How to use this table
- The search bar on the top right of the table will filter as you type. It searches by any text in the schedules including records series, schedule number, record type, functional area, or other information.
- This table includes schedules created by UW System as well as schedules created by the Wisconsin State Department of Administration that the UW System has opted to use. It is updated as new and revised schedules are approved by the Wisconsin Public Records Board.
- The “confidential” field serves purely as a guideline. It is possible that records series identified as not confidential here could include some confidential records, and vice versa.
UW System Records Schedules
| Schedule Number | Schedule Title | Description | Retention | Trigger Event | Disposition | Confidential? | Category |
|---|---|---|---|---|---|---|---|
| ADMIN200 | Business Records -- Appointed Staff or Equivalent Positions | Business-related correspondence, files, calendars and records of appointed staff or equivalent | 3 years | date of separation from institution | Transfer to archives | follow agency specific statutory citations | Administrative (State) |
| ADMIN201 | Business Records -- Non Appointed Staff | Business-related correspondence, files, calendars and records of non-appointed staff or equivalent | 1 year | creation | Destroy confidentially | follow agency specific statutory citations | Administrative (State) |
| ADMIN202 | Transition Briefings -- Appointed Staff or Equivalent Positions | Records prepared to provide an overview of the organization during transitions from outgoing management to incoming management | 2 years | date outgoing employee separates from institution | Destroy | no | Administrative (State) |
| ADMIN203 | Transition Briefings -- Non Appointed Staff | Records prepared to provide an overview of a position during a transition from an outgoing employee to an incoming employee | 1 year | date new employee begins their position or decision made not to refill | Destroy | no | Administrative (State) |
| ADMIN250 | Organizational Planning Documentation | Strategic business and operational planning files. May include, but not limited to, final plan and supporting background documents. | 6 years | date plan is completed or superseded | Transfer to archives | no | Administrative (State) |
| ADMIN251 | Organizational Documents -- Bureaus, Divisions, Departments | Documentation of organizational changes or transfer of high-level administrative, functional or regulatory responsibilities. May include, but not limited to, reports explaining the changes, internal analysis of changes, new organizational charts or descriptions of roles and responsibilities. | 2 years | date change is completed | Transfer to archives | no | Administrative (State) |
| ADMIN252 | Organizational Documents -- Sections and Work Units | Documentation of organizational changes or transfer of administrative, functional or regulatory responsibilities at the section or work unit level. May include, but not limited to, reports explaining the changes, internal analysis of changes, new organizational charts or descriptions of roles and responsibilities. | 2 years | date change is completed | Destroy confidential | no | Administrative (State) |
| ADMIN300 | Administrative Rules -- Development and Background | Records used to develop and revise Administrative Rules including Emergency Rules. May include, but not limited to, background materials, rule drafts, code interpretations, summary of public comments from hearings, Legislative and agency comments, correspondence, fiscal estimates, orders and reports. | 10 years | Effective date or legislative objection date of each rule | Transfer to archives | No | Administrative (State) |
| ADMIN302 | Department Lobbyist and Lobbying Activities | Records used for filing lobbying time or expenditure and activity reports at the state level. May include, but not limited to, all accounts, bills, receipts, books, papers and other documents necessary to substantiate the expense statement, including records identifying the amount of time that is spent on lobbying each day as described by Wis. Stat. 13.68(5). | 3 years | Date of submittal of expense statement | Destroy confidentially | No | Administrative |
| ADMIN303 | Legal Notices | Includes legal notices required by law or by court order to be disseminated via methods as described by Wis. Stat. 985.01(2). May include, but not limited to, publication of laws, ordinances, resolutions, financial statement, budgets and proceedings intended to give notice in an area; notice of public hearings before a governmental body and notices of meetings of private and public bodies; notices and certificates of elections, and facsimile ballots; notices intended to inform the public that they may exercise a right within a designated period or by a designated date. | 1 year | creation | Destroy | no | Administrative (State) |
| ADMIN304 | Memorandums of Understanding (MOU) and Service Level Agreements (SLA) | A MOU OR SLA is typically used for coordination of administrative activities between entities who share a common function. May include, but not limited to, supporting documentation, correspondence setting the terms of the agreement or the final agreement itself. | 4 years | Date agreement ends or is superseded | Destroy | No | Administrative |
| ADMIN305 | Public Records Requests and Responses | Records relating to requests for public records as specified under the provisions of Wis. Stat. 19.35-19.37 and the Federal Freedom of Information Act (FOIA). Includes original request, notice of scope changes to the request, billing , collection of fees, acknowledgement of receipt of request, follow-up letters and transmittal memorandums, requests for extension, third-party notification, access request review recommendations and summaries, listing of records searched and used to respond to requests, and logs maintained documenting receipt and response of requests. May also include request response package including any redaction of information. Also includes abandoned or withdrawn requests. | 3 years | date response is provided or request is abandoned or withdrawn | Destroy confidential | yes | Administrative (State) |
| ADMIN306 | Biennial or Annual Required Report Documentation | Supporting documents related to preparing the biennial or annual reports required by Wis. Stat. 15.04. | 4 years | Date report submitted | Destroy | No | Administrative |
| ADMIN350 | Internal Communications | Records that document communication within an entity/unit between staff regarding its operations. these communications may be provided through a variety of methods such as, but not limited ot, documents, photographs, audio, and video. Applies to the sender o the original records and not the recipient. | 3 years | date disseminated | Destroy confidentially | no | Administrative (State) |
| ADMIN351 | External Communications | Records that document communications regarding business service and information outside the entity/unit. These communications may be provided through a variety of methods such as, but not limited to, documents, photographs, audio, video, and social media. Applies to the sender of the original records and not the recipient. | 3 years | date disseminated | Transfer to archives | no | Administrative (State) |
| ADMIN352 | Transitory Records | Records that are non-substantive, required only for a short time, have little or no documentary or evidential value, and are not required to meet legal or fiscal obligations. These records shall not be used to initiate, sustain, evaluate, or provide evidence of decision-making or public policy. Both of the statements/conditions above must be met for the records to be considered transitory and applies regardless of the format of the record. | 0 years | date created or received | Destroy confidentially | may include confidential information | Administrative (State) |
| ADMIN353 | External Complaints | Records of complaints from the public regarding issues not related to a specific program and are not otherwise regulated by state or federal requirements. | 2 years | date of complaint resolution, dismissal or end of litigation | Destroy confidentially | no | Administrative (State) |
| ADMIN354 | Activity and Production Reports | Reports by individuals, offices or teams that document the business of the unit of government. May include, but not limited to, progress reports, workload reports, status of work assignments, backlog or production reports, and ad hoc reports. | 1 year | created | Destroy | no | Administrative (State) |
| ADMIN355 | Status Reports | Reports that document and report on the business functions of the division and its supporting bureaus. These reports are often prepared for the department or agency head, or an equivalent position. May include, but not limited to, accomplishments, goals, statistics, awards received, anticipated program needs and plans, as well as any supplementary documentation to support such reports. | 3 years | date report is submitted | Transfer to archives | no | Administrative (State) |
| ADMIN356 | Staff Biographies | Biographies of appointed or equivalent staff and staff whose work has widereaching local, state or international impacts. May include, but not limited to, biographical information, headshots, and materials describing their body of work. | 3 years | Date of separation from institution | Transfer to archives | No | Administrative |
| ADMIN400 | Policies and Procedures | Policies and procedures designed to help employees perform their duties and navigate their department or government unit. May include, but are not limited to, manuals, manual codes, handbooks, and administrative practices. Procedures under the RDA have typically gone through a vetting process and are intended to support policies in a direct manner. | 7 years | date policy or procedure is superseded or obsolete | Destroy | no | Administrative (State) |
| ADMIN401 | Policies and Procedures -- Historically Significant | Policies and procedures which have government unit or enterprise-wide broad or long-term, significant impact. These records reflect new policies/procedures or changes to existing policies/procedures that impact employees, or the services provided. These policies and procedures must meet at least one of the following: establish precedent and have a broad impact that significantly impacts employees, citizens or the services provided. Be recognized for its uniqueness by established outside peers or authorities. Receive widespread attention from the news media. | 7 years | date policy or procedure is superseded or obsolete | Transfer to archives | no | Administrative (State) |
| ADMIN402 | Project Records | Records documenting approved projects with internal impact. The team's work may include, but is not limited to: an exploratory analysis of an issue or addressing an internal issue that does not have a wide-reaching impact. May also include, but not limited to, meeting agendas and minutes, correspondence, project reports, member lists and responsibilities. May be associated with a workgroup, team, a nonstatutorily established committee or similar. | 5 years | Date of project completion | Destroy | No | Administrative |
| ADMIN403 | Project Records -- Historically Significant | Records documenting approved government unit or enterprise-wide projects with broad impact. These projects must meet at least one of the following: establish precedent and have a broad impact that significantly impacts employees, citizens or the services provided; be recognized for its uniqueness by established outside peers or authorities; or receive widespread attention from the news media. May include, but not limited to, meeting agendas and minutes, correspondence, project reports, member lists and responsibilities. May be associated with a task force, workgroup, team, a non-statutorily established committee or similar. | 5 years | Date of project completion | Transfer to archives | No | Administrative |
| ADMIN404 | Project Records -- Not Completed | Records documenting unit or enterprise-wide projects that were not completed. May include, but not limited to, meeting agendas and minutes, correspondence, project reports, member lists and responsibilities. | 3 years | Date project was denied or date of last activity | Destroy | No | Administrative |
| ADMIN405 | Entity Subject Records | Records which document the activities of an entity/unit and are typically arranged by topic or subject. These records do not belong to a specific individual but are held at the highest level in a program area. | 5 years | date obsolete or superseded | Transfer to archives | no | Administrative (State) |
| ADMIN450 | Charity Campaigns | Charity campaign records which may include, but are not limited to, committee meeting minutes/agendas, flyers, announcements, and campaign events. Applies to the sender of the original records and not the recipient. | 3 years | Date event occurs | Destroy confidential | No | Administrative |
| ADMIN451 | Events -- Planning and Preparation | Records related to the planning, preparation and administrative activities of special events such as conferences, forums, special programs, performances, and similar. May include, but not limited to, mailing lists, RSVP tracking, attendee lists, seating charts, contracts, room reservations and logistical information, signage and event correspondence, evaluation forms, travel and speaker arrangements. Events may be hosted at state facilities or sponsored by a unit at a non-state facility. | 3 years | date event occurs | Destroy confidentially | no | Administrative (State) |
| ADMIN452 | Events -- Publicity and Proceedings | Records related to the publicity and proceedings of special events such as conferences, forums, special programs, performances, and similar. May include, but is not limited to, materials created to advertise the event, items distributed to attendees and details about the event itself. Events may be hosted at state facilities or sponsored by a unit at a non-state facility. | 3 years | date event occurs | Transfer to archives | no | Administrative (State) |
| ADMIN453 | Training Course Materials | Materials prepared and used by staff to provide routine training targeted to internal and external audiences. Records may include, but not limited to, presentations, handouts and other materials. | 3 months | date materials superseded or obolete | Destroy | no | Administrative (State) |
| ADMIN500 | Forms Catalog/Listing | List of blank forms available. | 0 years | Date catalog or list is superseded or obsolete | Destroy | No | Administrative |
| ADMIN501 | Forms Change Request Files | Includes development information, change requests received from users, printing specifications and orders, format samples of each approved version and sponsor/program manager approvals. | 6 months | Date form is approved for use | Destroy | No | Administrative |
| ADMIN502 | Forms History Files | A history of authorized final forms created and assigned an official identification number. May include, but not limited to, order sheets, and product history reports. | 5 years | Date form is obsolete | Destroy | No | Administrative |
| ADMIN503 | Forms Request Orders | Records used to fill requests for blank forms. May include, but not limited to, inventory location and active orders reports. | 1 month | Date request filled | Destroy | No | Administrative |
| ADMIN506 | Mailing Address Lists and Updates | Lists used to send mailings or mail materials to subscribers or regular recipients. Also includes changes used to update address records. May include, but not limited to, USPS, interdepartmental mail, and email lists. | 0 years | Date list is superseded or obsolete | Destroy | No | Administrative |
| ADMIN507 | Mail and Messenger Service Distribution and Routing Plans, Schedules, and Lists | Service delivery and pickup routes, schedules, and distribution lists used to administer mail and messenger services such as route diagrams, schedules or charts. | 0 years | Date superseded or discontinued | Destroy | No | Administrative |
| ADMIN508 | Mail Pickup and Delivery Records | Records that document that mail and messages were picked up and delivered. May include, but not limited to, mail and fax logs, certified or registered mail receipt forms, signed pickup and delivery receipts, delivery and pickup route lists, and spreadsheets. | 1 year | Date of creation | Destroy confidential | No | Administrative |
| ADMIN509 | Records Inventory | Descriptive reports of inventory for in-house and offsite records storage. Inventory reports may contain information indicating titles, records series, contents, locations, volume, inclusive dates, RDA (Records Retention/Disposition Authorization) numbers, and other attributes of those records. The inventory is used for staff reference to ensure compliance with retention requirements, and to run reports for audit(s) or risk management purposes. | 10 years | Date superseded | Destroy | No | Administrative |
| ADMIN510 | Records Inventory Disposition Files | Records documenting authorized/approved destruction of records or transfer to an archival repository. May include, but not limited to, destruction request and approval forms, State Records Center annual and mid-year disposition files/reports, purge lists, transfer to archives eligibility, and related correspondence. | 25 years | Date of creation | Destroy | No | Administrative |
| ADMIN511 | Records Storage/Transfer Files | Records used to transfer and retrieve inventory to and from inactive storage, and to maintain control while in storage. May include, but not limited to, records tracking missing files, boxes, or electronic media. Also, may include retrieval requests, transfer forms or lists, internal storage requests, and charge out slips or logs. | 3 years | Date of creation | Destroy | No | Administrative |
| ADMIN512 | Records Retention Disposition Authorizations (RDA) Index | Internal index used to track RDAs. | 10 years | Date index is superseded | Destroy | No | Administrative |
| ADMIN513 | Records Retention Disposition Authorizations (RDA) -- Government Unit Official Record | Records Retention Disposition Authorizations (RDAs) approved by the Wisconsin Public Records Board (PRB). This is the agency, campus, or other government unit official record. RDAs must be retained to document compliance with State records management laws and regulations and as the authority to retain and/or dispose of records specified in such policies. | 20 years | Date closed or superseded | Destroy | No | Administrative |
