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Common Records Schedules

UWM University-Wide Common Records Schedules

Common Facilities Records [Wisconsin DOA Facilities Records]

Common Facilities Records

RRDA #Record Series TitleDescriptionRetention/Disposition
FAC00069American with Disabilities Act (ADA) Facility ReviewsRecords cover ADA inspections, investigations, complaint investigations, facility logs and reports regarding ADA compliance relating to facilities and structuresRetain for 6 years after close of review and destroy.
FAC00050Application and Permit for Use of FacilitiesApplication and permit for use of facilities, where required.Retain for 3 years after the date of the event and destroy.
FAC00015As-Built Plans and Original Building Drawings for Completed Construction ProjectsFinal as-built plans and original building drawings for state-owned facilities.Retain for the life of the structure (until razed or facility sold) and transfer to Archives.
FAC00054Building Maintenance/ Equipment Repair and Service RecordsDocuments the installation, maintenance, service and history of both building installed equipment and equipment commonly used to maintain facilities.Retain until removal and disposal of installed equipment and then destroy.
FAC00052Building Maintenance/Management-Custodial RecordsDocuments the supervision of custodial activities including but not limited to assignments, work responsibilities, checklists, inspections, reports and other related documentsRetain for 3 years after creation and destroy.
FAC00011Construction Project FileAll documents pertaining to project file including, design and construction contracts, proposed and approved amendments to all contracts, bidding plans and specifications, details on materials used on each project, status reports by state staff who supervise construction, concerns of future tenants of facility and all other related project materials.Retain for 10 years after the construction project is closed and destroy.
FAC00012Construction Project File-Historically Significant FacilitiesSame description as above.Retain for the life of the structure (until razed or facility sold) and transfer to Archives.
FAC00056Equipment Maintenance-Maintenance ReportDocuments the status of equipment in use by the agency.Retain for 1 year after creation and destroy.
FAC00051Facility Maintenance Work Orders and LogsMaintenance work orders and related logs.Retain for 3 years after work is completed and destroy.
FAC00082Monitoring and Surveillance RecordingsMonitoring and surveillance recordings that document incidents that may lead to claims against the university.Retain for 120 days and destroy.
FAC00062Parking PermitsParking Permit applications.Retain 6 months after permit is cancelled and destroy.
FAC00086Security or Incident ReportsDocuments incidents or unusual occurrences on state property including incident reports and documentation of any follow-up investigation.Retain for 3 years after close of investigation and destroy.

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Common Financial Aid Records [UWSA Financial Aid Records ]

RRDA #Record Series TitleDescriptionRetention/Disposition
FINAID022Federal Work Study Administrative RecordsNon-personal information relating to administration of Federal Work-Study programs on campus.Retain 4 years after creation and destroy.
FINAID001General Student Records–Financial AidDocuments used to determine financial aid eligibility and to administer financial aid packages.Loans: Retain 4 years after close of the loan and destroy confidentially. Non-loans: Retain 4 years after last date of attendance and destroy confidentially.
FINAID005Program Review RecordsRecords documenting university program reviews which include department/program self- 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.Retain 4 years after report submitted and transfer to Archives.
FINAID003Student 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.Retain 4 years after End of fiscal year for student without loans and destroy confidentially. For students with loans, retain 4 years after life of the loan and destroy confidentially.
FINAID015Student Loan Repayment RecordsRecords documenting repayment of Perkins and Stafford Loans as well as all other student loans.Retain 4 years after end of fiscal year in which loan is terminated and destroy confidentially.
FINAID024Student Worker Personnel FilesOfficial personnel file for student workers, 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.Official: Retain 7 years after end of award year and destroy confidentially.
Departmental: Retain 1 year after end of employment and destroy confidentially.
FINAID023Work Study/Student Assistant Applications (not hired)Original application for work study and student assistant positionsRetain 1 year after date of application and destroy.

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Common Fiscal/Accounting Records [UWSA Fiscal/Accounting Records ]

Fiscal/Accounting Records

RRDA #Record Series TitleDescriptionRetention/Disposition
UWFA100Adminstrative Policies and ProceduresRecords include all written policies, procedures, and related documentation pertaining to fiscal matters.Retain for 4 years after superseded and destroy.
UWFA106Audit Documentation: Regularly Occurring Audit CyclesAll documentation related to regularly occurring audits, including reports, agency/office responses, and findings.Retain for 3 years after issuance of audit report and destroy.
UWFA110Credit Card Receipts/DepositsCredit 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.Retain for 1 year after transaction unless a longer retention is required by contract or law and destroy confidentially.
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.Retain for 6 years after end of fiscal year of creation and destroy.
UWFA900/UWFA901Grant FoldersTransmittals, awards, budgets, and all other documentation related to the procurement of grants, as well as reports and supplemental information for verification of grants and contracts.Retain for 3 years after close of grant and destroy. Be aware of any requirements from grantors for increased retention times.
UWFA400Paid/Cancelled ChecksBoth paper checks and those imaged onto CD-ROM.Retain for 6 years after end of fiscal year of creation and destroy.
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.Retain for 6 years after end of fiscal year of creation and destroy.
UWFA103Year-End Reports (GAAP)Reports and all supporting documentation.Retain for 6 years after end of fiscal year of creation and destroy.

