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General Record Schedules

How to use this table

  1. If you know the name of your records series or its RRDA number, OR if you know the name of a document in the series type it in the Search bar on the top right of the table. The table will filter down as you type.
  2. If you want to browse by type of record, type in the following RRDA codes by functional area:
    • UWADM: Administrative Records (Including Governance and Publications)
    • UWADV: Student Advising Records
    • UWBC: Business Communication
    • UWFA: Fiscal and Accounting Records
    • UWGNT: Research Grant and Related Records
    • UWHR: Personnel Records (Including Equal Employment Opportunity records)
    • UWIT: IT administration records
    • UWLA: Legal records
    • UWLIB: Library Records
    • UWPP: Police and Parking Enforcement Records
    • UWPY: Payroll Records
    • UWRES: Housing and Residence Life
    • UWRSC: Research Administrative and Related Records
    • UWSFA: Financial Aid Records (Including student work-study personnel files)
    • UWSH: Student Health Records (Including mental health and on-campus clinics)
    • UWSTU: Student Academic Records
    • WIAC: Wisconsin Intercollegiate Athletic Conference records (Advisory only for UWM)

 

Comprehensive General Records Schedules

RRDA #Series TitleDescriptionRetentionTrigger EventDispositionConfidential?
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 MinutesDestroyYes
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 activityDestroyNo
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 yearsCreatedDestroyYes
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 monthsCreatedDestroyNo
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 activityDestroyYes
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 yearsCreatedDestroyYes
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 yearsSupersededDestroyNo
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.DestroyYes
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 EligibilityDestroyYes
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 yearsCreatedDestroyNo
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 yearsCreatedDestroyNo
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 activityDestroyNo
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 activityDestroyYes
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 activityDestroyYes
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 ArchivesNo
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 activityDestroyNo
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 § 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 yearsSupersededDestroyNo
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 activityDestroyNo
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. PermanentPermanentNo
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 requestPermanentPermanentYes
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 AccessDestroyNo
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 Legal
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 yearsCreatedDestroyNo
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 yearsCreatedDestroyNo
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 ClientDestroyYes
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 clientDestroyYes
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 ClientDestroyYes
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 activityDestroyYes
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 ArchivesNo
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/spreadsheetDestroyYes
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 ArchivesNo
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 ArchivesNo
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 policyNo
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 policyNo
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 neededDestroyNo
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 creationDestroyYes
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 originNo
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 creationDestroyNo
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 reportDestroyNo
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 yearsDestroyNo
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 creationDestroyNo
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 inactivatedDestroyNo
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 ConfidentialNo
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 ConfidentialYes
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.DestroyNo
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 reportDestroyNo
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 yearsDestroyNo
UWFA203Internal Control Reference FilesAll reference files used to support internal control programs.0 daysDate of supersession of fileDestroyNo
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 creationDestroyNo
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 creationDestroyNo
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 ConfidentialYes
UWFA401Voided ChecksVoided checks resulting from printing errors.6 yearsFiscal year of creationDestroy ConfidentialYes
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 ConfidentialYes
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 creationDestroyNo
UWFA404Signature Cards: AuthorizationAll documentation relating to requests for signature authority for checks.6 yearsDate of inactivation of signature authorityDestroyNo
UWFA405General Obligation Bond RecordsAll supporting documentation for principal and interest payments, including correspondence and reports.50 yearsDate the bond matures or is calledDestroyNo
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 dueDestroyYes
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 creationDestroyNo
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 issuanceDestroyNo
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 creationDestroyNo
UWFA702Capital Accounting Project BudgetsRecords include budget-related records (allotments) for construction fund projects.4 yearsFiscal year of creationDestroyNo
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 creationDestroyNo
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 propertyDestroyNo
UWFA902AllocationsAll documentation used to verify the fringe, indirect cost, and Facilities and Administration (FandA) allocation processes for grants.6 yearsFiscal year of grant's awardingDestroyNo
UWFA903Letter of Credit: Drawdown InformationAll documentation used to determine draw amounts against federal grants' Letters of Credit.4 yearsDate of submission of LOC draw requestDestroyNo
UWFA904Facilities and Administration (FandA) Cost Rate ProposalsRecords include rate proposals, cost allocation plans, and computations.3 yearsDate of submission of proposalDestroyNo
UWBC0001Business Communication: RoutineRoutine communication has continuing value as a public record, because it is directly connected to the transaction of public business that is conducted by university employees. Routine communication comprises the normal communication that occurs when university employees, and sometimes their colleagues who are not university employees, work together to transact public business on behalf of the University of Wisconsin System. Routine communication has no historical value; never includes records that set forth university policies, guidelines, procedures, or directives; and does not formalize the business processes of the University of Wisconsin System.6 monthsBusiness activity or project is completed.Destroy/DeleteNo
UWBC0002Business Communication: TransitoryTransitory communication is directly connected to the transaction of public business that is conducted by university employees, but it has a short-term business value. Transitory communication 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. Transitory communication does not establish policies, guidelines, or procedures; certify a transaction; become a receipt; nor perpetuate or formalize business activities of the University of Wisconsin System. Transitory communication is not necessary for statutory, legal, or fiscal purposes; has no historical value; would not be filed in a records management system; and should be destroyed after one week, or when obsolete because the communication has been superseded or the related event has transpired.7 daysCommunication has been superseded or the related event has transpired.Destroy/DeleteNo
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 ArchivesNo
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/DeleteNo
UWIT0003Program Source CodeProgram source code including run or job controls3 yearsCode is superseded or replacedDestroy/DeleteNo
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 retainedNo
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/DeleteNo
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 formatNo
UWIT0007Telephone Voicemail System Call DetailTelephone system call detail includes: Call Date, Call Time, To Number, From Number and Call Duration4 yearsCreatedDestroy/DeleteNo
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/DeleteNo
UWIT0009Network Support Service History and SummarySite visit report, trouble reports, service history, network upgrade documentation and other related correspondence.1 yearCreatedDestroy/DeleteNo
UWIT0010Network Architecture and Configuration DocumentationNetwork architecture documentation, configuration management and circuit inventory system3 yearsDiscontinuance of SystemDestroy/DeleteNo
UWIT0011Network or Circuit Installation, Outage FilesWork orders, correspondence, work schedules, building/circuit diagrams including network outages and application outage1 yearCreatedDestroy/DeleteNo
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 formatNo
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/DeleteYes
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/DeleteYes
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/DeleteNo
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/DeleteNo
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/DeleteYes
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.DestroyYes
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.DestroyYes
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.DestroyYes
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.DestroyYes
UWADM001Policies and ProceduresUniversity established departmental policies and procedures, including manuals, manual codes, handbooks, and other related materials.7 yearsPolicy or procedure is supersededDestroy or Transfer to Archives per institutional policyNo
UWADM002Calendars and SchedulesAll calendars used for university business which includes both paper and electronic calendaring systems. This series includes, but is not limited to, desk calendars, appointment books, and similar records.5 yearsEnd of the Calendar YearDestroy or Transfer to Archives per institutional policyNo
UWADM003Alphabetical/Topical FilesFiles which document the activities of academic and operational departments on campus, including the internal development and operations of programs. Records can include correspondence, reports, memoranda and notes, publications, and announcements. These files may also be known as subject files, departmental or office files, mixed files, or program files. The files may include records of non-historical value scheduled by other RRDAs, which may be removed by each institution's archives upon receipt.3 yearsCreatedTransfer to Archives for reviewNo
UWADM005Planning DocumentationStrategic, business and operational planning files at all levels of the university, including, but not limited to, final plans, calls for proposals, publicity or presentation materials specifically related to planning initiatives, and significant work papers. The official copy of this series is held in the highest-level office affected by the plan being documented (e.g. a campus master plan will be held by the Chancellor's Office; a school/college plan will be held by the Dean's Office, etc.)6 yearsPlan is completed or supersededTransfer to ArchivesNo
UWADM006Reorganization DocumentationDocuments showing organizational changes within the college or university, including files of significant addition, deletion, or transfer of administrative, functional or regulatory responsibilities, etc.2 yearsDate reorganization is completedTransfer to ArchivesNo
UWADM007Organizational ChartsThis series consists of the records of the official organizational structure of each college of
university, as well as that any smaller schools within those institutions.