| ADMIN514 | Records Retention Disposition Authorizations (RDA) -- PRB Official Record | Records Retention Disposition Authorizations (RDAs) approved by the Wisconsin Public Records Board (PRB). This is the PRB official record, which is maintained by the PRB Executive Secretary. | 100 years | Date closed or superseded | Destroy | No | Administrative |
| ADMIN515 | Records Management Program | Records used to support the administration of a records management program. May include, but not limited to, correspondence and memoranda, copies of laws, regulations, and other related retention and disposition requirements and documentation compiled to support a records management program. This documentation may be used to draft, amend, or renew a Records Retention Disposition Authorization (RDA). May also include supporting legal information for citations contained in an RDA. | 10 years | Date document no longer needed or RDA is approved | Destroy | No | Administrative |
| BUD00002 | Budget Director Records | The Budget Director File is the main file within the State Budget Office and in state agencies in which many official materials are maintained. It contains the bulk of the policy documents and further information pertaining to the Biennial Budget process. May include, but not limited to, memoranda, reports, directives, correspondence files and annual reports within the Director’s possession. | 6 years | Fiscal year | Transfer to archives | No | Budget (State) |
| BUD00003 | Biennial Review Estimates | Report of actual and estimated revenues for the current and forthcoming biennium required by Wis. Stat. §16.43. | 6 years | Fiscal year | Transfer to archives | No | Budget (State) |
| BUD00004 | Program Revenue Supplements and Positions | Records of program revenue supplement and appropriation requests under Wis. Stat. §§ 16.505(2) and 16.515. May include, but not limited to, memos, requests, justifications, budget analyst analysis, supporting documentation and recommendation. | 6 years | Fiscal year | Transfer to archives | No | Budget (State) |
| BUD00005 | Supplemental Federal Positions & Related Reports | Reports by the Department of Administration as required under Wis. Stat. § 16.54(8) on federal funds allotted in excess of those approved in the biennial budget process. These reports contain the specific agency name, alpha appropriation, dollar increase over authorized amount and also an explanation of the increase for the related position. | 6 years | Fiscal year | Destroy | No | Budget (State) |
| BUD00006 | Budget Development Documents | Records include supporting documentation and budget related policy documents used in the preparation and completion of the biennial budget under Wis. Stat § 16.46. May include, but not limited to, final agency requests, justifications/analyses, policy papers (from the Department of Administration and the Legislative Fiscal Bureau (LFB)), statutory language proposal drafted by the Legislative Reference Bureau, requests for information and final agency responses for policy clarifications, requests for information to and from agency staff and SBO and LFB analysts, and related correspondence. Also includes agency head presentation to Joint Finance Committee on the agency budget request. May include comments from public hearings if Governor does these hearings as part of the biennial budget development. | 6 years | Fiscal year | Destroy | No | Budget (State) |
| BUD00009 | Position Control Allocation Request | Series includes requests, responses and supporting documentation used to change the information on positions on the file and to delete positions under Wis. Stat. §§ 13.10, 16.54, 16.505(1)(c) and (2) related to Wis. Stat. § 16.004(7). | 6 years | Fiscal year | Destroy | No | Budget (State) |
| BUD00010 | Position Listings | Detailed position reports showing the full salary funding calculation under standard budget adjustments. | 6 years | Fiscal year | Destroy | No | Budget (State) |
| BUD00011 | Budget Related Research and Analysis | Budget studies, reports, and surveys developed relating to budget planning. May include, but not limited to, surveys used to compare a business unit or the State to other entities. | 6 years | Fiscal year | Destroy | No | Budget (State) |
| BUD00015 | Proposed Vetoes | Suggestions and policy rationale submitted to the Governor on draft vetoes pertaining to the proposed budget, appropriation or other legislative bills. | 6 years | Fiscal year | Destroy | No | Budget (State) |
| BUD00018 | Decision Item Narratives (DINs) and Related Documents | These records contain succinct summaries of the need, options, and proposed solution. They provide a description of the decision item such as building operations, additional financial positions, increased Limited-Term Employees (LTE) funds, ongoing capital equipment needs and technical position consolidation. DINs may also be developed for proposed statutory language changes without fiscal consequences. May include, but not limited to, final briefing papers, spreadsheets with statistics and calculations, worksheets, schedules, research materials, and supporting documents pertaining to the reconciliation process. | 6 years | Fiscal year | Destroy | No | Budget (State) |
| BUD00020 | Base Reconciliation | Summaries of expenditure items including permanent and project position salaries, fringe benefits, supplies and services, permanent properties, non-allotted reserves, and other supporting documents as well as the adjusted base year level of funds associated with each item. | 6 years | Fiscal year | Destroy | No | Budget (State) |
| BUD00021 | Biennial Budget Submission | All documents related to the final biennial budget submission under Wis. Stat. § 16.42 which are submitted to the State Budget Office, their forms or equivalents. May include, but not limited to, Agency Budget Request, Revenue Projections/Balance Statement, Title Final Details Listing and Department Appropriation Structure File Maintenance, Department Summaries Form, Program Summaries Form, and the Position Changes and Salary Documentation Worksheet. | 6 years | Fiscal year | Destroy | No | Budget (State) |
| BUD00022 | External Briefing Documents | Records include materials prepared by budget staff to brief decision-makers on initiatives contained in the biennial budget. May include, but not limited to, issue papers, summaries, correspondence, briefings and other information. | 6 years | Fiscal year | Destroy | No | Budget (State) |
| BUD00024 | Final Budget Submitted to an Oversight Board | Budget submitted to an oversight board. May include, but not limited to, summaries of all divisions, departments that exist and also details what amounts of funds should be allocated to each of them. Applies only to government units with boards which review and approve biennial budget requests before submittal to the budget office. | 6 years | Fiscal year | Destroy | No | Budget (State) |
| BUD00030 | Original Approved Annual Operating Budget | Records related to establishing the base level annual operating budget each fiscal year. May include, but not limited to, initial dollar allotment and position allocation for each fiscal year and travel and training plans within the organization. | 5 years | Fiscal year | Destroy | No | Budget (State) |
| BUD00031 | Amendments and Adjustments to Annual Operating Budget | Records related to amendments and adjustments to annual operating budgets. May include, but not limited to, changes to budget lines either self-initiated by the government unit or that require external approval; requests and decisions on supplements for pay plan or space; revenue re-estimates and expenditure studies; mandatory lapses of approved budget amounts; separate legislation passed into law that contains appropriated funds; supplements or requests under Wis. Stat. § 13.10; requests and decisions under Wis. Stat. §§ 16.505 and 16.515; and federal appropriation re- estimates under Wis. Stat. § 16.54. | 5 years | Fiscal year | Destroy | No | Budget (State) |
| BUD00040 | Management Review/Studies/Audits | Reports or studies that are either mandated by state law or directed to be conducted by the Governor or agency head. Also includes budget related management audits as mandated by Wis. Stat. § 16.004(6). | 5 years | Date report is completed | Transfer to archives | No | Budget (State) |
| BUD00041 | Legislative Fiscal Estimates and Bill Analysis Files | Fiscal estimate records under Wis. Stat. § 13.093(2)(a). May include, but not limited to, bill analyses, fiscal estimates and notes, final working documents, and correspondence. | 4 years | Fiscal year | Transfer to archives | No | Budget (State) |
| BUD00042 | Joint Finance Committee Meeting Materials | Meeting materials of the Joint Finance Committee established under Wis. Stat. § 13.10. May include, but not limited to, agendas, minutes, agency requests, analyses and recommendations. | 5 years | Fiscal year | Transfer to archives | No | Budget (State) |
| FAC00002 | Six Year Facilities Plans | Plans submitted by a government unit to governing bodies, such as the State Building Commission. | 12 years | Date submitted | Destroy | No | Facilities (State) |
| FAC00003 | Master Facility Plans | Long range planning documents for major facilities or groups of related facilities. | 1 year | Date of termination of state ownership | Destroy | No | Facilities (State) |
| FAC00004 | Agency Biennial Capital Budget Request | Official capital budget request for those state agencies that operate facilities. | 6 years | Date submitted | Destroy | No | Facilities (State) |
| FAC00005 | Agency Capital Budget Analysis Requests | Analysis done on behalf of the State Building Commission at an agency’s request. | 4 years | Date analysis completed | Destroy | No | Facilities (State) |
| FAC00006 | Sales of Facilities and/or Land | Projects where the state sells, or plans to sell, either facilities and/or land assets. Records may include, but are not limited to, appraisals and related valuations. | 6 years | Date sold, transferred or termination of transaction | Destroy | No | Facilities (State) |
| FAC00007 | Receipt by Gift of Facilities and/or Land | Projects where land and/or buildings are being gifted to a government unit. | 6 years | Date sold, transferred or termination of transaction | Transfer to archives | No | Facilities (State) |
| FAC00009 | Environmental Assessment and Impact Statements | Environmental assessments, impact statements, correspondence, supporting materials and documentation related to state construction project and facility or land acquisitions. | 6 years | Date of termination of state ownership or decision not to acquire | Transfer to archives | No | Facilities (State) |
| FAC00010 | Cultural Resource Review Records -- Archaeological and Historic Site Case File | Records in this series include, but are not limited to, Archaeological survey reports, information on documented archaeological sites, and information on documented historic structures related to Wis. Stat. § 44.40. | 10 years | Date of termination of state ownership or decision not to acquire | Transfer to archives | No | Facilities (State) |
| FAC00011 | Construction Project File | All documents pertaining to the project which may include, but are not limited to, design and construction contracts, proposed and approved amendments to all contracts, bidding plans, planning and design work reports, consultant plans and specifications, related correspondence and all other project materials. | 10 years | Date construction project is closed | Destroy confidentially | Yes | Facilities (State) |
| FAC00012 | Construction Project File -- Historically Significant Facilities | All documents pertaining to the project which may include, but are not limited to, design and construction contracts, proposed and approved amendments to all contracts, bidding plans, planning and design work reports, consultant plans and specifications, related correspondence and all other project materials. These projects are typically large-scale and may include new construction of a state facility or institution as well as projects involving facilities significant to the State of WI or United States history; buildings on the State or National Register of Historic Places. | 10 years | Date construction project is closed | Transfer to archives | Yes | Facilities (State) |
| FAC00013 | Asbestos and Hazardous Material and Environmental Remediation Case File | Project files related to asbestos abatement and hazardous materials and environmental remediation projects. | Permanent | Permanent | Yes | Facilities (State) | |
| FAC00014 | Unsuccessful Bids and Unsolicited Proposals | Bids and proposals from developers or construction firms for building projects or leases which were not selected. | 4 years | Date rejected | Destroy | No | Facilities (State) |
| FAC00015 | As-Built Plans and Original Building Drawings for Completed Construction Projects | Final as-built plans and original building drawings for state- owned facilities. | 6 years | Date of termination of ownership | Transfer to archives | Yes | Facilities (State) |
| FAC00016 | Land Titles, Conveyances, Easements, and Use Restrictions | Documentation for state owned land. Includes, but is not limited to, any legal rights granted to state owned land. | Permanent | Permanent | No | Facilities (State) | |
| FAC00019 | Major Agency Leases | Lease file for each property leased by the state. Records may include, but are not limited to, proposed and final lease, approval, and supporting documentation. | 6 years | Date of expiration of lease or final payment, whichever is later | Destroy confidentially | No | Facilities (State) |
| FAC00020 | State Rental Rates | File contains calculations, recommendations and State Building Commission approval of property rental rates and supporting documentation. | 6 years | Fiscal year | Destroy | No | Facilities (State) |
| FAC00021 | Bond Sales/Legal Documents | This is a single depository of all state general, revenue, and appropriation obligation debt. Includes original debt contracts and working files. Documents include, but are not limited to, public offering documents and working files. | 6 years | Last maturity or call date of bond series | Destroy | No | Facilities (State) |
| FAC00022 | Master Lease Program | Records relating to master equipment lease schedules. This may include, but is not limited to, the original request, approvals acceptance certificates, lease schedules, legal opinion and other items related to assignment of security interest under Wis. Stat. § 16.76(4). | 6 years | Date of expiration of lease or final payment, whichever is later | Destroy | No | Facilities (State) |
| FAC00026 | Appraisals -- Land or Structure Not Obtained | Appraisals performed by, or on behalf of, the government unit which does not result in a sale. | 3 years | Date of appraisal | Destroy | No | Facilities (State) |
| FAC00050 | Application and Permit for Use of Facilities | Application and permit for use of facilities, where required. | 3 years | Date of permit expiration, revocation, or rejection | Destroy confidentially | No | Facilities (State) |
| FAC00051 | Facility and Building Maintenance | Facility and building maintenance, custodial and grounds keeping related records. Records may include, but are not limited to, work orders, logs, work assignments, checklists, inspections, key requests, correspondence and related reports. | 3 years | Creation | Destroy confidentially | No | Facilities (State) |
| FAC00054 | Equipment Installation, Repair and Service | Documents the installation, maintenance, service and history of both building installed equipment and equipment commonly used to maintain facilities. | 1 year | Date of removal or disposal of installed equipment | Destroy | No | Facilities (State) |
| FAC00055 | Warranty Files | Documents the manufacturer’s vendor’s warranty to replace and/or repair defective materials or equipment. | 1 year | Date of expiration of warranty or discontinuation of equipment, whichever comes first | Destroy | No | Facilities (State) |
| FAC00057 | Physical Plant Monitoring and Inspection Reports | Records documenting the operation of all facets of facilities: HVAC, plumbing, mechanical, electrical, structural as well as special monitoring of building components. | 6 years | Date of inspection | Destroy | No | Facilities (State) |
| FAC00059 | Equipment Related Check Out-In Records | Documentation of who signed out and accepted responsibility for use of state equipment and when the equipment was returned. | 3 months | Date equipment returned | Destroy confidentially | No | Facilities (State) |
| FAC00060 | Building Leases and Tenant Information | Files that document negotiations for, and completion of, leases for space. Records may include, but are not limited to, leases, correspondence with owners, other tenants and lease approvals. | 6 years | Expiration of lease or final payment, whichever is later | Destroy confidentially | No | Facilities (State) |
| FAC00061 | Space Allocation and Project Planning Information | Space allocation plans and related documentation, which may include the final requests, project plans, space estimates, justifications, specifications, quotations for projects or furniture, copies of building plans, floor layouts, and supporting documentation. Also includes the current space allocation plan. | 1 year | Date space is vacated or planning documents are superseded | Destroy | No | Facilities (State) |
| FAC00062 | Parking Permit and Parking Space Assignments | Parking permit applications, parking space assignments, waitlists and designated parking coordinators lists. | 1 year | Date parking permit is cancelled or list superseded | Destroy confidentially | No | Facilities (State) |
| FAC00066 | Fuel Use/Power Created and Related Records | Data and related reports on fuels used and output reports on plant utilities produced. | 6 years | Creation | Destroy | No | Facilities (State) |
| FAC00068 | Chemical Application Records | Documentation of the application of chemicals with potential long-term health consequences. | 3 years | Date of application | Destroy | No | Facilities (State) |
| FAC00069 | Americans with Disabilities Act (ADA) Facility Reviews and Audits | Records cover ADA inspections, investigations, complaint investigations, facility logs and reports regarding ADA compliance relating to facilities and structures. This series may also include ADA compliance background information and correspondence related to audits. | 6 years | Completion of review or audit | Destroy confidentially | No | Facilities (State) |