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Common Payroll Records [UWSA Payroll Records ]

Payroll Records

RRDA #Record Series TitleDescriptionRetention/Disposition
AYROLL9571/UWPY016Employee Payroll Case FileRetain until event (resolved, verified, or superseded) and destroy.
UWPY022Enrollment ReportsReports on new benefit plan enrollments, changes in coverage level or plans, and enrollment terminations for each benefit plan in addition to changes in personal data.This series also includes reports that show what insurance programs employees are enrolled in and deduction amounts.Retain for 1 year or until no longer needed and destroy.
PAYROLL9564/UWPY012Leave Accounting Paper Output ReportsPaper reports related to time and attendance collection and leave accounting processing functions, including documents used to request and/or report leave by employees to request leave time and/or report leave taken. This series includes employee leave reports.Payroll Office: Retain for 5 years after creation and destroy. Departmental Copies:Retain for 1 year after creation or until no longer needed and destroy.
PAYROLL9568Routine Withholding AuthorizationsCopies of withholding authorizations that initiate deductions from an employee’s pay amounts. Records in this series are the paper documents used to initiate payroll actions.Retain until superseded (usually 1-6 pay periods) and destroy.
PAYROLL9560/UWPY001Time and Attendance RecordsSeries of records containing key source documents for time and attendance system collection including types of leave, work start and stop times, default work schedules and related time and attendance data.Retain for 5 years after creation and destroy confidentially.
UWPY003Time/Labor Administrative Reportsvarious types of HRS reports that institutions can produce to monitor or check reported time.  In many instances, these reports monitor issues that need to be resolved or the payroll will not be processed.Retain 1 month and destroy.
UWPY002TimesheetsHRS will pre-populate the timesheet with employee ID, work schedule. Paper timesheet report that can be decentrally generated and printed for specific employee or group of employees by department or supervisor.Retain printed copies for 6 months and destroy.
UWPY030COBRA ReportsReports related to the eligibility and enrollment in COBRA.Retain copy of official notices in employee case file.
UWPY035TimesheetsSigned individual timesheets.Retain for 5 years after creation and destroy.
UWPY044Tax Withholding Reporting FilesForms and reports related to employees’ federal and state income tax withholding activities and documentation of withholding.Retain for 7 fiscal years after creation and destroy.
UWPY030Terminated Employee Case FileThe Institution copy of benefit forms, withholding, applications, notifications, etc.  that are current at the time of employee termination.Retain for 5 years after termination and destroy.

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Common Personnel Records [UWSA Unclassified Staff Personnel Records | Wisconsin DOA Classified Staff Personnel Records]

Personnel Records

RRDA #Record Series TitleDescriptionRetention/Disposition
PERS124Official Personnel File–Classified StaffDocuments employee personnel actions during the employment of the employee.Retain for 7 years after termination and destroy confidentially.
UWPERS001Official Personnel File–FacultyAs in PERS124; also includes tenure review filesRetain for 30 years after termination and transfer to archives.
UWPERS001Official Personnel File–Unclassified Academic StaffAs in PERS124; includes but not limited to resumes, vita, indefinite review files, grievance/arbitration records, and evaluations.Retain for 10 years after termination and destroy confidentially.
UWPERS004Search and Screen Committee FilesRecords of Search and Screen committees, including minutes, lists of candidates, publicity materials, sample letters to applicants, final reports, and other correspondence.Retain for 6 years after position is filled and destroy.
UWM 437Search and Screen Committee Files, Deans Level or HigherAs per UWPERS004, for university-wide positions of Deans Level or Higher, including Chancellor, Provost, Vice Chancellor, Associate Vice Chancellor, Athletics Director, Director of UWM Libraries, and Director of Alumni Association.Retain for 6 years after position is filled and transfer to Archives.
UWPERS016Student Evaluation FormsSurvey instruments distributed to students for evaluation of the teaching performance of individual faculty or academic staff.Retain 6 months after summary is compiled and destroy.
UWPERS016Student Evaluation SummariesStatistical and/or narrative evaluation summaries completed by students concerning the teaching performance of individual faculty or academic staff.Tenured Faculty:Retain 5 years after end of semester.Probationary Faculty: Retain 6 years after tenure review.Academic Staff/TAs:Retain 2 years after end of semester.Destroy all summaries once retention periods have passed.
UWPERS001Unofficial Personnel FilesCopies of the Official Personnel File maintained by an employees supervisor or other subordinate unit.Retain for 1 year after termination and destroy confidentially.

