but not limited to CV, appointment letter, degree, transcript, license, publications, passport, visa stamp, I-94 card, evidence of other prior statuses (if applicable), certified LC (if applicable), and ability to pay, ,Supporting documentation required for the Outstanding Professor and Researcher per USCIS regulations (including but not limited to publications, awards, patents, and other such evidence), I-797 receipt/approval notice(s), and relevant correspondence between IFSS, department, and beneficiary information. Confidential under Employee Personnel Records Wis. Stat.§ 19.36(10)EVT+ 5 YearsDate Permanent Residency
Obtained
Destroy ConfidentialYesHR
UWHR0800Student Evaluations or Summary of Tenured Faculty, Academic Staff, Teaching Assistants and PAsThis series consist of statistical and /or narrative evaluation forms and summaries completed by student concerning the teaching performance of individual faculty or academic staff. Student evaluations information can be used to support academic staff indefinite appointment. Confidential under Employee Personnel Records Wis. Stat.§ 19.36(10)EVT+ 5 YearsEnd of the Semester
in which the Evaluation was Completed
Destroy ConfidentialYesHR
UWHR0801Student Evaluations or Summary of Probationary
Faculty for Tenure
This series consists of statistical and /or narrative evaluation forms and summaries completed by student concerning the teaching performance of individual faculty or academic staff. Student evaluations information can be used to support tenure application as well as academic staff indefinite appointment. Confidential under Employee Personnel Records Wis. Stat.§ 19.36(10)EVT+ 5 YearsEnd of the Tenure Review ProcessDestroy ConfidentialYesHR
UWHR0802Faculty Tenure File Successful and UnsuccessfulThis series consist of records relating to the granting of tenure to faculty members. The documents in this series may include, but are not limited to: vitae, evaluation summary information, letters of recommendation, lists of publications or other record of scholarly productivity, letter from the Chair that summarizes the individual career, statements from the candidate, and evidence of service to the university and profession and notice of the recommendation regarding tenure. The Master Tenure file is transferred to the Secretary of the Faculty/and or Provost and HR Faculty personnel file. The Executive Committee retains a copy until the Tenure review process is completed. Confidential under Employee Personnel Records Wis. Stat.§ 19.36(10)EVT+ 6 YearsDate of Final Tenure DecisionTransfer to Institutional Archives per policy for archival reviewYesHR
UWHR0900Employee Training Request DocumentationDocument used to obtain approval to attend, register for specific classes, and document that the person attended specific training program.CR+1 YearCreationDestroyNoHR
UWHR0901Course Evaluation for Employee TrainingThis record series documents written information from course attendees evaluating the class and facilitators or instructor who presents the material.CR+1 YearDate of CreationDestroyNoHR
UWHR0902Human Resource Training VendorsThis record series contains vendor files on presenters who have taught or provided training to University of Wisconsin Staff.EVT+1 YearDate that the Vendor Last Provided a ClassDestroyNoHR
UWHR0903Human Resource Training Course MaterialsThis record series consists of, but is not limited to: the curriculum training materials, presenters and related materials for training programs and presentations.EVT + 5 YearsDate Old Materials are SupersededDestroyNoHR
UWHR0904Human Resource for Tracking Employee TrainingThis record series consists of database systems that keep track of employee attendance at training activities. These systems can include, but are not limited: tracking the employees name, work unit name, address and telephone, dates of training, name of the class attended, and evidence of satisfactory completion of the training. Confidential under Employee Personnel Records Wis. Stat.§ 19.36(10)EVT+ 5 YearsDate of Employee TerminationDestroy ConfidentialYesHR
UWIT0001Project Plans and ChartersRecords pertaining to development, redesign or modification of a computer system or application. The following are included, but is not limited: Pre-project Plans : This series consists of pre-project proposals, cost benefit analysis, risk assessments, sign-off and decision documents, and fit/gap analysis for project work, progress reports, plans and accomplishments. Project Charters : (including scope, requirements, roles, timeline, budget, control strategies); Project Plans : (including WBS, staffing, schedule, budget, communication plan, change management plan, change management risk plan, support transition plan).5 yearsProject completion or end date.Transfer to Institutional ArchivesNoInformation Technology
UWIT0002IT Project Status Reports, Workflow and Test PlansProject supplementary documentation including but not limited to: Status Reports (Change logs, data cleanup procedures and stats, code migration procedures, transition to production tasks, authorization setup, process scheduling, post-implementation review); Workflow (workflow diagrams, data definitions, data conversion mappings, naming standards, architecture diagrams, and file designs); Test Plans (including processing test results, accessibility compliance results, data conversion results)5 yearsProject completion or end date.Destroy/DeleteNoInformation Technology
UWIT0003Program Source CodeProgram source code including run or job controls3 yearsCode is superseded or replacedDestroy/DeleteNoInformation Technology
UWIT0004Electronic Records Software and Documentation and System MaintenanceProprietary and non-proprietary software as well as related documentation that provide information about the content, structure, and technical specifications of computer systems necessary for retrieving information retained in machine-readable format. These records may be necessary for an audit process.Retain as long as software-dependent records are retainedNoInformation Technology
UWIT0005Audit Trails: Routine Administrative InformationSystem-generated audit trails tracking events relating to records in information systems used for routine administrative activities. Audit trails link to specific records in a system and track such information as the user, date and time of event, and type of event (data added, modified, deleted, etc.).4 yearsDate of completion and/or audit reportDestroy/DeleteNoInformation Technology
UWIT0006Operating System and Hardware Migration Conversion PlanningPlanning documentation for migration of data from one system to another system done when systems are upgraded or a new system is implemented. This includes code migration procedures.3 yearsCompletion of ConversionDestroy/Delete after data is transferred to a new formatNoInformation Technology
UWIT0007Telephone Voicemail System Call DetailTelephone system call detail includes: Call Date, Call Time, To Number, From Number and Call Duration4 yearsCreatedDestroy/DeleteNoInformation Technology
UWIT0008IT Telecom Maintenance Work Order Files and LogsTelephone support, maintenance service orders, service change orders, service billing, and inventory support records such as service prices and history, telephone inventory, facility location records, type of service and features.1 yeardate of completion and audit reportDestroy/DeleteNoInformation Technology
UWIT0009Network Support Service History and SummarySite visit report, trouble reports, service history, network upgrade documentation and other related correspondence.1 yearCreatedDestroy/DeleteNoInformation Technology
UWIT0010Network Architecture and Configuration DocumentationNetwork architecture documentation, configuration management and circuit inventory system3 yearsDiscontinuance of SystemDestroy/DeleteNoInformation Technology
UWIT0011Network or Circuit Installation, Outage FilesWork orders, correspondence, work schedules, building/circuit diagrams including network outages and application outage1 yearCreatedDestroy/DeleteNoInformation Technology
UWIT0012Data Documentation/MetadataData dictionary's, definitions, and data structures, file layout, code translations and associated reports3 yearsDiscontinuance of SystemDestroy/Delete after discontinuance of all systems and after all data created by every system instance has been destroyed or migrated to a new structure or formatNoInformation Technology
UWIT0013Computer Security Incident and InvestigationIncidents involving unauthorized attempted entry attempts, probes, and/or attacks on data processing systems, information technology systems, telecommunication networks, and electronic security systems including associated software and hardware. This would include official reports and other documentation if appropriate5 yearsDate that incident was resolvedDestroy/DeleteYesInformation Technology
UWIT0014Assignment and Authorizations for UsersThis series consists of but not limited to: Privileged user forms for managed servers and authorizations for privileged staff; Signed employee confidentiality agreements and user access and request and authorizations.4 yearsDeparture of employee from employmentDestroy/DeleteYesInformation Technology
UWIT0015Computer and Information Systems LogsFirewall logs, system logs, network logs, or other logs used to maintain the integrity and security of the university's computer systems.30 days or until review of logs is complete, whichever occurs firstCreatedDestroy/DeleteNoInformation Technology
UWIT0016IT Disaster Recovery Planning and Testing RecordsBusiness Continuity Plans for recovery records created or received subsequent to implementing disaster recovery processes and recovering electronically-stored information which are not part of the routine business cycle for disaster recovery records.Until SupersededDestroy/DeleteNoInformation Technology
UWIT0017IT Disaster Recovery RecordsPublic records created during the disaster recovery process, which include but are not limited to: indexes, inventory lists, computer logs, working papers, and correspondence. This series also includes computer tapes, or other media, which are held in reserve in the event that an information system fails to function and records need to be recovered and restored. Most often, disaster recovery records are obsolete after two weeks, because they are superseded by newly-created records following routine business cycles. Therefore, the records retention time period reflects the routine business cycle for this records series. UW institutions may extend this retention period using a separate written policy, but no UW institution shall adopt a shorter business cycle than two weeks.14 DaysDate of Disaster/EventDestroy/DeleteYesInformation Technology
UWLIB107Library Budget RecordsRecords in this series are used in forecasting of revenue and expenditures for the fiscal year. The files may include planning materials, such as current budget and financial reports, projections of revenue, expenses such as materials, services, marketing, or information technology, fixed costs, or requests by each sub-department for funding.6 yearsFiscal yearDestroyNoLibrary/Archives
UWLIB109Library Electronic Equipment RecordsRecords include documentation of the use of hardware and software used by library patrons and staff as well as servers, network and telecommunications equipment.
Records include, but are not limited to, software or hardware inventories, software license information, site licenses, manuals, and purchase/repair documentation.
2 yearsDate equipment is withdrawnDestroyNoLibrary/Archives
UWLIB110Patron (Non-Faculty/Staff) RequestsRecords including but not limited to: patron purchase requests for materials not currently owned by libraries, rush processing for library materials, and suggestions submitted by non-faculty/staff patrons to library administrators.2 weeksCreation dateDestroy confidentiallyYesLibrary/Archives
UWLIB111Deaccession Records (Library)Series documents recommendations concerning deaccessioning of specific holdings and action upon those recommendations when detailed deaccessioning procedures are necessary generally due to gift books or materials purchased under special conditions. This would not include routine withdrawls from collections. This series may include but is not limited to: transfer forms to transfer ownership/custody of materials held within institutional collections to other institutions; names of persons making deaccession recommendations and dates, reasons for deaccessioning, documentation that legal searches of donor records have been done to establish that the institution is not precluded from deaccessioning, appraised or estimated values, signatures of approval for deaccessioning, and related documentation and correspondence.10 yearsDate item is deaccessionedDestroy confidentiallyNoLibrary/Archives
UWLIB112Donor Files (LibraryRecords documenting the donation of materials to a circulating library collection. They may include a signed deed of gift, any correspondence pertaining to the donation, a list of the contents of the collection, and donor contact information.10 yearsDate item is donatedDestroyNoLibrary/Archives
UWLIB113Object Collection Management RecordsRecords pertaining to the acquisition, history, value, care and movement of 3D and artistic objects/artifacts. Materials include accession records, catalog records, deeds of gifts, research materials, object images, condition reports, appraisals, insurance records, historical information, brochures and clippings.PermanentNoLibrary/Archives
UWLIB114Annual Researcher Registration FormsAnnual documents created by special collections patrons conducting research in special collections and museums to capture information for security and to acquaint patrons with department rules and regulations. Records may contain patron name, address, phone number, email address, patron type, reason for research, and the signature of the individual as a record of them agreeing to the rules of the reading room. These documents may contain driver license, student, military, Passport or similar identification numbers. Records may be captured on paper forms or through electronic systems.10 yearsFiscal yearDestroy confidentiallyYesLibrary/Archives
UWLIB115Daily Researcher Registration RecordsRecords documenting each patron's daily use of the special collections or museum collections by capturing their name. The records may also include the city of the patron's residence, and the date and times of their use of the facility.
Records may be captured on paper forms or through electronic systems.
10 yearsFiscal yearDestroy confidentiallyNoLibrary/Archives
UWLIB116Annual Statistical Records and Reports (Special Collections)Statistical record created annually to share with other System partners. Records include, but are not limited to, annual head count, off-site substantive reference requests provided, hours of week opened, or archival interlending.10 yearsFiscal yearDestroyNoLibrary/Archives
UWLIB117Circulation Records (Special Collections)Call slips, collections used forms, or similar records that record the materials used by patrons in special collections departments. Records may include the name of the individual, date of use, reason for use and bibliographic information regarding the collection.
This series does not include circulation records that are created within the Alma ILS and are scheduled in UWLIB122 and UWLIB147.
10 yearsFiscal yearDestroy confidentiallyYesLibrary/Archives
UWLIB118Interlending Records (Special Collections)Paper forms and/or electronic records used to process shipments of archival materials through the Area Research Center network. Paper forms continue to be used for shipping lists and to confirm shipments. Patron information is included on these documents.
This series does not include interlending records that are created within the Alma ILS and are scheduled in UWLIB130 and UWLIB147.
10 yearsFiscal yearDestroy confidentiallyNoLibrary/Archives
UWLIB119Reference/Research Requests and ResponsesRecords documenting off-site reference and research services by special collections and museum staff. This series includes requests made in writing, emailed, sent via web form or other computer system, or transcribed from telephone calls and the response from the special collections staff.1 yearFiscal yearDestroy confidentiallyYesLibrary/Archives
UWLIB120Donor FilesFiles documenting the individuals or institutions responsible for the donation of materials to special or museum collections. Records may include materials included in object collection management or special collections accession records but may also include less item specific information including signed deeds of gift, correspondence, contact information, and research materials.
These records include vital information regarding the provenance of University-owned special collections, archival and museum objects. Such information is used to document the historical, cultural and intrinsic value of these items.
PermanentYesLibrary/Archives
UWLIB121Accession, Deaccession, and Processing Records (Special Collections)Records documenting the transfer of legal and physical custody of materials to and from the collection. It may include the date of transfer, name of and brief biographical information about the donor/creator, a brief description of the extent and contents of each box/container, documentation transferring intellectual property rights to the library, the accession number of the collection, information about the acquisition price and existence of copies of the materials, any restrictions on use of the collection, and other notes. These files may also contain information about what is retained or de-accessioned during the processing of each collection.
These records include vital information regarding the provenance of University-owned special collection materials. Such information is critical to documenting the historical, cultural and intrinsic value of these items. These records also provide evidence of staff decisions concerning valuable materials thus documenting institutional accountability.
PermanentNoLibrary/Archives
UWLIB122Circulation RecordsRecords documenting the borrowing of circulating library materials by qualified patrons. This series may include but is not limited to: bibliographic information of item, the name and identification of the borrower; the titles of materials borrowed; the length of time borrowed; the due date; overdue and fine payment notations; and related documentation and correspondence.
Circulation records are kept for the duration of a patron's status as an authorized borrower as a courtesy to patrons interested in their borrowing history.
Circulation records are handled by the Alma integrated library system. Alma migrates circulation records into its analytics database. These records are scheduled under UWLIB147 for longer retention.
1 yearPatron record's expiration dateDestroy confidentiallyYesLibrary/Archives
UWLIB124Patron Circulation CorrespondenceRecords of any patron communication generated through the integrated library system or by staff regarding circulation issues. These notices are sent most often to patrons to remind them to return borrowed items.DestroyDate correspondence sentDestroy confidentiallyYesLibrary/Archives
UWLIB125Fee Recovery RecordsRecords produced (after a period of time determined by each institution's policy) when a patron fails to pay library fines or fees. These records may be sent to the University Cashier's Office or to a Collection Agency. Records may affect a patron's credit rating for a period of six years; therefore, they must be retained for a time period of no less than six years.6 yearsDate records are transferred regardless if they are eventually paid or unpaidDestroy confidentiallyYesLibrary/Archives
UWLIB126Patron Registration Form / User Agreements (Library)Records related to registration of patrons, including but not limited to: user agreements regarding the use of library resources and facilities, including those for intertype library consortium users; checkout forms regarding the names of borrowed resources and due dates for their return; or the forms by which patrons request and receive interlibrary loans of materials. Typically these serve as source documents for patron database2 weeksCompletion of first circulation transaction or expiration of agreementDestroy confidentiallyYesLibrary/Archives
UWLIB127Search/Hold/Retrieval RequestsRecords created by library patrons asking library staff to find a missing item or retrieve and place a hold on an item. Record may include the name of the patron, contact information, campus ID number and bibliographic information regarding the title.0 weeksDate search/hold is resolvedDestroy confidentiallyYesLibrary/Archives
UWLIB128Resolved Search ListsCumulative list of resolved title searches for each academic year, includes only date, bibliographic information, and how the search was resolved.1 yearEnd of academic yearDestroyNoLibrary/Archives
UWLIB129Stack Management RecordsRecords created in the process of managing book and multi-media stacks. Records may include measurements of free space, shelf reading materials, shelving accuracy statistics, and other records created in the shelving and shifting of collections.0 weeksWhen no longer neededDestroyNoLibrary/Archives
UWLIB130Interlending RecordsRecords that track the request, shipping and return of library and archival items with other libraries through Interlibrary Loan and UW System borrowing and similar systems. Records may include but are not limited to, requests for materials, receipts, patron signed forms, routing slips and other records creating in the borrowing and lending process. Records indicate when and where the library item was sent, when it is due back, and when it was returned.
Records for materials interlended through UW System are handled by the Alma integrated library system. Alma migrates interlending records into its analytics database. These records are scheduled under UWLIB147 for longer retention.
1 yearDate item is returned or is otherwise completedDestroy confidentiallyYesLibrary/Archives
UWLIB132Application Server RecordsRecords pertaining to remote users of online Library resources. May include Proxy, EZProxy or other Web Server logs including user NetID, UW-ID, or IP number.Original: Minimum 2 weeks to facilitate troubleshooting or possible abuseDestroyNoLibrary/Archives
UWLIB133Patron Information Update RecordsSeries pertaining to the updating of library patron records and may include user name, demographic data, NetID, or UW-ID.
Records are kept for two weeks to facilitate troubleshooting or to document possible abuse and then destroyed confidentially.
2 weeksCreationDestroy confidentiallyYesLibrary/Archives
UWLIB135Library WebsiteWebpages may include online information about services, hours, library events and programs, links to popular reference resources, subscription databases, and provide a gateway to one or more online catalogs.2 weeksSignificant website updatesTransfer to archives per institutional policyNoLibrary/Archives
UWLIB137AProgramming and Events Files -- External CommunicationsRecords include materials developed for publicity and programming of public programs or events: files documenting performances and lectures may include promotional literature, printouts from performer websites, press releases, correspondence, and flyers. These files may include subject files about performers in general, flyers or other promotional materials and photographs of library programming and events.1 yearEnd of academic yearTransfer to ArchivesNoLibrary/Archives
UWLIB137BProgramming and Events Files -- Administrative RecordsRecords may include the number of distribution sites of publicity materials, schedules as well as notes, permission/consent to photograph forms signed by attendees, and donation requests.
Files may also include attendance sheets, reservation lists and program evaluations.
Attendance sheets and reservations that include individuals' names should be destroyed confidentially after compilation of statistics.
1 yearEnd of academic yearDestroy confidentiallyYesLibrary/Archives
UWLIB138Reference Questions and Tabulations (Library)Records of written exchanges between patrons and library staff regarding ready reference or resource based questions made via email, text, chat or other forms of written communication. Series also includes records created to record the number and nature of the exchanges for statistical purposes.6 monthsExchange is no longer needed for quality control or statistical purposesDestroy confidentiallyYesLibrary/Archives
UWLIB139Information Literacy Instruction StatisticsRecords created to document classes taught by members of the library staff. Information will include the name of the staff member, the course number and title, department, instructor and number of students present.1 yearEnd of academic yearDestroy confidentiallyNoLibrary/Archives
UWLIB140Library Instructional MaterialsMaterials created for patron use explaining the use of the catalog, databases and other bibliographic tools.6 monthsNo longer neededDestroyNoLibrary/Archives
UWLIB142Security RecordsRecords documenting incidents occurring on library property that require prolonged and substantial follow up. These records may include or refer to surveillance records, eye witness accounts, descriptions of damage or injury, dates, times, and nature of the incidents, along with other pertinent information. The records may also address further investigations or court proceedings.3 yearsAcademic year follow up was completedDestroy confidentiallyYesLibrary/Archives
UWLIB143Incident Report Records (Non-Injury)Series documents any unexpected (yet common) incidents on the library premises involving non-employees that require only minimal follow up. The records are incidents related to security issues such as tripped alarms, water leaks, unlocked secure doors, distressed individuals, and other similar events. It lists location, witnesses, any property damage, and actions to prevent reoccurrence. These records are reviewed and signed by relevant administrators. For injury related incident reports see RISK0045.