| FAC00070 | Designation of Agency Facility Coordinators | List of tenant designated facility coordinators in state owned and leased buildings. | 0 years | Date list is superseded | Destroy confidentially | No | Facilities (State) |
| FAC00080 | Building and Facility Admittance Records | Records document assignment of building access, temporary access passes and access cards. Includes detailed data on the date, time and specific doors opened by specific cards. Also includes manual or automated logs documenting who was granted access to a facility or secure areas within a facility. | 3 years | Date of visit or access removed | Destroy confidentially | No | Facilities (State) |
| FAC00082 | Monitoring and Surveillance Recordings – With Incident | Monitoring and surveillance recordings that document incidents that may lead to claims against the governmental unit. As with all public records, if the monitoring or surveillance record is required for any legal or program purpose, including open records requests, claims or litigation holds, the record must be retained until no longer needed to meet the legal or program requirement. | 120 days | Creation | Destroy | No | Facilities (State) |
| FAC00082A | Monitoring and Surveillance Recordings – Without Incident | Monitoring and surveillance recordings showing no discernable incidents. As with all public records, if the monitoring or surveillance record is required for any legal or program purpose, including open records requests, claims or litigation holds, the record must be retained until no longer needed to meet the legal or program requirement. | 3 days | Creation | Destroy | No | Facilities (State) |
| FAC00083 | Access Cards, Identity Badges/Name Plates and Photo Identification | Documentation of request and assignment of access cards, identity badges, name plates and/or photo identification as an employee or contractor. | 6 months | Date returned or reported lost | Destroy confidentially | No | Facilities (State) |
| FAC00087 | Emergency Response Management Plans and Related Documents | Detailed information for emergency situations and supporting documentation. | 3 years | Date superseded | Destroy confidentially | Yes | Facilities (State) |
| FAC00088 | Final Continuity of Operations/Continuity of Government Operational Plan and Documentation | Official plan and documentation of the Continuity of Operations/Continuity of Government. | 1 year | Superseded | Destroy confidentially | Yes | Facilities (State) |
| FAC00089 | Final Continuity of Operations -- Exercises and After-Action Reports | Official exercise plan and documentation to assess the viability of all Continuity of Operations Plans and After-Action Reports. | 7 years | Date of exercise or after-action improvement plan is completed | Destroy confidentially | Yes | Facilities (State) |
| FAC00090 | Recovery Records | Records created during the recovery process. Records held in reserve in the event that an information system fails to function and records need to be recovered and restored. | 4 years | Completion of recovery process or date of the final Financial Services Report, whichever is later | Destroy confidentially | Yes | Facilities (State) |
| FAC00100 | Health, Safety or Fire Code/Regulations Variances | Requests for relief from health, safety or fire standards and regulations and records of approved variances. | 3 years | Date variance is denied or no longer in effect | Destroy | No | Facilities (State) |
| FAC00101 | Health, Safety or Fire Code compliance Records -- No Violations | Health, safety or fire safety inspections, complaints, violation correction plans, and records that document compliance with applicable fire prevention and building codes. | 3 years | Date report is received | Destroy confidentially | No | Facilities (State) |
| FAC00102 | Health, Safety or Fire Code Compliance Records -- Violations | Health, safety or fire safety inspections, complaints, violation correction plans, and reports that document compliance with applicable fire prevention and building codes. | 3 years | Date reinspection passed or violation corrected | Destroy confidentially | No | Facilities (State) |
| FAC00103 | Health, Safety or Fire Code Compliance Certificates | Health, Safety or Fire Code Compliance Certificates. | 3 years | Date certificate expires | Destroy | No | Facilities (State) |
| FAC00120 | Grave Registration Records | Records that describe who is buried, the date of death, interment and location of the remains. | Permanent | Permanent | Yes | Facilities (State) | |
| FIS00001 | Audit Reports, Agency Responses and Audit Finding Resolutions | Agency audit reports created by the Legislative Audit Bureau, agency internal auditors, and other state, federal or private entities that monitor, examine, and verify the accounts and fiscal affairs of an agency, and agency responses. Audit reports created by state, federal or private entities that monitor, examine and verify accounts of sub-grantees that received federal funds passed through a state agency or received direct state funds. Uniform Guidance 2CFR 11 Part 200 sets the federal standard for retention of audits. This becomes the de-facto standard for all audit reports. | 3 years | Issuance of final report | Destroy | No | Fiscal/Accounting (State) |
| FIS00002 | Audit Work Papers | Plans, analysis research materials, draft reports, background materials and related records used to plan and prepare audit reports. | 3 years | Issuance of final report | Destroy confidentially | Yes | Fiscal/Accounting (State) |
| FIS00003 | Internal Control Plan | Records and supporting documentation regarding the development and administration of agency internal controls, including reports, plans, articles, policies and procedures, and related material, arranged by subject or topics such as risk management, risk assessment, management practices, operational efficiency and audit methods. | 3 years | Date superseded | Destroy | No | Fiscal/Accounting (State) |
| FIS00004 | Chart of Accounts -- Index | List of codes, such as fund, appropriation, account, program or project code, and other chartfields that further sub-classify accounting information used in the general ledger. Also includes descriptions of the chartfields, codes, and sub-classifications. | Permanent | Permanent | No | Fiscal/Accounting (State) | |
| FIS00005 | Chart of Accounts -- Requests | Requests for new codes and sub-classifications, requests to edit or update codes and sub-classifications, requests for approvals and denials, and related correspondence. May include, but not limited to, documentation of code request, approval for code request and supporting documentation. | 7 years | Date code superseded, inactivated, or request denied | Destroy | No | Fiscal/Accounting (State) |
| FIS00010 | Authorization/Approval for Purchasing Card | Forms and approvals for individuals to obtain procurement card. May include authorizations, cardholder agreements, and related forms to establish accounts. | 10 years | cancellation of cardholder approval | Destroy confidentially | No | Fiscal/Accounting (State) |
| FIS00011 | Credit Card Receipts or Information Received from Sales | Credit card receipts and related documentation associated with credit card transactions. | 3 years | Date of transaction | Destroy | No | Fiscal/Accounting (State) |
| FIS00020 | Receipts and Disbursement Transactions | Records related to the receipt of funds for goods or services provided and the purchase of goods or services and the supporting documentation. This series includes Accounts Payable and Accounts Receivable transactions. May include approved claims, purchase orders, invoice requests, merchandise receipts, vendor invoices, agency vouchers, service reports, and other supporting documentation. Also includes records used by an agency accounts payable/claims office to track and monitor the claims and payment process on a daily basis, including manual and automated logs, registers, listings and related records. Additionally, may include records documenting receipt of funds including forms, cash register receipts, receipts remittance forms, cash receipts and attached documentation, accounts receivable invoices, deposit forms, lockbox reports, lists of checks received and accounts receivables. | 6 years | Fiscal year | Destroy | No | Fiscal/Accounting (State) |
| FIS00021 | Federal Cash Draw Transactions | The detail, expenditure, and available to draw reports are used daily to determine the state draw. The reports show each detailed expenditure by aid category, Catalog of Federal Domestic Assistance (CFDA), major fed aid numbers, Cash Management Improvement Act (CMIA) scheduled draws, type of transaction and reference numbers. | 6 years | Fiscal year | Destroy | No | Fiscal/Accounting (State) |
| FIS00023 | Fiduciary Records | Banks and insurance companies doing business in the State of Wisconsin are statutorily required to have collateral on deposit with the DOA. Records include: reports from the custodian holding the securities; transmittal forms; correspondence regarding account activity; and audit reports as well as related records, correspondence and reports. | 3 years | Date of transaction | Destroy confidentially | Yes | Fiscal/Accounting (State) |
| FIS00024 | General Obligation Bond Records | The DOA, State Controller’s Office is responsible for the timely transfer of debt service payments once bonds have been issued. Agencies maintain records on each issue to verify interest and principal payments. The files include related records, correspondence and reports. | 50 years | Bond matures or is called | Destroy | No | Fiscal/Accounting (State) |
| FIS00025 | Collection Case Files -- Delinquent and Uncollectable Accounts | These records include notices of late payment, “dunning” letters, other documentation of collection efforts, payment agreements and the amount of debt defaulted or written off as uncollectable. Also, could include documentation of bad debts sent to an outside collection agency and other efforts to tie collection to state or local government programs i.e., computer matching. | 7 years | Date written off | Destroy confidentially | Yes | Fiscal/Accounting (State) |
| FIS00026 | Tax Records | Records or reports filed with the federal Internal Revenue Service, Social Security Administration or State Department of Revenue, or other state agency related to administration of tax collection. Also includes records received for collection of taxpayer identification. | 6 years | Fiscal year | Destroy confidentially | Yes | Fiscal/Accounting (State) |
| FIS00027 | Paid/Canceled Checks | Canceled checks provided by the state’s working bank and are the primary media utilized to provide copies of paid checks as “proof of payment.” | 7 years | Month paid | Destroy confidentially | No | Fiscal/Accounting (State) |
| FIS00028 | Checks -- Alignment and Control and Voided | Alignment and control checks are typically the first and last checks written on a particular warrant register. These checks are used as a control to ensure that each check series is written in numerical sequence and that all checks in the sequence are accounted for. These checks are physically marked “VOID.” Void checks result from errors in the printing or processing of checks. This includes mutilated checks, reprinted checks and blank checks. During check processing it is not unusual to reprint an entire batch of checks when something goes wrong in the printing or post processing operations. These checks are kept in a secure location until destroyed. | 1 year | Creation | Destroy confidentially | No | Fiscal/Accounting (State) |
| FIS00029 | Forgery and Stop Payment Records | Requests for Stop Payment and Affidavits of Forged Endorsement; related correspondence with the agency’s working bank; internal reports/files showing check series, payee, amount, date of issue and reissued check information. Also applies to agency petty cash funds. | 6 years | Date, batched by month, which the stop payment was executed | Destroy confidentially | No | Fiscal/Accounting (State) |
| FIS00030 | Canceled and Unpaid Check Report | State issued checks are typically payable at the State’s working bank for 1 year from the date of issue; however, the State continues to have a liability to pay on any check for up to 6 years as provided in the State Constitution. This record series includes records relating to the disposition of unpaid items between the period of time they are 1-6 years old and includes agency requests for reissuance of checks. Also applies to agency petty cash funds. | 5 years | Fiscal year | Destroy | No | Fiscal/Accounting (State) |
| FIS00040 | Capital Accounting -- Accounts Payable Records -- Special Federal Requirements | Records may include the following records: acquisitions: capital assets; depreciation schedules; fixed assets; material transfer files; mortgage ledgers; facility/plant ledgers; property detail reports; property inventory reports; and reports on property sold. Federal regulations for tax exempt bonding require that expenditure records must be retained for 6 years past the maturity date of a bond. | 6 years | Bond matures | Destroy | No | Fiscal/Accounting (State) |
| FIS00041 | Capital Accounting -- Accounts Payable Records -- Projects Not Funded with Tax-Exempt Debt | Records may include the following records: acquisitions; capital assets; depreciation schedules; fixed assets; material transfer files; mortgage ledgers; facility/plant ledgers; property detail reports; property inventory reports; and reports on property sold. | 4 years | Project closed | Destroy | No | Fiscal/Accounting (State) |
| FIS00042 | Capital Accounting -- Project Budget Transactions (Allotments) | Records may include budget-related records for specific capital projects including details by project and sub-project; vendors; and vendor types. | 6 years | Fiscal year | Destroy | No | Fiscal/Accounting (State) |
| FIS00050 | Inventories -- Capital Equipment, Supplies, Commodities and Parts | Running inventories of capital equipment, supplies, commodities and parts that typically describe each item, indicate its location and provide cumulative totals and/or current stock balances. | 4 years | Fiscal year | Destroy | No | Fiscal/Accounting (State) |
| FIS00051 | Surplus Property Disposition Records | Records that identify surplus property, expedite its transfer to the SWAP program, if applicable, and track the disposition of property. These records include requests for disposal of surplus property, receipts, reporting forms and supporting documentation that describes the property and the proposed method of disposition. | 3 years | Property disposed of | Destroy | No | Fiscal/Accounting (State) |
| FIS00052 | Surplus Property Disposition Records -- Restricted Disposition or Noncompliance Items | Records that identify restricted or noncompliant surplus property, expedite and track the property’s disposition. Restricted Disposition - items with restrictive requirements that effect their disposition. Noncompliance - items that have been declared to be in noncompliance with property transfer restrictions. | 1 year | Date restriction ends or compliance case is closed | Destroy | No | Fiscal/Accounting (State) |
| RISK0001 | RMIS Output Reports | These records include monthly or quarterly reports which are distributed to department heads, division administrators in state agencies and UW institutions. Reports support program initiatives. Examples of these reports include benchmark reports. | 0 years | Superseded or when no longer needed | Destroy | No | Risk Management (State) |
| RISK0002 | Proposals for Insurance Coverage | §16.865 Wis. Stats. mandates responsibility for statewide risk management coordination. This includes providing insurance coverage for state agencies. Records may include non-selected bids for property, liability, and Worker’s Compensation coverage. Successful proposals for insurance coverage would then produce insurance contracts, which would be handled as underlined under RDAs RISK0025 and RISK0035. Agencies that receive authorization from DOA’s BSRM may secure coverage for specific business purposes on their own. | 7 years | Bid is closed | Destroy | No | Risk Management (State) |
| RISK0003 | Risk Management Conference Materials | DOA’s Annual Risk Management Conference publications and materials. Records series may include comprehensive, original materials documenting planning for Risk Management conferences as well as original conference hand-outs. | 5 years | Date of risk management conference | Destroy | No | Risk Management (State) |
| RISK0010 | Worker's Compensation Claims Case Files | Worker’s compensation claims filed by state and UW System employees. These claims can be categorized as: Medical Claims (No Lost Time): A claim where an injured employee obtains medical treatment but does not lose more than three (3) days from work as a result of the injury. Lost Time Claims: A claim where an injured employee requires four (4) or more days off from work. Typically, claims include the same records as in medical claims files, as well as lost time documentation and disability payment material. Hazardous Duties Employment Claims: A claim presented by certain occupational classes and of hazardous nature as defined in §230.36. Wis. Stats. Hazardous duties employment claims include the same records as those in medical claims, as well as those stated in §230.36, Wis. Stats., (hazardous employment) documentation (e.g. hazardous duties related positions). Typical records may include, but are not limited to: accident reports, medical reports, employee exposure records, certifications, payment information, medical invoices, investigation materials, subrogation files, workers compensation claims fact sheet, medical information authorization, labor market availability restriction statement, vocational rehabilitation information, related correspondence and other related forms. This information is also entered into the Department of Administration’s Risk Management Information System (RMIS). This system is managed by DOA’s Bureau of State Risk Management. The information entered in the system originates from the official paper files related to medical claims (no lost time), lost time claims, and hazardous employment claims and includes: claim number, name, address, social security number, date of birth, type of claim, agency identification code, location of claim, cause of claim, result of injury, payment histories, etc. All agencies and UW-System have access to this database. This record series covers the electronic data in the RMIS and the paper files kept at the agencies and the UW-System. | 30 years | Claim is closed | Destroy confidentially | Yes | Risk Management (State) |