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Common Student/Academic and Advising Records [UWSA Student Academic Records|UWSA Student Advising Records]

RRDA #Record Series TitleDescriptionRetention/Disposition
UWADV002Academic Advising Records (Graduate)Records created to document and support comprehensive and planned guidance for matriculated graduate students completing their degrees.Retain for 3 years after last semester of attendance and destroy confidentially.
UWADV004Academic Advising Records (Prospective)Prospective student files are kept for students who express interest, but never attend the university.Retain for 2 years after date of last contact and destroy confidentially.
UWADV001Academic Advising Records (Undergraduate)Records created to document and support comprehensive and planned guidance formatriculated undergraduate students so that both the basic requirements and those of specific majors and minors are fulfilled.Retain for 3 years after last semester of attendance and destroy confidentially.
UWSTU026Academic Dishonesty RecordsMaterials related to academic dishonesty, including all levels of appeals.Official Copy: Retain for 6 years after close of file and transfer to Archives. Department Copy:Retain for 1 year after close of file and destroy confidentially.
UWM 424Accreditation FilesFiles created by departments during the accreditation process, including correspondence, faculty vitae, program descriptions, applications, internal reviews, final reports, and other material.Retain until the end of next accreditation cycle and transfer to UWM Archives.
UWSTU054Course Management System RecordsExaminations, Coursework assignments, etc. as retained by academic departments to serve as source documents for submitted official grades. This series includes Desire2Learn (D2L) course support instructional materials.Retain for 1 year after end of semester and destroy.
UWSTU047Grade BooksFaculty records of grades given in whatever form maintained. In cases where grades have been calculated mainly in PAWS or D2L, the record of grade calculation within that system is sufficient.Retain for 2 years after end of semester and destroy confidentially.
ACAD032Pass/Fail RequestsForms completed by students in order to obtain approval to take courses for pass/fail credit.Retain for 1 year after date submitted and destroy.
UWM 383Schedule of Classes Production RecordsDocumentation relating to the production of the Schedule of Classes, including lists of classes, budgets, change requests, error reports, and correspondence.Retain until schedule produced and destroy.
UWM 185Student Application Files– Not Accepted/Enrolled (Divisional/Departmental Copies)Files started on prospective students who are not accepted, do not complete the application process, or do not enroll once accepted. May include applications, transcripts, reference letters, correspondence, test scores, and miscellaneous items unique to the individual.Retain for 1 year after application term and destroy confidentially
UWM 121Student CourseworkAll papers and materials submitted by undergraduate and graduate students to fulfill course requirements, including seminar papers, unofficial copies of theses and dissertations, honors theses/papers, maps, audio and visual tapes, artwork, testing materials, and the like.Retain for 1 year after creation and destroy.
UWM 119Student Records (Unofficial)All undergraduate and graduate records created by schools, colleges and departments. Records may include copies of transcripts, letters of recommendation, test scores, copies of papers, applications, grades, evaluations, advising documentation, correspondence, and waiver and withdrawal forms. The official records are created by the Graduate School or Dept. of Enrollment Services.Retain for 1 year after the date of last active attendance and destroy confidentially.
UWSTU022Transcripts from other InstitutionsTranscripts from other institutions provided to support the admissions process.Enrolled Students:Retain for 5 years after receipt and destroy confidentially. Unenrolled Students: Retain for 1 year after receipt and destroy confidentially.

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Administrative Records [UWSA Administrative Records]