0 yearsOrganizational chart is supersededTransfer to ArchivesNo
UWADM008Transition BriefingsRecords that are prepared to provide an overview of the university, department, or office during transitions to new management.2 yearsDate prior official or department chair leaves his/her positionDestroyPotentially; contact the department chair, dean, or other administrator for more information
UWADM009University Sponsored Conference RecordsThis record series consists of but is not limited to registration materials, correspondence, financial reimbursement and public relations materials for conferences that are hosted by a university department of unit. This schedule does not include those records covered under the UWS- Administrative Schedule.3 yearsDate of the conferenceTransfer to Institutional Archives for review per policyNo
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 the community. For the retention period for internal complaints, please see the UWSA Personnel Records Schedule. Some of these complaints may be historical or precedent-setting in nature; each institution's archives should work with offices managing these records to determine which records in this series may have ongoing value.5 yearsSuperseded or replacedDestroy or Transfer to Archives per institutional policyYes
UWADM011Legal Noticesdocumentation associated with required legal notices. Legal notices required for an event should be filed with the specific action/event.1 yearCreation of legal noticeDestroyYes
UWADM012Public Records RequestsRecords relating to regular and reformulated, repetitious, systematic or continuing requests by individuals, groups or organizations for access to general information under the provisions of the Wis. Stats 19.35-19.37. The series includes the original request, notice of change (of scope of request), billing, collection of fees, acknowledgement of receipt of request, follow-up letters and transmittal memorandums, access request review, 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. The series may also include request response package including any redaction of information (if information is kept). If requests are denied, records covered here include request denials and related justification, mediation, representations from third parties, recommendations, court orders, and reviews. Also includes abandoned requests.3 yearsResponse to request is providedDestroyYes
UWADM013Agreements and ContractsContracts between a university or smaller unit and other government or private entities retained by the office or department. This series may also include any correspondence clarifying or setting terms in the contract itself.6 yearsClose of contract date or fulfillment/supersession of the terms.DestroyNo
UWADM014Unit/Department Training/Course MaterialsMaterials prepared and used by staff to provide information targeted to internal and external audiences. This series may include handouts, flyers, presentation files, or any other materials used in the course of training sessions.0 yearsEnd of course or when no longer relevant to courseDestroyNo
UWADM015University PublicationsAll publications - whether one-time only or serial- produced by the university, such as newsletters, newspapers, magazines, pamphlets, brochures, press releases, bulletins and catalogs. This series includes both analog and digital publications.3 yearsCreatedTransfer to ArchivesNo
UWADM016University Speeches/PresentationsOfficial or final version of the speech or presentation that is filled with department records. Working copies, hand-written notes, and drafts should be filed with the personal papers or the presenter.3 yearsCreatedDestroy or Transfer to Archives per institutional policyNo
UWADM017University Recorded Performances/Events (non-athletic)Audio or Video recordings of campus events or performances staged or recorded by a campus unit. This series does not include audio-visual materials prepared for course instruction or conduct of research unless these materials are of a unique nature.3 yearsCreatedDestroy or Transfer to Archives per institutional policyNo
UWADM018Agendas/MinutesMinutes and agendas for all official meetings, including department, committee, faculty senate meetings (including high-level committee meetings), council meetings, university wide meetings and Department Chair correspondence. This series also includes any supplementary documents or other materials that are associated with the minutes.3 yearsApproval of minutesTransfer to ArchivesPotentially; contact the records creator for more information
UWADM019Meeting RecordingsAudio or video recordings of official meetings, including all categories of meetings mentioned in UWMADM017. In general, these recordings have little to no historical value; the minutes of the meetings recorded should serve as the official record of events.0 yearsNo longer needed for administrative purposesDestroyNo
UWADM020Voting Materials - Elections to CommitteesWritten or electronic ballots, nomination papers, tally sheets, and other materials used to elect employees to committees, or used within committees to elect committee chairs.1 yearVote is tabulatedDestroyYes
UWADM021Voting Materials - Executive Committee ActionsWritten or electronic ballots, nomination papers, tally sheets, and other materials used by departmental executive committees to decide on actions to be taken by the committee. This series includes formal ballots on issues of promotion or tenure decided by executive committees.6 yearsApproval of minutesTransfer to ArchivesYes
UWADM022Routine Activity/Production ReportsOccasional and/or periodic reports by individuals, offices or teams that document the business of the agency.1 yearDate report is createdDestroyNo
UWADM023Annual/Summary ReportsSummaries of accomplishments, goals, statistics, awards received, anticipated program needs and plans, as well as any supplementary documentation to support such reports.5 yearsEnd of the reporting periodTransfer to ArchivesNo
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 ArchivesNo
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 filedDestroyYes
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, analyzed results, and any reports or publications that result from the survey. For academic course evaluations, please see the UWSA Personnel Records Schedule.1 yearDate survey is completedDestroyYes
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 confidentiallyNo
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 confidentiallyNo
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.
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.
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 Archives
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.
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 Confidentially
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.
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 ConfidentiallyYes
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 ConfidentiallyYes
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 ConfidentiallyYes
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 ConfidentiallyYes
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 ConfidentiallyYes
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 ConfidentiallyYes
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 ConfidentiallyYes
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 ConfidentiallyYes
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 ConfidentiallyYes
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 longerCreatedYes
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 ServicesYes
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 ConfidentiallyYes
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.No
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.
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 ArchivesNo
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.
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 ConfidentiallyYes
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 ConfidentiallyYes
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 ConfidentiallyYes
UWSH125Counseling Center Satisfaction SurveysSurveys record client satisfaction with Counseling Center services, counselors and admission procedures.3 yearsCreatedDestroy Confidentially
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.No
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 ConfidentiallyYes
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 ConfidentiallyYes
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 ConfidentiallyYes
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 ConfidentialYes
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 ConfidentialYes
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 ConfidentialYes
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 ConfidentialYes
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 ConfidentialYes
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 ConfidentialYes
UWSFA005Program 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. 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 ArchivesNo
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 submittedDestroyNo
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 ArchivesNo
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 ConfidentialYes
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 ConfidentialYes
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 ConfidentialYes
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 ConfidentialYes
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 ArchivesNo
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 submittedDestroyNo
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 submittedDestroyNo
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 ConfidentiallyYes
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 ConfidentiallyYes
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 ConfidentiallyYes
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 ConfidentiallyYes
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 ConfidentiallyYes
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 ConfidentiallyYes
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 ConfidentiallyYes
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 attendedDestroyNo
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 ConfidentiallyYes
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 ConfidentiallyYes
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 ConfidentiallyYes
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 ConfidentiallyYes
UWLA0001Matter Case FilesThe legal affairs offices at UW System Administration, UW-Madison, and UW-Milwaukee 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; and federal enforcement actions and other campus legal matters. Legal matter files include but are not limited to pleadings and legal argument, correspondence, evidence, research, orders all documents related to a Legal Summons, and Subpoenas issued, May contain Client File; Expenses; Attorney Notes; Medical Records; Government Agency Filings; Discovery [for example Interrogatories, Request for Production of Documents; Deposition Transcripts; Evidence [for example photos, statements, etc. and/or related correspondence requesting specific records pertaining to University employees or University business transactions are included in this series. This retention period is consistent with that employed by the Wisconsin Department of Justice for similar records, and covers the longest expected applicable statute of limitations. The recommended retention period is ten years, unless the file is deemed historic.10 yearsDate the file was closedDestroy ConfidentiallyYes
UWLA0002Legal Affairs Case Files - Historically SignificantMatter Case files that are determined to be documentation of historically significant events that happen on the university campuses.20 yearsCreatedTransfer to University Archives per institutional policyNo
UWLA0003Legal Trademark and Intellectual Property - Formal Legal DocumentsOfficial legal documents dealing with Trademarks and Intellectual Property which are retained by Legal Affairs. Examples of these documents include those related to, but not limited to: trademark, intellectual property, trusts, real estate, and certain legal agreements or court orders related to trademarks and intellectual property.50 yearsCreatedTransfer to University ArchivesYes
UWLA0004Client Consultation RecordsThe general counsel and legal affairs offices frequently consult with clients on legal questions and concerns. Related records should be retained for six years because that is the longest statute of limitations for potential, related claims to be filed, and because that is a reasonable length of time for such documents to be useful in resolving similar matters.6 years ( The minimum is EVT + 6 Years. UW-Madison has opted to keep records more than the
minimum for operational purposes to EVT+10 Years .)