| RISK0011 | State Government Workers Compensation Guidelines, Procedures, Policies and Other Related Records | Records include Workers Compensation program guidelines, procedures, policies and other related records for managing workers compensation claims per Chapter 102 Wis. Stats. | 7 years | Superseded | Destroy | No | Risk Management (State) |
| RISK0015 | Property and Liability General Correspondence | General correspondence relating to ongoing administration/management of state self-funded property and liability programs is generated under §16.865, §20.865 (f) (fm) (dm) Wis. Stats. Records may include letters and memos relating to all aspects of state risk management property and liability programs. Examples include Van Driver Training records and applications; Driver Abstract reviews and findings shared with agency staff. | 5 years | Closure of specific issue addressed by the correspondence | Destroy | No | Risk Management (State) |
| RISK0016 | State Government Property and Liability Guidelines, Procedures, Policies and Other Related Records | Records include property and liability program guidelines, procedures, policies and other related records for managing property and liability claims per §16.865, 20.865, 896.82 and 895.46 Wis. Stats. | 7 years | Superseded | Destroy | No | Risk Management (State) |
| RISK0017 | Statewide Premium Process and Documentation | Annually, the Bureau of State Risk Management under authority of §16.865, and §20.865 (1) (f) Wis. Stats., develops fiscal year premium documents which support the State Risk Management Program. This process reviews both the exposure and the experience of state agencies and incorporates this information into the development of state agency premiums. The premiums generated pay liability, worker’s compensation and property claims and maintain the administrative functions of the program. This record series may include documents comprised of building values and content inventories. It also includes RMIS reports generated to support the agency’s related experience over time, written documentation explaining the purpose and process of the premium function. Official copy is at DOA. All state agencies maintain background information. | 20 years | Creation | Destroy confidentially | Yes | Risk Management (State) |
| RISK0025 | Property Insurance Policies (General and Excess) | Pursuant to §16.865(5) Wis. Stats., the Department of Administration Bureau of State Risk Management (BSRM) is responsible to arrange appropriate insurance contracts for the transfer of risk of loss on the part of the state or its employees to the extent such loss cannot reasonably be assumed by individual agencies or self-funded programs. Agencies that receive authorization from BSRM may secure coverage for specific business purposes on their own. This file may include the original copy of the policy, endorsements to the policy, list of carriers, coverage limits and premiums. | 30 years | Policy effective date | Destroy | No | Risk Management (State) |
| RISK0026 | Property Claim Files | §16.865 Wis. Stats., mandates responsibility for statewide risk management coordination including managing the statewide self-funded property program. Claim files may include accident/property loss reports, investigative reports, evidential documents such as photographs, payment vouchers and any related correspondence. These records represent the official property claim files. | 5 years | Claim is closed | Destroy confidentially | No | Risk Management (State) |
| RISK0027 | Precedent-Setting Property Claims | This records series pertains to property claims which have precedent-setting impact on the State of Wisconsin and the State Risk Management program. Claim files to be retained include those that are catastrophic in nature and/or breach one million dollars. Additionally, large losses that have multiple locations, such as the June 2008 flooding, or claims that may have large subrogation actions would also be included. Files may contain complete property investigations and supporting documentation. | 25 years | Claim is closed | Transfer to archives | No | Risk Management (State) |
| RISK0028 | Property Incident and Denial Reports -- No Claim Filed | Incident and denial files may include accident reports, damage reports, repair orders, estimates, adjuster claim reports and other investigative materials. No claim was generated and no payment was made. | 5 years | Date of incident | Destroy confidentially | No | Risk Management (State) |
| RISK0035 | Liability Insurance Policies (General and Excess) | Pursuant to §16.865(5) Wis. Stats., the Department of Administration Bureau of State Risk Management (BSRM) is responsible to arrange appropriate insurance contracts for the transfer of risk of loss on the part of the state or its employees to the extent such loss cannot reasonably be assumed by individual agencies or self-funded programs. Agencies that receive authorization from BSRM may secure coverage for specific business purposes on their own. This file may include the original copy of the policy, endorsements to the policy, list of carriers, coverage limits and premiums. | 75 years | Policy effective date | Destroy confidentially | No | Risk Management (State) |
| RISK0036 | Liability Claim Files | §16.865 Wis. Stats., mandates responsibility for statewide risk management coordination including managing the statewide self-funded liability program. Claim files may include normal liability claims and claims involving a minor or a structured settlement. In cases where a minor is involved, records must be retained for 11 years after the minor reaches age 18. For structured settlements, records must be kept for 11 years after the structure is paid off. Documents include accident reports, damage reports, repair orders, estimates, adjuster claim reports and release of all claims. Payment letters and photocopies of checks are also included. | 11 years | Claim is closed (for normal liability claims) OR Date minor turns 18 (claims involving a minor) OR Date structured settlement is paid off (structured settlement claims) | Destroy confidentially | Yes | Risk Management (State) |
| RISK0037 | Precedent-Setting Liability Claims | This records series pertains to liability claims which have precedent-setting impact on the State of Wisconsin and the State Risk Management program. Claim files to be retained include those that are catastrophic in nature and/or breach one million dollars. Files may contain complete liability investigations and supporting documentation. | 25 years | Claim is closed | Transfer to archives | Yes | Risk Management (State) |
| RISK0038 | Liability Incident and Denial Documentation -- No Claim Filed | Incident and denial files may include accident reports, damage reports, repair orders, estimates, adjuster claim reports and other investigative materials. No claim was generated and no payment was made. | 11 years | Date of incident | Destroy confidentially | Yes | Risk Management (State) |
| RISK0039 | Volunteer Health Care Program (VHCP) | The Volunteer Health Care Program was originally enacted in 1989 as a pilot program in Brown & Racine Counties. It has since spread state wide to address health care needs of the uninsured, underinsured and those on different state run medical programs. Documentation related to the approval of all volunteer health care applicants for this statewide program. Document examples include completed applications, approval letters, Department of Safety and Professional Services (DSPS) information on licensure for each applicant, policy decisions and program expansion correspondence. Claims generated from this program are handled by the liability program and the files are covered within RDA RISK0036. | 25 years | Date BSRM approves or denies application | Destroy confidentially | No | Risk Management (State) |
| RISK0045 | Incident Reports (Incidents Only, No Lost Time) | This records series covers incident reports for which no expenses have been incurred. Incidents only, no medical expenses incurred and no lost time. Information on incidents is documented in the accident report, supervisory analysis, safety officer analysis and related correspondence. See RDA RISK0049 for the retention of the occupational exposure incidents records. | 12 years | Date of incident | Destroy confidentially | Yes | Risk Management (State) |
| RISK0046 | Near-Miss Reports | These records are documentation on accident analysis forms describing hazardous working conditions that could lead to worker’s compensation claims. Data from these forms are gleaned to study trends and to improve a safe working environment. | 5 years | Date of incident | Destroy confidentially | Yes | Risk Management (State) |
| RISK0047 | Safety and Health Program | State agency’s written safety programs, annual plans, policies, procedures, guidelines, components, monitoring data and reports for programs such as Confined Space, Ergonomics, Hazard Communication, Bloodborne Pathogens, Fall Protection, Hot Work, Lockout/Tagout, Hazard Communication, Hearing Conservation, Respiratory Protection, Powered Industrial Trucks, Personal Protective Equipment and other similar safety programs. Also includes agency Emergency Action Plans and Employee Summary Guides (i.e. agencies’ evacuation and safe sheltering plans and procedures for employee safety during emergency conditions, evacuation routes, etc. It also includes agency fire and tornado drill reports). | 7 years | Superseded | Destroy | No | Risk Management (State) |
| RISK0048 | Safety Data Sheets (SDS) | Per OSHA each workplace is required to keep SDSs provided by manufacturers and importers of hazardous chemicals. | 0 years | SDS is superseded OR use of chemical is discontinued | If SDS destroyed, destroy previous SDS and keep the most current one OR if use of chemical is discontinued, retain SDS for 30 years and destroy | No | Risk Management (State) |
| RISK0049 | Exposure Records | Includes the specifics of the incident and any agency related form, report or record. It also includes records of personal exposures required to be maintained by the agency that has conducted or contracted for the monitoring. In most cases records includes documents such as personal exposure samples for chemicals, ionizing radiation, asbestos, lead, and noise; wipe samples to determine surface contamination; bulk samples to analyze for asbestos content; and reports or inspections or surveys of activities related to actual or potential occupational exposures. | 75 years | Date of exposure | Destroy confidentially | Yes | Risk Management (State) |
| RISK0050 | Internal Workplace Safety inspections | Includes safety inspections, audits, surveys or reviews of the workplace initiated or contracted by the resident state agency. | 7 years | Date of report | Destroy | No | Risk Management (State) |
| RISK0051 | Compliance Workplace Safety Inspections | Safety inspections, audits, department orders, section violations, corrective action orders and surveys or reviews of the workplace performed by an outside compliance agency such as OSHA or the Department of Safety and Professional Services. Includes citations and notifications of penalties, results of investigations, Modification Abatement Plan requests, and final Abatement Plan documentation. | 7 years | Date of resolution or compliance plan | Destroy | No | Risk Management (State) |
| RISK0052 | Job Hazard Analysis | Job safety surveys and analysis of a specific job or task. Includes documents used to identify, analyze and record the steps involved in performing a specific job, existing or potential safety and health hazards associated with each step and the recommended action(s)/procedure(s) that will eliminate or reduce the hazards and the risk of a workplace injury or illness. | 7 years | Superseded or task eliminated | Destroy | No | Risk Management (State) |
| RISK0053 | Ergonomics Assessments and Related Material | Includes individual and workstation evaluations, pre-evaluation questionnaires, potential procurement documents, follow-ups and all related materials. | 7 years | Date of assessment | Destroy confidentially | No | Risk Management (State) |
| RISK0054 | OSHA Logs | Includes OSHA Form 300- Log of Work Related Injuries and Illnesses, Form 301 – Injury & Illness Incident Report and other equivalent forms. | 7 years | Date of log | Destroy confidentially | No | Risk Management (State) |
| RISK0055 | Industrial Hygiene Supporting Documents and Reports | Includes control measures that protect employees from chemical, physical and/or biological stressors, such as noise, chemical exposures, excessive temperatures, dusts, mists, and vapors, and air quality evaluations/results. Included among these records are indoor air quality surveys, noise and hearing conservation, respiratory protection, compliance exposure monitoring, baseline noise surveys, and other similar industrial hygiene surveys, assessments and reports. | 30 years | Date of report | Destroy | No | Risk Management (State) |
| RISK0056 | General Safety Reports, Issues, Complaints and Inquiries Received/Generated by Safety Staff | Included in the file are responses to all inquiries and noted follow-up steps, if any, to correct any noted deficiencies. Also includes periodic reports concerning agency safety activities, including minutes of monthly safety meetings, accident data analysis, safety and health program assessments, trend or accident analysis reports, chemical inventory lists, SCBA (Self-Contained Breathing Apparatus) inspections and other similar or related reports. | 2 years | Date of resolution | Destroy | No | Risk Management (State) |
| RISK0057 | Safety Permits | Approved plan of work for specific job safety action. Examples include permits for Confined Space Entry, Lockout/Tagout, Hot Works and other related permits. | 1 year | Expiration of permit | Destroy | No | Risk Management (State) |
| RISK0058 | Hoists, Cranes and Personnel Lifts Inspections | Includes inspection reports for hoists, slings and chains, gantry cranes, man-lifts, scissor lifts, and other and similar records. | 5 years | Date of inspection | Destroy | No | Risk Management (State) |
| RISK0059 | Safety Training NOT Required by Law | Any safety related training not required by law whether provided internally by safety staff or contracted out. Includes materials created or used by state agencies and/or the Bureau of State Risk Management to promote training or train state employees. Includes training schedules, course materials, evaluations, study guides, questionnaires, registration, sign-in sheets and tracking. | 5 years | Superseded | Destroy | No | Risk Management (State) |
| RISK0060 | Safety Training Required by Law | Any safety related training required by law whether provided internally by safety staff or contracted out. Includes materials created or used by state agencies and/or the Bureau of State Risk Management to promote training or train state employees. Includes training schedules, course materials, evaluations, study guides, questionnaires, registration, sign-in sheets and tracking. | 30 years | Date of training | Destroy | No | Risk Management (State) |
| RISK0070 | Air Compliance Records | Records documenting compliance with air permits and area source regulations. May include permit documents, measurements and performance tests, monitoring data, calibration checks, emission test results, annual reports and supporting documents and data and other documents relating to air programs. | 7 years | Superseded by the revised documents | Destroy | No | Risk Management (State) |
| RISK0071 | Waste Disposal Site Records | Records series includes documents related to potential liability associated with sending waste for disposal. Includes uniform hazardous waste and non-hazardous special waste manifests, land disposal restriction forms, medical waste manifests, non-hazardous manifests, non-hazardous bills-of-lading, and certificates of receipt/destruction, waste site audits and other related records supporting potential site liability issues for disposal sites. | Permanent | Permanent | No | Risk Management (State) | |
| RISK0073 | Infectious Waste Records | Records documenting compliance with NR 526, Medical Waste Management. Records of the amount of infectious waste sent off−site for treatment, records that certify infectious waste was treated, copies of annual reports and similar records. | 7 years | Date waste was shipped | Destroy | No | Risk Management (State) |
| RISK0074 | Medical Waste Reduction Documents | Records documenting compliance with NR 526, Subchapter III Medical Waste Reduction. May include records of the amount of infectious waste sent off−site for treatment, medical waste audits and medical waste reduction plans. | 7 years | Superseded | Destroy | No | Risk Management (State) |
| RISK0075 | PCB (Polychlorinated Biphenyl) Records | Includes PCB annual logs, PCB concentration logs, annual records, on-site storage locations, inventory lists, test reports, analytical reports, one year exception reports, spill cleanup records, equipment inspection logs and other similar records. See RDA# RISK0071 “Waste Disposal Site Records” for retention and disposition of PCB manifests and Certificates of Disposal retention. | 7 years | Creation | Destroy | No | Risk Management (State) |
| RISK0076 | RCRA (Resource Conservation and Recovery Act) Compliance | RCRA regulates how waste is disposed. Includes records documenting procedural compliance with NR 600 – 679. May include annual reports, inspection logs, waste analysis/profile documents, exception reports, and other related records. See RDA# RISK0071 “Waste Disposal Site Records” for retention and disposition of PCB manifests and Certificates of Disposal retention. | 7 years | Creation | Destroy | No | Risk Management (State) |
| RISK0077 | RCRA Compliance -- Large Quantity Generator Contingency Plan | Records documenting compliance with NR 665 Subchapter D: Contingency Plan and Emergency Procedures. Description of the actions facility personnel will take in response to fires, explosions or any unplanned sudden or non−sudden release of hazardous waste or hazardous waste constituents to air, soil or surface water at the facility. Keep copies of all revisions of the plan until facility closes per NR 665.0054. | 7 years | Date of facility closure | Destroy | No | Risk Management (State) |