In some cases personally identifiable information is recorded.
1 yearAcademic year incident was considered handledDestroy confidentiallyYesLibrary/Archives
UWLIB144Patron Disciplinary FilesFiles documenting patrons who have received disciplinary action or prohibitory sanctions by the university or library. Records may consist of letters sent to patrons describing the unacceptable activity and the prohibitions on patron privileges. They may also contain correspondence with public safety or patron guardians.3 yearsAcademic year of last incident involving patronDestroy confidentiallyYesLibrary/Archives
UWLIB145Patron RecordRecords created within the library automated system that indicate name, address, major, class standing, etc. of library patrons. System allows for patrons of different user types including students, staff, and community members.3 yearsDate of last attendance, last day of employment, or expiration of user agreementDestroy confidentiallyYesLibrary/Archives
UWLIB146Library Bibliographic RecordShared system catalog records of all library research materials considered part of the library collection including books, media, archival, and special collection materials. Records include descriptive metadata on each item. 0 yearsDate last copy of item is withdrawn from useDestroyNoLibrary/Archives
UWLIB147Analytics RecordsRecords of both incomplete and completed circulation and interlending actions created by the library automated system (Alma) that are migrated into a separate database for purpose of statistical analysis. The records include patron data as well as bibliographic. Alma Analytics records are kept 10 years to provide better collection security for special collections materials.10 yearsDate item is returned to the satisfaction staff membersDestroy confidentiallyYesLibrary/Archives
UWLIB148Conservation Treatment RecordsRecords document any repair or conservation treatment performed on art objects, artifacts and special collection materials, and may include a description of the action, the person or company performing such work, and related documentation.
These records include vital information regarding the provenance of University-owned museum objects, special collections and archival materials. Such information is used to document the historical, cultural and intrinsic value of these items. The records also provide evidence of staff decisions concerning valuable materials thus documenting institutional accountability. Furthermore, conservation treatments frequently involve physical and chemical manipulations of objects and materials. The precise nature of these treatments must be understood in the future so that they may be augmented or reversed as part of the ongoing project to preserve the collections.
PermanentNoLibrary/Archives
UWLIB149Museum and Gallery Loan Records -- Short TermSeries documenting the borrowing of loan of collection materials by museums and galleries to other similar institutions. Including but not limited to: brochures; insurance certifications; loan forms; manuscript appraisals; condition and facility reports, and related correspondence.5 yearsDate loaned or borrowed materials are returnedDestroy confidentiallyYesLibrary/Archives
UWLIB150Exhibition Records -- Short TermMaterials pertaining to the design, execution, and installation of exhibitions. Records include correspondence, memoranda, concepts, scripts, label texts, catalogs, promotional materials, clippings, installation photographs, floor plans, drawings, graphics, checklists, schedules, visitor comment books, notes, and related materials. Records may include the names of individuals responsible for the exhibit as well as visitors.5 yearsDate exhibit closedDestroy confidentiallyNoLibrary/Archives
UWPAY001Employee Time Records (Academic and University Staff)Records created or entered by employees to record their work time and/or leave. This includes recording including sick time and vacation, legal holidays and personal time.
Electronic submission of leave reports through HRS will be archived in the HRS Enterprise Performance Management (EPM) Data Warehouse for at least six years which meets the requirements for 29CFR 516.5(a) Payroll records retention of 3 years.
6 yearsDate supervisor approved leave report or timesheet reportDestroy confidentialYesPayroll
UWPAY002Time and Labor Administrative ReportsThis series contains various types of reporting from the HRS system to check on reported time. In many instances, these reports monitor issues that need to be resolved or the payroll will not be processed. Records include but are not limited to: Payable Status Report, Total 80-Summations of Reported Time, Future Time Entry, Comparison of Payable Time to Timesheets, Time Approval Reference report, Labor Reference Report, Rejected Time Report; Schedule Definition Report, Weekly/day schedules.1 yearCreatedDestroy confidentialYesPayroll
UWPAY003Employee Earnings Statement and Leave Balances and Leave Activity Summary ReportingLeave Balance and Activity Reporting. Statements show leave time taken during a designated pay period. Leave balances are available to employees via MyUWPortal or My UWSystem or UW-Extension.
Earning Statements, Tax Statements and W-2 are available to employees via MyUWPortal or My UWSystem or UW-Extension.
15 yearsCreatedDestroy confidentialYesPayroll
UWPAY004Leave Activity Summary Reports -- InstitutionThis report shows cumulative year to date leave activity by pay period.15 yearsCreatedDestroy confidentialYesPayroll
UWPAY005Leave of Absence Request FormsForms completed by individual UW System employees requesting leaves of absence (other than sabbatical leave) and approved by supervisors and department/ employing unit head.5 yearsCreatedDestroy confidentialYesPayroll
UWPAY006Leave of Absence ReportsThe approval of various types of leaves is processed through HR channels within the particular UW institution or employing unit. The recording/monitoring of leaves falls within the absence management function of HRS. Report lists the employees on a LOA so their payment status can be monitored. The Service Center will use the report to monitor which leave employees have paid and will manually add a general deduction for those who do not pay within the allotted time period so that they can be charged upon return from leave.
The following reports are included in this series: Leave of Absence Report-UIA Eligible (JIRA #6908)
15 yearsCreatedDestroy confidentialYesPayroll
UWPAY007UW-System Leave Plan TypesThe HRIS system manages several leave plan types: FMLA (Family Medical Leave); University, Academic, Leave without Pay, Sabbatical, Military and other leave plans. HRIS tables contain details of the plans. (When the HR Manager enters employees who have an approved leave status, they are assigned a leave type based on the leave plans.)
Note: HRIS: The description of the various leave plans must be retained as long as employees are covered by them and are employed by the UW System.
Retain until supersededSupersededDestroy confidentialYesPayroll
UWPAY008Payroll Registers and VouchersPayroll listings showing gross and net pay, as well as deductions for UW employees.
These are the basis for all salary payments and are referred to on questions of back pay and income taxes. Also includes payroll voucher Signature page for each payroll.
Payroll Voucher
Payroll listing
6 yearsFiscal yearDestroy confidentialYesPayroll
UWPAY009Garnishment RecordsRecords consist of UW employee wage actions for state or federal court ordered wage assignments or earnings garnishment, federal IRS levies and Wis. Dept. of Revenue liens.
This is consistent with Federal requirement N1-GRS-92-4 item 18.
Records may include original writs of garnishment; recapitulations of amounts withheld; and related records.
6 yearsLevy or garnishment is terminatedDestroy confidentialYesPayroll
UWPAY010Tax Withholding Reporting FilesRecords series includes forms and reports related to employees' federal and state income tax withholding activities and documentation of withholding.
Series includes, but is not limited to the following forms and reports: Certificate of Exemption Prepayment of Taxes; Employer's Quarterly Federal Tax Return; Employers Annual Reconciliation of Wisconsin Income Tax Withheld From Wages; Federal Bi-Weekly Tax Deposit Coupon; Federal Income Tax, Social Security, Medicare Bi-Weekly Report; Form 941 Payment Voucher; Statement to Correct Information; Transmittal of Corrected Income and Tax Amounts; Undeliverable W-2, W-2C, 1042-S and W-200 forms; Wisconsin Tax Deposit Report Coupon.
This series also includes MILITARY PAY VOUCHERS that are created for employees.
Note: The series includes interface files that transmit data from the university to Federal and State government. The same retention period applies to the interface file as to the report or form.
5 yearsCreatedDestroy confidentialYesPayroll
UWPAY011Unemployment Compensation Report to Dept. of Workforce DevelopmentThis series includes a report and transfer file (interface) sent to the Department of Workforce Development.5 yearsCreatedDestroy confidentialYesPayroll
UWPAY012COBRA Related ReportsReports related to the eligibility and enrollment in COBRA. Includes report listing individuals denied COBRA coverage because they were dismissed for cause, required COBRA notification for eligible employees, COBRA error report (JIRA #6986), COBRA Notification Letters and Enrollment forms (JIRA #6985).5 yearsDate of employee TerminationDestroy confidentialYesPayroll
UWPAY013Employee Payroll Case File -- InstitutionalRecords series includes various documents that are maintained in the Institutional Payroll Office and regularly superseded by updated documents during the employee's term of employment in the institution.
Items in both series include the following items:
Withholding Agreements: Forms filed by employees authorizing withholding of income from paychecks. Records in this series include required withholding agreements, notifying the employer (State) of federal and State income tax withholding allowances; tax sheltered annuity, deferred compensation and savings bond authorizations; and various other voluntary authorizations. Records in this series are used to document withholding agreements and authorizations for each employee.
Series includes but is not limited to the following agreements/forms: Tax Withholding Forms such as IRS 1001, IRS 8233, W4, Earned income Credit, WT-4 State Withholding Allowances; Other Withholding (For a detailed list please consult index); Accidental Death and Dismemberment Application; Dental Insurance Application; Direct Deposit Authorization; Employee Reimbursement Account Enrollment Form; Savings Bond Deduction Authorization; Tax Sheltered Annuity Authorization; Miscellaneous Dues and Deduction Authorization Cards.
50 yearsDate of employee terminationDestroy confidentialYesPayroll
UWPAY014Employee ETF/Benefits Case File -- InstitutionThis records series includes the benefit forms, withholding, applications, notifications, etc. that are current at the time of employee termination. After the employee terminates from the particular institution, the case file is maintained to determine the employee's rights to various benefits. These records are the responsibility of the employing institution. Employees will complete new withholding authorization forms when they move to another institution. However, records in this series may be used to provide backup documentation of the employee's payroll activities.
State of Wisconsin ETF is the official holder of Benefit Records.
5 yearsDate of employee terminationDestroy confidentialYesPayroll
UWPAY015Annual Benefit Statements/Benefit ReportsThis series consists of Annual benefit statements produced the HRIS system. This statement reflects all benefit programs in which the employee is currently enrolled and total employer/employee contributions to them.
Access to employees via MyUWPortal or My UWSystem or UW-Extension.
5 yearsDate of employee terminationDestroy confidentialYesPayroll
UWPAY016Summary reports of Benefits Programs provided to ETFRecords series includes copies of summary reports of benefit programs that are administered by the Department of Employee Trust Funds (ETF) and other insurance carriers as listed below Summary Reports to/from. Also includes Enrollment Reports and Benefit Confirmation Reports and Program Vendor Data Files and Life Insurance Reports sent to vendors.
ETF-UW:
This group of records includes various summary reports required to be sent to ETF by UW. Reports are used to remit funds and provide information on benefits accrued in ETF-administered programs, including WRS, ERA, health, life, and ICI Insurance's.
Note: The UW must retain copies of reports sent to ETF if applicable to employees in their agency for 7 years in order to correct information.
7 yearsCreatedDestroy confidentialYesPayroll
UWPAY017Wisconsin Retirement System Reporting -- WRSElectronic Data file is created after each payroll is processed that includes data for each employee, including the employment category, earning, hours worked and data necessary for monthly and annual WRS Reporting.15 yearsCreatedDestroy confidentialYesPayroll
UWPAY018Tax Sheltered Annuity -- TSA Multiple Enrollments ReportsReports to identify employees with multiple TSA enrollments who are close to reaching the IRS maximum to determine which TSA deduction to allow to go through, and which deductions to manually override for the remainder of the year.5 yearsCreatedDestroy confidentialYesPayroll
UWPAY019Payroll Accounting and Benefit Reports and TransfersRecord series consists of reports and correspondence that have fiscal audit value related to transfers of payroll funds. Series documents issues and concerns related to transfers of funds to banks for state payroll, reports that total saving bond deduction totals and other summary accounting reports that provide backup documentation to support the WiSMART system.
Items in this series include but are not limited to the following: Electronic Deposit Correspondence between processing center and banks that deposit employee paychecks through electronic deposit; ACH -- Automatic Check Transfer -- Cancellations Notice; Saving Bond Deduction Total reports; Saving Bond Payment for; Retroactive Benefit Calculation Report -- (JIRA #6919); Retroactive Benefit Missing Premium Report (JIRA #6905); Deduction Pre-pay Reconciliation Report (JIRA #6905).
5 yearsCreatedDestroy confidentialYesPayroll
UWPAY020Core Payroll History DataThis electronic file includes the results of personnel transactions affecting employee's payroll such as hires, transfers, terminations, reclassifications and reallocations. Files contain data elements for each employee, including appointments, deductions, hours, payroll balances, deduction balances, and retroactive adjustments to hours worked, lump-sum pay adjustments, dollar and hour balance adjustments, refunds, wage assignments and check cancellations. This electronic file functions as the source for federal and state tax reporting, W-2 production and other year-end reports.
The HRS Core Payroll data file is created when payroll calculation data is created/added to the employee permanent payroll history after the payroll confirmation process has been run.
The payroll microfiche jacket will contain the following types of information: date of payroll, type of payroll, gross earnings, and deferred items. the jacket will be maintained with the Master Payroll Fiche for 50 years.
Also included under these records series and the 50 year retention requirement are the following reports: Audit Tables Query Report (JIRA #6918).
50 yearsCreatedDestroy confidentialYesPayroll
UWPAY021System-wide Tax SummaryThis is a printout done annually which includes all income tax information on each employee.7 yearsTransfer to archivesYesPayroll
UWPY0016TSA (Tax Sheltered Annuity) Reports and Transfers (Interfaces)File transfers (interfaces) to TSA providers with employee deposits to TSA programs. This series includes HRS TSA Deduction Report. Current interfaces include: (TSA Ameriprise, TSA Dreyfus, Wisconsin Deferred Comp, TSA Fidelity, TSA TRowePrice), Tax Shelter Annuity Annual ReportHRS: 7 years. Campuses: N/ACreatedDestroy ConfidentiallyYesPayroll
UWPY0025Payroll - Benefit Administrative Reference ReportsIncludes items created/received for administrative convenience or reference. Items can include: Mailing labels for Employee Participating in Benefit Programs (JIRA #6934). The majority of the information is currently distributed electronically with only a few employees at Madison that still receive the hard copy materials as they do not have access to electronically view information. The mailing labels will be produced for anyone without a primary email address stored in the system. This series also includes reports such as the New Hire Hold Report used by benefit coordinators to ensure that no new employee is missed in benefit determinations. Others include: Billing Calendar Table Listing (JIRA #6984).HRS/Campuses: Retain until administrative need has concluded, not to exceed 1 year. CreatedDestroy ConfidentiallyYesPayroll
UWPY0026Benefit Comparison Summary ReportReport summarizes benefit contributions by worker and employer for a population of employees.HRS: 5 years. Campuses: administrative need not to exceed 1 year.CreatedDestroy ConfidentiallyYesPayroll
UWPY0027Base Benefit Audit ReportThis report identifies errors the benefit administrator makes when entering data into Ben Admin and/or Base Benefits transactional systems. This report will specifically be used prior to self-service.HRS: 3 years. Campuses: administrative need not to exceed 1 year.CreatedDestroy ConfidentiallyYesPayroll
UWPY0040Withholding AuthorizationsIncludes withholding authorizations that initiate deductions from an employee's pay amounts. Records in this series are paper documents used to initiate payroll actions. Examples of documents in this series are: Contributions-Charity/Institutional events; Financial Institution Deduction Authorizations; Garnishment Action Notice; Parking Deduction Authorization; Van Pool Deduction Authorization; Wage Assignment Notice.HRS: N/A. Campuses: transfer to Terminated Employee Case File (UWPY0030)TerminationDestroy ConfidentiallyYesPayroll
UWPY0041Payroll Audit/Error ReportsA variety of reports run to verify HRS payroll tables settings, pre-audit calculations, payroll error messages, and others produced by the HRS system in the processing of payrolls.HRS: retain until administrative need has been met not to exceed 1 year. Campuses: N/A.CreatedDestroy ConfidentiallyYesPayroll
UWPY0044Wisconsin PMIS FileThis record series is an interface file with certain data extracted from the HRS payroll and used specifically to update other State of Wisconsin data systems (PMIS-Personnel Management Information System). PMIS is a statewide tracking system used to monitor the number of positions in State government. Report is also used by the State Budget Office. The official copy is maintained by the Department of Administration.HRS: 3 pay periods. Campuses: N/ACreatedDestroy ConfidentiallyYesPayroll
UWRES001Housing Policy and Administrative RecordsThis series consists of, but is not limited to,records pertaining to policy and procedure development and implementation, special events records, surveys including the EBI and NSLLP Surveys, questionnaires, planning calendars, staff procedural manuals, organizational charts, residence halls professional association documentation, and various administrative records generated to review and evaluate information from housing departments/areas. These files may be in a paper format or created and stored electronically.5 yearsCreatedTransfer to ArchivesNoResidential
UWRES002Housing Generated ReportsThis series comprises all housing generated reporting which includes but is not limited to: residence hall, apartment, and dining annual/end of year reports, apartment and residence hall occupancy reports, capacity reports, after action reports and communication plans for emergency events, conference summaries and closing reports, and UW System reports.5 yearsCreatedDestroyYesResidential
UWRES003Residence Hall Staff RecordsThese files include subject files of all staff in residential programs and services including correspondence, orientation, student and professional staff training and development, memos of understanding with other campus offices, hall community surveys, and liability waivers for residence hall events.5 yearsCreatedDestroyYesResidential
UWRES004Emergency Management RecordsRecords generated through the state required continuation of operations emergency planning process (Wisconsin State Statues, Chapter 166). Documents in this series include, but are not limited to emergency protocol, communication plans, staffmanuals, andtraining guides and exercises.0 yearsSupersededDestroyNoResidential
UWRES006Student Conduct RecordsThe conduct unit o fresidence life keeps documentation about students who require attention due to infractions which occur in residence halls and on campus. The file frequently starts with a notification to the conduct officer and the student which can be in the form of email or other messaging in database. The files are maintained by the department in paper and electronic media. The records generally consist of, but arenot limited to: an incident report and/or police report, a meeting notification letter (sent to the student), meeting notes, a decision letter, miscellaneous charges for damages (such as on a housing status action form), and miscellaneous documents including documentation about an incident and/or resolution ofthe matter (such as a student reflection paper or letter). Information in these paper documents, electronic images and related databases include student name, student identification number, address, telephone and other types of personal information. Information in these records can and does intersect with disciplinary files ofthe Dean of Students. Paperoriginal source documents that are scanned can be confidentially destroyed after verification and quality control phase ofthe scanned images is complete.6 yearsEnd of contractDestroyYesResidential
UWRES008Sample Materials, Promotions, and PublicationsMaterials distributed to current and prospective students, parents and families, guests, housing staff, and other campus offices to provide information about the on-campus housingprogram. These records include,but are not limited to, publications and promotional informationabout:residence halls and apartments programsand services, specialty housing programs, billing,rates,and collections, emergencymanagementand safety, diningand meal services, conference programs, and employeerecruitment. Materials are updated as needed to reflect changes.0 yearsSupersededTransfer to ArchivesNoResidential
UWRES009Conference Center and Attendee Reservations RecordsConference and guest services tracks reservations from occupancy to payment. These records include summer camps/programs,Elder hostel and accommodations related to bad weather. The detail of these records includes guest rosters (names, addresses, email, etc.), dates of arrival and departure, types of rooms reserved, linen packages, security, dining service, housekeeping, accommodation and dietary needs, contracts with sponsoring departments, incident and police reports, camp inspections, event registration forms, charges for damages, guest ID number, waiting lists and othe rinformation. Frequently the reservation file provides information about extra rooms which are made up and ready, accommodates walk-ins and helps plan work for staff.6 yearsEnd of contractDestroyYesResidential
UWRES012Catering RecordsThis series includes records for catering to University departments and affiliates, and conference guests. These records include, but are not limited to copies of billing invoices, payment reports, year end summary, accounts receivables, menus and production records for events, time/temperature logs for menu items for events.4 yearsEnd of Fiscal YearDestroyNoResidential
UWRSC001Grant Folders (Federal)Transmittals, awards, budgets, and all other documentation related to the procurement of federal grants. Also included are all reports, forms, and documentation related to PAR reports, as well as reports and supplemental information for verification of grants and contracts.4 yearsDate of submission of financial report or close of grantDestroy confidentiallyYesResearch
UWRSC002Grant Folders (Non-Federal)Transmittals, awards, budgets, and all other documentation related to the procurement of federal grants. Also included are reports and supplemental information for verification of grants and contracts, both individually and in batch form.4 yearsDate of submission of financial report or close of grantDestroy confidentiallyYesResearch
UWRSC003UW-System Administered Grant FilesApplications and documentation for grant programs run by UW-System and often facilitated by campus research offices. The files include applications, public meeting minutes, budget forms, award documentation, non-award documentation, and evaluation materials.4 yearsNotice of rejection or close of grantDestroy confidentiallyYesResearch
UWRSC004Scientific Misconduct RecordsRecords documenting accusations of misconduct brought forward by or against faculty or students and relating to research projects. These records include accusation statements; inquiry committee findings; and related correspondence.7 yearsCompletion of inquiry and appeals processDestroy confidentiallyYesResearch
UWRSC005Grant Proposal Review FilesMaterials related to the review process for grant applications submitted to the campus research offices prior to submission to grantor agencies. These materials include, but are not limited to: project proposals, letters of support, supplementary material, minutes of review meetings, review reports, necessary signatures, and other documentation. This material should be retained for three years after the close of the review process for audit purposes, then destroyed.4 yearsClose of review processDestroy confidentiallyYesResearch
UWRSC006Rejected Grant ProposalsGrant applications, approved by campus research offices and submitted to grantor agencies, that have either been directly rejected or have not received a response from the grantor agency for a
period of time not exceeding one year after the proposed start date of the grant project. To
comply with audit and appeals regulations, these rejected applications should be kept for 4 years after the date of rejection, then destroyed.