Date of issue resolutionDestroy ConfidentiallyYes
UWLA0006Administrative Rule Development - Official FileThe University of Wisconsin System may promulgate administrative rules pursuant to Wis. Stat, chapter 36. The official rule drafting file should be should be retained permanently as is consistent with state-wide practice.PermanentTransfer to Archives per institutional policyNo
UWPY0001Time and Labor FormsThese forms authorize and approve payments to employees. These forms include: Missed Punch Form, Work Scheduler and Approver Form, and Timesheet Report.Signed original: HRS is the official holder of the data from the forms. Institution: 5 years.CreatedDestroy ConfidentiallyYes
UWPY0002Time and Labor Administrative ReportsThis series contains various 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. The following are report examples within HRS: Payable Status Report, Total 80-Summation 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/Daily Schedules.Institutions: 1 monthCreatedDestroy ConfidentiallyYes
UWPY0003Employee Login IP AddressesReport shows IP addresses that employees are using to login and record time. This serves as part of the original reported time record as it identifies the individual and records the time they accessed in the HRS system. Login IP addresses are part of the authentication process for reported time.HRS: 5 yearsCreatedDestroy ConfidentiallyYes
UWPY0004Time Collection/Reporting Device ValidationReports that record/report time to the payroll process. Time Collection Device Report that compares employee dept. to TCD ID for reported time loaded by interface. This report is used primarily by housing and athletics. -Report for positive time reporters (employees without time). This series also includes Time Clock/Web entry report. This latter report shows modification made by timesheet to time reported via clock or web entry. Also includes Time Entry Status Report.HRS: 5 yearsCreatedDestroy ConfidentiallyYes
UWPY0005Payable Time (Classified Employees Only)This report by campus/division shows all payable time and indicates employee name, ID, time period, rate, hours worked and other data. Other HRS reports include Duplicate Time Report, Overtime and Comp Report.HRS: 5 yearsCreatedDestroy ConfidentiallyYes
UWPY0006Time and Labor Audit/Error ReportsThis series includes such reports as: Report Time by Task which is a query report that shows time with task id's by date range and TRC's. This is a reference report that payroll managers may run to evaluate labor costs associated with given tasks. Also includes: Reported Time by TRC, Duplicate Time Report, Exception Report.HRS: 4 yearsFiscal YearDestroy ConfidentiallyYes
UWPY0007Leave of Absence ReportThe 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)HRS: 15 years. Campus Copies: 10 years.CreatedDestroy ConfidentiallyYes
UWPY0008Leave PlansThe HRS system manages several leave plan types; FMLA (Family Medical Leave), Classified, Unclassified, Leave without Pay, Sabbatical, Military and others. HRS tables contain details of the plans, (When HR managers enter employees who have an approved leave status, they are assigned a leave type based on leave plans). UW System HR: The description of the various leave plans must be retained as long as employees covered by them are employed by the UW System.HRS: 0 days Campuses: N/ASupersededDestroy ConfidentiallyYes
UWPY0009Earning StatementsEarning statements show leave time taken during a designated pay period. (Leave balances are available to employees via MyUWPortal).HRS: 15 years Campuses: N/ACreatedDestroy ConfidentiallyYes
UWPY0010Leave Activity Summary ReportThis report shows cumulative year to date leave activity by pay period. Some institutions receive copies of leave reports that are specific to their respective institutions.HRS: 15 years. Campus Copies: Retain to meet administrative purposes not to exceed 18 months.CreatedDestroy ConfidentiallyYes
UWPY0011Leave ReportsLeave activity reports and queries, such as: negative allocated vacation balance, generic leave balance, absence event, unpaid absences, payout/paybackHRS: 5 years. Campus copies: Retain to meet administrative purposes not to exceed 18 months.CreatedDestroy ConfidentiallyYes
UWPY0012Leave FormsForms completed by individual UW System employees requesting leaves (other than sabbatical leave) and approved by supervisors and department/employing unit head. Forms include: Unclassified Leave Report, Unclassified Leave Conversion.HRS: N/A. Campuses: 5 years.CreatedDestroy ConfidentiallyYes
UWPY0013Absence Management HRS System Audit ReportsRoutine reports used to check potential errors in the system.HRS: Administrative need not to exceed 6 months. Campuses: N/ACreatedDestroy ConfidentiallyYes
UWPY0014Wisconsin Retirement System Files and ReportsElectronic data file is created after each payroll is processed that includes data for each employee, including the employment category, earnings, hours worked and data necessary for monthly and annual WRS reporting. Other HRS reports (interfaces) that are governed by this record series include: Annual Detail Report and Cover Sheet, WRS Earnings/Hours Report, Half Time Compliance Report.HRS: 15 years. Campuses: N/ACreatedDestroy ConfidentiallyYes
UWPY0015Employee Payroll Case FileRecords series includes various documents that are maintained in the institution 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 CardsHRS: 50 years. Campuses: Retain EventHRS: Resolved, verified, superseded or between 1-6 pay periodsDestroy ConfidentiallyYes
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 ConfidentiallyYes
UWPY0017Benefit Audit/Error/Reference ReportsRoutine reports run to verify HRS table settings, notify institutions of routine updates, etc. Series includes the following HRS record items: Flexible Spending Acct Table (JIRA #6970), Flat Rate Table Information (JIRA #6971), Disability Plan Table (JIRA #6972), Billing History Report (JIRA #6965), Employee Enrollments, Charges, Credits (JIRA #6967), Benefit Contribution Report (JIRA #6961), ABBR Changes (JIRA #6893), Health Plan Participants Report (JIRA #6959), Participant Location Report (JIRA #6947), Eligible Participant Reports (JIRA #6945), Enrollment Event Triggered Listing (JIRA #6922), Event Rules Billing (JIRA # 6957), Undeliverable Email Report (JIRA #6915), Deduction Exception Report (JIRA #6921), Missing Employee/Dependent Data Report (JIRA #6919), Enrollment Code Error Report (JIRA # 6923), Individual and Family Life Audit Report (JIRA #6937), WRS Earnings Report-Federal Cap (JIRA #6036), Concurrent Employment Audit Report (JIRA #6935), Benefit Eligibility Intention Report (JIRA #6933), Age 70 Report (JIRA #6930), Accidental Death Audit Report (JIRA #6929), Termination Date-Coverage Report (JIRA #6904), Spouse Family Double Coverage Report (JIRA #6940), Insurance/Provider Vendor Report (JIRA #6988)Retain until administrative need has concluded, not to exceed one year.