| RISK0078 | RCRA Compliance -- Large Quantity Generator Training Records | Records documenting compliance with NR 665.0016(5), personnel training: job title, employee name, written position description, type and amount of training to be provided, documentation that training has been provided and completed. | 7 years | Date employee last worked in the facility | Destroy | No | Risk Management (State) |
| RISK0079 | Clean Water Act Compliance Records | Records documenting compliance with Clean Water Act and other water regulations. Includes records related to Spill Prevention Control and Countermeasure (SPCC), Wisconsin Pollution Discharge Elimination System (WPDES), stormwater management and other records relating to environmental compliance with water regulations. | 7 years | Superseded | Destroy | No | Risk Management (State) |
| RISK0080 | Safe Drinking Water Act Compliance Records | Records documenting compliance with Safe Water Drinking Act 40 CFR 141 and related programs. Microbiological analyses and turbidity analyses, records of chemical analyses, action taken by the system to correct violations of primary drinking water regulations, written reports, summaries or communications relating to sanitary surveys of the system. | 10 years | Creation | Destroy | No | Risk Management (State) |
| RISK0085 | Hazardous Materials Regulations Training Records | Records documenting compliance with training of hazmat employees in accordance with 49 CFR 172.704 (USDOT). The training record must include the employee's name, the most recent training completion date of the employee's training, a description, copy, or the location of the training materials used to meet the requirements, the name and address of the person providing the training and certification that the hazmat employee has been trained and tested as required. Per 49 CFR 172.704 (USDOT): A record of current training, inclusive of the preceding three years shall be created and retained for each hazmat employee. | 7 years | Employee current certification date | Destroy | No | Risk Management (State) |
| RISK0086 | Hazardous Materials Shipping Papers | Records documenting compliance with shipping papers used to offer hazardous materials other than waste in accordance with 49 CFR 172.201(e) (USDOT). See RDA# RISK0071 “Waste Disposal Site Records” for retention and disposition of hazardous waste and PCB manifests and Certificates of Disposal retention. 49 CFR 172.201(e). Retention and Recordkeeping. Each person who provides a shipping paper must retain a copy of the shipping paper required by 49 CFR 172.200(a), or an electronic image thereof, that is accessible at or through its principal place of business and must make the shipping paper available, upon request, to an authorized official of a Federal, State, or local government agency at reasonable times and locations. | 3 years | Date material was accepted by initial carrier | Destroy | No | Risk Management (State) |
| RISK0090 | Radioactive Materials/Radiation -- Supporting Documents | Includes documents and related records that support radioactive materials and or radiation management program that may be disposed prior to the termination of the license or program requiring the record. Includes audits/reviews, area/package surveys, leak test results, tests on entry control devices, irradiator use 157.73(22); industrial radiography devices DHS 157.45; medical use records DHS 157.71; records relating to x-rays devices: diagnostic DHS 157.75, veterinary DHS 157.79; CT DHS 157.80 and dental DHS 157.77, DHS 157.78. | 7 years | Creation | Destroy | No | Risk Management (State) |
| RISK0091 | Radioactive Materials/Radiation -- License Documents | Includes documents and related records that support radioactive materials and or radiation management program that may not be disposed prior to the termination of the license or program requiring the record. Provisions of the program, surveys, measurements, calculations used to determine dose. Measurement and calculations used to determine release of radioactive effluent, doses to members of the general public DHS 157.31; irradiator use 157.73(22); industrial radiography devices DHS 157.45; medical use records DHS 157.71. | 0 years | Termination of license or registration of the device | Destroy | No | Risk Management (State) |
| RISK0092 | Radioactive Materials/Radiation -- Individual Monitoring Records | Records of doses for those whom monitoring is required under DHS 157.25 (2), planned special exposures, accidents, emergencies. Records include whole body deep dose equivalent, lens dose equivalent, skin, extremity dose; estimated intake of radionuclides, total effective dose equivalent DHS 157.31. | Permanent | Permanent | Yes | Risk Management (State) | |
| RISK0093 | Radioactive Materials/Radiation -- Records related to Decommissioning | Information related to decommissioning of a facility in an identified location. Records include Spill records, list, drawings and modifications of restricted areas, waste-burial areas, funding for decommissioning DHS 157.15(7). | 0 years | Date site is approved by DHS for unrestricted use | Destroy | No | Risk Management (State) |
| RISK0094 | Radioactive Materials/Radiation Device Receipt and Disposition Records | Licensee or registrant’s records showing the receipt, transfer and disposal of all sources of radiation per DHS 157.06(1) DHS 157.06(1) R ECORDS . A licensee or registrant shall maintain records showing the receipt, transfer and disposal of all sources of radiation until the department terminates the license or registration authorizing possession of the device or material, and for 3 years following transfer or disposal of the device or material. | 3 years | Date of termination of the license/registration authorizing possession of the materials or radiation device | Destroy | No | Risk Management (State) |
| RISK072 | Emergency Planning and Community Right to Know (EPCRA) | Records documenting compliance with Emergency Planning and Community Right-to-Know Act (EPCRA) and Chapter 323 Wis. Stats. Includes emergency planning notification records section 302, emergency plans, emergency release notifications section 304, hazardous chemical reporting documentation (Tier II) reports section 311 and documentation, Toxics Release Inventory (TRI) reporting section 313. | 7 years | Date submitted | Destroy | No | Risk Management (State) |
| UWADM018 | Agendas/Minutes | This series includes the meeting materials for official university meetings. Groups include, but are not limited to, departments, official committees, governance meetings, council meetings, personnel/executive committees and university-wide meetings. Records include, but are not limited to, meeting minutes and agendas, supplementary documents or other materials that are associated with the minutes. Records may also include voting materials for elections to committees, actions to be taken and formal ballots on issues of promotion or tenure decided by executive committees. Depending on the purpose of the group, some records may contain PII. The minutes of the meetings should serve as the official record of events. Audio or video recordings of official meetings can be destructed once the meeting minutes are approved. Closed session materials may be confidential pursuant to Wis. Stat. § 19.85(1)(c)(e)(f)(g) and Wis. Stat § 19.36(5). | 3 years | Meeting date | Transfer to Archives | Potentially; contact the records creator for more information | Administrative |
| UWADM024 | Accreditation Files | Files 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 years | End of the accreditation cycle or creation of the final accreditation report, whichever is later. | Transfer to Archives | No | Administrative |
| UWADM025 | Federal Lobbying Reports | The 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 years | Date report filed | Destroy | Yes | Administrative |
| UWADM027 | Outside Activity Reports | Every 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 years | Completion of review | Destroy confidentially | No | Administrative |
| UWADM028 | Statements of Economic Interest | Every 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 years | Completion of review | Destroy confidentially | No | Administrative |
| UWATH001 | WIAC Commissioner's Budget Documentation | Documentation created during the process of developing the annual budget fo the conference office. | 6 years | End of Fiscal Year | No | Athletics | |
| UWATH002 | WIAC Commissioner's Student Eligibility Records | Records kept by the WIAC commissioner's office documenting the eligibility of student athletes in compliance with NCAA and WIAC rules. Records, sometimes called "eligibility packets," include the WIAC Eligibility Certificate filed by each campus for each sport, and may also include WIAC Transfer Player Eligibility Statement, Athletics Tracer Report, Medical Hardship Request Form (contains medical records) and the Petition for Waver of Conference Eligibility Rules. Also included in the series are Season of Participation/Competition Forms. | 6 years | End of last year of eligibility | Destroy Confidentially | Yes | Athletics |
| UWATH003 | WIAC Commissioner's Scholastic Honor Roll | Series enumerating individual student athletes for their outstanding work in the classroom for each academic year. | 3 years | End of academic year created | Destroy Confidentially | No | Athletics |
| UWATH004 | Photographs and Video Recordings | Records documenting a visual history of the University's athletic programs as well as documenting and adhering to athletic licensing requirements. Records include, but are not limited to, photographs and video recordings taken for use by the Athletic Department for scouting, player and coaching improvement (game film), marketing materials and news media usage. | 6 years | End of academic year created | Transfer for University Archives | No | Athletics |
| UWATH005 | Recruitment Records | Records documenting contact between the school and a prospective student-athlete (PSA). These records include, but are not limited to, correspondence with a recruit, recruitment questionnaire and recruitment-related forms. Also included may be correspondence with other institutions regarding transfer of student athletes. | 9 years | End of year recruitment file created | Destroy Confidentially | Yes | Athletics |
| UWATH006 | Participation Records | Forms and associated records created in the process of documenting student athletes who participated in each sport in each season for conference, compliance, or academic eligibility and financial aid reasons. Unlike UWATH007, these records are considered confidential. Records may include, but are not limited to, forms for each athlete indicating each game they took part in, or withdrawals from a game, beginning of season "squad lists" along with financial aid received, forms documenting participation (e.g., form CAi), certain waivers and redshirt information. | 6 Years | End of Season | Destroy Confidential | Yes | Athletics |
| UWATH007 | Team Roster | Final list of student athletes approved to play in an upcoming season. Roster information may include: student name, position, year in school, height, weight, jersey number, high school, previous season statistics (ERA, FGP, etc.). Unlike UWATH006, this records series in not confidential and may take the form of a distributed media guide. | 1 Year | End of Season | Transfer to University Archives | No | Athletics |
| UWATH008 | Athletic Event Planning Records | Itineraries, correspondence with game officials, volunteer forms, travel release records and other materials created in the process of organizing and implementing athletic events. | 6 Years | End of Season | Destroy Confidentially | No | Athletics |
| UWATH009 | Ticketing Records - Purchased | Records documenting the sale and distribution of audience attendance to athletic events. Records include, but are not limited to, routine reports for deposits, written requests or applications for tickets by individuals or institutions and other materials created in the process of printing, scheduling, selling and distribution of admission tickets to athletic events. | 6 Years | End of Fiscal Year | Destroy Confidentially | No | Athletics |
| UWATH010 | Ticketing Records - Not Purchased | Remaining unsold tickets and other ticketing materials that remained unsold or unneeded after an athletic event. | 1 Week | End of Season | Destroy | No | Athletics |
| UWATH011 | Ticketing Records - Complimentary and Preferential Seating | Forms, reports and other ticketing materials created in the issuance of complimentary tickets or preferential seating to select individuals including athletes, coaches, and guests of the university and members of the general public. | 10 Years | End of Fiscal Year | Destroy Confidentially | No | Athletics |
| UWATH012 | Campus Hall of Fame Nomination Records | Records consist of documentation used to determine an individual's admittance or rejection to a UW campus's Hall of Fame. Records include, but are not limited to, nomination forms, meeting agendas and minutes established to select and honor former athletes, coaches, and friends of athletic programs who have made exceptional and positive contributions to the school's athletic programs. | 20 Years | Creation of Nomination File | Destroy Confidentially | No | Athletics |
| UWATH013 | Athletic Achievements Records | Records documenting significant athletic and scholarly accomplishments of individual athletes or teams. These records include, but are not limited to, records related to official announcements for induction into a campus or conference Hall of Fame, documentation of significant competitions that an athlete/team participated in, official documentation of athletic achievements (records set), or athlete/team recognition at the conference or national level. | 20 Years | Date of Record or Accomplishment | Transfer to University Archives | No | Athletics |
| UWATH014 | Staff Certification Documentation | Records documenting the certification of athletic staff, mainly coaches, in the areas of safety, health and NCAA regulations. Materials include, but are not limited to, up-to-date documentation of CPR and first aid training as well as proof of successful completion of NCAA recruitment rules training. | 6 Years | Separation from Employment | Destroy Confidentially | No | Athletics |
| UWATH015 | NCAA Compliance Records | Records documenting athletic department efforts to educate about, and monitor for, NCAA rules compliance in order to identify and reduce areas of risk within the athletic program. Materials include documentation verifying training activities, investigations of incidents or infractions of NCAA rules or University Policies regarding participation in competitive intercollegiate sports. Records may also include, but are not limited to, documentation of support given to the establishment of any campus rules compliance committees, petitions to conference officials, and formal interpretation of NCAA policies and rules. | 10 Years | End of Fiscal Year | Transfer to University Archives | Yes | Athletics |
| UWATH016 | NCAA Rules Violation Report Records | Records documenting any rules violations reported to the NCAA. These are required to be filed using Requests/Self Reports Online (RSRO) system provided by the NCAA. Records identify the details of the violation as well as what steps the school took to correct it or take disciplinary action if needed. Series may also include correspondence and other materials copied and forwarded to the NCAA offices. | 7 years | End of corrective action | Destroy Confidentially | Yes | Athletics |
| UWATH017 | NCAA Program Audits | Records surrounding the routine external audit of financial reporting and agreed upon procedures specific to compliance rules set out in the NCAA Manual. Records document a program's fidelity to a number of rules regarding governance, eligibility of athletes, financial aid administration, recruiting activities, rules education, coaching playing and practice spaces and other issues. | 6 Years | Conclusion of Audit | Destroy Confidentially | No | Athletics |
| UWATH018 | Student Athlete Aid Records | Records specific to Division I and II programs that document the distribution of financial aid specifically to student athletes in accordance to NCAA rules. Materials include documentation of the distribution of NCAA Student Assistance Funds (SAFs) and Student-Athlete opportunity Funds (SAOFs). | 6 Years | End of Season | Destroy Confidentially | Yes | Athletics |
| UWFA203 | Internal Control Reference Files | All reference files used to support internal control programs. | 0 days | Date of supersession of file | Destroy | No | Fiscal/Accounting |
| UWGNT001 | Grant Folders Federal and Non-Federal - Accepted | Documentation associated with grants approved by campus research offices and accepted for funding by grantor agencies. Such documentation may include, but is not limited to: contracts, progress reports, use agreements, final reports, and other related records. | EVT + 6 Years | Close of the Grant | Destroy | No | Grants |
| UWGNT002 | Grant Proposals Review Files - Rejected | Grant 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 Years | Date Grant Rejected | Destroy | No | Grants |
| UWGNT003 | Grant Files - UW-System Administered | Applications 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 Years | Close of the Grant | Destroy | No | Grants |
| UWGNT004 | Grant - Internal Grant Award Documentation | Documentation 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 Years | Close of the Grant | Destroy | No | Grants |
| UWGNT005 | Scientific or Research Misconduct Records | Records 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 Years | Date Audit is Closed | Destroy Confidential | Yes | Grants |
| UWGNT007 | Grant - Final Reports To Granting Agencies and Institutions | Final 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 Years | Date of the Report | Transfer to Institutional Archives | No | Grants |
| UWHR0100 | HR Personnel Hiring and Position Change Forms and Requests | This 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 Years | Date the Request is Approved or Denied | Destroy Confidential | Yes | HR |
| UWHR0101 | Position Vacancy Listing or Position Announcement | This 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 Years | Date Position is Filled | Destroy | No | HR |
| UWHR0102 | Criminal Background Checks | This 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 Years | Date of Creation | Destroy Confidential | Yes | HR |
| UWHR0103 | Federal I-9 Employee Eligibility Verification -Hired | This 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 later | Destroy Confidential | Yes | HR | |