4 yearsDate of rejectionDestroy confidentiallyYesResearch
UWRSC007Accepted Grant Documentation (Non-Financial)Documentation associated with grants approved by campus research offices and accepted for funding by grantor agencies. Such documentation may include, but is not limited to: contracts, progress reports, Use Agreements, Institutional Review Board materials or approval, final reports, and other related records. Because this documentation may need to be produced as evidence for a contract or civil suit, these records should be maintained for 6 years after the close
of the project, then destroyed.
6 yearsClose of grantDestroy confidentiallyYesResearch
UWRSC008Internal Grant DocumentationData documenting the winners of grants awarded by campus research offices or granting units, the name and scope of their project, the amount of money requested, and the start and end dates of the projects. This data has long-term administrative and historical value and should be transferred to archives for permanent retention once active use has ceased.4 yearsClose of grantTransfer to archivesNoResearch
UWRSC009IRB MinutesMinutes, attachments, agendas and meeting announcements. Committee minutes review and approve protocols and ensure that regulations are met for research and are appropriately followed. 3 yearsApproval of MinutesDestroyYesResearch
UWRSC010IRB ProtocolsCorrespondence, protocols, informed consent forms (unsigned sample forms only), affiliation letters, and all other pertinent information and records pertaining to this research. After the research is completed, findings are disseminated via publication, teaching, etc.3 yearsCompletion of research activityDestroyNoResearch
UWRSC011Continuing Review RecordsRecords of annual continuing review of projects subject to IRB oversight, as required by 45 CFR 46.109(e). Includes reminders to research project Primary Investigators (PIs) of upcoming continuing review deadlines and any forms submitted by PIs to request non-automatic review.3 yearsCreatedDestroyYesResearch
UWRSC012Determination of IRB Submission FormsForms completed by researchers to determine whether their projects are subject to IRB protocols. Information submitted by researchers is submitted to IRB staff to evaluate and correspond with the researcher regarding the status of their project.6 monthsCreatedDestroyNoResearch
UWRSC013Animal Care and Use ProtocolsAnimal Care and Use Protocols, created as required by federal regulations (9 CFR part 2) to review and approve any teaching/research involving animal use conducted on UW campuses or by UW researchers at other institutions.3 yearsCompletion of research activityDestroyYesResearch
UWRSC014Animal Care Committee MaterialsMinutes, attachments, agendas and meeting announcements. Committee minutes review and approve protocols and ensure that regulations are met for research and are appropriately followed. 3 yearsCreatedDestroyYesResearch
UWRSC015Animal Care Certification MaterialsRecords of training programs that may be required by Animal Care committees to allow researchers to conduct research on living animals. Records include, but are not limited to, brochures, instructional handouts, blank tests, training presentations, blank tests, and certification forms.0 yearsSupersededDestroyNoResearch
UWRSC015AAnimal Care Certification ResultsRecords created by researchers seeking certification for Animal Care, consisting of completed tests as maintained in series UWRSC015. These records are useful mainly for verification purposes and have little or no long-term administrative value.6 monthsRecording of results in master database.DestroyYesResearch
UWRSC015BAnimal Care Certification LogContinually-active record of all researchers who have completed the Animal Care certification process. This log is used to verify researcher eligibility to work with live animals in their research, as well as to inform Animal Care committee members of the expiration of any of their researchers' eligibility status7 yearsExpiration of EligibilityDestroyYesResearch
UWRSC016Animal Adoption AgreementsRecords of researcher adoption of animals once the research protocol in which the animal is involved has expired. These records may include documents releasing and indemnifying the researcher's campus and UW system from claims brought as a result of ownership of the animal, as well as any supplementary information about the animal being adopted.3 yearsCreatedDestroyNoResearch
UWRSC017Animal Ordering and Husbandry RecordsForms used to procure animals for research, including any shipping and transportation forms and the records generated of the transaction, as well as forms acknowledging the receipt of the animals.3 yearsCreatedDestroyNoResearch
UWRSC018Animal Health RecordsHealth records associated with an animal needed to convey necessary information to all those involved in the animal's care, in contemplating utilizing these animals for research, and to share with regulatory agencies responsible for verifying the appropriate provision of veterinary care.3 yearsCompletion of research activityDestroyNoResearch
UWRSC019Commercial Companies RecordsRecords documenting cooperative relationships with commercial companies in sharing research materials and data. This series may include but is not limited to cash receipt acknowledgments; requests for sample products; acceptances of products; and related correspondence.5 yearsCompletion of research activityDestroyYesResearch
UWRSC020Technology Transfer Records--AdministrativeRecords documenting the transfer of technology from this institution to outside agencies as the result of research projects and grants carried out at the institution. This series includes, but is not limited to, documentation and correspondence related to patents and licensing, descriptions and titles of inventions, sources of funding to create the inventions, details of the provenance of the inventions and their documentation, including to whom the inventions have been disclosed, suggested manufacturers, and reports issued concerning the inventions.6 yearsCompletion of research activityDestroyYesResearch
UWRSC021Technology Transfer Records--Inventions and PatentsKey documentation related to inventions of and patents issued to UW researchers. Records in this series include original patents and applications, legal transactions, invention disclosure forms, invention assignment forms, licensing agreements, equity review reports, and any other documentation necessary to prove ownership of a patent or invention. 20 yearsCreatedTransfer to UW ArchivesNoResearch
UWRSC022Hazardous Materials RecordsRecords related to the use or possession of hazardous materials or animals, including information on the nature of the material, safety controls being implemented, spill cleanup protocols (if applicable), and records of lab personnel training. The series may also contain registration forms for biological or chemical agents or toxins. 7 yearsCompletion of research activityDestroyNoResearch
UWRSC023Safety Data SheetsForms identifying describing the potential harm particular substances in use by researchers, including where and when the chemical or substance was used. Per 29 CFR ÃÂ§ 1910.1020, individual sheets do not necessarily need to be retained for the full retention period specified so long as record of the chemical identity and where/when the chemical was used is retained over that period.30 yearsSupersededDestroyNoResearch
UWRSC024Radionuclide Possession and Use RecordsForms and records completed by researchers to use radionuclide materials in their research, including research on animals. Information in the records includes nature of use, nature of the materials, staff training protocols, precautions to be taken to minimize radiation, and plans for disposal of waste products. The series may also include a Protocol Summary sheet to allow the researcher to describe their proposal in more detail.30 yearsCompletion of research activityDestroyNoResearch
UWRSC025Personal Dosimeter ApplicationApplications for use of a Dosimeter in conjunction with work with radioactive materials. The forms include information about the type of material, the level of exposure, and any previous exposure or dosimeter use at previous institutions or laboratories. PermanentPermanentNoResearch
UWRSC026Dosimetry ReportsReports received by the Radiation Safety Officer used to provide legal documentation of an individual's exposure to radiation. The series also includes overexposure reports and individual exposure histories as provided to workers on requestPermanentPermanentYesResearch
UWRSC027Authorized User InventoriesRecords of the use, decay, and disposal of radioactive materials in individual labs, including information about total activity of radioactive material and any supply, disposal, or transfer documentation.7 yearsSuperseded or End User AccessDestroyNoResearch
UWRSC028Radiation Safety Program InventoriesRecords kept by campus Radiation Safety Programs of their campus' total inventory of radioactive materials, including information on materials held by each Authorized User and those materials held as waste. This series may include copies of receipt and disposal forms provided by individual labs and any other forms used to track use and possession of radioactive materials, as well as any material produced during audits or inspection of labs. 7 yearsTermination of Institution LicenseDestroyConsult LegalResearch
UWRSC029Contamination SurveysRoutine surveys of labs for radioactive or other materials, including information on the location and date of survey, diagrams of the area surveyed, source and background readings information, monthly survey log sheets, and plans for remediation if necessary. 7 yearsCreatedDestroyNoResearch
UWRSC030Incident ReportsReports of minor or major incidents involving radioactive material, including a complete history of the incident and description of any corrective measures taken. If report is related to a spill record, these records may need to be maintained as part of decommissioning documentation.12 yearsCreatedDestroyNoResearch
UWRSC031Research Clinic Client Files-- AdultRecords maintained by therapeutic or research clinics of non-student clients or patients. These clinics are often affiliated with academic departments in health sciences or public health schools, and in many cases treatment is undertaken by undergraduate or graduate students under the supervision of faculty, health center staff, or other therapeutic professionals. Records in this series may include, but are not limited to: patient personal health information; official evaluations and therapy reports; therapy plans; test forms, findings, and correspondence; release forms; and notices related to payment and billing.10 yearsLast Contact with ClientDestroyYesResearch
UWRSC031AResearch Clinic Client Files--ChildrenRecords maintained by therapeutic or research clinics of non-student clients or patients, pertaining to clients 19 years of age or younger. These clinics are often affiliated with academic departments in health sciences or public health schools, and in many cases treatment is undertaken by undergraduate or graduate students under the supervision of faculty, health center staff, or other therapeutic professionals.0 years19th Birthday of clientDestroyYesResearch
UWRSC032Clinical Studies, Trials and Participant Study RecordsThis record series consists of research study case files of participants in the clinical studies or drug trials. Each research study generally contains the following, but is not limited to: Protocol, IRB approvals, patient case report or clinical charts, personal evaluation Intake forms, study correspondence, participant informed consents, surveys and participant data which may include medical histories, visit progress notes, attendance sheets, assessments, lab results or adverse effects, outcomes, names of physicians, referrals, lab notebooks and other research records. 10 yearsLast Contact with ClientDestroyYesResearch
UWRSC033Laboratory ReportsRecords document the results of laboratory testing performed for clients. The reports may include but are not limited to case numbers; client names; details of tests and procedures performed; test results; evaluations; and related data.6 yearsCompletion of research activityDestroyYesResearch
UWRSC034Campus Survey StudiesStudies usually produced by campus or system Institutional Research offices on behalf of various departments and units either one-time studies or annual or semi-annual recurring studies such as senior exit surveys or yearly enrollment reports. Records concerning a study include correspondence, survey instruments, the set of survey questions, the compiled survey data, and the report(s) that present the findings of the survey10 yearsPublication of reportTransfer to UW ArchivesNoResearch
UWRSC034ASurvey Raw ResponsesRaw responses to surveys conducted by campus or system Institutional Research offices on behalf of various departments and units and compiled into reports for analysis. Once information is compiled, the completed response forms have little ongoing administrative value and should be destroyed following an appropriate period of time to verify data entry issues.6 monthsCompilation of responses into summary report/spreadsheetDestroyYesResearch
UWRSC035Research Project Administrative RecordsRecords document the research activity associated with grant-funded projects. This series may include but is not limited to research data; working papers; research/activity reports; summary reports; and related documentation and correspondence. Per OMB Uniform Guidance, data and other records from federally-funded projects should be retained and made available for at least 4 years after the completion of the project.4 yearsPublication of reportTransfer to UW ArchivesNoResearch
UWRSC035AGrant Final ReportsFinal reports submitted to granting agencies and institutions as the final product of the grant project. Depending on the agency, these reports may contain a breakdown of funds spent, narrative description of the product and results, analysis, work product developed during the grant, or other information intended to explain how grant money was spent.4 yearsSubmission of ReportTransfer to UW ArchivesNoResearch
UWSFA001General Student Records-- Financial AidThe general student records regarding financial aid span a variety of documents which are maintained in paper form or as scanned documents in document imaging systems. These records may also be referred to as "financial aid folders". Documents are sent by students to apply for and verify need for financial aid such as loans, work study, and grants. Records that may be kept with this series include but are not limited to Student Aid Report (SAR), alien registration forms, proof of citizenship, low income statement, student academic progress letters, verification of dependent status, veteran benefit statements, veterans discharge papers, student W2s, parental tax returns, student tax returns, dislocated worker documentation, consortium agreement. These documents are frequently filed by student name in a paper file. The records and documents are used to verify and document the student status which is asserted in the Free Application for Federal Student Aid (FAFSA). Information on the FAFSA is also forwarded to the Wisconsin Higher Education Aid Board (HEAB) (if the student indicates Wisconsin as the student's state of residence). This information is used in calculating eligibility for state aid, federal aid and school based aid. A match to the federal department of education database and from HEAB then sets in motion the transfer of funds and payments for tuition, housing, meals, etc.4 yearsEnd of the Award Year in which the Student Last AttendedDestroy ConfidentialYesFinancial Aid
UWSFA002Student Information System (Sis) Database RecordsFinancial aid records are maintained within the Student Information System (SIS). To apply for federal financial aid a student must submit a Free Application for Federal Student Aid (FAFSA) to the Department of Education. This information is compiled, formatted, and transmitted electronically to the financial aid offices and the Wisconsin Higher Education Board. The data is referred to as the Institutional Student Information Record (ISIR). A financial aid office then imports that ISIR data directly into the SIS. The ISIR data along with other pieces of information contained in the SIS is used to determine a student's financial need. Once the need is determined the student is sent an award notification. A student view of this information indicates the name of the university, the award year, type of financial aid for which the student eligible, and provides a chance for the student to accept or turn down the aid. Once the offered aid has been accepted, the Bursar's office can apply that aid to the students account at the appropriate time. Other data records in the SIS system related to the student's academic program, grades, and classes are kept permanently and are necessary for the Registrar's purposes and production of transcripts.4 YearsEnd of the Award Year in which the Student Last AttendedDestroy ConfidentialYesFinancial Aid
UWSFA003Student Accounts RecordsAccount records reflect the balance of funds owed by or to a student for University tuition or services. Student accounts include each student's institutional charges, cash payment, Title IV payment, cash disbursements and returned funds. These records are required for each enrollment period and must be maintained on a current basis. Email notices are generated about statement of expenses and funds. The university administrative and financial services staff and students view charges and make transactions related to bills for on campus housing rent, meal plan, health center and other services. The statement of account is also connected to a payment profile which contains a credit card or electronic transfer options, credit card name, credit card number and credit card expiration date. An institution shall retain a record of disbursements for each loan made using a Master Promissory Note (MPN). This record must show the data and amount of each disbursement.4 YearsEnd of the Award Year in which the Student Last AttendedDestroy ConfidentialYesFinancial Aid
UWSFA004Program Participation AgreementWritten agreement signed by both a top official at an institution and the U.S. Secretary of Education that permits the institution to participate in one or more federal Title IV student aid programs. The signed agreement makes the institution's initial and continued eligibility to participate in Title IV programs conditional on compliance with all provisions of the applicable laws and program regulations. This agreement may have to be updated periodically due to changes at the institution. The program participation agreement (PPA) is created and maintained electronically in the Federal Department of Education system via website. The school financial aid office creates the document and maintains an original hardcopy, which contains signatures of all parties.4 YearsEnd of the Award Year in which the Student Last AttendedDestroy ConfidentialYesFinancial Aid
UWSFA005Program Review RecordsRecords documenting university program reviews which include department/program selfÃÂ­ evaluation studies; outside agency reviews including accrediting agencies for areas such as nursing, social work, education, etc.; college and committee review and approvals; and approvals of deans, faculty senate, provost and the UW system. The review process and related activities can take multiple years. The review helps validate the eligibility of the university to participate with students in financial aid grants, loans and scholarship programs.4 YearsEnd of the Award Year in which the Report was submittedTransfer to University ArchivesNoFinancial Aid
UWSFA006Accrediting And Licensing Agency Reviews, Approvals And ReportsReports, letters, lists, spreadsheets, forms, and other background communications are kept operationally by departments and used to inform the State Department of Licensing and Regulation that students have met qualifications to be tested and licensed. These records also serve as documentation for reports issued to the federal Department of Education affirming licensing of various programs and indicate the cycle of accreditation and licensing.4 YearsEnd of the Award Year in which the Report was submittedDestroyNoFinancial Aid
UWSFA007Remote Sites ReportThis report describes the locations, programs, and effective dates for classes being taught at sites non-adjacent to the UW campus in question. The report is sent to the Higher Learning Commission (HLC) of the North Central Association of Colleges and Schools, the federal Department of Education and the UW system.4 yearsEnd of the Award Year in which the Report was submittedTransfer to University ArchivesNoFinancial Aid
UWSFA008Student Grant Administrative FilesVarious forms and/or institutional applications used by Financial Aid officers to request and monitor a series of federal and state grants. Documents covered by this series include rosters of eligible recipients, error listing reports, and Common Origination and Disbursement student records, as well as internal correspondence related to each. 4 YearsEnd of the Award Year in which the Student Last AttendedDestroy ConfidentialYesFinancial Aid
UWSFA009Student Grant VouchersStudent vouchers used for individual grant disbursement and reporting and related documentation, including correspondence related to the vouchers and voucher request forms. 4 YearsEnd of award year for which the aid was awardedDestroy ConfidentialYesFinancial Aid
UWSFA01AGeneral Student Financial Aid Records - For Student Without LoansThis record series is for those Student Financial Aid Records in which the Student was not eligible or did not accept the loan.3 YearsDate of applicationDestroy ConfidentialYesFinancial Aid
UWSFA010Military Education Benefits And Supporting RecordsVarious forms and/or institutional applications used by the Department of Financial Aid to request and monitor a series of federal and state military education benefits. Main category of records include the following: Federal: VA Benefits Request form, Change of Course load/Credits form, 22-1995 Change of Place or Program (vets), 22-5490 Change of Place or Program (dependents) and State: WDVA 2029 Application for the WI Gl Bill, Request form to Activate/Re-activate WI Gl Bill, Request form to Suspend WI Gl Bill, DMA form 189 National Guard Tuition Reimbursement Grant applications, and WDVA 2200 Veterans Education Tuition Reimbursement Grant application.4 YearsEnd of award year for which the aid was awardedDestroy ConfidentialYesFinancial Aid
UWSFA011Student Loan Program AdministrationVarious documents, forms and/or institutional loan applications used to request and monitor a series of federal and state loan programs. Documents in the files include general records on loan entrance and loan exit counseling, truth in lending documents, institutional loan applications, and miscellaneous correspondence from lenders.4 YearsEnd of the Award Year in which the Student Last AttendedDestroy ConfidentialYesFinancial Aid
UWSFA012Report To Higher Learning CommissionReview Report to the Higher learning Commission (HlC) entitled Annual Institutional Data Update (AIDU). Parts of the report include information on contacts, federal compliance, headcount statistics, numbers of certificate programs, and number of degrees awarded, contractual relationships, and a composite financial index. 4 YearsEnd of the Award Year in which the Report was submittedTransfer to University ArchivesNoFinancial Aid
UWSFA013Fiscal Operations Report and Application To Participate (Fisap)Report on cumulative activity in the Federal Perkins loan Program, and report on the expenditure of any campus-based program funds in the completed award year. All schools that wish to request funding under the campus-based programs for any award year are required to electronically submit a FISAP via a specific federal Department of Education website. This allows a school to complete and submit its FISAP online, receive real-time validation edits, and access prior-year data to assist in completing the FISAP. The FISAP is required for each campus to be allocated funds for the campus-based federal financial aid programs for the next award year.4 YearsEnd of the Award Year in which the Report was submittedDestroyNoFinancial Aid