UWPY0018TSA Multiple Enrollments ReportReport 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 deduction to manually override for the remainder of the calendar year.HRS: 5 years. Campuses: administrative need not to exceed 1 year.CreatedDestroy ConfidentiallyYes
UWPY0019Payroll Accounting and Benefit Reports and TransfersReports and correspondence that have fiscal audit values related to transfers of payroll funds. Series documents issues and concerns related to transfer of funds to banks for state payroll, reports that total savings 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) Cancellation Notice; Saving Bond Deduction Totals Report: generated bi-weekly from Processing Center system. Report is not distributed outside of Processing Center; Saving Bond Payment form used by Processing Center staff to identify the total bi-weekly savings bond payment amount; Retroactive Benefit Calculations Report (JIRA #6914); Retroactive Benefit Missing Premium Report (JIRA #6913); Deduction Pre-pay Reconciliation Report (JIRA #6905)HRS: 4 years. Campuses: Administrative need not to exceed 1 year.CreatedDestroy ConfidentiallyYes
UWPY0020Active ETF Participant Case File RecordsRecords series covers various application, enrollment and maintenance records that State employees use to participate in various benefit programs administered by the State Department of Employee Trust Funds (DETF). The DETF maintains the official copy of records in this series in the DETF Participant files of the Department, for the duration of an individual's term of employment with the state and for the following periods of time thereafter: Event (Death) + 25 years, or, Event (Separation benefit or single sum annuity) + 40 years. Records in this series document the employee's participation in the Wisconsin Retirement System (WRS), Health insurance, benefits, life insurance, income continuation insurance (ICI) and certain benefit continuation programs. Series includes but is not limited to the following: Accumulated Leave Certification; Approval Notice of Benefits; Beneficiary Designation; Benefit Claim; Continuation Notice; Death Benefit Information Request; Election to Reduce Life Insurance Amount; Employment Application and Statement; Evidence of Insurability; Group Life Insurance Coverage; Health Insurance Application; Health Insurance Change; Income Continuance Insurance Application; Life Insurance Application/Cancellation; Life Insurance Disability Premium Waiver; Medical Report-Disability Retirement; Notice of Death; Sick Leave Certification; Sick Leave Escrow Application. Also includes Enrollment Deadline Worksheet for employees with no email preference as well as Name Change documentation, Beneficiary Change Forms. This series may also include a copy of the employee's most recent ETF Benefit Statement. This statement is used to retirement benefit counseling. The employee also receives copies of many items above for his or her own record.Official Copy-maintained by ETF: 25 years from date of death or 40 years from date of separation. Campuses: Case file pulled and placed with terminated employee case file. HRS: N/ADate of death or separationDestroy ConfidentiallyYes
UWPY0021Enrollment ReportsSeries of HRS reports 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 such as name changes, changes in addresses, and corrections of Social Security Numbers and dates of birth. This series also includes reports that show what insurance programs employees are enrolled in and deduction amounts, (JIRA #6987)HRS: 7 years. Campuses: administrative need not to exceed 1 year.CreatedDestroy ConfidentiallyYes
UWPY0022Benefit Confirmation ReportsOpen Enrollment and New Hire enrollment events have a requirement to provide a statement to employees as confirmation of their enrollment elections. Distribution will be via paper for employees who do not have the new custom field "UW Communication Preference" (see HRS-665) marked for email communication and/or don't have an email address available. This series includes such items as: Income Continuation (ICI) Notification. Campus-Completed enrollment forms may be a part of the employee's benefit case file.HRS: 7 years. Campuses: administrative need not to exceed 1 year.Date of terminationDestroy ConfidentiallyYes
UWPY0023DETF Benefits ReportsRecords series includes various benefits reports that list benefits accrued in DETF - administered programs, including the WRS, health, life, and ICI insurances. Series includes but is not limited to the following reports: Annuitant Health Insurance Monthly Coverage Report; Employee Transaction Report; Group Health Insurance Monthly Additions Report; Group Health Insurance Monthly Change Report; Group Health Insurance Monthly Deletions Report; Group ICI Monthly Premium Report; Group Life Insurance Collection Report; Health Insurance Summary Report; ICI Summary Report; Monthly Health Insurance Coverage Report; Monthly Retirement Remittance Report; Rehired Annuitant Election to Participate in the WRS; WRS Coverage Detail Report; WRS Over/Under Payment/Interest Due Report. Institutions receive copies of reports if applicable to employees in their institution. The Department of Employee Trust Funds (DETF) has the original which is retained for 7 years from the date of the report. This item includes the following interfaces: ERA Enrollment Report, Employee Periodic Transaction Report, and Annual Employee Transaction Report.HRS Interfaces: 7 years. Campuses: retain until completion of administrative need, not to exceed 1 year.CreatedDestroy ConfidentiallyYes
UWPY0024TSA and Wisconsin Deferred Compensation DocumentationIncludes hard copy TSA and WDC documentation of enrollments and changes to contribution levels for individual UW employees.HRS: 7 years. Campuses: Employee Benefit Case File-7 years.CreatedDestroy ConfidentiallyYes
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 ConfidentiallyYes
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 ConfidentiallyYes
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 ConfidentiallyYes
UWPY0028Benefit Program Vendor Data FilesData files that are electronically transferred to vendors supplying the benefit and/or insurance program to UW employees. The data files include names, ID information, payment data, SSN, and other pertinent information of employees who have enrolled in such programs. Data transfers are used to inform vendors of new enrollments, transfer payments, and support eligibility determinations. These data file transfers can include some or all of the following: ERA Eligibility and Deduction files.HRS: 7 years. Campuses: N/ACreatedDestroy ConfidentiallyYes
UWPY0029COBRA 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).HRS: 7 years. Campuses: Retain copy of official notices in employee payroll case file if one is maintained (See UWPY0030)CreatedDestroy ConfidentiallyYes
UWPY0030Terminated Employee Case FileThis records series includes the Institution copy of 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.HRS: N/A. Campuses: 5 years.Date of employment terminationDestroy ConfidentiallyYes
UWPY0031Life Insurance Reports and Interfaces Sent to VendorsLists of employees and their coverage sent to life insurance vendor (currently Minnesota Life). (Example Individual and Family Annual Census File)HRS: 7 years. Campuses: N/A.CreatedDestroy ConfidentiallyYes
UWPY0032Annual Benefits StatementsThis series consists of Annual benefit statements produced by the HRS system. This statement reflects all benefit programs in which the employee is currently enrolled and total employer/employee contributions to them.HRS: 5 years. Campuses: N/A.Date of employee terminationDestroy ConfidentiallyYes
UWPY0033HRS Core 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 calc 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)HRS: Master Fiche/Tape for all UW Institutions maintained by HRS 50 years. Campuses: N/ACreatedDestroy ConfidentiallyYes
UWPY0034TimesheetsThis series consists of signed individual timesheets.HRS: N/A Campuses: 5 years.Date of the pay periodDestroy ConfidentiallyYes
UWPY0035Payroll Processing ReportsSeries of reports produced as part of the processing of each payroll. Reports include: Employees NOT processed in Current Payroll, Deductions not Taken, Payroll Error Messages.HRS: Retain to meet administrative need not to exceed 18 months. Campuses: N/ACreatedDestroy ConfidentiallyYes
UWPY0036HRS Payroll Audit LogsThis series consist of Audit logs to track changes made during payroll processing.HRS: 3 years. Campuses: N/ACreatedDestroy ConfidentiallyYes
UWPY0037Payroll Register and VoucherPayroll listings showing gross and net pay, as well as deductions taken. This series also includes the payroll voucher.HRS: 6 years. Campuses: retain to meet administrative need not to exceed 18 months.Fiscal YearDestroy ConfidentiallyYes
UWPY0038Work Study ReportsVarious reports that can be produced from the HRS system to monitor Work Study employees. These reports can include some or all of the following: work study award by job type, work study award by department budget, work study adjustment, work study balance control, work study award by person.HRS: 5 years (34CFR 676.19). Campuses: 5 years.CreatedDestroy ConfidentiallyYes
UWPY0039Unemployment CompensationThis series includes a hard copy report and transfer file (interface) sent to the Dept. of Workforce Development.HRS: 6 years. Campuses: N/ACreatedDestroy ConfidentiallyYes
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 ConfidentiallyYes
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 ConfidentiallyYes
UWPY0042Garnishment ReportA report to vendors of terminated employees who had garnishments taken from their wages.HRS: 7 years. Campuses: retain to meet administrative need not to exceed 1 year.CreatedDestroy ConfidentiallyYes
UWPY0043Tax 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; Employer's 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.HRS: 7 years. Campuses: each institution is responsible for maintaining records of its employees' tax withholding records.Fiscal YearDestroy ConfidentiallyYes
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 ConfidentiallyYes
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 ConfidentiallyYes
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 ConfidentiallyYes
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 ConfidentiallyYes
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 ConfidentiallyYes
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 ConfidentiallyYes
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 ConfidentiallyYes
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 ConfidentiallyYes
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 ConfidentiallyYes