| UWHR0104 | Candidate Files | Individual 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 Years | Date Position is Filled | Destroy Confidential | Yes | HR |
| UWHR0105 | Search and Screen Committee Records - General | This record series applies to all Search and Screen for positions of Associate Dean and lower levels of administration. It includes documentation of the activities of committeeÂs search activities. This may include documents from outside search firms. This series includes, but is not limited to: interview documentation, minutes, list of candidates and nominees, list of interviewees, press releases and other publicity materials, position description, position vacancy announcements, list of search and screen committee members, list of colleagues and professional organization from which nominations may have been sought, sample letter sent to applicant, sample questions used in interview process, rejected letter of offer, video presentations, and other correspondences related to the search process. | EVT+6 Years | Date Position is Filled | Destroy Confidential | Yes | HR |
| UWHR0106 | Search and Screen Committee Records Higher Level Search | This record series applies to all Search and Screen for positions of Dean and higher levels of administration. It includes documentation of the activities of committeeÂs search activities. This may include documents from outside search firms. This series includes, but is not limited to: interview documentation, minutes, list of candidates and nominees, list of interviewees, press releases and other publicity materials, position description, position vacancy announcements, list of search and screen committee members, list of colleagues and professional organization from which nominations may have been sought, sample letter sent to applicant, sample questions used in interview process, rejected letter of offer, video presentations, and other correspondences related to the search process. | EVT+6 Years | Date Position is Filled | Transfer to Institutional Archives or destroy confidentially per institutional policy | Yes | HR |
| UWHR0107 | Compensation, Titling and Salary Equity Records | This 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 Years | Datethat Analysis or Survey was Completed | Destroy | No | HR |
| UWHR0200 | Affirmative Action Records -EEOC (Equal Employment Opportunity Commission) - Applicant Pool and Reporting by Job Group/Category | This 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 years | Date Position is Filled | Destroy Confidential | Yes | HR |
| UWHR0201 | Affirmative Action Records -EEOC (Equal Employment Opportunity Commission) - Plans | This 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 Years | Date that Plan is Updated, Obsolete, Rescinded or Superseded | Destroy | No | HR |
| UWHR0202 | Discrimination Complaint Files | This 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 § 1602.1 | EVT+6 Years | Date that Personnel Action was Resolved or Termination | Destroy Confidential | Yes | HR |
| UWHR0300 | Grievance/Complaint Tracking Log | An 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 Years | Date that Complaint or Grievance is Resolved | Destroy Confidential | Yes | HR |
| UWHR0301 | Employee Complaints and/or Grievance Records | This 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 Years | Date that Complaint or Grievance is Resolved | Destroy Confidential | Yes | HR |
| UWHR0302 | Formal University Grievance and Appeal | This 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 Years | Date that Complaint or Grievance is Resolved | Transfer to Institutional Archives per policy for archival review | Yes | HR |
| UWHR0303 | Employee Lay-Off Records | Employee 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 Years | Effective Date of the Layoff | Destroy Confidentially | Yes | HR |
| UWHR0304 | Non-Renewal of Appointment Academic Staff /Faculty | This series includes records relating to incidents where a faculty or academic staff member fails to have their appointment renewed. Records may include, but are not limited to: notice of non-renewal from the employeeÂs supervisor, department, dean or administrative officer making the decision, the reason for non-renewal, the written request for full review or appeal; records of an appeal, and any other reports to the dean or chancellor. Confidential under Employee Personnel Records Wis. Stat.§ 19.36(10) | EVT+ 6 Years | Date of Final Decision | Destroy Confidential | Yes | HR |
| UWHR0400 | Personnel Record University Staff, Academic Staff and Faculty Institutional Level | There 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 Years | Separation from Institution | Destroy Confidential | Yes | HR |
| UWHR0401 | Personnel 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 Years | Separation from Unit or Department or Institution | Transfer to Institutional Archives per policy for archival review | Yes | HR |
| UWHR0402 | Personnel 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 Years | Separation from Unit or Department or Institution | Transfer to Institutional Archives per policy for archival review | Yes | HR |
| UWHR0403 | Personnel 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 Years | Separation from Unit or Department or Institution | Destroy Confidential | Yes | HR |
| UWHR0404 | Personnel 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 Years | Date of termination | Destroy Confidential | Yes | HR |
| UWHR0405 | Volunteer and Unpaid Internships | This 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 Years | Date of Assignment Completion | Destroy Confidential | Yes | HR |
| UWHR0500 | Employee Medical Information Files - Departmental | This 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 Years | Separation From the Institution | Destroy Confidential | Yes | HR |
| UWHR0501 | HIPAA Privacy Complaint Files | This 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 Years | Date that Personnel Action Was Resolved or Terminated | Destroy Confidential | Yes | HR |
| UWHR0600 | EAP- Statistical Reports and Program Accomplishments | This 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 Years | Date of Creation | Destroy Confidential | Yes | HR |
| UWHR0601 | EAP- Employee Assistance Case Files | This 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 164 | EVT + 5 Years | Date of Last Encounter | Destroy Confidential | Yes | HR |
| UWHR0602 | EAP- Employee Assistance Satisfaction Surveys | This series includes documents created when campuses conduct EAP satisfaction surveys or when an employee has utilized EAP services. | EVT+0 | Date Survey Analysis Was Completed | Destroy Confidential | Yes | HR |
| UWHR0603 | University Wellness Program and Related Activities | This 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 Years | Creation | Destroy | No | HR |
| UWHR0700 | H-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 Year | Last 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 Confidential | Yes | HR |
| UWHR0701 | PERM = Program Electronic Review Management (also referred to aslabor certificationÂ). | Copies of PERM applications filed with Department of Labor and all supporting documentation, including: Prevailing wage determination, Advertising and other recruitment activities, Notice of postings/notices to unions, Recruitment reports, Evidence of resumes received and detailed reasons for rejections, Evidence of business necessity (if applicable), Evidence of attempts to contact applicants, and Documentation. | EVT + 5 Years | Date of Filing | Destroy Confidential | Yes | HR |
| UWHR0702 | H-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 Years | Last Date of Employment | Destroy Confidential | Yes | HR |
| UWHR0703 | PR (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 Years | Date Permanent Residency Obtained | Destroy Confidential | Yes | HR |
| UWHR0800 | Student Evaluations or Summary of Tenured Faculty, Academic Staff, Teaching Assistants and PAs | This 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 Years | End of the Semester in which the Evaluation was Completed | Destroy Confidential | Yes | HR |
| UWHR0801 | Student 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 Years | End of the Tenure Review Process | Destroy Confidential | Yes | HR |
| UWHR0802 | Faculty Tenure File Successful and Unsuccessful | This 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 Years | Date of Final Tenure Decision | Transfer to Institutional Archives per policy for archival review | Yes | HR |
| UWHR0900 | Employee Training Request Documentation | Document used to obtain approval to attend, register for specific classes, and document that the person attended specific training program. | CR+1 Year | Creation | Destroy | No | HR |
| UWHR0901 | Course Evaluation for Employee Training | This record series documents written information from course attendees evaluating the class and facilitators or instructor who presents the material. | CR+1 Year | Date of Creation | Destroy | No | HR |
| UWHR0902 | Human Resource Training Vendors | This record series contains vendor files on presenters who have taught or provided training to University of Wisconsin Staff. | EVT+1 Year | Date that the Vendor Last Provided a Class | Destroy | No | HR |
| UWHR0903 | Human Resource Training Course Materials | This record series consists of, but is not limited to: the curriculum training materials, presenters and related materials for training programs and presentations. | EVT + 5 Years | Date Old Materials are Superseded | Destroy | No | HR |
| UWHR0904 | Human Resource for Tracking Employee Training | This 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 Years | Date of Employee Termination | Destroy Confidential | Yes | HR |
| UWIT0001 | Project Plans and Charters | Records 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 years | Project completion or end date. | Transfer to Institutional Archives | No | Information Technology |
| UWIT0002 | IT Project Status Reports, Workflow and Test Plans | Project 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 years | Project completion or end date. | Destroy/Delete | No | Information Technology |
| UWIT0003 | Program Source Code | Program source code including run or job controls | 3 years | Code is superseded or replaced | Destroy/Delete | No | Information Technology |
| UWIT0004 | Electronic Records Software and Documentation and System Maintenance | Proprietary 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 retained | No | Information Technology | ||
| UWIT0005 | Audit Trails: Routine Administrative Information | System-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 years | Date of completion and/or audit report | Destroy/Delete | No | Information Technology |
| UWIT0006 | Operating System and Hardware Migration Conversion Planning | Planning 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 years | Completion of Conversion | Destroy/Delete after data is transferred to a new format | No | Information Technology |
| UWIT0007 | Telephone Voicemail System Call Detail | Telephone system call detail includes: Call Date, Call Time, To Number, From Number and Call Duration | 4 years | Created | Destroy/Delete | No | Information Technology |
| UWIT0008 | IT Telecom Maintenance Work Order Files and Logs | Telephone 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 year | date of completion and audit report | Destroy/Delete | No | Information Technology |
| UWIT0009 | Network Support Service History and Summary | Site visit report, trouble reports, service history, network upgrade documentation and other related correspondence. | 1 year | Created | Destroy/Delete | No | Information Technology |
| UWIT0010 | Network Architecture and Configuration Documentation | Network architecture documentation, configuration management and circuit inventory system | 3 years | Discontinuance of System | Destroy/Delete | No | Information Technology |
| UWIT0011 | Network or Circuit Installation, Outage Files | Work orders, correspondence, work schedules, building/circuit diagrams including network outages and application outage | 1 year | Created | Destroy/Delete | No | Information Technology |
| UWIT0012 | Data Documentation/Metadata | Data dictionary's, definitions, and data structures, file layout, code translations and associated reports | 3 years | Discontinuance of System | Destroy/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 format | No | Information Technology |
| UWIT0013 | Computer Security Incident and Investigation | Incidents 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 appropriate | 5 years | Date that incident was resolved | Destroy/Delete | Yes | Information Technology |
| UWIT0014 | Assignment and Authorizations for Users | This 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 years | Departure of employee from employment | Destroy/Delete | Yes | Information Technology |
| UWIT0015 | Computer and Information Systems Logs | Firewall 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 first | Created | Destroy/Delete | No | Information Technology |
| UWIT0016 | IT Disaster Recovery Planning and Testing Records | Business 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 Superseded | Destroy/Delete | No | Information Technology | |
| UWIT0017 | IT Disaster Recovery Records | Public 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 Days | Date of Disaster/Event | Destroy/Delete | Yes | Information Technology |
| UWPAY001 | Employee Time Records (Academic and University Staff) | Records created or entered by employees to record their work time and/or leave. This includes recording including sick time and vacation, legal holidays and personal time. Electronic submission of leave reports through HRS will be archived in the HRS Enterprise Performance Management (EPM) Data Warehouse for at least six years which meets the requirements for 29CFR 516.5(a) Payroll records retention of 3 years. | 6 years | Date supervisor approved leave report or timesheet report | Destroy confidential | Yes | Payroll |
| UWPAY002 | Time and Labor Administrative Reports | This series contains various types of reporting from the HRS system to check on reported time. In many instances, these reports monitor issues that need to be resolved or the payroll will not be processed. Records include but are not limited to: Payable Status Report, Total 80-Summations of Reported Time, Future Time Entry, Comparison of Payable Time to Timesheets, Time Approval Reference report, Labor Reference Report, Rejected Time Report; Schedule Definition Report, Weekly/day schedules. | 1 year | Created | Destroy confidential | Yes | Payroll |
| UWPAY003 | Employee Earnings Statement and Leave Balances and Leave Activity Summary Reporting | Leave Balance and Activity Reporting. Statements show leave time taken during a designated pay period. Leave balances are available to employees via MyUWPortal or My UWSystem or UW-Extension. Earning Statements, Tax Statements and W-2 are available to employees via MyUWPortal or My UWSystem or UW-Extension. | 15 years | Created | Destroy confidential | Yes | Payroll |
| UWPAY004 | Leave Activity Summary Reports -- Institution | This report shows cumulative year to date leave activity by pay period. | 15 years | Created | Destroy confidential | Yes | Payroll |
| UWPAY005 | Leave of Absence Request Forms | Forms completed by individual UW System employees requesting leaves of absence (other than sabbatical leave) and approved by supervisors and department/ employing unit head. | 5 years | Created | Destroy confidential | Yes | Payroll |
| UWPAY006 | Leave of Absence Reports | The approval of various types of leaves is processed through HR channels within the particular UW institution or employing unit. The recording/monitoring of leaves falls within the absence management function of HRS. Report lists the employees on a LOA so their payment status can be monitored. The Service Center will use the report to monitor which leave employees have paid and will manually add a general deduction for those who do not pay within the allotted time period so that they can be charged upon return from leave. The following reports are included in this series: Leave of Absence Report-UIA Eligible (JIRA #6908) | 15 years | Created | Destroy confidential | Yes | Payroll |
| UWPAY007 | UW-System Leave Plan Types | The HRIS system manages several leave plan types: FMLA (Family Medical Leave); University, Academic, Leave without Pay, Sabbatical, Military and other leave plans. HRIS tables contain details of the plans. (When the HR Manager enters employees who have an approved leave status, they are assigned a leave type based on the leave plans.) Note: HRIS: The description of the various leave plans must be retained as long as employees are covered by them and are employed by the UW System. | Retain until superseded | Superseded | Destroy confidential | Yes | Payroll |
| UWPAY008 | Payroll Registers and Vouchers | Payroll listings showing gross and net pay, as well as deductions for UW employees. These are the basis for all salary payments and are referred to on questions of back pay and income taxes. Also includes payroll voucher Signature page for each payroll. Payroll Voucher Payroll listing | 6 years | Fiscal year | Destroy confidential | Yes | Payroll |
| UWPAY009 | Garnishment Records | Records consist of UW employee wage actions for state or federal court ordered wage assignments or earnings garnishment, federal IRS levies and Wis. Dept. of Revenue liens. This is consistent with Federal requirement N1-GRS-92-4 item 18. Records may include original writs of garnishment; recapitulations of amounts withheld; and related records. | 6 years | Levy or garnishment is terminated | Destroy confidential | Yes | Payroll |
| UWPAY010 | Tax Withholding Reporting Files | Records series includes forms and reports related to employees' federal and state income tax withholding activities and documentation of withholding. Series includes, but is not limited to the following forms and reports: Certificate of Exemption Prepayment of Taxes; Employer's Quarterly Federal Tax Return; Employers Annual Reconciliation of Wisconsin Income Tax Withheld From Wages; Federal Bi-Weekly Tax Deposit Coupon; Federal Income Tax, Social Security, Medicare Bi-Weekly Report; Form 941 Payment Voucher; Statement to Correct Information; Transmittal of Corrected Income and Tax Amounts; Undeliverable W-2, W-2C, 1042-S and W-200 forms; Wisconsin Tax Deposit Report Coupon. This series also includes MILITARY PAY VOUCHERS that are created for employees. Note: The series includes interface files that transmit data from the university to Federal and State government. The same retention period applies to the interface file as to the report or form. | 5 years | Created | Destroy confidential | Yes | Payroll |