UWSFA014Annual Operating Report (AOR)These are reports annual and cumulative loan activity of Title VII loan programs. This report includes calculation of excess cash and the need for additional funding. The U.S, Department of Health and Human Services has a website which is used to submit this report electronically. This allows a school to receive real-time validation edits and verification of report submittal. The AOR is required to participate in the Title VII programs.4 YearsEnd of the Award Year in which the Report was submittedDestroyNoFinancial Aid
UWSFA015Student Loan Repayment RecordsRecords documenting repayment of Perkins and Stafford Loans as well as all other student loans, including record of collection activities, financial arrangements, forbearance, deferment, or cancellation forms; loan verifications for consolidation; exit interview documentation: truth and lending statement, repayment schedule, statement of rights and responsibilities; copies of small claims court documents such as summons and complaint, evidence of U.S. Mail delivery and attempts, copies of letters to borrower, screen prints of billing vendor system, credit reports, information and reference sheets, and electronic information in university and billing agent systems. Payment history and collection activity should be maintained subject to audit to comply with credit bureau reporting requirements. Electronic information of payment history and collection activity must be maintained for 7 years subject to audit to comply with credit bureau reporting.7 YearsThe date on which a loan is assigned to the Department,Destroy ConfidentiallyYesFinancial Aid
UWSFA016Perkins Original Promissory NoteThe Federal Perkins Loan Master Promissory Note contains spaces for name, social security number, birth date, address, school name and address, annual interest rate and signature, plus a statement of terms and conditions. Perkins loan borrowers are required to complete Perkins Loan Entrance Counseling and Master Promissory Note (MPN). The school makes the loan with funds from the federal Department of Education to the student under the terms of the MPN. The promissory note remains on file with the school and stays active for subsequent loans at the university and is returned to the student borrower after full payment (debt satisfied) and the note is closed for future disbursements. The promissory note may also be assigned and the original signed note sent to the Department of Education for collection if not paid. Perkins. MPNs are valid for 10 years following the signature if funds are disbursed in the first year. The signed MPN must be closed for further disbursements prior to returning to the borrower to avoid future loans from being disbursed without a valid note. The signed notes are returned to the borrower 6 weeks after the transaction that closes the loan and promissory note or transfer the note to the Department of Education as appropriate. Electronic MPN must be stored electronically at least 4 years after all loans made on the note are satisfied along with the disbursement records electronic authentication and signature records. The records are kept within accordance with Section 34CFR 674.19 Perkins Loans- Fiscal procedures and records.4 YearsThe date the loan is satisfied or the documents are needed toDestroy ConfidentiallyYesFinancial Aid
UWSFA017Student Loan Case Files (Non-Perkins) - Promissory NoteDocumentation regarding individual loans disbursed to students by the university. Records include promisssory notes, truth-in-leading documents, entrance and exit counseling, loan applications and certifications, disbursement records and associated cover letters, and miscellaneous correspondence from lenders. These case files include a variety of loans for a wide variety of funded from sources other that Title IV such as those related to nursing, pharmancy and medical school. Case file and records related to short term loans for student emergency situations and other institutional loans are also included in this series. The promissory note remains on file with the school and stays active for subsequent loans at the university and is returned to the student borrower after full payment {debt satisfied) and the note is closed for future disbursements. Original promissory note is marked paid, copied and returned to borrower 6 weeks after the transaction that closes the loan.4 YearsThe date the loan is satisfied or the documents are needed toDestroy ConfidentiallyYesFinancial Aid
UWSFA018Bureau Of Indian Affairs CertificationsForms and other documentation used to request and monitor federal Bureau of Indian Affairs Grants, Tribal Grants, and Wisconsin Indian Grants. These records contain student's name, address, Social Security numbers, tribe, and the year in school, marital status, the number of dependents, student budget, assessed need, award, Wisconsin state Native American grant recommendation, and the tribal Bureau of Native American Affairs grant recommendation. This form must be submitted to the tribe and state of Wisconsin in order for student to receive money from their tribe and the state.7 YearsDate of ApplicationDestroy ConfidentiallyYesFinancial Aid
UWSFA019Federal Pell Grant Electronic Statements of account(Esoas)These are official statements from the federal Department of Education that sets a school's authorization level for the upcoming award year and project adjustments to the school's Title IV program funding needs. ESOAs are produced for the Federal Pell Grant Program. An ESOA also details the amount expended to date. The Department of Education produces an ESOA whenever there is an adjustment to a school's current accepted and posted disbursement amount.4 YearsEnd of the award year in which the student last attendedDestroy ConfidentiallyYesFinancial Aid
UWSFA020Reconciliation Reports For Title IV And State ProgramsReports on reconciliation of Student Information System Data with student data obtained from the federal Department of Education and from the Shared Financial systems general ledger. The reconciliation process compares Student Information System (SIS) to information from the Department of Education's by student. The funds at hand have been drawn down currently via the web GS system of Department of Education. The reconciliation process also compares SIS to the general ledger, shared financial system (SFS). These reports emphasize programs such as PELL, SEOG, Perkins, Federal Work study (FWS), and various state grant and loan programs.4 YearsEnd of the Award Year in which the Report was submittedDestroy ConfidentiallyYesFinancial Aid
UWSFA021State Grant And Scholarship Award Roster And ReportsReports provide a method between the Higher Educational Aids Board (HEAB) and the university for checking accuracy of data. HEAB sends to the university the student name and social security number, amount of grant, types of grants, and loans. Information details are verified. The university reviews award types and amounts by student cross references information in the student information system (SIS) to verify correctness and makes changes accordingly.4 yearsEnd of the Award Year in which the Report was submittedDestroy ConfidentiallyYesFinancial Aid
UWSFA022Federal Work-Study Administrative RecordsNon-personal information relating to HR administration of Federal Work-Study programs on campus. Documents covered include various off-campus employer contracts, salary cash transfer forms, and other information and correspondence concerning the systemic administration of work-study programs.4 YearsEnd of the award year in which the student last attendedDestroyNoFinancial Aid
UWSFA023Work Studyand Student Assistant Position Applications (Not Hired)The applications serve as a basis for departments to begin a selection and interview process from among multiple applicants. These files are kept for students who are in the process of being considered for hire for federal work study positions or other categories of student employment. These files contain the original application for work study and student assistant positions, which contain name, address, telephone, work experience, skills, references and federal work study funding status used to introduce the student to an on-campus employer. Position applications may take the form of a letter, resume, or a form. The applications also indicate work time availability. If the student is hired this application becomes part of the student workers personnel files {departmental) for student workers records series (UWSFA025) and not for the human resources official files. This series does not pertain to graduate teaching or research positions.1 YearsDate of ApplicationDestroy ConfidentiallyYesFinancial Aid
UWSFA024Work Study And Student workers Personnel Files (Official)Official personnel file for student workers, usually maintained by human resources, including Direct Deposit Authorization with copy of canceled check, W4 Form Employee's Withholding Allowance Certificate, Statement of Selective Service Compliance for Certain Student Employment (males), and hardcopy of time cards, emails and letters. Employment Eligibility Verification (1-9) is filed separately from the official student worker file and has a separate retention schedule.7 YearsEnd of last fiscal year of employmentDestroy ConfidentiallyYesFinancial Aid
UWSFA025Work Study And Student workers Personnel Files (Departmental)Unofficial personnel file for student worker, usually maintained by the department chair, office manager, or first-line supervisor including a position application form, a student hiring notification slip, a letter of award, reference report, and hardcopy of some time cards, emails and letters. The W4 Form Employee Withholding and photocopies of 1-9 forms, Social Security cards and other identification cards and checks must not be kept in these departmental files.1 YearEnd of last fiscal year of employmentDestroy ConfidentiallyYesFinancial Aid
UWSFA026Fiscal And Budget Reports For Student WorkersReports created with existing data from time reporting and payroll systems to monitor.1 YearEnd of last fiscal year of employmentDestroy ConfidentiallyYesFinancial Aid
UWSFA03AStudent Accounts - For Student Without LoansThis record series is for those Student Account Records in which the Student was not eligible or did not accept the loan.4 Years.End of the Fiscal YearDestroy ConfidentialYesFinancial Aid
UWSH100Student Health Center Directors CorrespondenceIncludes all general correspondence of the Student Health Center Director. This may include statistical summaries, physician contracts and matters other than individual student health issues.3 yearsCreatedDestroy or Transfer to Archives depending on institutional policy.Health
UWSH101Student Health Center Administrative Subject FilesIncludes alphabetic topical files, operational policies and procedures and other issues that arise regarding the administration of the Student Health Center.5 yearsCreatedDestroy or Transfer to Archives depending on institutional policy.Health
UWSH102Student Health Center Annual ReportsThe annual reports document all activities of the Student Health Center on a yearly basis. The report provides financial and statistical information, summaries, accomplishments and discussion of future goals.1 yearCreatedTransfer to University ArchivesHealth
UWSH103Student Health Center Meeting RecordsIncludes meeting minutes, agendas and distribution materials of all committee and sub-committees created to assist in the management of the Student Health Center.3 yearsFiscal year of creationDestroy or Transfer to Archives depending on institutional policy.Health
UWSH104Student Health Services Health Insurance RecordsThese records include information on the health insurance plan products for students and the different type of information regarding coverage. Also included are enrollment options, types of waivers, payment options, COBRA coverage and foreign government billing and vendor accounting related to insurance plans.5 yearsCreatedDestroy ConfidentiallyHealth
UWSH105Student Health Services Health Advisory Committee RecordsIncludes meeting minutes, agendas and distribution materials related to the work of the advisory committee which serves as a liaison with the Student Health Center as well as an advocate for health outreach programs to the campus community.3 yearsFiscal year of creationDestroy or Transfer to Archives depending on institutional policy.Health
UWSH106Student Health Center Medical RecordsThe student medical files contain comprehensive information on each student who receives medical services at the Student Health Center. It may include, but is not limited Problem Lists, Face Sheets, visit notes, encounter notes, telephone notes, lab tests, radiology tests, mental health tests, other diagnostic tests, physical exams, outside records, correspondence such as emails, messages, allergy injection records, immunization records, consent forms, WIR immunization reports, laboratory reports, T-B Skin Tests, progress notes, flow sheets, psychological reports, Billing records, notices of privacy practices and disclosures. Student Health records are kept according to FERPA confidentiality requirements. These records are considered to be part of the designated set of health records and part of the legal health record guidelines which are center specific.10 yearsLast date of encounter at University Health Services (UHS)Destroy ConfidentiallyYesHealth
UWSH107Student Health Services Employee/Visitor Encounter RecordMedical information on each visitor who was treated for emergency or occasional treatment at the Student Health Center.3 yearsDate of last encounterDestroy ConfidentiallyYesHealth
UWSH108Student Instructional Camp Health Records (Non-Athletic)Health records and consent forms generated by the Student Health Center for all individuals attending UW System sponsored camps. These records may include individual and family histories, health questionnaires, physical examination results, and X-ray and laboratory reports as well as signed consent forms to allow for medical treatment and medicinal dispensing. This series does not apply to sports camps.4 years unless participant is a minor, then records need to be kept until minor reaches age 18Last year of enrollmentDestroy ConfidentiallyYesHealth
UWSH109Student Health Center Daily LogThe daily log includes the name of each patient, the name of the medical personnel attending the patient and the medical problem or treatment it may include procedures done in the laboratory which contain the patient's name, the name of the medical personnel, who attended the patient, and the prescribed treatment.3 yearsCreatedDestroy ConfidentiallyYesHealth
UWSH110Student Health Center Appointment Schedules and Statistical LogsThe series includes a weekly schedule for each nurse and physician and the name of the patient seen. It also includes a log for laboratory tests and results, log of physician's appointments, which also includes the patient's name, diagnosis, laboratory work and
treatment.
5 yearsCreatedDestroy ConfidentiallyYesHealth
UWSH111Student Health Center Visit and Coding StatisticsThe records series includes appointments, schedules, physician information, coding, invoices, billings, patient accounts, reporting and payment posting.7 yearsCreatedDestroy ConfidentiallyYesHealth
UWSH112Student Health History Form - Inactive StudentsHealth history forms completed by every student at the start of their enrollment. This series includes only those forms of students who never made an appointment at the Student Health Center. (The forms of students who have been seen as a patient at the Student Health Center are included in the Students Medical file covered under HRS106)5 yearsLast semester of attendanceDestroy ConfidentiallyYesHealth
UWSH113Student Health Center Pharmacy RecordsPatient prescriptions for pharmaceuticals written by the medical staff of the Student Health Center for patients. The records include the type of medication, the dose and quantity of the medication, when the medication was dispensed and the name of the medical staff person who dispensed it.7 yearsDate of last visitDestroy ConfidentiallyYesHealth
UWSH114Student Health Center Laboratory Reports - CopiesCopies of laboratory reports which include testing and their results completed on each patient at the Student Health Center. (Original Laboratory Reports are kept as part of the Students Medical Record, HRS106)3 yearsCreatedDestroy ConfidentiallyYesHealth
UWSH115Student Health Center Master Patient Index (MPI)Record of all patients who received care at the Student Health Center and contains the Patient's Medical Record Number, Patient's Legal Name, DOB, Gender, Race, Ethnicity, Address, Campus ID, Account #, Admission or Encounter date, Discharge or Departure date, Encounter or Service Type, Patient's disposition. Master Patient Index is the link in tracking patient, person, or member activity within an organization (or enterprise) and across patient care settings. The MPI identifies all patients who have been treated in a Facility or enterprise and lists the medical record or identification number associated with the name. An index can be maintained manually or as part of a computerized system.75 years or Life of University Health Service, whichever is longerCreatedYesHealth
UWSH116Student Health Center STD Case RecordsAll materials which document a positive case of sexually transmitted disease (STD) on campus. The records may include test requisitions, test analytics reports, quality control analytics and other documentation required to verify the report.Transfer to the Wisconsin Department of Health and Family ServicesYesHealth
UWSH117Student Health Center Quality Controls RecordsStudent Health Center studies which are utilized to improve the quality of health care. They include, but are not limited to, quality studies, peer review and case review, risk management reports, satisfaction surveys and National College Health Assessments. It also includes a complaint form or surveys to be completed on optional bases by any patient. The form includes the date, nature of the complaint and a comment section. The staff person's name and the patients name are optional.3 yearsCreatedDestroy ConfidentiallyYesHealth
UWSH118Student Health Centers Service Program RecordsMaterials on various educational programs, reports and correspondence provided by the Student Health Center. This may include posters, circulars, contests and other preventive health care initiatives.3 yearsCreatedDestroy or Transfer to Archives depending on institutional policy.NoHealth
UWSH119Counseling Center Administrative Subject FilesIncludes all correspondence, alphabetic topical files, policies and procedures that deal with the administration of the Counseling Center created by the Director.5 yearsCreatedDestroy or Transfer to Archives depending on institutional policy.Health
UWSH120Counseling Center Annual ReportsThe Director prepares an annual report which documents all activity of the Counseling Center on a yearly basis. The report includes statistical information.1 academic yearCreatedTransfer to University ArchivesNoHealth
UWSH121Counseling Center Meeting RecordsIncludes meeting minutes, agendas and distribution of materials of all committees and sub-committees created to assist in the management of the Counseling Center.3 yearsFiscal year of meetingDestroy or Transfer to Archives depending on institutional policy.Health
UWSH122Counseling Center Student Counseling Patient FilesThis record series represents the main student health care record for the counseling center. Records include counselor's notes and reports, psychological test results, referral records, correspondence with referring agencies, release forms, security reports and additional information gathered about the client in the course of counseling. The files are used for crisis intervention, monitoring progress and as a resume for future treatment by other professionals. Student Health records are kept according to FERPA and HIPAA confidentiality requirements. These records are considered to be part of the designated set of health records and part of the legal health record guidelines which are center specific.10 yearsLast semester of attendanceDestroy ConfidentiallyYesHealth
UWSH123Counseling Center Employee Assistance Program (EAP)The record series represents the main employee health record for the counseling center. Employee assistance files contain comprehensive information on each university employee who receives counseling services through the EAP. It includes the counselor's notes and reports, referral records, correspondence with referring agencies, release forms, security reports and additional information gathered about the client in the course of counseling. The files are used for crisis intervention, monitoring progress and as a resume for future treatment by other professionals.7 yearsLast appointment dateDestroy ConfidentiallyYesHealth
UWSH124Counseling Center Appointment Schedule and Statistical LogsIncludes weekly appointment sheets for each counselor with the name of the client, date and time. The statistical logs are compilations of the weekly appointment sheet used for end-of-the month reports.2 yearsCreatedDestroy ConfidentiallyYesHealth
UWSH125Counseling Center Satisfaction SurveysSurveys record client satisfaction with Counseling Center services, counselors and admission procedures.3 yearsCreatedDestroy ConfidentiallyHealth
UWSH126Counseling Center Community Outreach Prevention and Education ProgramMaterials on community outreach prevention and education programs. This includes but is not limited to posters, circulars, contest materials as well as program related reports.3 yearsCreatedDestroy or Transfer to Archives depending on institutional policy.NoHealth
UWSH127Student Athletics Student Athlete Medical FilesSeries represents the main student athlete health record for athletics programs. Student athlete medical files contain health physicals, health history questionnaires, physician notes, injury evaluations, injury rehabilitation, diagnostic imaging results, operative reports, operative pictures, health insurance information and any other health material.7 yearsLast semester of attendanceDestroy ConfidentiallyYesHealth
UWSH128Student Athletics Athlete Diagnostic TestsIncludes MRI's, X-Rays, Bone scans and CT scans. The tests are filed alphabetically by team sport for active student athletes and alphabetical only for noncurrent student athletes.7 yearsLast semester of eligibilityDestroy ConfidentiallyYesHealth
UWSH129Sports Camp Medical RecordsMedical records consist of a health history form which is required for each person enrolled in a athletic sports camp sponsored by a UW System institution. The form includes date of last physical examination, immunization records, allergic reactions and identification of any existing medical problems, as well as signed consent forms to allow for medical treatment and medicinal dispensing.4 years unless participant is a minor, then records need to be kept until minor reaches age 18Year of participationDestroy ConfidentiallyYesHealth
UWSTA100Behavioral Incident Reports -- Not Resulting in Student Agreement with Conditions or ExpulsionReports filed with the University due to a student's behavior that violated University policy. This series applies to reports documenting incidents that were not found severe enough to warrant a student entering into agreements with conditions with the University or resulting in a student's expulsion. Reports include but are not limited to:
General Incident -- Reports documenting behavioral misconduct, crimes as required by the Clery Act, or general informational reports including student grievances and complaints.