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 ConfidentiallyYes
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 ConfidentiallyYes
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 ConfidentiallyYes
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 ConfidentiallyYes
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 ConfidentiallyYes
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 ConfidentiallyYes
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 ConfidentiallyYes
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 ConfidentiallyYes
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 ConfidentiallyYes
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 ConfidentiallyYes
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 ConfidentiallyYes
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 ConfidentiallyYes
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 ConfidentiallyYes
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 ConfidentiallyYes
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 ConfidentiallyYes
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 ConfidentiallyYes
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 ConfidentiallyYes
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 ArchivesYes
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 ArchivesYes
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 ConfidentiallyYes
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 ConfidentiallyYes
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 ConfidentiallyYes
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 ConfidentiallyYes
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 ConfidentiallyYes
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 ConfidentiallyYes
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 ConfidentiallyYes
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 ConfidentiallyYes
UWSTU036Changed Grade RecordPaper, student information system (SIS) electronic, or other evidence of a legitimately changed final course grade.6 yearsCreatedTransfer to University ArchivesYes
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 ConfidentiallyYes
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 ConfidentiallyYes
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 ConfidentiallyYes
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 ConfidentiallyYes
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 ConfidentiallyYes
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 ConfidentiallyYes
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 ConfidentiallyYes
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 ConfidentiallyYes
UWSTU045Diplomas, (returned because undeliverable)Paper diplomas returned to the university, undeliverable due to incorrect address or other reasons.1 yearDate of graduationDestroy ConfidentiallyNo
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 ConfidentiallyYes
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 ConfidentiallyYes
UWSTU048Grades, officialOfficial student grades, recorded by Registrar, including material in all formats: paper, electronic, D2L, etc.PermanentCreatedYes
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 ConfidentiallyYes
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 institutionNo
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 ConfidentiallyYes
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 ConfidentiallyYes
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 ConfidentiallyYes
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 ConfidentiallyYes
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 agreementDestroyNo
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 ConfidentiallyYes
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 ConfidentiallyYes
UWSTU058Name Change AuthorizationsForms and subsequent records in any form documenting a name change request and action initiated by a student.5 yearsDate of submissionDestroy ConfidentiallyYes
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 ConfidentiallyYes
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 ConfidentiallyYes
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 ConfidentiallyYes
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 ConfidentiallyYes
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 ConfidentiallyYes
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)No
UWSTU065Transcripts, officialOfficial student academic transcripts showing name, years of attendance, courses attended, grades, major and further academic achievements.PermanentCreatedYes
UWSTU066Transcripts, student requestsDocumentation in any format recording student requests for official copies of their university transcripts.1 yearDate of requestDestroy ConfidentiallyYes
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 ConfidentiallyYes
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 ConfidentiallyYes
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 ConfidentiallyYes
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 ConfidentiallyYes
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 ConfidentiallyYes
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 ConfidentiallyYes
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 ConfidentiallyYes
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 ConfidentiallyYes
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 ConfidentiallyYes
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 ConfidentiallyYes
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 ConfidentiallyYes
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 ConfidentiallyYes
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 ConfidentiallyYes
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 ConfidentiallyYes
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 ConfidentiallyYes
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 ConfidentiallyYes
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 ArchivesNo
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 ArchivesNo
UWSTU085Correspondence, policy-settingPolicy-setting correspondence within enrollment services units or between them and university administration.6 yearsCreatedTransfer to University ArchivesNo
UWSTU086Course File, masterOfficial courses offered throughout the history of the institution.6 yearsCreatedTransfer to University ArchivesNo
UWSTU087Enrollment and Class ListsReports generated by Enrollment Services during any given semester reflecting student enrollment rosters, class size, graduation lists.6 yearsCreatedTransfer to University ArchivesYes
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 ConfidentiallyYes
UWSTU089Grade Reports/statisticsReports of official grades awarded, degrees conferred, grade lists, academic standing, grade point averages, degree statistics.6 yearsCreatedTransfer to University ArchivesYes
UWSTU090Honors ListsLists of students who have achieved academic distinction, including but not limited to the Dean's List.6 yearsCreatedTransfer to University ArchivesYes
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 daysSupersededDestroyNo
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.PermanentCreatedYes
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.PermanentCreatedYes
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.PermanentCreatedYes
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.PermanentCreatedYes
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 studentCreatedYes
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.PermanentCreatedYes
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 UWSTU095PermanentCreatedYes
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 ArchivesNo
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 ArchivesNo
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 ArchivesNo
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 ArchivesNo
WIAC100Commissioner's General CorrespondenceThe general correspondence records are used to support the administration of WIAC. They include but are not limited to general correspondence of significance with UW Council of Chancellors, WIAC Executive Committee, the Athletics Directors' Council, the Faculty Athletics Representatives' Council and the individual sport committees.10 yearsCreatedTransfer to UW Madison Archives for reviewNo
WIAC101Budget DocumentationThe commissioner prepares an annual budget for the conference office that is reviewed by the athletic directors and faculty athletic representatives with the ultimate authority for approval residing with the Council of Chancellors. Payment invoices and purchase orders are also processed in accordance with UW System requirements.PermanentInvoices sent to the UW System Financial AdministrationNO
WIAC102Meeting RecordsThese records include meeting minutes, agendas and distribution materials pertaining to regular or special meetings (including telephone conference calls) of the governance and administration of WIAC. They include meetings with Council of Chancellors, WIAC Executive Committee, the Athletic Directors' Council, the Faculty Athletic Representatives' Council, and each individual sport committee.10 yearsCreatedTransfer to UW Madison Archives for reviewNO
WIAC103Monthly ReportsThe conference office prepares a monthly report entitled "Did you Hear the Latest" for purposes of informing the Board of Regents, Senior-Level UW System Administration, Council of Chancellors and various other constituencies of the major accomplishments and activities within the conference for the previous month.10 yearsCreatedTransfer to UW Madison Archives for reviewNo
WIAC104Directory and Record BookThe WIAC publishes an annual Directory and Records Book with copies distributed to each WIAC institution, members of the statewide media as well as other affected/interested groups and individuals. It includes contact information for the conference office and each member institution and a summary of the prior academic year and historical information (e.g., all-time records, statistics) for all WIAC championship sports.PermanentNo
WIAC105News ReleasesNews releases are created on different formats to generate news stories or features about WIAC, special events, Conference Championships, honors to member schools and awards to individual athletes.10 yearsCreatedTransfer to UW Madison Archives for reviewNo
WIAC106WebsiteThe website provides general information about WIAC administration, participating schools, sanctioned sports and corporate partners. The website also includes current information on Conference activities, annual schedules for each school, current standings in individual schools and championship events.0 daysWhen no longer neededDestroyNo