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Administrative Records

RRDA #RECORD SERIES TITLEDESCRIPTIONDISPOSITION
UWADM001Policies and ProceduresUniversity established departmental policies and procedures,including manuals, manual codes, handbooks, and other related materials.Retain for 7 years after policy or procedure is superseded and destroy.
UWADM003Alphabetical/Topical FilesFiles which document the activities of academic and operationaldepartments on campus, including the internal development and operations of programs.Records can include correspondence, reports, memoranda and notes, publications, andannouncements. These files may also be known as subject files, departmental or office files,mixed files, or program files.Retain for 3 years after creation and transfer to Archives.
UWADM005Planning DocumentationStrategic, business and operational planning files at all levels of the university, including, butnot limited to, final plans, calls for proposals, publicity or presentation materials specificallyrelated to planning initiatives, and significant work papers. The official copy of this series is heldin the highest-level office affected by the plan being documented.Retain for 6 years after plan is completed or superseded and transfer to Archives.
UWADM010External ComplaintsComplaints received regarding issues not related to a particular individual, office, or program.This series specifically covers complaints received from non-student, non-staff members of thecommunity. For the retention period for internal complaints, please see the UWSA PersonnelRecords Schedule.Retain for 5 years after superseded or replaced and destroy. Some complaints may have archival/historical value; please contact the Archives for details.
UWADM013Agreements and ContractsContracts between a university or smaller unit and other government orprivate entities retained by the office or department. This series may also include anycorrespondence clarifying or setting terms in the contract itself.Retain for 6 years after close of contract or fulfillment/supersession of terms and destroy confidentially.
UWADM015Departmental PublicationsAll publications – whether one-time only or serial- produced by the university, such asnewsletters, newspapers, magazines, pamphlets, brochures, press releases, bulletins andcatalogs. This series includes both analog and digital publications.Retain for 3 years after creation and transfer to Archives.
UWADM018Agendas and MinutesMinutes and agendas for all official meetings, including department, committee, faculty senatemeetings (including high-level committee meetings), council meetings, university widemeetings and Department Chair correspondence. This series also includes any supplementarydocuments or other materials that are associated with the minutes.Retain for 3 years after approval of the minutes and transfer to Archives.
UWADM022Routine Activity/Production ReportsOccasional and/or periodic reports by individuals, offices or teams that document the businessof the university.Retain for 1 year after report is created and destroy.
UWADM023Annual/Summary reportsSummaries of accomplishments, goals, statistics, awards received,anticipated program needs and plans, as well as any supplementary documentation to supportsuch reports.Retain for 5 years after end of reporting period and transfer to Archives.
UWADM024Accreditation FilesFiles created by departments and schools or colleges in the process of accreditation orreaccreditation of their programs by external accreditation agencies. The series may include correspondence, faculty vitae, programdescriptions 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.Retain for 11 years after completion of final accreditation report or end of accreditation cycle, whichever is later, and transfer to Archives.
UWADM026Surveys/Questionnaires– Non-AcademicDocuments the creation and results of surveys by or for agencies for administrative,informational or non-academic research purposes. Records may include, but are not limited to, survey planning documents, survey instruments, completed surveys or questionnaires, analyzedresults, and any reports or publications that result from the survey. For academic course evaluations, please see the UWSA Personnel Records Schedule.Retain for 1 year after survey is completed and destroy. Please note that certain surveys, such as senior exit surveys or student demographic surveys, may have archival value; please contact the Archives for details.
ADM027Outside Activity ReportsEvery year, faculty, academic staff and other individuals listed on human subjects protocols orFederal grants, including graduate students, report outside activities and financial interests related to their field(s) of professional work to comply with Federal, State, and Universitypolicy. Using an electronic form, faculty and academic staff must submit a report even if it only indicates no outside activities.HR Copy: Retain for 3 years after completion of review and destroy confidentially. Local/Personal Copies: Destroy when no longer needed.

Other Common Records

Other Common Records

RRDA #Record Series TitleDescriptionRetention/Disposition
UWM 200Ballots for Election to CommitteesWritten or electronic ballots used to elect people to or chairs of committees.Retain for 1 year after vote and destroy.
UWBC001Business Communication: RoutineNormal communication that occurs when university employees work to transact public business on behalf of the UW System.Retain for 6 months after completion of project and destroy. If the communication is part of a different scheduled record series, use that disposition.
UWBC002Business Communication: TransitoryCommunication which has no business value after the information contained in the message has been conveyed or superseded, or the event to which the message is related has occurred.Retain for 1 week after creation or until superseded and destroy.
UWM 382Catalog Change/Copy FileDocumentation relating to the development of the course catalog, including correspondence, changes submitted by academic departments to the course catalog, markups of revised pages, and page proofs.Retain until catalog is published and destroy.
UWM 435Closed Section Interest FormsForms received by departments to maintain waiting lists for course sections that are otherwise full.Retain 3 months after beginning of semester and destroy.
UWM 050AOutside Activities Disclosures– PaperPaper forms of Outside Activities Disclosures not yet entered into database.Retain for 2 years after entered into database and destroy confidentially.
UWM 383Schedule of Courses Production RecordsDocumentation relating to the production of the Schedule of Classes, including lists of classes, budgets, change requests, error reports, and correspondence.Retain until schedule is produced and destroy.
UWM 349/UWM 350Scholarship ApplicationsApplication material submitted for scholarships awarded by individual academic units.Retain until notification of award and destroy (non-awardee) or transfer to student file (awardee).
UWM 421Syllabi FilesCollections of syllabi produced by faculty and collected by department staff for reference and verification purposes, in accordance with UWM Uniform Syllabus Policy.Retain for 2 years after end of semester and transfer to archives.

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