Hate/Bias Incident -- Report documenting an act of bias or hate crime when the crime is based on race/ethnicity, religion, sexual orientation, gender/gender identity or disability.
Student of Concern -- General report of concern for students (ex.: mental health, missing student, physical health, concerning behavior, death in the family, academic struggles). This report initiates a campus response based on description of concern and degree of urgency.
Interpersonal Violence -- Report of incidents of interpersonal violence including dating or domestic violence, stalking, or sexual harassment. These are Title IX records.
Information in these reports may include, but is not limited to: filers name, job position/title, phone number, email address, physical address, reason for filing, level of urgency of report, date and time of incident, location of incident, campus ID number, drivers license number, identification of parties involved, descriptive narrative of event, photographs, video and emails.
On some campuses these records may be retained with Student Response Team or Behavior Intervention Team records (UWSTA106).
These records are commonly maintained in the Maxient management system.
7 yearsDate report closedDestroy confidentiallyYesStudent Affairs
UWSTA101Behavioral Incident Reports Resulting in Student Agreements with ConditionsReports filed with the University due to a student's behavior that violated University policy. This series applies to reports documenting incidents that were found severe enough to warrant a student entering into an agreement with conditions with the University, a settlement process defined in Wis. Admin. Code UWS 17.15, but not resulting in a student's expulsion. Reports include but are not limited to:
General Incident -- Reports documenting behavioral misconduct, crimes as required by the Clery Act, or general informational reports including student grievances and complaints.
Hate/Bias Incident -- Report documenting an act of bias or hate crime when the crime is based on race/ethnicity, religion, sexual orientation, gender/gender identity or disability.
Student of Concern -- General report of concern for students (ex.: mental health, missing student, physical health, concerning behavior, death in the family, academic struggles). This report initiates a campus response based on description of concern and degree of urgency.
Interpersonal Violence -- Report of incidents of interpersonal violence including dating or domestic violence, stalking, or sexual harassment. These are Title IX records.
Information in these reports may include, but is not limited to: filers name, job position/title, phone number, email address, physical address, reason for filing, level of urgency of report, date and time of incident, location of incident, campus ID number, drivers license number, identification of parties involved, descriptive narrative of event, photographs, video and emails.
On some campuses these records may be retained with Student Response Team or Behavior Intervention Team records (UWSTA107).
These records are commonly maintained in the Maxient management system.
10 yearsDate agreement conditions metDestroy confidentiallyYesStudent Affairs
UWSTA102Behavioral Incident Reports Resulting in ExpulsionReports filed with the University due to a student's behavior that violated Universtiy policy. This series applies to reports documenting incidents that were found severe enough to warrant a student's expulsion from the University. Reports include, but are not limited to:
General Incident -- Reports documenting behavioral misconduct, crimes as required by the Clery Act, or general informational reports including student grievances and complaints.
Hate/Bias Incident (including death of victim) -- Report documenting an act of bias or hate crime when the crime is based on race/ethnicity, religion, sexual orientation, gender/gender identity or disability.
Student of Concern -- General report of concern for students (ex.: mental health, missing student, physical health, concerning behavior, death in the family, academic struggles). This report initiates a campus response based on description of concern and degree of urgency.
Interpersonal Violence -- Report of incidents of interpersonal violence including dating or domestic violence, stalking, or sexual harassment. These are Title IX records.
Sexual Assault (Including 1st Degree) -- Report filed by students, faculty and staff or community members of a sexual assault they witnessed or received a report of. All UW employees are required to file this report as outlined in Wis. Stat. 36.11(22)(c). These are Title IX records.
Information in the above reports may include, but is not limited to: filers name, job position/title, phone number, email address, physical address, reason for filing, level of urgency of report, date and time of incident, location of incident, campus ID number, drivers license number, identification of parties involved, descriptive narrative of event, photographs, video and emails.
On some campuses these records may be retained with Student Response Team or Behavior Intervention Team records (UWSTA108).
These records are commonly maintained in the Maxient management system.
30 yearsDate of expulsionDestroy confidentiallyYesStudent Affairs
UWSTA103Behavioral Disciplinary Action Records -- Not Resulting in Student Agreement with Conditions or ExpulsionRecords documenting the adjudication of rules infractions by University students that were not found severe enough to warrant a student entering into any agreements with conditions with the University or resulting in a student's expulsion.
Records include behavioral dismissal records, behavioral expulsion records, and behavioral suspension records and all supporting documents.
7 yearsCreationDestroy confidentiallyYesStudent Affairs
UWSTA104Behavioral Disciplinary Action Records Resulting in Student Agreements with ConditionsRecords documenting the adjudication of rules infractions by University students that were found severe enough to warrant a student entering into an agreement with conditions with the University, a settlement process defined in Wis. Admin. Code UWS 17.15, but not resulting in a student's expulsion.
Records include, but are not limited to, behavioral dismissal records and behavioral suspension records and all supporting documents.
10 yearsCreationDestroy confidentiallyYesStudent Affairs
UWSTA105Behavioral Disciplinary Action Records Resulting in ExpulsionRecords documenting the adjudication of rules infractions by University students that were found severe enough to warrant a student's expulsion from the University. Reports include, but are not limited to: behavioral dismissal records, behavioral expulsion records, and behavioral suspension records and all supporting documents.30 yearsCreationDestroy confidentiallyYesStudent Affairs
UWSTA106Student Behavior Intervention Team (BIT) Case Files -- Not resulting in Student Agreement with Conditions or ExpulsionRecords assembled by a multidisciplinary team charged with investigating and supporting students who may be struggling with mental health issues including suicidal ideations and disruptive conduct. This series applies to case files that were not found severe enough to warrant a student entering into any agreements with conditions with the University or resulting in a student's expulsion. Records produced by this team consist of but are not limited to: notes, summaries, and correspondence.
May be known as the Student Response Team or by another name at UW campuses.
7 yearsClose of caseDestroy confidentiallyYesStudent Affairs
UWSTA107Student Behavior Intervention Team (BIT) Case Files resulting in Student Agreement with ConditionsRecords assembled by a multidisciplinary team charged with investigating and supporting students who may be struggling with mental health issues including suicidal ideations and disruptive conduct. This series applies to case files that were found severe enough to warrant a student entering into an agreement with conditions with the University, a settlement process defined in Wis. Admin. Code UWS 17.15, but not resulting in a student's expulsion. Records produced by this team consist of but are not limited to: notes, summaries, and correspondence.
May be known as the Student Response Team or by another name at UW campuses.
10 yearsClose of caseDestroy confidentiallyYesStudent Affairs
UWSTA108Student Behavior Intervention Team (BIT) Case Files Resulting in ExpulsionRecords assembled by a multidisciplinary team charged with investigating and supporting students who may be struggling with mental health issues including suicidal ideations and disruptive conduct. This series applies to case files that were found severe enough to warrant a student's expulsion from the University. Records produced by this team consist of but are not limited to: notes, summaries, and correspondence.
May be known as the Student Response Team or by another name at UW campuses.
30 yearsClose of caseDestroy confidentiallyYesStudent Affairs
UWSTA200Disability Service Student Case FilesCase files of students requesting disability services at an institution. Records may include, but are not limited to: medical or psychological documentation of a disability and statements of accommodations received in the past from either a high school or other secondary education facility, such as in the form of an IEP (Individual Evaluation Plan) or 504 Plan. Also, records of accommodations provided, student class schedules, and other pertinent letters or documents.7 yearsLast day of enrollmentDestroy confidentiallyYesStudent Affairs
UWSTA201Disability Service Student Case Files -- Not PursuedCase files of students requesting disability services at an institution but made inactive after the student failed to continue the application process or chose to not receive services.
Files contain information on available disability services. This includes general description of disability type, student ID# if student is currently enrolled, preliminary request forms, and some documentation sent in but not completed.
2 yearsLast day of enrollmentDestroy confidentiallyYesStudent Affairs
UWSTA300Child Care Center Child FilesSeries containing multiple types of records created for the management of individual children cared for in the child center. Records include, but are not limited to: registration/enrollment forms and contracts, registration forms filled out by parents or guardians, parental consent/media release, development history form, and the signed contract between parents or guardians and the university. Information in these records may include child's name, parent's name, driver's license number, social security number, drop off/pick up time, fee, and insurance information. This series includes waiting list enrollment.3 yearsLast date of attendanceDestroy confidentiallyYesStudent Affairs
UWSTA301Child Care Center Child Files -- Not EnrolledRecords collected during the application process for a child that ultimately was never enrolled.
Records in this series may include, but are not limited to: registration/enrollment forms and contracts, parental consent/media release form, development history form, parent or child schedules, and child health records.
1 yearDate of applicationDestroy confidentiallyYesStudent Affairs
UWSTA302Attendance RecordsWritten record of a child's daily attendance at the child care center for the length of time the child is enrolled.3 yearsLast day of attendanceDestroy confidentiallyNoStudent Affairs
UWSTA303Child Care Center SchedulingSeries containing multiple types of records created to organize the care of children at the child care center. Records include, but are not limited to:
Parent Schedule: Form indicating emergency contact information, employment status, work schedule, class schedule, etc. for parents or guardians that leave their children in the care of the Child Care Center.
Child's Schedule Change: Form changing time/days of care at the child care center.
3 monthsLast day of attendanceDestroy confidentiallyYesStudent Affairs
UWSTA304Child Care Center Child Health RecordsSeries containing multiple types of records created for the management of the health and safety of children in the care of the child care center. Records include, but are not limited to:
Immunization Records: Records documenting the history of vaccines received by the child.
Health History and Emergency Care Plan: identifies family physician, child's medical conditions, and emergency contact information.
Child Health Report: Instructions for children with special problems and allergies and immunizations to not be administered for medical reasons.
Authorization to Administer Medication: Form completed by parent or guardian to give care center permission to administer medication to their child.
3 yearsLast day of attendanceDestroy confidentiallyYesStudent Affairs
UWSTA305Menus for Meals and SnacksRecords documenting all meals and snacks that are provided at the child care center.3 monthsCreationDestroyNoStudent Affairs
UWSTA306Child and Adult Care Food Program (CACFP) RecordsApplications and supporting documentation regarding a federal nutrition program used in child care centers. Records include: enrollment lists, daily records of number of participants indicating type of meal, dates and amounts of disbursement, copies of menus and any other food service records, training documentation, administrative and operating costs, income, claims for reimbursement, receipts of program payments received from the state, food service contracts, health inspection report.3 yearsFiscal yearDestroy confidentiallyNoStudent Affairs
UWSTA307Reporting and Documentation Records for Wisconsin Department of Children and Families (DCF)Records pertaining to documentation that the facility is required to create to meet reporting requirements to DCF.
Note: DCF holds these records permanently.
1 yearDate submitted to DCFDestroy confidentiallyNoStudent Affairs
UWSTA308Staff RecordsRecords documenting personnel issues that are unique to the work of the center and are not part of formal personnel files.
These records may include, but are not limited to: demographic data, background verification, physical examination, education qualifications and continued training documentation.
8 yearsDate of separationDestroy confidentiallyNoStudent Affairs
UWSTA309Staff Development and Training RecordsRecords documenting child care center staff professional development as required under Wis. Admin. Code DCF 251.05 (2).
Records include review of center policies, training in emergency procedures, first aid, job descriptions, recognition of childhood illness and infectious disease control, schedule of activities of the center, child abuse awareness, knowledge of where children are, child management techniques and integrations of children with disabilities.
8 yearsDate of separationDestroy confidentiallyNoStudent Affairs
UWSTA400Student Government Administrative FilesRecords pertaining to various functions of the Office of Student Life. Subjects may include, but are not limited to: student organizations, student government, task forces, professional organizations, committee minutes, reports, and correspondence, and print promotional materials.5 yearsCreationTransfer to archivesNoStudent Affairs
UWSTA401Student Government Legislative and Deliberative RecordsRecords of the elected student representatives that are chiefly responsible for exercising the legislative powers and duties as stipulated by Wis. Stat. 36.09(5). Records include: constitution, bylaws, agendas, meeting minutes, legislation passed and/or rejected, resolutions, statutes, formal statements, official letters, and correspondence.10 yearsCreationTransfer to archivesNoStudent Affairs
UWSTA402Student Court Judicial Records -- Not Resulting in Student Agreement with Conditions or ExpulsionRecords documenting disciplinary decisions passed by student court, or equivalent body, regarding campus groups and/or individuals. This series applies to records documenting actions that were not found severe enough to warrant a student entering into any agreements with conditions with the University or resulting in a student's expulsion. Records include: minutes, agendas, correspondence, and formal decisions.8 yearsEnd of hearingTransfer to archivesYesStudent Affairs
UWSTA403Student Court Judicial Records Resulting in ExpulsionRecords documenting disciplinary decisions passed by student court, or equivalent body, regarding campus groups and/or individuals. This series applies to records of actions that were found severe enough to warrant a student's expulsion from the University. Records include: minutes, agendas, correspondence, and formal decisions.30 yearsDate of expulsionTransfer to archivesYesStudent Affairs
UWSTA404Student Court Judicial Records Resulting in Student Agreements with ConditionsRecords documenting disciplinary decisions passed by student court, or equivalent body, regarding campus groups and/or individuals. This series applies to records of actions that were found severe enough to warrant a student entering into an agreement with conditions with the University, a settlement process defined in Wis. Admin. Code UWS 17.15, but not resulting in a student's expulsion. Records include: minutes, agendas, correspondence and formal decisions. 10 yearsEnd of hearingTransfer to archivesYesStudent Affairs
UWSTA405Segregated Fee DocumentationRecords created in the process to distribute the monies derived from fees assessed to all students to support student services, activities, programs and facilities that support the mission of University of Wisconsin System institutions.
Includes allocable and non-allocable segregated fee documentation. Documentation includes: minutes, agendas, deliberations, recordings, budget requests, correspondence, distribution of funds, passed budgets and related records.
6 yearsFiscal yearTransfer to archivesNoStudent Affairs
UWSTA406Student Fee Purchase RequestsRequests from student organizations and subsidies from student government approved funds. Information collected includes: organization name, contact information, quantity and description of items requested and cost.1 yearCreationTransfer to archivesNoStudent Affairs
UWSTA407Membership ListsLists or other forms of documentation listing student government elected office or job assignment and names of those individuals that filled the position.6 yearsEnd of appointmentTransfer to archivesNoStudent Affairs
UWSTA408Organization Officer and Adviser ListingsLists of organization officers and advisers.6 yearsSupersededTransfer to archivesNoStudent Affairs
UWSTA409Student Organization Recognition FilesRecords assembled in the process of conferring official status upon student groups. Series includes: recognition/re-recognition forms, organization constitution, and/or bylaws or other founding papers.6 yearsSupersededTransfer to archivesNoStudent Affairs
UWSTA500Recreation RecordsReports and standings from non-interscholastic athletic activities including: tournaments, leagues, and other special programs.1 yearCreationDestroyNoStudent Affairs
UWSTA501Student Trip FilesRecords pertaining to various aspects of student recreational trips. Includes: contracts, hold harmless agreements, rosters of names, and health immunization forms (for certain trips).3 yearsCreationDestroy confidentiallyYesStudent Affairs
UWSTA600Liability WaiversForms and related records documenting an individual's acknowledgement of possible risks associated with activities they participate in. Furthermore, the records, when signed, indicate the participant promises to hold harmless the University if injury does occur. Activities using liability waivers may include, but are not limited to: outdoor or indoor extra-curricular activities, field trips, excursions and other events that might pose some physical risk to participants. Forms may also ask participants to acknowledge that their photograph may be taken and/or audio/video recordings may be made capturing their likeness and used for promotion or similar purposes. Forms typically include: name, age, date of birth, date(s) of activity and a signature of each individual attending. This series covers liability waivers for all university students, staff and guests.1 yearLast date of attendanceDestroy confidentiallyYesStudent Affairs
UWSTA700On-Campus Fee Waiver FormSigned forms requesting to waive on-campus segregated fees charged to the student and acknowledgment that no services provided with funding from segregated fees through the university will be provided.
These forms are often submitted by students at a significant distance from campus, such as those completing their student teaching requirement or participating in distance education.
5 yearsLast day of semester enrolledDestroy confidentiallyYesStudent Affairs
UWSTU001Acceptance Letters, (enrolled students)Comprising this series are the university's copy of notification letters in any format sent to admitted freshmen or transfer students as a response to application to the university. Such letters may include an invitation to orientation and indicate any further steps needed to be taken by the admitted student.5 yearsDate of graduation or last attendanceDestroy ConfidentiallyYesStudent
UWSTU002Acceptance Letters, (not enrolled)Comprising this series are the university's copy of notification letters in any format sent to admitted freshmen or transfer students as a response to application to the university. Such letters may include an invitation to orientation and indicate any further steps needed to be taken by the admitted student.1 yearDate of applicationDestroy ConfidentiallyYesStudent
UWSTU003Applications for Admission, (enrolled students)The records include official institutional application forms completed in any format by prospective students for admission or readmission to the institution.5 yearsDate of graduation or last attendanceDestroy ConfidentiallyYesStudent
UWSTU004Applications for Admission, (not enrolled)The records include official institutional application forms completed in any format by prospective students for admission or readmission to the institution.1 yearDate of applicationDestroy ConfidentiallyYesStudent
UWSTU005Applications for Admission, falsifiedAdmissions application and supporting documentation received from individuals misrepresenting themselves. The retention period provides sufficient time to track those individuals who may make repeat attempts to submit a falsified application.3 semesters + 7 yearsClose of the term for which they appliedDestroy ConfidentiallyYesStudent
UWSTU006Applications for Admission, unsolicitedThis series contains letters of recommendation, test scores, portfolios, CDs, examples of work prepared by the potential applicants where no formal application was ever submitted. The materials may be received in any format. Some institutions receive a significant number of admission inquiries from abroad. It is often difficult for those potential applicants to obtain or reproduce materials previously submitted. Two years incorporates a grace period for those potential students who do complete an application for the next academic year.3 semesters + 2 yearsClose of the term for which they appliedDestroy ConfidentiallyYesStudent
UWSTU007Correspondence, staff, with or concerning enrolled studentsThe series includes correspondence in any format between Enrollment Services staff within units or with students, relevant to the admission and/or academic progress of individual student.5 yearsDate of graduation or last attendanceDestroy ConfidentiallyYesStudent
UWSTU008Correspondence, staff, with or concerning students who did not enrollThe series includes correspondence in any format between Enrollment Services staff within units or with students, relevant to the admission and/or academic progress of individual student.1 yearDate of applicationDestroy ConfidentiallyYesStudent
UWSTU009Credit by Examination or experiential learning credit recordsExaminations include but are not limited to Advanced Placement results, CLEP, PEP, other test score results, prior learning documentation, etc. used for advanced placement within degree program5 years (enrolled and non-enrolled students)Date of graduation or last attendanceDestroy ConfidentiallyYesStudent
UWSTU010Entrance Examination Results and other Placement Test records, (enrolled students)Student scores from standardized tests, include, but are not limited to: ACT, SAT, GRE or university or department-specific tests or auditions for enrolled students.5 yearsDate of graduation or last attendanceDestroy ConfidentiallyYesStudent
UWSTU011Entrance Examination Results and other Placement Test Records, (not enrolled)Student scores from standardized tests, including but not limited to: ACT, SAT, GRE or university or department-specific tests or audition for students who did not enroll in the institution.1 yearDate of applicationDestroy ConfidentiallyYesStudent
UWSTU012Graduate School Degree Applications - receivedThis series is comprised of graduation applications received by either the Registrar's Office (for the Bachelor's and Professional degrees) or the Graduate School (for Master's and Doctor's degrees), may include compiled lists of students eligible to graduate. The Official Copy resides in the Registrar's Office-Graduation and Academic Records for Bachelor's and Professional degrees and in the Graduate School for Master's and Doctor's degrees. Other copies may be found in the College/School or Department.1 yearDate of graduation or last attendanceDestroy ConfidentiallyYesStudent
UWSTU013Graduate School Admission Applications, (not accepted, not enrolled, or incomplete)A record of applicants for UW admission into a graduate program who were not accepted; who were accepted, but who did not enroll; or who never completed the application process. Graduate school application files maintained at the school and/or department levels containing some to all of the following types of materials: copy of the application for admission to the Graduate School, complete set of official transcripts from other institutions, copy of the Graduate School Examiner's report, reasons for graduate study, any miscellaneous correspondence, letters of recommendation, GRE scores, and other materials which may be requested by the particular school or department.5 yearsDate of applicationDestroy ConfidentiallyYesStudent
UWSTU014Graduate School Admission Applications -residency/fellowship applicationsThis series includes admission applications in any format of applicants to a Residency or Fellowship Program who did not match the program requirements, were not accepted, withdrew from consideration, or were
not interviewed. Also includes Not Matched, Not Accepted, Withdrawn, or Not Interviewed.