WIAC107Eligibility CertificateThe WIAC Eligibility Certificate is a comprehensive record that each school must complete and submit to the conference office for each sport prior to the first permissible contest against outside competition in that sport. Comparable to an academic transcript, the certificate requires specific information on each student-athlete's eligibility status (e.g., credit hours enrolled, earned and current GPA). The certificate must be signed by the school's athletic director, coach, registrar, and faculty athletic representative to insure eligibility. Other supporting documentation pertaining to eligibility is provided by member institutions in addition to the eligibility certificate for selected student-athletes to include the WIAC Transfer Player Eligibility Statement, Athletics Tracer Report, Medical Hardship Request Form and the Petition for Wavier of Conference Eligibility Rules. At the conclusion of each sport season, institutions are also required to file with the conference office a Season of Participation/Competition Form. This form includes the names of each player who participated/competed during the prior season as well as their past participation and competition. The report must be signed by the athletic director and the head coach and is due in the WIAC office within four weeks of the final contest in the sport.10 yearsDate of last year of eligibilityDestroy ConfidentiallyYes
WIAC108Report of Secondary ViolationThe WIAC requires its member institutions to report any and all NCAA or WIAC rules violations to the conference office. These reports are filed with the conference via the WIAC Report of Secondary Violation form. The record identifies the institution, when the violation occurred, description of the violation and what steps the school took to correct or to take discipline action if needed. In instances in which the infraction is a violation of NCAA rules, the commissioner forwards the report along with his disposition on the matter to the NCAA Enforcement Staff.7 yearsCreatedDestroyNo
WIAC109Scholastic Honor RollThe Honor Roll record enumerates individual student athletes for their outstanding work in the classroom for each academic year. The student-athlete must maintain a 3.0 GPA or better during the last academic year and compete in at least one athletic contest to be recognized.3 yearsCreatedDestroyNo
WIAC110Athletic Director's General CorrespondenceThe Athletic Director maintains a record of general office issues and operations. This record series includes correspondence, reports, requests and responses related to all athletic programs at the University.6 yearsCreatedDestroyNo
WIAC111Athletic Director's Subject FilesThe subject files include records on each of the school's sports programs. It also includes information on all University activities including special events and community relations, awards, special projects and presentations.6 yearsCreatedDestroyNo
WIAC112Meeting RecordsThese records include meeting minutes, agendas and distribution materials relating to regular or special meetings of the governance and administration of the Athletic Department of the University.6 yearsEnd of fiscal yearDestroyNO
WIAC113Annual ReportsThe Director of Athletics where applicable prepares an annual report which documents the activities of all the athletic programs at the University on a yearly basis.6 yearsCreatedTransfer to University Archives for archival reviewNo
WIAC114PublicationsPublications are created to communicate the activities and programs of the Athletic Department to the campus and audiences outside the University. They include but are not limited to programs, brochures, pamphlets and special event material.PermanentCreatedNo
WIAC115Student Athletic Sports Committee Chapter Subject FilesThe subject files of the University SAAC Chapter includes general correspondence on governance, list of members, agendas and meeting minutes, community events and projects. The committee serves as a vehicle to promote communication between the Athletic administration and student athletes.6 yearsCreatedDestroyNo
WIAC116News ReleasesNews releases are created on different formats on a daily or weekly basis. The news releases include but are not limited to campus sports events, conference games, top sports stories and athletes of the week.6 yearsCreatedDestroyNo
WIAC117Photographs and VideosPhotographs and videos are taken for use in the Athletic Department for marketing materials and news media as well as to document a visual history of the University's athletic programs.6 yearsCreatedDestroyNo
WIAC118Recruitment RecordsRecords document contact between the school and a prospective athlete. It includes a recruitment questionnaire and two suggested WIAC forms:Official Visit Form and Unofficial Visit Form.6 yearsFile is ClosedDestroy ConfidentiallyYes
WIAC119Athletic Department WebsiteThe website provides general information about each University's participation in WIAC. It also highlights team schedules, current information and statistics on men's and women's teams, top sport stories and conference athletes of the week.0 daysWhen information is not current for athletic programs or of use to the publicDestroyNo
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 ArchivesNo
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 yearsCreatedDestroyYes
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 yearsCreatedDestroyYes
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 yearsSupersededDestroyNo
UWRES005Student Housing ContractsThe purpose of the housing contract is to provide documentation for housing obligation andrelationship 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. Documents in this series may include but are not limited to housing applications, room change information, hall preference records, ADA accommodations, food plans/accounts and contracts, rentreferences, 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 emails6 yearsEnd of contractDestroyYes
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 contractDestroyYes
UWRES007Apartment 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.6 yearsEnd of leaseDestroyYes
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 ArchivesNo
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 contractDestroyYes
UWRES010Menu and Recipe RecordsRecords in this series include, but are not limited to production records, time and temperature logs pertaining to food production, recipes, and special diet requirements.1 yearEnd of Fiscal YearDestroyNo
UWRES011Food Cost and Usage RecordsThese records include, but arenot limited to food costand food usage reports based on inventories and purchases, mealcounts, andaverage meal costs.3 yearsEnd of Fiscal YearDestroyNo
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 YearDestroyNo
UWRES013Safety 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 YearDestroyNo
UWPP100Parking Services Annual ReportAnnual report of the activities of the campus parking services.5 yearsCreatedTransfer to ArchivesNo
UWPP101Parking Director's Correspondence and Administrative FilesCorrespondence and files of the Director of Parking Services which may contain information oflong-term value -such as planning materials fornew parking areas, policy information, and administrative matters. Files may include campus parking oversight committee materials.5 yearsCreatedDestroy or TransferNo
UWPP102Parking Permit Registration FormsForms containing informationneededto register a vehicle for parking on campus. They will include name and address ofthe vehicle owner. They may include information for payroll deduction of fees, campusparking assignments, and campus identification numbers. Persons may include, but are not limited to, students, staff, or guests5 yearsCreatedDestroyYes
UWPP103Parking CitationsOfficial copies of citations for parking violations on campus. Format may be paper or electronic.5 yearsCreatedDestroyYes
UWPP104Parking Citation AppealsCorrespondence appealing parking violations and requesting waiver offees and/or other penalties. Format may be paper or electronic.6 yearsDate of payment or closureDestroyYes
UWPP105Parking Wait ListsLists of persons waiting for assigned parking spaces. Format may be paper or electronic.0 yearsSupersededDestroyNo
UWPP200Police Services Annual ReportAnnual report of the activities of the campus police services.5 yearsCreatedTransfer to ArchivesNo
UWPP201Police Chief Correspondence and Administrative FilesCorrespondence and files of the Chief of Police Services and other office files which may contain policy documents, letters, and administrative information oflong-term value. Note: Some institutions may consider some or all of these records to have archival value.5 yearsCreatedDestroy or TransferNo
UWPP202CitationsCitations are tickets written for ordinance and non-criminal traffic violations.5 yearsCreatedDestroyYes
UWPP203ACase Files (Juvenile-Misdemeanor)These records may be called incident reports, investigation reports, offense reports, juvenile police reports or case files. They may include reports on juvenile offenders, misdemeanors (including criminal traffic incidents), and felonies. They may include evidence reports, photographs, mugshots, etc. Cases may be open or closed. Campuses may, per local policy, keep homicide and sexual assault cases permanently. Selected cases may have historical value.4 years18th BirthdayDestroyYes
UWPP203BCase Files (Juvenile-Felony)These records may be called incident reports, investigation reports, offense reports, juvenile police reports or case files. They may include reports on juvenile offenders, misdemeanors (including criminal traffic incidents), and felonies. They may include evidence reports, photographs, mugshots, etc. Cases may be open or closed. Campuses may, per local policy, keep homicide and sexual assault cases permanently. Selected cases may have historical value.8 years18th BirthdayDestroyYes
UWPP203CCase Files (Adult-Misdemeanor)These records may be called incident reports, investigation reports, offense reports, juvenile police reports or case files. They may include reports on juvenile offenders, misdemeanors (including criminal traffic incidents), and felonies. They may include evidence reports, photographs, mugshots, etc. Cases may be open or closed. Campuses may, per local policy, keep homicide and sexual assault cases permanently. Selected cases may have historical value.25 yearsClosed CaseDestroyYes