| UWPAY011 | Unemployment Compensation Report to Dept. of Workforce Development | This series includes a report and transfer file (interface) sent to the Department of Workforce Development. | 5 years | Created | Destroy confidential | Yes | Payroll |
| UWPAY012 | COBRA Related Reports | Reports related to the eligibility and enrollment in COBRA. Includes report listing individuals denied COBRA coverage because they were dismissed for cause, required COBRA notification for eligible employees, COBRA error report (JIRA #6986), COBRA Notification Letters and Enrollment forms (JIRA #6985). | 5 years | Date of employee Termination | Destroy confidential | Yes | Payroll |
| UWPAY013 | Employee Payroll Case File -- Institutional | Records series includes various documents that are maintained in the Institutional Payroll Office and regularly superseded by updated documents during the employee's term of employment in the institution. Items in both series include the following items: Withholding Agreements: Forms filed by employees authorizing withholding of income from paychecks. Records in this series include required withholding agreements, notifying the employer (State) of federal and State income tax withholding allowances; tax sheltered annuity, deferred compensation and savings bond authorizations; and various other voluntary authorizations. Records in this series are used to document withholding agreements and authorizations for each employee. Series includes but is not limited to the following agreements/forms: Tax Withholding Forms such as IRS 1001, IRS 8233, W4, Earned income Credit, WT-4 State Withholding Allowances; Other Withholding (For a detailed list please consult index); Accidental Death and Dismemberment Application; Dental Insurance Application; Direct Deposit Authorization; Employee Reimbursement Account Enrollment Form; Savings Bond Deduction Authorization; Tax Sheltered Annuity Authorization; Miscellaneous Dues and Deduction Authorization Cards. | 50 years | Date of employee termination | Destroy confidential | Yes | Payroll |
| UWPAY014 | Employee ETF/Benefits Case File -- Institution | This records series includes the benefit forms, withholding, applications, notifications, etc. that are current at the time of employee termination. After the employee terminates from the particular institution, the case file is maintained to determine the employee's rights to various benefits. These records are the responsibility of the employing institution. Employees will complete new withholding authorization forms when they move to another institution. However, records in this series may be used to provide backup documentation of the employee's payroll activities. State of Wisconsin ETF is the official holder of Benefit Records. | 5 years | Date of employee termination | Destroy confidential | Yes | Payroll |
| UWPAY015 | Annual Benefit Statements/Benefit Reports | This series consists of Annual benefit statements produced the HRIS system. This statement reflects all benefit programs in which the employee is currently enrolled and total employer/employee contributions to them. Access to employees via MyUWPortal or My UWSystem or UW-Extension. | 5 years | Date of employee termination | Destroy confidential | Yes | Payroll |
| UWPAY016 | Summary reports of Benefits Programs provided to ETF | Records series includes copies of summary reports of benefit programs that are administered by the Department of Employee Trust Funds (ETF) and other insurance carriers as listed below Summary Reports to/from. Also includes Enrollment Reports and Benefit Confirmation Reports and Program Vendor Data Files and Life Insurance Reports sent to vendors. ETF-UW: This group of records includes various summary reports required to be sent to ETF by UW. Reports are used to remit funds and provide information on benefits accrued in ETF-administered programs, including WRS, ERA, health, life, and ICI Insurance's. Note: The UW must retain copies of reports sent to ETF if applicable to employees in their agency for 7 years in order to correct information. | 7 years | Created | Destroy confidential | Yes | Payroll |
| UWPAY017 | Wisconsin Retirement System Reporting -- WRS | Electronic Data file is created after each payroll is processed that includes data for each employee, including the employment category, earning, hours worked and data necessary for monthly and annual WRS Reporting. | 15 years | Created | Destroy confidential | Yes | Payroll |
| UWPAY018 | Tax Sheltered Annuity -- TSA Multiple Enrollments Reports | Reports to identify employees with multiple TSA enrollments who are close to reaching the IRS maximum to determine which TSA deduction to allow to go through, and which deductions to manually override for the remainder of the year. | 5 years | Created | Destroy confidential | Yes | Payroll |
| UWPAY019 | Payroll Accounting and Benefit Reports and Transfers | Record series consists of reports and correspondence that have fiscal audit value related to transfers of payroll funds. Series documents issues and concerns related to transfers of funds to banks for state payroll, reports that total saving bond deduction totals and other summary accounting reports that provide backup documentation to support the WiSMART system. Items in this series include but are not limited to the following: Electronic Deposit Correspondence between processing center and banks that deposit employee paychecks through electronic deposit; ACH -- Automatic Check Transfer -- Cancellations Notice; Saving Bond Deduction Total reports; Saving Bond Payment for; Retroactive Benefit Calculation Report -- (JIRA #6919); Retroactive Benefit Missing Premium Report (JIRA #6905); Deduction Pre-pay Reconciliation Report (JIRA #6905). | 5 years | Created | Destroy confidential | Yes | Payroll |
| UWPAY020 | Core Payroll History Data | This electronic file includes the results of personnel transactions affecting employee's payroll such as hires, transfers, terminations, reclassifications and reallocations. Files contain data elements for each employee, including appointments, deductions, hours, payroll balances, deduction balances, and retroactive adjustments to hours worked, lump-sum pay adjustments, dollar and hour balance adjustments, refunds, wage assignments and check cancellations. This electronic file functions as the source for federal and state tax reporting, W-2 production and other year-end reports. The HRS Core Payroll data file is created when payroll calculation data is created/added to the employee permanent payroll history after the payroll confirmation process has been run. The payroll microfiche jacket will contain the following types of information: date of payroll, type of payroll, gross earnings, and deferred items. the jacket will be maintained with the Master Payroll Fiche for 50 years. Also included under these records series and the 50 year retention requirement are the following reports: Audit Tables Query Report (JIRA #6918). | 50 years | Created | Destroy confidential | Yes | Payroll |
| UWPAY021 | System-wide Tax Summary | This is a printout done annually which includes all income tax information on each employee. | 7 years | Transfer to archives | Yes | Payroll | |
| UWPY0016 | TSA (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 Report | HRS: 7 years. Campuses: N/A | Created | Destroy Confidentially | Yes | Payroll |
| UWPY0025 | Payroll - Benefit Administrative Reference Reports | Includes 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. | Created | Destroy Confidentially | Yes | Payroll |
| UWPY0026 | Benefit Comparison Summary Report | Report summarizes benefit contributions by worker and employer for a population of employees. | HRS: 5 years. Campuses: administrative need not to exceed 1 year. | Created | Destroy Confidentially | Yes | Payroll |
| UWPY0027 | Base Benefit Audit Report | This 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. | Created | Destroy Confidentially | Yes | Payroll |
| UWPY0040 | Withholding Authorizations | Includes 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) | Termination | Destroy Confidentially | Yes | Payroll |
| UWPY0041 | Payroll Audit/Error Reports | A 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. | Created | Destroy Confidentially | Yes | Payroll |
| UWPY0044 | Wisconsin PMIS File | This 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/A | Created | Destroy Confidentially | Yes | Payroll |
| UWRES001 | Housing Policy and Administrative Records | This 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 years | Created | Transfer to Archives | No | Residential |
| UWRES002 | Housing Generated Reports | This 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 years | Created | Destroy | Yes | Residential |
| UWRES003 | Residence Hall Staff Records | These 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 years | Created | Destroy | Yes | Residential |
| UWRES004 | Emergency Management Records | Records 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 years | Superseded | Destroy | No | Residential |
| UWRES006 | Student Conduct Records | The 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 years | End of contract | Destroy | Yes | Residential |
| UWRES008 | Sample Materials, Promotions, and Publications | Materials 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 years | Superseded | Transfer to Archives | No | Residential |
| UWRES009 | Conference Center and Attendee Reservations Records | Conference 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 years | End of contract | Destroy | Yes | Residential |
| UWRES012 | Catering Records | This 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 years | End of Fiscal Year | Destroy | No | Residential |
| UWRSC009 | IRB Minutes | Minutes, attachments, agendas and meeting announcements. Committee minutes review and approve protocols and ensure that regulations are met for research and are appropriately followed. | 3 years | Approval of Minutes | Destroy | Yes | Research |
| UWRSC010 | IRB Protocols | Correspondence, 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 years | Completion of research activity | Destroy | No | Research |
| UWRSC011 | Continuing Review Records | Records 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 years | Created | Destroy | Yes | Research |
| UWRSC012 | Determination of IRB Submission Forms | Forms 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 months | Created | Destroy | No | Research |
| UWRSC013 | Animal Care and Use Protocols | Animal 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 years | Completion of research activity | Destroy | Yes | Research |
| UWRSC014 | Animal Care Committee Materials | Minutes, attachments, agendas and meeting announcements. Committee minutes review and approve protocols and ensure that regulations are met for research and are appropriately followed. | 3 years | Created | Destroy | Yes | Research |
| UWRSC015 | Animal Care Certification Materials | Records 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 years | Superseded | Destroy | No | Research |
| UWRSC015A | Animal Care Certification Results | Records 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 months | Recording of results in master database. | Destroy | Yes | Research |
| UWRSC015B | Animal Care Certification Log | Continually-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 status | 7 years | Expiration of Eligibility | Destroy | Yes | Research |
| UWRSC016 | Animal Adoption Agreements | Records 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 years | Created | Destroy | No | Research |
| UWRSC017 | Animal Ordering and Husbandry Records | Forms 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 years | Created | Destroy | No | Research |
| UWRSC018 | Animal Health Records | Health 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 years | Completion of research activity | Destroy | No | Research |
| UWRSC019 | Commercial Companies Records | Records 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 years | Completion of research activity | Destroy | Yes | Research |
| UWRSC020 | Technology Transfer Records--Administrative | Records 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 years | Completion of research activity | Destroy | Yes | Research |
| UWRSC021 | Technology Transfer Records--Inventions and Patents | Key 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 years | Created | Transfer to UW Archives | No | Research |
| UWRSC022 | Hazardous Materials Records | Records 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 years | Completion of research activity | Destroy | No | Research |
| UWRSC023 | Safety Data Sheets | Forms identifying describing the potential harm particular substances in use by researchers, including where and when the chemical or substance was used. Per 29 CFR ç 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 years | Superseded | Destroy | No | Research |
| UWRSC024 | Radionuclide Possession and Use Records | Forms 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 years | Completion of research activity | Destroy | No | Research |
| UWRSC025 | Personal Dosimeter Application | Applications 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. | Permanent | Permanent | No | Research | |
| UWRSC026 | Dosimetry Reports | Reports 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 request | Permanent | Permanent | Yes | Research | |
| UWRSC027 | Authorized User Inventories | Records 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 years | Superseded or End User Access | Destroy | No | Research |
| UWRSC028 | Radiation Safety Program Inventories | Records 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 years | Termination of Institution License | Destroy | Consult Legal | Research |
| UWRSC029 | Contamination Surveys | Routine 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 years | Created | Destroy | No | Research |
| UWRSC030 | Incident Reports | Reports 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 years | Created | Destroy | No | Research |
| UWRSC031 | Research Clinic Client Files-- Adult | Records 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 years | Last Contact with Client | Destroy | Yes | Research |
| UWRSC031A | Research Clinic Client Files--Children | Records 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 years | 19th Birthday of client | Destroy | Yes | Research |
| UWRSC032 | Clinical Studies, Trials and Participant Study Records | This 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 years | Last Contact with Client | Destroy | Yes | Research |
| UWRSC033 | Laboratory Reports | Records 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 years | Completion of research activity | Destroy | Yes | Research |
| UWRSC034 | Campus Survey Studies | Studies 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 survey | 10 years | Publication of report | Transfer to UW Archives | No | Research |
| UWRSC034A | Survey Raw Responses | Raw 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 months | Compilation of responses into summary report/spreadsheet | Destroy | Yes | Research |
| UWRSC035 | Research Project Administrative Records | Records 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 years | Publication of report | Transfer to UW Archives | No | Research |
| UWRSC035A | Grant Final Reports | Final 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 years | Submission of Report | Transfer to UW Archives | No | Research |
| UWSFA001 | General Student Records-- Financial Aid | The 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 years | End of the Award Year in which the Student Last Attended | Destroy Confidential | Yes | Financial Aid |
| UWSFA002 | Student Information System (Sis) Database Records | Financial 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 Years | End of the Award Year in which the Student Last Attended | Destroy Confidential | Yes | Financial Aid |
| UWSFA003 | Student Accounts Records | Account 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 Years | End of the Award Year in which the Student Last Attended | Destroy Confidential | Yes | Financial Aid |
| UWSFA004 | Program Participation Agreement | Written 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 Years | End of the Award Year in which the Student Last Attended | Destroy Confidential | Yes | Financial Aid |
| UWSFA005 | Program Review Records | Records documenting university program reviews which include department/program selfÃÂ evaluation studies; outside agency reviews including accrediting agencies for areas such as nursing, social work, education, etc.; college and committee review and approvals; and approvals of deans, faculty senate, provost and the UW system. The review process and related activities can take multiple years. The review helps validate the eligibility of the university to participate with students in financial aid grants, loans and scholarship programs. | 4 Years | End of the Award Year in which the Report was submitted | Transfer to University Archives | No | Financial Aid |
| UWSFA006 | Accrediting And Licensing Agency Reviews, Approvals And Reports | Reports, 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 Years | End of the Award Year in which the Report was submitted | Destroy | No | Financial Aid |
| UWSFA007 | Remote Sites Report | This 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 years | End of the Award Year in which the Report was submitted | Transfer to University Archives | No | Financial Aid |
| UWSFA008 | Student Grant Administrative Files | Various 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 Years | End of the Award Year in which the Student Last Attended | Destroy Confidential | Yes | Financial Aid |
| UWSFA009 | Student Grant Vouchers | Student vouchers used for individual grant disbursement and reporting and related documentation, including correspondence related to the vouchers and voucher request forms. | 4 Years | End of award year for which the aid was awarded | Destroy Confidential | Yes | Financial Aid |
| UWSFA01A | General Student Financial Aid Records - For Student Without Loans | This record series is for those Student Financial Aid Records in which the Student was not eligible or did not accept the loan. | 3 Years | Date of application | Destroy Confidential | Yes | Financial Aid |