5 yearsDate of applicationDestroy ConfidentiallyYesStudent
UWSTU015Graduate School Qualifying ExamsExaminations or qualifying exams taken by Ph. D. candidates in which Candidates are required to pass a certain number of exams by a certain deadline to qualify for admission to graduate school. They are grouped by semester and each exam is graded by two people. There are also Grading Charts that complement these exams which indicate who the graders are.2 yearsDate of last attendanceDestroy ConfidentiallyYesStudent
UWSTU016Letters of Recommendation, (enrolled students)These records include letters of recommendation in any format required by the school or provided by the applicant as additional information to admission officers.5 yearsDate of applicationDestroy ConfidentiallyYesStudent
UWSTU017Letters of Recommendation, (not enrolled)These records include letters of recommendation in any format required by the school or provided by the applicant as additional information to admission officers.1 yearDate of applicationDestroy ConfidentiallyYesStudent
UWSTU018Program Admissions Records, (admitted students)This series includes materials submitted in the application process for majors that have limited space and require application. Entrance to these majors is competitive; not all students will necessarily be accepted.
Eligibility requirements vary from program to program. For example, in general, teacher education students must complete a minimum number of total credits, earn a minimum grade-point average, take and submit the scores for the Praxis l/Pre-Professional Skills Test (PPST), and submit an application. Some programs also require applicants to complete a minimum number of credits in the major. Programs may ask for essays or statements, letters of recommendation, extended study abroad, or other documents, test scores, or experiences. These materials, submitted by successful applicants, comprise this series.
5 yearsDate of graduation from the programDestroy ConfidentiallyYesStudent
UWSTU019Program Admissions records, (not admitted)This series includes materials submitted in the application process for some majors, which have limited space and require application. Entrance to these majors is competitive; not all students will necessarily be accepted. Eligibility requirements vary from program to program. For example, in general, teacher education students must complete a minimum number of total credits, earn a minimum grade-point average, take and submit the scores for the Praxis l/Pre-Professional Skills Test (PPST), and submit an application. Some programs also require applicants to complete a minimum number of credits in the major. Programs may ask for essays or statements, letters of recommendation, extended study abroad, or other
documents, test scores, or experiences. These documents for students who have applied and failed to be admitted comprise this series.
2 yearsDate of applicationDestroy ConfidentiallyYesStudent
UWSTU020Residency Records, (enrolled students)Records used to determine student residency classification for tuition purposes. These records also include forms to appeal for in-state resident tuition. Records supplied to substantiate this may include a variety of
state and federal income tax information, high school records, employment records and other documents.
5 yearsDate of graduation or last attendanceDestroy ConfidentiallyYesStudent
UWSTU021Residency Records, (admitted, not enrolled)Records used to determine student residency classification for tuition purposes. These records also include forms to appeal for in-state resident tuition. Records supplied to substantiate this may include a variety of state and federal income tax information, high school records, employment records and other documents.1 yearDate of applicationDestroy ConfidentiallyYesStudent
UWSTU022Transcripts from other institutions, (enrolled students)Transcripts from other institutions such as preparatory schools, high schools, other universities, colleges and technical schools used to support the admissions process.5 yearsDate of applicationDestroy ConfidentiallyYesStudent
UWSTU023Transcripts from other institutions, (not enrolled)Transcripts from other institutions such as preparatory schools, high schools, other universities, colleges and technical schools used to support the admissions process.1 yearDate of applicationDestroy ConfidentiallyYesStudent
UWSTU024Veterans records, (enrolled students)Records related to student enrollment for federal/state military benefits such as application, copies of discharge form DD214, VA eligibility certificates, study grants, VA vocational rehabilitation agreements, VA
fee vouchers, and correspondence, in as far as these records support the admissions process. See FINAID001 and FINAID010 for the disposal of those veteran's records used to determine financial aid eligibility.
5 yearsEnd of benefit award yearDestroy ConfidentiallyYesStudent
UWSTU025Veterans records, (not enrolled)Records related to student enrollment for federal/state military benefits such as application, copies of discharge form DD214, VA eligibility certificates, study grants, VA vocational rehabilitation agreements, VA
fee vouchers, and correspondence, in as far as these records support the admissions process. See FINAID001 and FINAID010 for the disposal of those veteran's records used to determine financial aid eligibility.
2 yearsDate of applicationDestroy ConfidentiallyYesStudent
UWSTU026Academic Dismissal/Suspension/Expulsion recordsUniversity's copy of the letter in any format from the Dean of Students or equivalent office explaining to the student the dismissal and the academic or nonacademic reasons for the action.6 yearsCreatedTransfer to University ArchivesYesStudent
UWSTU027Academic Misconduct recordsNotification of academic misconduct and documentation of sanctions or disciplinary action including correspondence, reports, requests for hearings, appeals and petitions.6 yearsCreatedTransfer to University ArchivesYesStudent
UWSTU028Academic WarningsAcademic warning sent by email or paper correspondence informing the student of poor academic performance that threatens continued attendance of the institution.5 yearsDate of graduation or last attendanceDestroy ConfidentiallyYesStudent
UWSTU029Add/Drop recordsCompleted course add or drop forms and related records required by the institution to add or drop courses after the registration deadline.1 yearDate submittedDestroy ConfidentiallyYesStudent
UWSTU030Applications for Graduation, (graduated students)Applications completed by students as required prior to graduation. These trigger degree audits which review student records for completion of degree requirements. (Degree Audits UWSTU044)1 yearDate of applicationDestroy ConfidentiallyYesStudent
UWSTU031Applications for Graduation, (non-graduated students)Applications completed by students as required prior to graduation. These trigger degree audits which review student records for completion of degree requirements. (Degree Audits UWSTU044)5 yearsApplication dateDestroy ConfidentiallyYesStudent
UWSTU032Athlete Academic RecordsRecords including dossiers in any format created by the Athletic Director, the Associate Athletic Director or the Compliance Officer for individual students, compiling academic and enrollment records, credit and major requirements, amateur athletic status certification, semesters of eligibility used and remaining, which make up participation status. Where offered, tutor evaluation and assessment records or mandatory study time requirement records may be included.10 yearsDate of graduation or last attendanceDestroy ConfidentiallyYesStudent
UWSTU033Athletic Eligibility ReportsReports in paper or electronic form created by the Athletic Director, the Associate Athletic Director or the Compliance Officer to demonstrate athletic eligibility of teams. The reports include summarized academic and enrollment information and approval of academic record for each member of the team as well as certification of amateur athletic status and number of semesters of eligible competition used and remaining. (For schools in WIAC, this series runs parallel to the conference-wide series WIAC107)2 yearsDate of submission of official reportDestroy ConfidentiallyYesStudent
UWSTU034Audit AuthorizationsDocumentation consisting of paper or electronic forms completed by students and signed by the course's instructor, giving the student permission to audit a course, instead of enrolling for academic credit.1 yearDate of submissionDestroy ConfidentiallyYesStudent
UWSTU035Change of Grade DocumentationDocumentation as a paper or electronic data entry form completed by the instructor of the relevant course and signed by the appropriate dean supporting an approved change of a previously assigned course grade.5 yearsDate of submissionDestroy ConfidentiallyYesStudent
UWSTU036Changed Grade RecordPaper, student information system (SIS) electronic, or other evidence of a legitimately changed final course grade.6 yearsCreatedTransfer to University ArchivesYesStudent
UWSTU037Correspondence between students and faculty regarding course content or progressCorrespondence between faculty and students in any form relating to coursework, as retained by academic departments to serve as source documents for submitted official grades.6 monthsClose of semester in which grades are submittedDestroy ConfidentiallyYesStudent
UWSTU038Correspondence related to academic inquiryStudent Correspondence related to academics other than with current instructors (See UWSTU037) or with Enrollment Services regarding Admission (SeeUWSTU007; UWSTU008)6 monthsDate of correspondenceDestroy ConfidentiallyYesStudent
UWSTU039Course Repeat Approval FormForm requesting and/or granting approval to repeat a course for credit. Document contains student name, ID, course number and signature of advisor and may record academic reasons for repeating the class.1 yearDate of submissionDestroy ConfidentiallyYesStudent
UWSTU040Course Wait ListLists of students waiting for an enrollment opening in an individual course because the course has reached its maximum class size. Lists may be generated by academic departments or individual instructors. They may be used to give preference to waiting students in the following semester or determine the need for more sections of the class.1 semester or when no longer needed for administrative purposesEnd of semester in which list was createdDestroy ConfidentiallyYesStudent
UWSTU041Credit/No Credit Approval FormsRequest forms completed by the student and signed by the instructor and related records to change the individuals grading option of a course from the letter grade to pass/fail or vice versa.1 yearDate of submissionDestroy ConfidentiallyYesStudent
UWSTU042Criminal Background Check Records, Students Records are created through an investigation of offenses and related disclosed information for students working toward professional experience, licensure or certification and usually involved with an internship or clinical experience. Many programs keep these records separate from other student records. These records include, but are not limited to: (1) confidential self-disclosure application supplements; (2) criminal background check reports, which are generated by private vendors on a contract basis, University employees, or employees of the Wisconsin Department of Justice; (3) records created and received by the University employees who are responsible for decisions related to the applicants continued progress.7 yearsDate of completed checkDestroy ConfidentiallyYesStudent
UWSTU043Curriculum Change AuthorizationsForms and related documentation in any format authorized by the department chair and/or the college dean approving changes with authorizations to individual student degree program requirements.5 yearsDate of submissionDestroy ConfidentiallyYesStudent
UWSTU044Degree AuditsRecords created through comparison of transcript and other student records with university and departmental requirements for graduation to verify progress made in student degree program requirements and/or eligibility for a degree.5 yearsDate of submissionDestroy ConfidentiallyYesStudent
UWSTU045Diplomas, (returned because undeliverable)Paper diplomas returned to the university, undeliverable due to incorrect address or other reasons.1 yearDate of graduationDestroy ConfidentiallyNoStudent
UWSTU046Fellowships and Scholarships (graduate and undergraduate)Notices of fellowship and scholarship opportunities, nominations of candidates and results, either individual or lists in any format, for both graduate and undergraduate students.3 yearsDate of last attendanceDestroy ConfidentiallyYesStudent
UWSTU047Grade Books, original (academic departments)Student grades recorded by professors and instructors in any format to support the official awarded grades submitted to the Registrar.2 yearsEnd of semesterDestroy ConfidentiallyYesStudent
UWSTU048Grades, officialOfficial student grades, recorded by Registrar, including material in all formats: paper, electronic, D2L, etc.PermanentCreatedYesStudent
UWSTU049Graduate School Records for accepted studentsThis series contains the official student record contained in an integrated student information system (ISIS). It contains Admission Applications and Proficiency Testing, Letter of Recommendations, Directed Study and Thesis Pre-authorization Forms, Credit Evaluations and Re-evaluations, Wisconsin Residency determination and supporting documentation, Dean's Academic and transfer forms, Foreign Language Exam forms, Grade Change forms and Grade Problem Cards, Pass/Fail Option forms, Major Declaration forms, Disciplinary or conduct actions forms, Withhold of public information form (FERPA), Student Authorization for Disclosure in Education Records, Study abroad course and grade evaluations, Degree summary with attached correspondence and related forms, Degree Audits, Copy of the Transcript, Copy of the permanent card, Identity change, legal summons, subpoenas and related correspondence, ROTC forms, Course change request forms, Enrollment letters and other supporting information from Registrars office, and Transcripts from other colleges or universities. Other formats may include microfilm, Images, and data in the Data warehouse.10 yearsDate of receipt of degree or date of last attendanceDestroy ConfidentiallyYesStudent
UWSTU050Graduate School: Thesis/Dissertations/Directed StudyTheses and Dissertations written as part of the requirement for a conferred degree. Some programs allow for Directed Study or a Thesis.6 yearsCreatedTransfer to Library or University Archives per policy of the individual institutionNoStudent
UWSTU051Grievances, Exam/course related (not grade disputes)Paper or electronic forms recording student grievances about courses, coursework, exams, instructor and include student name and number, term/semester, course number name of instructor and signatures by student, faculty or staff.3 yearsDate of submissionDestroy ConfidentiallyYesStudent
UWSTU052Hold or Encumbrance AuthorizationsLimitations placed on a student's account due to late payment, late registration, or other reasons stated by the institution due to nonpayment of fees, library fines, parking citations, etc. An encumbrance can prohibit students from registering for classes, affect the release of their transcripts, or delay the reception of their diplomas.6 yearsFiscal year of creationDestroy ConfidentiallyYesStudent
UWSTU053Honors Programs Applicant Files, undergraduateThis record series includes Honors Program applicant files and applications, grade point averages, scholarship and award materials, and statistics.5 yearsDate of applicationDestroy ConfidentiallyYesStudent
UWSTU054Instructional Materials including materials in course management systemsExaminations, coursework, assignments, etc. as retained by academic departments to serve as source documents for submitted official grades. This series includes course support instructional materials in any
format including those found in course management systems, such as Desire2Learn (D2L).
1 yearEnd of semester in which grades are submittedDestroy ConfidentiallyYesStudent
UWSTU055Internship AgreementsAgreements, also known as memorandums, between the University, individual departments or colleges or the UW Board of Regents and external businesses or agencies governing potential supervised practical training or service learning experiences of university students. Internship agreements DO NOT concern individual students but rather acknowledge the business or agency's willingness to accept interns in the future. Agreements may include a list of the responsibilities and expectations of the agencies, the University offices and the students; as well as any general provisions or information germane to the execution of the learning experience.1 yearExpiration of agreementDestroyNoStudent
UWSTU056Internship ContractsSigned agreements governing supervised practical training or service learning experiences of university students. Often internship contracts are made between academic departments/colleges and external agencies but may involve another university department. Contracts stipulate expectations of a student's responsibilities, the learning outcomes to be covered as well as the logistical aspects of the program. Retention period is identical to that for tests and other instructional materials that are similarly used to determine a student's final grade.1 yearDate of end of internship as determined by the UniversityDestroy ConfidentiallyYesStudent
UWSTU057Major Declarations, Changes, Certification of Second Major, MinorsElectronic or paper documents detailing the student's declaration or change of majors or the addition of a second major or minor. Records contain the date of the change, required authorizations, the parameters of the addition or change including the new requirements for completion. Major declaration, change and the addition of a second major or minor may all be contained in one document or they may be accomplished via several forms. Practice varies between departments and schools.5 yearsGraduation or last attendanceDestroy ConfidentiallyYesStudent
UWSTU058Name Change AuthorizationsForms and subsequent records in any form documenting a name change request and action initiated by a student.5 yearsDate of submissionDestroy ConfidentiallyYesStudent
UWSTU059Petitions, Exceptions to academic rulesPaper forms submitted by the student requesting an exception be made to academic rules regarding required classes, etc. Forms include student name and ID number, term/semester, course number name of instructor and signatures by student, faculty or staff.5 yearsDate of submissionDestroy ConfidentiallyYesStudent
UWSTU060Registration FormsForms completed by students at the time of registration in paper, electronic or online formats. These forms contain student name and number, term or semester, class number and title and number of credits.1 yearDate of submissionDestroy ConfidentiallyYesStudent
UWSTU061Schedules--individual student schedule of classesElectronic or paper schedule issued to students recording the classes in which they are enrolled, credits, grading option, location and meeting times of classes, and including student name, class, major and identification number.1 yearDate of schedule creationDestroy ConfidentiallyYesStudent
UWSTU062Student Teacher Field Experience FileRecords assembled through the evaluation of student teachers conducting their field work. Records may contain but are not limited to: written evaluations of field supervisors and cooperating teachers; remediation plans; recommendation letters; signed agreements with districts; correspondence; copies of transcripts and other student records. Records kept during a probationary period of new teachers to aid in their professional development plans. Note: For retention guidelines for necessary tuberculosis or other medical tests that field experience may require, see the Health Services General Record Schedule.7 yearsGraduation or semester of last attendanceDestroy ConfidentiallyYesStudent
UWSTU063Study Abroad Program FilesThese records consist of a series of databases or paper files which are maintained for multiple years. The data provides a continuous list of study abroad program names, student names, number participating, dates of the program, course registration, medical information, names of roommates, biographical information and other information.1 yearEnd of programDestroy ConfidentiallyYesStudent
UWSTU064Syllabi and/or individual Course CalendarsRecord series includes the written summary of individual class objectives, topics covered, requirements, necessary texts and equipment, grading and evaluation procedures and other class-specific policies created by an instructor for students. An official copy of the syllabus should be kept by the department for official retention as detailed below. Other copies may be kept by instructors for administrative, personal use for a time specific to each college, department or individual's needs for the purposes of re-accreditation, course modification and review, tenure/personnel decisions, etc.Official department copy: 10 yearsLast day of courseTransfer to University Archives (the determination of archival value will be made by each institution's archives)NoStudent
UWSTU065Transcripts, officialOfficial student academic transcripts showing name, years of attendance, courses attended, grades, major and further academic achievements.PermanentCreatedYesStudent
UWSTU066Transcripts, student requestsDocumentation in any format recording student requests for official copies of their university transcripts.1 yearDate of requestDestroy ConfidentiallyYesStudent
UWSTU067Transfer Credit EvaluationsForms that evaluate the credits an individual student previously earned at another institution based on transfer equivalencies (UWSTU091) and used to determine actual student credit transfers.5 yearsDate of evaluationDestroy ConfidentiallyYesStudent
UWSTU068Withdrawal AuthorizationsDocumentation includes forms completed by students in order to officially withdraw from all classes after the last day to withdraw from individual classes. Form includes identification information, the agreement to
pay the withdrawal fee, and an explanation of the extraordinary non-academic reasons for the step. Documentation also includes the records of the decision of the granting authority.