UWPP203DCase Files (Adult-Felony)These records may be called incident reports, investigation reports, offense reports, juvenile police reports or case files. They may include reports on juvenile offenders, misdemeanors (including criminal traffic incidents), and felonies. They may include evidence reports, photographs, mugshots, etc. Cases may be open or closed. Campuses may, per local policy, keep homicide and sexual assault cases permanently. Selected cases may have historical value.25 yearsClosed CaseDestroyYes
UWPP204Officer and Department Activity ReportsThese records cover daily and weekly logs/reports of officer activities, including work schedules and court rosters.3 yearsCreatedDestroyNo
UWPP205Campus Security Activity RecordsRecords in this series include bicycle license registrations, motor vehicle lockouts, room lockouts, ride-along programs, motor vehicle and driver authorizations, and similar activities.3 yearsCreatedDestroyNo
UWPP206Dispatch and Radio LogsRecords of requests for police assistance and police responses, often in electronic format.120 daysCreatedDestroyYes
UWPP207Security Video/Audio Surveillance RecordsVideo or audio associated with facility related surveillance of persons entering,using, or departing campus buildings or property.120 daysCreatedDestroyNo
UWPP208Access Cards, Keys, Official Identification Badges RostersLists of those University employees who have access cards and/or keys for University facilities and those who have official identification (i.e.name badges,university photo identification cards). Employees shall report missing cards/keys and /or identification as needed and shal lsurrender such items at the endof employment. Format may be paper or electronic.6 monthsKey/Card Returned or DestroyedDestroyNo
UWPP209Field Training RecordsField training is a requirement of all new employees and conducted during their probationary periods. If the field training is not completed successfully, the individual is terminated. The contentof the field training is part of the National FieldTraining Program used by many law enforcement agencies. It is a twelve week process. UW Police Policy states that successful candidates for staff positions onUW Police forces must meet the standards ofthetraining program. Files are maintained on both successful and unsuccessful candidates. Training files of successful candidates arenot tincluded in their official personnel files.7 yearsDate of terminationDestroyYes
UWPP210Clery Act Report FilesThis series consists of information complied for Clery Act for Higher Education (20 U.S.C. 1092(f)) reports. It includes a daily occurrence log that describes case #, date/time, case type, location, address, status and occurrence and other documents used in the preparation of the annual report. Official copy may be created and/or held at a higher administrative level.7 yearsCreatedDestroy Daily Logs; Send Annual Report to ArchivesNo
UWLIB100Policy DocumentsPolicy documents may include statements on hours of operation, rules and regulations for the reference, circulation, gifts and donations, human resource management, and other administrative matters. They may govern the use of differing patron cards, loan periods for various materials, fines and other charges, collection development, reference services, acceptable use, access to the Internet and other library equipment. Personnel policies may include job descriptions and requirements, as well as policies concerning leave, appropriate behavior, evaluation, and benefits. Policies may also document how the library will comply with statutory regulations, such as the Americans with Disabilities Act, Wisconsin public records law (Wis. Stat. § 19.21 - 19.39), and the patron confidentiality law (Wis. Stat. § 43.30), Federal Education Rights and Privacy Act, and laws governing employment, environmental health, fiscal accountability, and civil rights.Superceded + 2 yearsSupersededDestroyNo
UWLIB101Leadership ReportsThese reports are created by library administrators, including directors and assistant directors, to summarize current issues facing the library for review by university administrators. The reports are both narrative and statistical, and include information received from library department managers.Academic year + 2 yearsAcademic year endTransfer to archivesNo
UWLIB102Director's Subject FilesThese records are used to support administrative analyses, program and project planning, procedure development, and programmatic activities for a library. Subject files are generally organized alphabetically by topic. Document types may include periodic activity reports, both narrative and statistical, special reports, topical correspondence, research materials, project planning notes, organizational charts, or agency descriptions. Subject files do NOT include files related to individual program activities, human resources files, and accounting records. For topics of continuing interest, files may be segmented into annual files.No longer need + 5 yearsNo longer neededTransfer to archivesNo
UWLIB103Library Use ReportsThese reports may be created by library departments and may include documents that summarize acquisition, interlibrary loan activity, catalog and circulation as well as other library activities. These reports do NOT contain personally identifiable information.Adademic year + 1 yearAcademic year endDestroyNo
UWLIB104Meeting Records Internal StaffThese records may include meeting minutes, agendas, and distribution materials related to staff meetings consisting of members that are entirely or primarily internal to the library. Original record remains with appropriate chair, all other copies are considered duplicates.Academic year + 2 yearsAcademic year endDestroyNo
UWLIB105ProceduresProcedures are generally a process or series of steps especially of a practical or mechanical nature involved in a particular form of work. Examples include circulation check out, reference desk procedures, and the like.Keep until superceded or no longer neededSupersededDestroyNo
UWLIB106Library Strategic PlanThis is the final version of the library strategic plan that is approved by campus administration.After approval of planTransfer to archivesNo
UWLIB107Library Budget RecordsThe budget forecasts income and allocates expenditures for the next fiscal year. Revenue sources may include governmental entities, grants, fees, fines, sales, and service provision. Expenditures may include payroll, facilities, electronic equipment, collection development, supplies and other maintenance costs. These records are used to prepare the library's budget in future years. 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 department for funding.FY + 6 yearsFiscal yearDestroyNo
UWLIB108Confidentiality FormRecords include employee acknowledgement of security-related responsibilities, such as data confidentiality form or employee password security agreements.Date of supersession or employee termination + 7 yearsSupersession or terminationDestroyNo
UWLIB109Electronic Equipment InventoryThis inventory lists each computer, software license, and peripheral equipment used by library patrons and staff as well as servers, network and telecommunications equipment. The inventory may identify the model number, manufacturer, location, connections, inventory numbers, type of user, date of purchase, peripherals, software licenses, IP addresses and allocations assigned to each device.Date equipment is withdrawn from use + 5 yearsDate equipment is withdrawnDestroyNo
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.Creation date + minimum of 2 weeksCreation dateDestroyYes
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 yearsDestroyNo
UWLIB112Donor Files (LibraryThese files document 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 yearsDestroyMay
UWLIB113Art Inventoryof art, artist name, date of accessioning, estimated value, the provenance of object. Records will also include art objects that were once owned by the library but were deaccssioned. This information will include the date and reason of decaccessioning. This information is kept to preserve provenance information often critical in art collecting.Permanent?No
UWLIB114Special Collections Annual Registration FormsAnnual documents created by special collections patrons 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.FY + 10 yearsFiscal yearDestroyYes
UWLIB115Special Collection Daily Registration RecordsThese records document each patron's daily use of the special collection department 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.FY + 10 yearsFiscal yearDestroyNo
UWLIB116Special Collections Annual StatisticsStatistical 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 transfers in the Area Research Center System.FY + 10 yearsFiscal yearDestroyNo
UWLIB117Special Collections Call SlipsCall slips, collections used forms, or similar records that record the materials used by patrons in the special collections department. Records may include the name of the individual, date of use, reason for use and bibliographic information regarding the collection.Original: FY + 10 yearsFiscal yearDestroyYes
UWLIB118Special Collections Transfer FormsForms used to process shipments of archival materials through the Area Research Center network. The triplicate forms act as a shipping list and are used to confirm shipments. Patron information is NOT included on these documents.Original: FY + 10 yearsFiscal yearDestroyNo
UWLIB119Special Collections Reference/Research Requests and ResponsesRecords documenting off-site reference and research services by special collections staff. Collection includes requests made in writing, emailed, or transcribed from telephone calls and the response from the special collections staff.Original: FY + 1 yearFiscal yearDestroyYes
UWLIB120Special Collections Donor FilesThese files document the donation of materials to an archival 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.Original: PermanentPermanent?May
UWLIB121Special Collections Accession, Deaccession, and Processing RecordsThese records document the transfer of legal and physical custody of materials to and from the local history 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, any restrictions on use of the collection, notes, and the date that a letter of acknowledgement was sent. These files may also contain information about what is retained or de-accessioned during the processing of each collection that has been accessioned.Original: PermanentPermanent?No
UWLIB122Circulation Records Patron HistoryRecords documenting the borrowing of circulating library materials by qualified patrons. This series may include but is not limited to: the name and identification of the borrower; the titles of materials borrowed; the due date;Original: DestroyWhen returned safely and satisfaction of circulation staffDestroyYes