5 yearsDate of submissionDestroy ConfidentiallyYesStudent
UWSTU069Arrival-Departure Records, (enrolled students) (I-94) (copy)The UW agency keeps a copy or image of the I-94, not the original. Form I-94 must be completed at the time of entry to the United States by foreign citizens that are being admitted into the United States with nonimmigrant visa status. Form I-94 documents a lawful admission to the U.S. in a specific status and any defined expiration of that status in the United States.5 yearsDate of graduation or last attendanceDestroy ConfidentiallyYesStudent
UWSTU070Arrival-Departure Records, (not enrolled) (I-94) (copy)The UW agency keeps a copy or image of the I-94, not the original. Form I-94 must be completed at the time of entry to the United States by foreign citizens that are being admitted into the United States in a nonimmigrant visa status. Form I-94 documents a lawful admission to the U.S. in a specific status and any defined expiration of that status in the United States.1 yearDate of submissionDestroy ConfidentiallyYesStudent
UWSTU071Certificate of Eligibility for F-1 Visa Status, (enrolled students) (I-20) (copy)The UW agency keeps a copy or image of the I-20, not the original. The I-20 is a form used to apply for a non-immigrant student visa (F-1 visa). The I-20 form is a certificate of eligibility for nonimmigrant (F-1) student status issued by the school that has admitted to student. It is a requirement for the F-1 Visa. The UW agency provides the I-20 to students who have been accepted to attend class. The student is required to keep the original.5 yearsDate of graduation or last attendanceDestroy ConfidentiallyYesStudent
UWSTU072Certificate of Eligibility for F-1 Visa Status, (not enrolled (I-20) (copy)The UW agency keeps a copy or image of the I-20, not the original. The I-20 is a form used to apply for a non-immigrant student visa (F-l visa). The I-20 form is a certificate of eligibility for nonimmigrant (F-1) student status issued by the school that has admitted to student. It is a requirement for the F-1 Visa. The UW agency provides the I-20 to students who have been accepted to attend class. The student is required to keep the original.1 yearDate of submissionDestroy ConfidentiallyYesStudent
UWSTU073Certificate of Eligibility for Exchange Visitor J-1 Status Form DS-2019, (enrolled students) (copy)The UW agency keeps a copy or image of the DS-2019. This is a multi-purpose document issued by a U.S. government-approved institution (or organization) certifying that admission into a program has been accepted. Program participants use the DS-2019 to apply for an exchange visitor (J-1) non-immigrant visa. The Student and Exchange Visitor Information System (SEVIS), database, processes the information and produces a copy of the DS-2019 that is sent back to the school. The student is required to keep the original.5 yearsDate of graduation or last attendanceDestroy ConfidentiallyYesStudent
UWSTU074Certificate of Eligibility for Exchange Visitor J-1 Status Form DS-2019, (not enrolled) (copy)The UW agency keeps a copy or image of the DS-2019. The DS-2019 is a multi-purpose document issued by a U.S. government-approved institution (or organization) certifying that admission into a program has been accepted. Program participants use the DS-2019 to apply for an exchange visitor (J-1) non-immigrant visa. The Student and Exchange Visitor Information System (SEVIS), database, processes the information and produces a copy of the DS-2019 that is sent back to the school. The student is required to keep the original.1 yearDate of submissionDestroy ConfidentiallyYesStudent
UWSTU075Passport page showing passport number, (enrolled students) (copy)The UW agency keeps a copy or image of the passport photo page to verify the passport number, country of citizenship, birthplace, birth date, and accurate spelling of the name of the student.5 yearsDate of graduation or last attendanceDestroy ConfidentiallyYesStudent
UWSTU076Passport page showing passport number, (not enrolled) (copy)The UW agency keeps a copy or image of the passport photo page to verify the passport number, country of citizenship, birthplace, birth date, and accurate spelling of the name of the student.1 yearDate of submissionDestroy ConfidentiallyYesStudent
UWSTU077Statement of Educational Costs, (enrolled students)The UW agency provides a copy of the statement of educational cost to the students. The statement indicates university contact information, estimated expenses for tuition, fees, living expenses, health insurance and instructions for submitting financial verification form.5 yearsDate of graduation or last attendanceDestroy ConfidentiallyYesStudent
UWSTU078Statement of Educational Costs, (not enrolled)The UW agency provides a copy of the statement of educational cost to the students. The statement indicates university contact information, estimated expenses for tuition, fees, living expenses, health insurance and instructions for submitting financial verification form.1 yearDate of submissionDestroy ConfidentiallyYesStudent
UWSTU079Statement of Financial Responsibility and supporting documents, (enrolled students)Copies of financial documents include bank letters showing sufficient funds on deposit for at least the first year's expenses and legal names of sponsors with appropriate signatures and dates. The UW agency may keep the original documents or copies or images of them.5 yearsDate of graduation or last attendanceDestroy ConfidentiallyYesStudent
UWSTU080Statement of Financial Responsibility and supporting documents, (not enrolled)Copies of financial documents include bank letters showing sufficient funds on deposit for at least the first year's expenses and legal names of sponsors with appropriate signatures and dates. The UW agency may keep the original documents or copies or images of them.1 yearDate of submissionDestroy ConfidentiallyYesStudent
UWSTU081United States Permanent Resident Card (Green Card) copy, (enrolled students)The UW agency keeps a copy or image of the Permanent Resident Card, not the original. The card has previously been called the Alien Registration Receipt Card and is has not always been green in color. The card provides evidence of admissibility to the United States as a lawful permanent resident.5 yearsDate of graduation or last attendanceDestroy ConfidentiallyYesStudent
UWSTU082United States Permanent Resident Card (Green Card) copy, (not enrolled)The UW agency keeps a copy or image of the Permanent Resident Card, not the original. The card has previously been called the Alien Registration Receipt Card and is has not always been green in color. The card provides evidence of admissibility to the United States as a lawful permanent resident.1 yearDate of submissionDestroy ConfidentiallyYesStudent
UWSTU083Catalog, graduate and undergraduateOfficial institutional course catalog in paper or electronic format providing overview of admissions policies, course offerings and degree requirements as well as minor and certificate requirements.6 yearsCreatedTransfer to University ArchivesNoStudent
UWSTU084Class Schedules/timetables (institutional)Official list of courses offered each semester, with information regarding course numbers, names and credits; instructors; times; and course location in any format. This may differ significantly from the publication available to students at the time of registration.6 yearsCreatedTransfer to University ArchivesNoStudent
UWSTU085Correspondence, policy-settingPolicy-setting correspondence within enrollment services units or between them and university administration.6 yearsCreatedTransfer to University ArchivesNoStudent
UWSTU086Course File, masterOfficial courses offered throughout the history of the institution.6 yearsCreatedTransfer to University ArchivesNoStudent
UWSTU087Enrollment and Class ListsReports generated by Enrollment Services during any given semester reflecting student enrollment rosters, class size, graduation lists.6 yearsCreatedTransfer to University ArchivesYesStudent
UWSTU088Enrollment Verifications and CertificationsRecords used to verify student enrollment for purposes such as loan applications, insurance discounts, and Social Security benefits.1 yearCompletion of verification or certificationDestroy ConfidentiallyYesStudent
UWSTU089Grade Reports/statisticsReports of official grades awarded, degrees conferred, grade lists, academic standing, grade point averages, degree statistics.6 yearsCreatedTransfer to University ArchivesYesStudent
UWSTU090Honors ListsLists of students who have achieved academic distinction, including but not limited to the Dean's List.6 yearsCreatedTransfer to University ArchivesYesStudent
UWSTU091Transfer EquivalenciesAggregate transfer credit equivalency information, comparing course subject area, content, difficulty, level, and credit hours collected to evaluate and determine transferrable course credits from other institutions.0 daysSupersededDestroyNoStudent
UWSTU092Requests for and Disclosure of Personally identifiable InformationRecords in any form of third-party requests for information, which require a student's signed and dated written consent for disclosure of information (see UWSTU097), and documentation of the subsequent disclosure of the information, if granted.PermanentCreatedYesStudent
UWSTU093Requests for Corrections to Records and Formal HearingsStudent-initiated Requests for corrections to records and for formal hearings regarding the amendment of the academic record, based on the student's right to request to have records corrected that he or she believes to be inaccurate, misleading or in violation of their privacy rights. Requests to change and/or to challenge the information deemed erroneous or misleading must be made in writing and directed to the dean of the relevant college or the director of the appropriate office so that a hearing can be scheduled.PermanentCreatedYesStudent
UWSTU094Requests for Nondisclosure of Directory InformationDocumentation supporting a request to withhold items from public records, including the "Request to Withhold Student Information" form, where applicable.PermanentCreatedYesStudent
UWSTU095Statement on Contents of Records regarding Hearing Panel DecisionsStatement written by a student who finds the decision of the formal hearing regarding the academic record unsatisfactory. The statement of reasons for disagreeing with the decision is placed in the student's file.PermanentCreatedYesStudent
UWSTU096Waiver of Right of Access to Confidential RecommendationsThe waiver to right of access for a letter of recommendation is allowed for three purposes: (1) admission to another educational institution; (2) employment; (3) receipt of an award or honor. These are the only areas
in which waivers are allowed. A student's signature on a waiver is voluntary and is not required as a condition for admission, receipt of financial aid form, or receipt of any other services or benefits from the University. Students who sign the waiver will, upon request, be notified of the names of all persons making confidential recommendations and such recommendations will be used solely for the purpose for which they were specifically intended. Revocation of waivers must be in writing to be effective.
Permanent or until terminated by the studentCreatedYesStudent
UWSTU097Written Consent for Records DisclosureThe student's written, signed, and dated consent to the disclosure of personally identifiable information about a student or the inspection of the student's records. It must contain three elements: the specification of records to be released, the identity of the party to whom the records are to be released; the reason for the release.PermanentCreatedYesStudent
UWSTU098Written Decisions of Hearing PanelsDecisions resulting from a formal hearing regarding a student-initiated request for amendment of the student's educational records. In most cases the decision of the dean or director is final. If the student finds the decision unsatisfactory, they may place a statement in their file setting forth any reasons for disagreeing with the decision. Related to series UWSTU093 and UWSTU095PermanentCreatedYesStudent
UWSTU099Athletic Participation/EADA DocumentThese records are provided both to students in paper or electronic format to disclose data about Equity in Athletics and to the Office of Postsecondary Education (OPE), Federal Department of Education. The source and background for these reports are data retained in worksheets, spreadsheets, charts, surveys, email, web-linked data and narrative reports, all of which are to be considered records belonging to this series. Schools contribute documents and athletics data that are submitted annually as required by the Equity in Athletics Disclosure Act(EADA), via a Web-based data collection, by all co-educational postsecondary institutions that receive Title IV funding (i.e., those that participate in federal student aid programs) and that have an intercollegiate athletics programs.3 yearsDisclosure of dataDestroy or Transfer to University ArchivesNoStudent
UWSTU100College Costs, Accreditation, Textbook information, Transfer Credit PolicyThese records are provided both to students and the Department of Education. The source and background for these reports are data retained in worksheets, spreadsheets, charts, surveys, email, web-linked data and narrative reports, all of which are to be considered records belonging to this series. These disclosure records are organized in two broad categories: I. Non-Loan-Related Disclosure Requirements: Availability of Institutional and Financial Aid Information, Student Financial Assistance, General Institutional Information, Teacher Preparation Program Report, Health and Safety, Student Outcomes, Intercollegiate Athletic Program, and Voter Registration II. Disclosure Requirements Relating to Education Loans: HEA disclosure requirements that are related to Title IV, HEA program loans, and private education loans.3 yearsDisclosure of dataDestroy or Transfer to University ArchivesNoStudent
UWSTU101Graduation/Completion Transfer Out dataThe records include data and reports supplied to the Department of Education (ED) and to students fulfilling Student Right-to-Know legislative requirements. The source and background for these reports are data retained in worksheets, spreadsheets, charts, surveys, email, web-linked data and narrative reports, all of which are to be considered records belonging to this series. Reporting to ED is accomplished via systems such as the Integrated Postsecondary Education Data System (IPEDS). IPEDS collects data on postsecondary education in the United States in seven areas: institutional characteristics, institutional prices, enrollment, student financial aid, degrees and certificates conferred, student persistence and success, and institutional human and fiscal resources. The completion of all IPEDS surveys is mandatory for institutions that participate in or are applicants for participation in any federal student financial aid programs and other programs. (See records retention information 34 CFR 668.24).3 yearsDisclosure of dataDestroy or Transfer to University ArchivesNoStudent
UWSTU102Institutional InformationThese records and information are disclosed to students (including prospective students) and reported to the Federal Department of Education. The source and background for these reports are data retained in
worksheets, spreadsheets, charts, surveys, email, web-linked data and narrative reports, all of which are to be considered records belonging to this series. The information collected includes, but is not limited to: cost
of attendance including fees and books, refund policy, withdrawal procedures, study abroad programs, and name of accrediting agencies (See 34 CFR 668.43)
3 yearsDisclosure of dataDestroy or Transfer to University ArchivesNoStudent
W0000250Campus Transportation and Parking Customer RecordsThis series consists of campus transportation customer records pertaining to the regulation of parking on campus as a regular service or on a temporary basis. Records may also include the purchase of annual bus passes and customer information collected by campus-provided / funded transit services such as safe rides/sharing and local campus shuttles. A customer can be staff, student or the public. 6 yearsDate Customer Record Becomes InactiveDestroy ConfidentialYesTransportation/Parking
W0000251Routine License Plate Recognition (LPR) ReadsLicense Plate Recognition reads (LPRs) are are broadly collected by LPR (mobile) cameras on transportation parking enforcement vehicles and ALPR (stationary) cameras at garage entrances and exits. There is no PII associated with the reads.

Records in this series are transporation-related "non-event" LPR reads that are not needed for parking citations or enforcement activities and includ photos of the license plate and surrounding area for context and text records of the license plate itself.

This series does not include general surveillance of lots, docks, ramps, streets, alleys, and other campus thoroughfares which are covered by other RDAs.
30 daysDate collectedDestroyNoTransportation/Parking
W0000252Event License Plate Recognition (LPR) ReadsLicense Plate Recognition reads (LPRs) are broadly collected by LPR (mobile) cameras on transportation parking enforcement vehicles and ALPR (stationary) cameras at garage entrances and exits. There is no PIII associated with the reads.

Records in this series are transportation-related "event" LPR reads that may be needed for parking citations or enforcement activities and include photos of the license plate and surrounding area for context and text records of the license plate itself.

Some event LPRs may be moved to the customer record and follow that record schedule.
1 yearDate collectedDestroyNoTransportation/Parking
W0000253Parking Permits - Lost, Stolen or Returned FormsThis series consists of forms that are received by the Transportation Office for permits that are declared lost / stolen or are returned by a customer. These forms are retained until the information is entered into the parking management system at which point it becomes part of the customer record. 1 monthDate enteredDestroy confidentialYesTransportation/Parking
W0000254Returned, Exchanged or Voided Parking Hang Tags and PermitsThis series contains the physical hang tags or permits which are produced but never used for general campus use or for special events, are returned when a customer no longer requires parking services or exchanges their permit for one that provides a different type of parking service. This may also include returned or voided hang tags from special events.

The hang tags are kept to document that all parking hang tags and permits are accounted for during the audit process.
3 yearsFiscal year returnedDestroyNoTransportation/Parking
W0000255Validated Payment System Tickets - Paid by Third PartyValidated parking system tickets may be provided to visitors by campus departments or hospitals. The validated tickets are source documentation for Transportation Services to bill the resulting parking costs back to the issuing department or hospital. 6 yearsFiscal year collectedDestroyNoTransportation/Parking
W0000256Payment System Tickets - Paid by CustomerThis series contains daily validated parking system tickets that are paid directly by the customer and received by staff at point of sale or entered into self-serve kiosks when exiting a parking facility.6 monthsDate receivedDestroyNoTransportation/Parking
W0000257Impound Record/Tow ReceiptThis series contains records submitted to Transportation Services by towing companies providing campus services.

Records include, but are not limited to, tow company receipts and documentation submitted by the tow company stating any prior damage to the vehicle prior to towing.
6 yearsDate receivedDestroy confidentialYesTransportation/Parking
W0000258Transportation Services Incident ReportsThis series consists of reports submitted directly to Transportation Services regarding incidents that occurred in the spaces under their management such as lost or damaged property.

Records include, but are not limited to, correspondence and photos. This series only applies to incidents that are not reported to campus police.
3 yearsDate receivedDestroy confidentialYesTransportation/Parking
W0000259Legal Matter Case FilesThe University of Wisconsin legal affairs offices serve as primary, advisory, or liaison counsel on a variety of litigated case files including, but not limited to, State of Wisconsin administrative proceedings; Federal or State court proceedings; internal proceedings; federal enforcement actions and other campus legal matters. Legal matter case files include but are not limited to pleadings and legal arguments, client files, evidence, research, legal summons and subpoenas issued, expenses, attorney notes, medical records, and depositions or transcripts. Records may also include correspondence, attorney notes or additional documentation associated with the cases.
These records may be covered by lawyer-client privilege according to Wis. Stat. 905.03 and the work-product doctrine codified in Wis. Stat. 804.01(2)(c)1.
10 yearsDate case closedDestroy ConfidentiallyYesLegal
W0000260Legal Affairs Case Files - Historically SignificantThe University of Wisconsin legal affairs offices serve as primary, advisory, or liaison counsel on a variety of litigated case files including, but not limited to, State of Wisconsin administrative proceedings; Federal or State court proceedings; internal proceedings; federal enforcement actions and other campus legal matters.
This series documents historically significant legal cases at the University of Wisconsin that have long-lasting impact.
Legal matter case files include, but are not limited ot, pleadings and legal arguments, client files, evidence, research, legal summons and subpoenas issued, expenses, attorney notes, medical records, and depositions or transcripts. Records may also include correspondence, attorney notes or additional documentation associated with the cases.
These records may be covered by lawyer-client privilege according to Wis. Stat. 905.03 and the work-product doctrine codified in Wis. Stat. 804.01(2)(c)1.
20 yearsDate case closedTransfer to University Archives YesLegal
W0000261Trademark and Intellectual Property Case FilesThis series contains University of Wisconsin legal affairs case files associated with university-related trademarks, copyright and other intellectual property issues.
Records may include, but are not limited to, legal analysis, responses and recommendations, certificates of registration received on behalf of the University, correspondence and associated documents.
These records may be covered by lawyer-client privilege according to Wis. Stat. 905.03, the work-product doctrine codified in Wis. Stat. 804.01(2)(c)1, and proprietary information that would be covered pursuant to Wis. Stat. 19.36(5).
10 yearsDate case file is closedTransfer to archivesYesLegal
W0000262Trusts, Real Estate, and Construction RecordsThis series contains University of Wisconsin legal affairs records associated with university-related trusts, real estate and construction projects.
Records may include, but are not limited to, real estate/construction project and trust fund creation legal advice, correspondence and associated documents. The formal final documents (deeds, gift instruments, etc.) are retained by the appropriate system office.
These records may be covered by lawyer-client privilege according to Wis. Stat. 905.03 and the work-product doctrine codified in Wis. Stat. 804.01(2)(c)1.
10 yearsDate real estate/construction project is completed or date trust fund is establishedDestroy confidentialYesLegal
W0000263Legal Client Consultation RecordsThe University of Wisconsin general counsel and legal affairs offices frequently consult with clients on legal questions and concerns.
Consultation records include, but are not limited to, client records, legal analysis, responses and recommendations, correspondence and associated documents.
Records are held with regard to applicable statutes of limitations for potential related claims to be filed.
These records may be covered by lawyer-client privilege according to Wis. Stat. 905.03 and the work-product doctrine codified in Wis. Stat. 804.01(2)(c)1.
6 yearsDate of resolutionDestroy ConfidentiallyYesLegal
W0000265Student Housing ContractsThe purpose of the housing contract is to provide documentation for housing obligation and relationship between the student and the University. The housing contracts pertain to all
residence halls or dormitories. These housing contracts do not pertain to conference center rentals.
These records include, but are not limited to, housing applications, room change information, hall preference records, Americans with Disability Act (ADA) accommodations, food
plans/accounts and contracts, rent references, residence hall selection cards, housing status
action forms, room condition inventories, rosters and logs, contracts, cancellation notices, contract release forms, contract offer, interest assessment materials, letters and printed
emails.
Some records in this series may be confidential under 20 U.S.C. § 1232g and 34 C.F.R § 99
(FERPA).
6 yearsDate contract endsDestroy confidentiallyNoHousing/Dining
W0000265Student Housing ContractsThe purpose of the housing contract is to provide documentation for housing obligation and relationship between the student and the University. The housing contracts pertain to all residence halls or dormitories. These housing contracts do not pertain to conference center rentals.
These records include, but are not limited to, housing applications, room change information, hall preference records, ADA accommodations, food plans/accounts and contracts, rent references, residence hall selection cards, housing status action forms, room condition inventories, rosters and logs, contracts, cancellation notices, contract release forms, contract offer, interest assessment materials, letters and printed emails.
Some records in this series may be confidential under 20 U.S.C. 1232g and 34 C.F.R. 99 (FERPA).
6 yearsDate contract endsDestroy confidentialYesResidential
W0000266Apartment and Lease RecordsRecords in this series pertain to lease arrangements for residents.