UWLIB123Circulation Records Item HistoryRecords documenting the borrowing of circulating library materials by qualified patrons. This series may include but is not limited to: the titles of materials borrowed; the length of time borrowed; and related documentation and correspondence. Note these records do NOT contain information regarding the individuals who had borrowed the item.Original: DestroyWhen no longer neededDestroyNo
UWLIB124Overdue and Courtesy NoticesThese notices are sent to patrons to remind them to return borrowed items. Notices may be generated manually or automatically by an information system.DestroyWhen item is returned, fines are paid, or item is written off per library policyDestroyNo
UWLIB125Transfer of Patrons Records to Collection AgenciesRecords produced after patrons fail to pay library fines or fees. 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.Original: Date of transfer + 6 yearsDate of transferDestroyYes
UWLIB126Patron Registration (Library), User Agreements, Checkout FormsRecords 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.Original: Completion of transaction or expiration of agreement + a minimum of 2 weeksCompletion of transaction or expiration of agreementDestroyYes
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.Original: Keep until search/hold is resolvedSearch/hold is resolvedDestroyYes
UWLIB128Resolved Search ListsCumulative list of resolved title searches for each academic year, includes only date, bibliographic information, and how the search was resolved.Academic year + 1 yearAcademic yearDestroyNo
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.Original: Academic year + 5 years; Copies: When no longer neededAcademic yearDestroyNo
UWLIB130Interlending RecordsRecords that track the request and return of library items with other libraries through Interlibrary Loan and Universal Borrowing and similar, non-archives lending systems. The requests may be made manually, but are generally made and filled through a shared automated system. 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.Original: DestroyWhen item is returnedDestroyYes
UWLIB131Library Staff Client RecordsRecords, typically server logs, which track employee logins to Library software, such as circulation, cataloging, or acquisitions. May contain IP number of staff computer along with staff or user id.Original: Minimum 2 weeks to facilitate troubleshooting or possible abuseDestroyNo
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 abuseDestroyNo
UWLIB133Patron Records and StatisticsRecords pertaining to the processing and maintenance of Library patron records and databases. May include user name, demographic data, NetID, or UW-ID.Original: Creation + minimum 2 weeks to facilitate troubleshooting or possible abuseDestroyNo
UWLIB134Interlending Server RecordsRecords, typically server logs, pertaining to Interlibrary loan transactions that are maintained on information systems.Minimum 2 weeks to facilitate troubleshooting or possible abuseDestroyNo
UWLIB135Library WebsiteThese websites 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.DestroyWhen website information is not current or of use to the publicDestroyNo
UWLIB136Library NewslettersThese publications are created to inform the public and staff of events, policies, and other matters of interest to the library. They may include programming calendars, updates on electronic resources, or changes in library policies. Administrative Note: A library may wish to keep duplicate newsletters as part of its historical file.Original: Transfer to archives; Copies: Destroy when no longer neededAfter publicationTransfer to archivesNo
UWLIB137Programming and Events FilesThese files provide information about specific library programs, events or exhibits. These files may contain a copy of materials developed for publicity and Libraries are encouraged to permanently keep duplicates of some of these materials in the historical file, particularly more popular events and/or activities that offer a historical perspective.programming, and evaluation forms. They may also include contracts or purchase orders for the event, the number and distribution sites of publicity materials, and schedules. Files documenting performances and lectures may include promotional literature, printouts from performer websites, press releases, notes, permission/consent to photograph forms signed by attendees, any donation requests, correspondence, and flyers. These files may include subject files about performers in general, copies of flyers or other promotional ephemera. These records may describe a library exhibit and document the items that were used to create it. These files may include lists of materials used, any loan agreements for the exhibit materials, and dates the exhibit was shown. These records may also include photographs of library programming and events.Destroy or Transfer to Archives for Review
UWLIB138Reference Questions and Statistics (Library)These records may document the number of reference inquiries received from patrons by librarians, and may include online queries as well as questions submitted in written form to reference desks.Destroy when no longer neededDestroyYes if PID
UWLIB139Bibliographic Instruction StatisticsRecords created to document the teaching of BI classes 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.Original: Academic year + 1 year; Copies: When no longer neededDestroyNo
UWLIB140HandoutsMaterials created for patron use explaining the use of databases and other bibliographic tools.Destroy when no longer neededDestroyNo
UWLIB141Survelliance RecordsThese records include audio and visual recordings, which memorialize the entry, departure, and ongoing use of library facilities by patrons.90 days after creationCreation dateDestroyYes
UWLIB142Security RecordsThese records consist of reports regarding unusual incidents occurring on library property. 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.Academic year of creation + 3 yearsDestroyYes
UWLIB143Accident Reports and Claims Recordsunexpected incidents on the library premises by non-employees. It lists the location, witnesses, person injured, type of injury or property damage, and actions to prevent reoccurrence. These records are reviewed and signed by relevant administrators. These files may include related information, such as witness statements, medical information, information from legal counsel, or subsequent claims filed by non-employees.Academic year + 7 yearsAcademic year of incidentDestroyYes
UWLIB144Patron Incident and Disciplinary FilesThese files document patrons who have received disciplinary action or prohibitory sanctions. They are organized by patron name, and 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.Academic year + 5 yearsLast incident involving patronDestroyYes
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 ConfidentialYes
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 FilledDestroyNo
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 ConfidentialYes
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 ConfidentialYes
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 ConfidentialYes
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 committee’s 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 ConfidentialYes
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 committee’s 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 policyYes
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 CompletedDestroyNo
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 ConfidentialYes
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 SupersededDestroyNo
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 ConfidentialYes
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 ConfidentialYes
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 ConfidentialYes
UWHR0302Written ComplaintsThis series documents written complaints made about faculty or staff. A copy of the written complaint which leads to a disciplinary action and any notice of the action taken is transferred to the employee’s institutional personnel file. Follow retention for the personnel file. Confidential under Employee Personnel Records Wis. Stat.§ 19.36(10)EVT+ 6 YearsDate of Final DecisionDestroy ConfidentialYes
UWHR0303Formal 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 reviewYes
UWHR0304Employee 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 ConfidentiallyYes
UWHR0305Non-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 employee’s 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 ConfidentialYes
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 ConfidentialYes
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 reviewYes
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 reviewYes
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 ConfidentialYes
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 ConfidentialYes
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 ConfidentialYes
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 ConfidentialYes
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 ConfidentialYes
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 ConfidentialYes
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 ConfidentialYes
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 ConfidentialYes
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 YearsCreationDestroyNo
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 ConfidentialYes
UWHR0701PERM = Program Electronic Review Management (also
referred to as“labor certification”).
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 ConfidentialYes
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 ConfidentialYes
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 ConfidentialYes
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 ConfidentialYes
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 ConfidentialYes
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 reviewYes
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 YearCreationDestroyNo
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 CreationDestroyNo
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 ClassDestroyNo
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 SupersededDestroyNo
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 ConfidentialYes
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 GrantDestroyNo
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 RejectedDestroyNo
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 GrantDestroyNo
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 GrantDestroyNo
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 ConfidentialYes
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 ArchivesNo