These records include, but are not limited to, apartment applications, apartment waitlists,
apartment assignment records, community and social work related documentation, check in
and checkout records on apartment condition and reference letters.
Some records in this series may be confidential under 20 U.S.C. § 1232g and 34 C.F.R § 99
(FERPA).
6 yearsDate lease endsDestroy confidentiallyNoHousing/Dining
W0000266Apartment and Lease RecordsRecords in this series pertain to lease arrangements for residents. These records include, but are not limited to: Apartment applications, apartment waitlists, apartment assignment records, community and social work related documentation, check in and checkout records on apartment condition and reference letters.
Some records in this series may be confidential under 20 U.S.C. 1232g and 34 C.F.R. 99 (FERPA).
6 yearsDate lease endsDestroy confidentialYesResidential
W0000267Menu and Recipe RecordsRecords in this series include, but are not limited to, menus of meals offered and recipes used in the preparation of meals. The series also documents such information as serving sizes, serving times, nutritional analysis and ingredient lists.1 yearFiscal yearTransfer to archivesNoHousing/Dining
W0000267Menu and Recipe RecordsRecords in this series include, but are not limited to menus of meals offered and recipes used in the preparation meals. The series also documents such information as serving sizes, serving times, nutritional analysis and ingredient lists.1 yearEnd of Fiscal YearTransfer to archivesNoResidential
W0000268Food Cost and Usage RecordsThese records include, but are not limited to, food cost and food usage reports based on inventories and purchases, meal counts, and average meal costs. 3 yearsFiscal yearDestroyNoHousing/Dining
W0000268Food Cost and Usage RecordsThese records include, but are not limited to food cost and food usage reports based on inventories and purchases, meal counts, and average meal costs.3 yearsEnd of Fiscal YearDestroyNoResidential
W0000269Safety Inspection RecordsThis record series includes records created through sanitation, local health department and other privately contracted inspections with auditors checking on health, sanitation, and physical safety in food preparation, storage, and serving areas.2 yearsFiscal yearDestroyNoHousing/Dining
W0000269Safety InspectionsThis record series includes records created through sanitation, local health department and other privately contracted inspections with auditors checking on health, sanitation, and physical safety in food preparation, storage, and serving areas.2 yearsEnd of Fiscal YearDestroyNoResidential
W0000270Student Housing Front Desk LogsLogs created and maintained by individual residence halls.
Records include, but are not limited to, residential mail operations: package/mail logs, non-
deliverable log, tampered mail logs, package delivery receipts, and missing package logs.
Service Desk: lost and found log and supply check out logs.
Note: Building access records are covered by other record series.
Some records in this series may be confidential under 20 U.S.C. § 1232g and 34 C.F.R § 99
(FERPA).
1 yearFiscal yearDestroy confidentiallyNoHousing/Dining
W0000270Student Housing Front Desk LogsLogs created and maintained by individual residence halls.
Records include, but are not limited to, residential mail operations: package/mail logs, non-deliverable log, tampered mail logs, package delivery receipts, and missing package logs.
Service Desk: lost and found log and supply check out logs.
Note: Building access records are covered by other record series.
Some records in this series may be confidential under 20 U.S.C. 1232g and 34 C.F.R. 99 (FERPA).
1 yearEnd of fiscal yearDestroy confidentiallyYesResidential
W0000271Dietary Accommodation RecordsThis record series consists of a form and correspondence regarding requests for assistance with meal plan accommodations. Following a recommendation, the dining contract is updated.
Some records in this series may be confidential under 20 U.S.C. § 1232g and 34 C.F.R § 99 (FERPA), and 45 C.F.R. § 160 and 164 (HIPAA).
3 yearsAcademic yearDestroy confidentialllyYesHousing/Dining
W0000271Dietary Accommodation RecordsThis record series consists of a form and correspondence regarding requests for assistance with meal plan accommodations. Following a recommendation the dining contract is updated.
Some records in this series may be confidential under 20 U.S.C. 1232g and 34 C.F.R. 99 (FERPA) and 45 C.F.R. 160 and 164 (HIPAA).
3 yearsEnd of academic yearDestroy confidentiallyYesResidential
W0000272Food Production RecordsRecords in this series include, but are not limited to, production records, time and temperature logs pertaining to food production, and special diet requirements.1 yearFiscal yearDestroyNoHousing/Dining
W0000272Food Production RecordsRecords in this series include, but are not limited to, production records, time and temperature logs pertaining to food production, and special diet requirements.1 yearEnd of fiscal yearDestroyNoResidential
W0000273Police Case Files -- Unlimited ProsecutionThis series consists of case files related to solved or unsolved homicides, sexual assaults and any criminal case with an unlimited statute of limitations. Records may include, but are not limited to, reports, attachments, crime scene photos, audio/video, Restorative Justice documents, subject jackets, and citations.

Records may be confidential under Wis. Stat.§§ 19.36(2), 19.35(1)(a) for certain law enforcement records and Wis.Stat. §§ 48.396, 938.396 - Juvenile Justice code.
PermanentYesPolice/Security
W0000274Police Case FilesThis series consists of case files related to solved or unsolved cases and incidents with statutes of limitations (e.g., burglary, theft of a motor vehicle, OWI, etc.). Records may include, but are not limited to, reports, attachments, crime scene photos, audio/video, Restorative Justice documents, subject jackets, and citations. Unsolved cases should be retained until closed or have passed the statute of limitations for the charge.
Records may be confidential under Wis. Stat.§§ 19.36(2), 19.35(1)(a) for certain law enforcement records and Wis.Stat. §§ 48.396, 938.396 - Juvenile Justice code.
25 yearsDate case closed or statute of limitations has been reachedDestroy confidentiallyYesPolice/Security
W0000275CitationsThis series consists of citations written for ordinance and non-criminal traffic violations on or around UW campuses.
Records may include, but are not limited to name, address, dob, charge, officer's name and any corresponding documentation.
Records may be confidential under Wis.Stat. §§ 48.396, 938.396 - Juvenile Justice code.
7 yearsDate citation resolvedDestroy confidentiallyYesPolice/Security
W0000276Police Daily SchedulesThis series contains the daily briefings for staff, daily roster schedules and assignments such as security or police officer assignments and incident briefing sheets.2 yearsCreationDestroy confidentiallyNoPolice/Security
W0000277Police Communications - Dispatch and Audio RecordingsThis series consists of recordings of campus police radio transmissions, which may include, but are not limited to, requests for police assistance and police responses.
Records may be confidential under Wis. Stat. § 19.35(1)(a) - for certain law enforcement records.
6 monthsCreationDestroyYesPolice/Security
W0000278Computer Aided Dispatch (CAD) RecordsThis series consists of records created by the Police Dispatcher during calls regarding incidents or activities. Records may contain the date and time received, nature of the information, general notes or actions taken.
Records may be confidential under Wis. Stat. § 19.35(1)(a) - for certain law enforcement records.
1 yearCreationDestroy confidentiallyYesPolice/Security
W0000279Police Ride-Along RecordsThis series consists of the ride-along waiver that is completed by UW police staff and the person(s) participating in the ride-along. Records include, but are not limited to, the initial application for the ride-along and the approved completed waiver. Records may also include annual logs of completed Ride-Alongs consisting of the name of person(s) on the ride-along, name of officer and date.2 yearsEnd of calendar yearDestroy confidentiallyNoPolice/Security
W0000280Police Special Event RecordsThis series includes records created for special events that occur on UW campuses and require police or security presence. Records include, but are not limited to special event plans, reports, staffing and follow-up analysis.
Records may be confidential under Wis. Stat. § 19.36(2) and Wis. Stat. § 19.35(1)(a) for certain law enforcement records.
7 yearsEnd of fiscal yearDestroy confidentiallyYesPolice/Security
W0000281UW Police Key LogsThis series contains records regarding keys issued to UW police department employees for police facilities.2 yearsDate of separation from employmentDestroy confidentiallyNoPolice/Security
W0000283Routine Campus Activity RecordsThis series contains records related to routine campus security activities such as bicycle license registrations, vehicle assists, room lockouts, motor vehicle and driver authorizations, and similar activities.
Records include, but are not limited to, the incident request, information about the person making the request, date, time, location and resolution.
3 yearsCreationDestroy confidentiallyNoPolice/Security
W0000284Police Firearms and Other Weapons Inventory RecordsThis series consists of inventories of police department weapons and individually owned firearms that have been department-approved to be used in the workplace. Weapons may include, but are not limited to firearms and conducted electrical weapons (Tasers). Inventories include, but are not limited to personal information, the weapon's make, model and serial number, and inspection records.1 yearDate supersededDestroy confidentiallyNoPolice/Security
W0000285Police Fingerprint Service RecordsThis series consists of records related to fingerprinting conducted as a public fee-for-service by the UW Police. This service is available to UW-affiliated individuals as well as the general public and results in completed fingerprint cards which are then turned over to the requestor. These are not considered to be evidentiary records.1 dayDate of confirmation of receipt by the Crime Information BureauDestroy confidentiallyNoPolice/Security
W0000286Police Field Training RecordsUW Police policy states that successful candidates for staff positions on the UW Police force must meet the standards of the field training program. This training is required for all new police officers, security officers and police communications operators and conducted during their probationary periods. If the field training is not successfully completed, the individual is terminated.7 yearsSeparation from employmentDestroy confidentiallyYesPolice/Security
W0000287Police Inservice Course FilesThis series consists of records associated with Inservice Courses for UW Police staff. Records include, but are not limited to, curriculum and lesson plans, course attendance and performance records, required state forms, and other associated records. Course materials may also include video or evidence from case files.
Records may be confidential under Wis. Stat. §§ 19.36(2), 19.35(1)(a) for certain law enforcement records.
20 yearsFiscal yearDestroy confidentiallyYesPolice/Security
W0000288Police Service Animal RecordsRecords related to the training, certification, deployment and health records of UW PD service animals. This may include, but is not limited to canines and mounted patrol horses.
Records may be confidential under Wis. Admin. Code § VE 1.52.
7 yearsDate service animal's service endsDestroy confidentiallyNoPolice/Security
W0000289Police Professional Standards and Internal Affairs (PSIA) Case FilesThis series consists of Professional Standards and Internal Affairs (PSIA) complaints and investigative case files. This series also includes administrative reviews of high liability incidents.
Records in this series include, but are not limited to, the original complaint, final resolution, evidence, correspondence, audio/video related to the incident and related documents.
Records may be confidential under Wis. Stat. § 19.35(1)(a) for certain law enforcement records, Wis.Stat. §§ 48.396, 938.396 - Juvenile Justice code, Wis. Stat. § 103.13(6)(a) - investigation of a criminal offence by personnel, and Wis. Stat. § 19.36(10) - employee personnel records.
10 yearsDate of separation from employmentDestroy confidentiallyYesPolice/Security
W0000290Police Response to Resistance Review DocumentationResponse to resistance reviews are conducted by supervisors for all incidents above compliant handcuffing. These reviews determine if there are any policy, training, weapon/equipment and/or discipline issues which should be addressed and to review the constitutionality of the use of force. After review, records may move to follow W0000289 or W0000291.
Records may include, but are not limited to the incident report, supervisor/manager review, decisions made and associated documents.
Records may be confidential under Wis. Stat. § 19.35(1)(a) for certain law enforcement records.
5 yearsDate review completedDestroy confidentiallyYesPolice/Security
W0000291Police Officer Involved Critical Incidents (OICI) Case FilesThis series consists of records associated with Officer Involved Critical Incidents (OICI) cases with the exception of cases investigated by other designated agencies as required by Wis. Stat. § 175.47.
Records may include, but are not limited to, details of the incident, individuals involved, interviews, audio/video, review of steps taken, investigation records, training, and final reports.
This series contains cases of high public interest and historical importance.
Records may be confidential under Wis. Stat. § 19.35(1)(a) for certain law enforcement records, Wis.Stat. §§ 48.396, 938.396 - Juvenile Justice code, Wis. Stat. § 103.13(6)(a) - investigation of a criminal offence by personnel, and Wis. Stat. § 19.36(10) - employee personnel records.
10 yearsDate of separation from employmentTransfer to archivesYesPolice/Security
W0000292Clery Act Annual ReportThe Clery Act for Higher Education requires colleges and universities that receive federal funding to disseminate a public Annual Security Report (ASR) to employees and students every October 1st as stated in 20 U.S. Code § 1092(f). This ASR must include statistics of campus crime for the preceding 3 calendar years, plus details about efforts taken to improve campus safety.
Records in this series consists of the final Clery report that is submitted annually.
7 yearsCreationDestroy confidentiallyNoPolice/Security
W0000293Clery Act Report Supporting DocumentsThe Clery Act for Higher Education requires colleges and universities that receive federal funding to disseminate a public annual security report (ASR) to employees and students every October 1st as stated in 20 U.S. Code § 1092(f).
Records in this series consist of all supporting records used in compiling the annual Clery report. It includes a daily occurrence log that describes case #, date/time, case type, locations, address, status and occurrence and other associated documents used in preparation of the annual report.
Records may be confidential under Wis. Stat.§§ 19.36(2), 19.35(1)(a) for certain law enforcement records and Wis.Stat. §§ 48.396, 938.396 - Juvenile Justice code.
7 yearsCreationDestroy confidentiallyYesPolice/Security
W0000294Law Enforcement Accreditation - Final ReportsThis series consists of the final report received from accreditation bodies as part of the accreditation process for law enforcement agencies to various bodies such as the Commission on Accreditation for Law Enforcement Agencies (CALEA), the Wisconsin Law Enforcement Accreditation Group (WILEAG) and the International Association of Campus Law Enforcement Administrators (IACLEA).5 yearsEnd of assessment cycleTransfer to archivesNoPolice/Security
W0000295Law Enforcement Accreditation - Supporting DocumentsThis series consists of the supporting documentation created as part of the accreditation process for law enforcement agencies to various bodies as the Commission on Accreditation for Law Enforcement Agencies (CALEA), the Wisconsin Law Enforcement Accreditation Group (WILEAG) and the International Association of Campus Law Enforcement Administrators (IACLEA).5 yearsEnd of assessment cycleDestroyNoPolice/Security
W0000296Police Incident and Statistical ReportsThis series consists of historical information and statistics used to identify and track crime and incident trends which are used for planning and operations.
Records include, but are not limited to annual state incident-based reports such as the Uniform Crime Report and internal statistical reports.
Records may be confidential under Wis. Stat.§§ 19.36(2), 19.35(1)(a) for certain law enforcement records and Wis.Stat. §§ 48.396, 938.396 - Juvenile Justice code.
20 yearsCreationDestroy confidentiallyYesPolice/Security
W0000297Campus Infrastructure Security ReportsThis series consists of reports produced by UW Police as a campus service and are related to the physical security and protection of buildings and areas of the University. Records include, but are not limited to, walk-through evaluations of buildings, crime prevention surveys, scope reports, Commission on Accreditation for Law Enforcement Agencies (CALEA) risk assessments and other related reports.
These reports are sensitive in nature and may be confidential under Wis. Stat. 19.36(9) for campus security measures.
3 yearsCreationDestroy confidentiallyYesPolice/Security
W0000298Police Surveillance RecordsThis series includes photographs and video surveillance recordings made as part of a planned investigation.
Evidentiary materials that eventually become part of the prosecution of a case or used for an investigation follow the record schedule for that case or investigation.
Records may be confidential under Wis. Stat.§§ 19.36(2), 19.35(1)(a) for certain law enforcement records and Wis. Stat. §§ 48.396, 938.396 - Juvenile Justice code.
1 yearCreationDestroy confidentiallyYesPolice/Security
W0000299Police Audio and Video RecordingsThis series includes police audio or video recordings documenting events that occur prior to, during, and after an enforcement action. Records may include recordings from in-car video systems, body cams, and police department facilities such as hallways and holding rooms.
Evidentiary recordings that eventually become part of the prosecution of a case or used for an investigation follow the record schedule for that case or investigation.
Records may be confidential under Wis. Stat.§§ 19.36(2), 19.35(1)(a) for certain law enforcement records and Wis. Stat. §§ 48.396, 938.396 - Juvenile Justice code.
6 monthsCreationDestroy confidentiallyYesPolice/Security
W0000300Police Property/Evidence RecordsUniversity police officers routinely seize/collect evidence, and take custody of abandoned/recovered property as well as property that is part of an asset forfeiture process.
This series covers inventories of recovered, seized or forfeited property and includes chain of custody information for evidence held by the UW Police. Records may contain victim information.
These records are maintained as part of civil and criminal case documentation.
May be confidential under Wis.Stat. § 950.04(1v).
75 yearsDate added to inventoryDestroy confidentiallyYesPolice/Security
W0000301Police Property Audit RecordsThis series consists of forms and reports related to the audits of the inventory and disposition of property held by a campus UW Police department. Records may contain victim information.
May be confidential under Wis.Stat. § 950.04(1v).
20 yearsFiscal yearDestroy confidentiallyYesPolice/Security
W0000302Police Property / Evidence Room Access LogThis series consist of log files documenting people entering and exiting UW Police property / evidence storage rooms.7 yearsFiscal yearDestroyNoPolice/Security
W0000303UW Youth Activity Participant Records - Enrolled and AttendedThis series consists of participant records for individuals who attended in-person or virtual UW institution sponsored activities. Covered activities are defined by UW System Administrative Policy 625 - Youth Protection and Compliance.
Participant records may vary based on the type of program attended. Records may include, but are not limited to, registration forms, financial information, academic transcripts, consent forms, media release forms, and behavioral expectation forms.
Some records in this series may be confidential under 20 U.S.C. § 1232g and 34 C.F.R. pt. 99 (FERPA).
7 yearsDate activity endsDestroy confidentiallyYesYouth
W0000304UW Youth Activity Participant Records - Did Not AttendThis series consists of records submitted for youth registering or applying to attend in-person or virtual UW institution sponsored activities but did not attend or were not accepted to participate. Covered activities are defined by UW System Administrative Policy 625 - Youth Protection and Compliance.
Participant records may vary based on the type of program applied to or registered for. Records may include, but are not limited to, registration forms, financial information, academic transcripts, consent forms, media release forms, and behavioral expectation forms.
Some records in this series may be confidential under 20 U.S.C. § 1232g and 34 C.F.R. pt. 99 (FERPA).
1 yearDate application denied or date of activityDestroy confidentiallyYesYouth
W0000305UW Youth Activity Participant Medical RecordsThis record series includes health records that are required for youth to participate in any UW institution covered activity as defined by UW System Administrative Policy 625 - Youth Protection and Compliance.
Records include, but are not limited to, medical history forms, medical consent forms, immunization records, documentation of last physical examination, and medication lists.
Records in this series are confidential under 45 C.F.R. pts. 160 and 164 (HIPAA).
3 yearsDate activity ends or date of 18th birthdayDestroy confidentiallyYesYouth
W0000306UW Youth Activity Participant Medical LogsThis record series contains entries into a medical log of any medication or treatment provided to a youth participant by an authorized adult during a covered activity as defined by UW System Administrative Policy 625 - Youth Protection and Compliance.
Records in this series are confidential under 45 C.F.R. pts. 160 and 164 (HIPAA).
3 yearsDate activity endsDestroy confidentiallyNoYouth
W0000307UW Youth Activity Incident ReportsThis series contains records pertaining to the official reporting of all documented incidents involving minors engaging in covered activities, as defined by UW System Administrative Policy 625 - Youth Protection and Compliance. Records include, but are not limited to, incident reports, steps taken, police reports, reports submitted to UW institution offices, and decisions made as a result of the incident.7 yearsDate incident resolvedDestroy confidentiallyNoYouth
W0000308UW Youth Activities - Third Party ContractsThis record series consists of contracts between UW institutions and third parties engaging in covered activities, as defined by UW System Administrative Policy 625 - Youth Protection and Compliance. This series may also include any correspondence clarifying or setting terms in the contract itself.7 yearsDate contract expiresDestroy confidentiallyNoYouth
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