| UWSFA010 | Military Education Benefits And Supporting Records | Various 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 Years | End of award year for which the aid was awarded | Destroy Confidential | Yes | Financial Aid |
| UWSFA011 | Student Loan Program Administration | Various 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 Years | End of the Award Year in which the Student Last Attended | Destroy Confidential | Yes | Financial Aid |
| UWSFA012 | Report To Higher Learning Commission | Review 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 Years | End of the Award Year in which the Report was submitted | Transfer to University Archives | No | Financial Aid |
| UWSFA013 | Fiscal 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 Years | End of the Award Year in which the Report was submitted | Destroy | No | Financial Aid |
| UWSFA014 | Annual 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 Years | End of the Award Year in which the Report was submitted | Destroy | No | Financial Aid |
| UWSFA015 | Student Loan Repayment Records | Records 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 Years | The date on which a loan is assigned to the Department, | Destroy Confidentially | Yes | Financial Aid |
| UWSFA016 | Perkins Original Promissory Note | The 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 Years | The date the loan is satisfied or the documents are needed to | Destroy Confidentially | Yes | Financial Aid |
| UWSFA017 | Student Loan Case Files (Non-Perkins) - Promissory Note | Documentation 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 Years | The date the loan is satisfied or the documents are needed to | Destroy Confidentially | Yes | Financial Aid |
| UWSFA018 | Bureau Of Indian Affairs Certifications | Forms 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 Years | Date of Application | Destroy Confidentially | Yes | Financial Aid |
| UWSFA019 | Federal 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 Years | End of the award year in which the student last attended | Destroy Confidentially | Yes | Financial Aid |
| UWSFA020 | Reconciliation Reports For Title IV And State Programs | Reports 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 Years | End of the Award Year in which the Report was submitted | Destroy Confidentially | Yes | Financial Aid |
| UWSFA021 | State Grant And Scholarship Award Roster And Reports | Reports 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 years | End of the Award Year in which the Report was submitted | Destroy Confidentially | Yes | Financial Aid |
| UWSFA022 | Federal Work-Study Administrative Records | Non-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 Years | End of the award year in which the student last attended | Destroy | No | Financial Aid |
| UWSFA023 | Work 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 Years | Date of Application | Destroy Confidentially | Yes | Financial Aid |
| UWSFA024 | Work 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 Years | End of last fiscal year of employment | Destroy Confidentially | Yes | Financial Aid |
| UWSFA025 | Work 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 Year | End of last fiscal year of employment | Destroy Confidentially | Yes | Financial Aid |
| UWSFA026 | Fiscal And Budget Reports For Student Workers | Reports created with existing data from time reporting and payroll systems to monitor. | 1 Year | End of last fiscal year of employment | Destroy Confidentially | Yes | Financial Aid |
| UWSFA03A | Student Accounts - For Student Without Loans | This 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 Year | Destroy Confidential | Yes | Financial Aid |
| UWSTA100 | Behavioral Incident Reports -- Not Resulting in Student Agreement with Conditions or Expulsion | Reports filed with the University due to a student's behavior that violated University policy. This series applies to reports documenting incidents that were not found severe enough to warrant a student entering into agreements with conditions with the University or resulting in a student's expulsion. Reports include but are not limited to: General Incident -- Reports documenting behavioral misconduct, crimes as required by the Clery Act, or general informational reports including student grievances and complaints. Hate/Bias Incident -- Report documenting an act of bias or hate crime when the crime is based on race/ethnicity, religion, sexual orientation, gender/gender identity or disability. Student of Concern -- General report of concern for students (ex.: mental health, missing student, physical health, concerning behavior, death in the family, academic struggles). This report initiates a campus response based on description of concern and degree of urgency. Interpersonal Violence -- Report of incidents of interpersonal violence including dating or domestic violence, stalking, or sexual harassment. These are Title IX records. Information in these reports may include, but is not limited to: filers name, job position/title, phone number, email address, physical address, reason for filing, level of urgency of report, date and time of incident, location of incident, campus ID number, drivers license number, identification of parties involved, descriptive narrative of event, photographs, video and emails. On some campuses these records may be retained with Student Response Team or Behavior Intervention Team records (UWSTA106). These records are commonly maintained in the Maxient management system. | 7 years | Date report closed | Destroy confidentially | Yes | Student Affairs |
| UWSTA101 | Behavioral Incident Reports Resulting in Student Agreements with Conditions | Reports filed with the University due to a student's behavior that violated University policy. This series applies to reports documenting incidents that were found severe enough to warrant a student entering into an agreement with conditions with the University, a settlement process defined in Wis. Admin. Code UWS 17.15, but not resulting in a student's expulsion. Reports include but are not limited to: General Incident -- Reports documenting behavioral misconduct, crimes as required by the Clery Act, or general informational reports including student grievances and complaints. Hate/Bias Incident -- Report documenting an act of bias or hate crime when the crime is based on race/ethnicity, religion, sexual orientation, gender/gender identity or disability. Student of Concern -- General report of concern for students (ex.: mental health, missing student, physical health, concerning behavior, death in the family, academic struggles). This report initiates a campus response based on description of concern and degree of urgency. Interpersonal Violence -- Report of incidents of interpersonal violence including dating or domestic violence, stalking, or sexual harassment. These are Title IX records. Information in these reports may include, but is not limited to: filers name, job position/title, phone number, email address, physical address, reason for filing, level of urgency of report, date and time of incident, location of incident, campus ID number, drivers license number, identification of parties involved, descriptive narrative of event, photographs, video and emails. On some campuses these records may be retained with Student Response Team or Behavior Intervention Team records (UWSTA107). These records are commonly maintained in the Maxient management system. | 10 years | Date agreement conditions met | Destroy confidentially | Yes | Student Affairs |
| UWSTA102 | Behavioral Incident Reports Resulting in Expulsion | Reports filed with the University due to a student's behavior that violated Universtiy policy. This series applies to reports documenting incidents that were found severe enough to warrant a student's expulsion from the University. Reports include, but are not limited to: General Incident -- Reports documenting behavioral misconduct, crimes as required by the Clery Act, or general informational reports including student grievances and complaints. Hate/Bias Incident (including death of victim) -- Report documenting an act of bias or hate crime when the crime is based on race/ethnicity, religion, sexual orientation, gender/gender identity or disability. Student of Concern -- General report of concern for students (ex.: mental health, missing student, physical health, concerning behavior, death in the family, academic struggles). This report initiates a campus response based on description of concern and degree of urgency. Interpersonal Violence -- Report of incidents of interpersonal violence including dating or domestic violence, stalking, or sexual harassment. These are Title IX records. Sexual Assault (Including 1st Degree) -- Report filed by students, faculty and staff or community members of a sexual assault they witnessed or received a report of. All UW employees are required to file this report as outlined in Wis. Stat. 36.11(22)(c). These are Title IX records. Information in the above reports may include, but is not limited to: filers name, job position/title, phone number, email address, physical address, reason for filing, level of urgency of report, date and time of incident, location of incident, campus ID number, drivers license number, identification of parties involved, descriptive narrative of event, photographs, video and emails. On some campuses these records may be retained with Student Response Team or Behavior Intervention Team records (UWSTA108). These records are commonly maintained in the Maxient management system. | 30 years | Date of expulsion | Destroy confidentially | Yes | Student Affairs |
| UWSTA103 | Behavioral Disciplinary Action Records -- Not Resulting in Student Agreement with Conditions or Expulsion | Records documenting the adjudication of rules infractions by University students that were not found severe enough to warrant a student entering into any agreements with conditions with the University or resulting in a student's expulsion. Records include behavioral dismissal records, behavioral expulsion records, and behavioral suspension records and all supporting documents. | 7 years | Creation | Destroy confidentially | Yes | Student Affairs |
| UWSTA104 | Behavioral Disciplinary Action Records Resulting in Student Agreements with Conditions | Records documenting the adjudication of rules infractions by University students that were found severe enough to warrant a student entering into an agreement with conditions with the University, a settlement process defined in Wis. Admin. Code UWS 17.15, but not resulting in a student's expulsion. Records include, but are not limited to, behavioral dismissal records and behavioral suspension records and all supporting documents. | 10 years | Creation | Destroy confidentially | Yes | Student Affairs |
| UWSTA105 | Behavioral Disciplinary Action Records Resulting in Expulsion | Records documenting the adjudication of rules infractions by University students that were found severe enough to warrant a student's expulsion from the University. Reports include, but are not limited to: behavioral dismissal records, behavioral expulsion records, and behavioral suspension records and all supporting documents. | 30 years | Creation | Destroy confidentially | Yes | Student Affairs |
| UWSTA106 | Student Behavior Intervention Team (BIT) Case Files -- Not resulting in Student Agreement with Conditions or Expulsion | Records assembled by a multidisciplinary team charged with investigating and supporting students who may be struggling with mental health issues including suicidal ideations and disruptive conduct. This series applies to case files that were not found severe enough to warrant a student entering into any agreements with conditions with the University or resulting in a student's expulsion. Records produced by this team consist of but are not limited to: notes, summaries, and correspondence. May be known as the Student Response Team or by another name at UW campuses. | 7 years | Close of case | Destroy confidentially | Yes | Student Affairs |
| UWSTA107 | Student Behavior Intervention Team (BIT) Case Files resulting in Student Agreement with Conditions | Records assembled by a multidisciplinary team charged with investigating and supporting students who may be struggling with mental health issues including suicidal ideations and disruptive conduct. This series applies to case files that were found severe enough to warrant a student entering into an agreement with conditions with the University, a settlement process defined in Wis. Admin. Code UWS 17.15, but not resulting in a student's expulsion. Records produced by this team consist of but are not limited to: notes, summaries, and correspondence. May be known as the Student Response Team or by another name at UW campuses. | 10 years | Close of case | Destroy confidentially | Yes | Student Affairs |
| UWSTA108 | Student Behavior Intervention Team (BIT) Case Files Resulting in Expulsion | Records assembled by a multidisciplinary team charged with investigating and supporting students who may be struggling with mental health issues including suicidal ideations and disruptive conduct. This series applies to case files that were found severe enough to warrant a student's expulsion from the University. Records produced by this team consist of but are not limited to: notes, summaries, and correspondence. May be known as the Student Response Team or by another name at UW campuses. | 30 years | Close of case | Destroy confidentially | Yes | Student Affairs |
| UWSTA200 | Disability Service Student Case Files | Case files of students requesting disability services at an institution. Records may include, but are not limited to: medical or psychological documentation of a disability and statements of accommodations received in the past from either a high school or other secondary education facility, such as in the form of an IEP (Individual Evaluation Plan) or 504 Plan. Also, records of accommodations provided, student class schedules, and other pertinent letters or documents. | 7 years | Last day of enrollment | Destroy confidentially | Yes | Student Affairs |
| UWSTA201 | Disability Service Student Case Files -- Not Pursued | Case files of students requesting disability services at an institution but made inactive after the student failed to continue the application process or chose to not receive services. Files contain information on available disability services. This includes general description of disability type, student ID# if student is currently enrolled, preliminary request forms, and some documentation sent in but not completed. | 2 years | Last day of enrollment | Destroy confidentially | Yes | Student Affairs |
| UWSTA300 | Child Care Center Child Files | Series containing multiple types of records created for the management of individual children cared for in the child center. Records include, but are not limited to: registration/enrollment forms and contracts, registration forms filled out by parents or guardians, parental consent/media release, development history form, and the signed contract between parents or guardians and the university. Information in these records may include child's name, parent's name, driver's license number, social security number, drop off/pick up time, fee, and insurance information. This series includes waiting list enrollment. | 3 years | Last date of attendance | Destroy confidentially | Yes | Student Affairs |
| UWSTA301 | Child Care Center Child Files -- Not Enrolled | Records collected during the application process for a child that ultimately was never enrolled. Records in this series may include, but are not limited to: registration/enrollment forms and contracts, parental consent/media release form, development history form, parent or child schedules, and child health records. | 1 year | Date of application | Destroy confidentially | Yes | Student Affairs |
| UWSTA302 | Attendance Records | Written record of a child's daily attendance at the child care center for the length of time the child is enrolled. | 3 years | Last day of attendance | Destroy confidentially | No | Student Affairs |
| UWSTA303 | Child Care Center Scheduling | Series containing multiple types of records created to organize the care of children at the child care center. Records include, but are not limited to: Parent Schedule: Form indicating emergency contact information, employment status, work schedule, class schedule, etc. for parents or guardians that leave their children in the care of the Child Care Center. Child's Schedule Change: Form changing time/days of care at the child care center. | 3 months | Last day of attendance | Destroy confidentially | Yes | Student Affairs |
| UWSTA304 | Child Care Center Child Health Records | Series containing multiple types of records created for the management of the health and safety of children in the care of the child care center. Records include, but are not limited to: Immunization Records: Records documenting the history of vaccines received by the child. Health History and Emergency Care Plan: identifies family physician, child's medical conditions, and emergency contact information. Child Health Report: Instructions for children with special problems and allergies and immunizations to not be administered for medical reasons. Authorization to Administer Medication: Form completed by parent or guardian to give care center permission to administer medication to their child. | 3 years | Last day of attendance | Destroy confidentially | Yes | Student Affairs |
| UWSTA305 | Menus for Meals and Snacks | Records documenting all meals and snacks that are provided at the child care center. | 3 months | Creation | Destroy | No | Student Affairs |
| UWSTA306 | Child and Adult Care Food Program (CACFP) Records | Applications and supporting documentation regarding a federal nutrition program used in child care centers. Records include: enrollment lists, daily records of number of participants indicating type of meal, dates and amounts of disbursement, copies of menus and any other food service records, training documentation, administrative and operating costs, income, claims for reimbursement, receipts of program payments received from the state, food service contracts, health inspection report. | 3 years | Fiscal year | Destroy confidentially | No | Student Affairs |
| UWSTA307 | Reporting and Documentation Records for Wisconsin Department of Children and Families (DCF) | Records pertaining to documentation that the facility is required to create to meet reporting requirements to DCF. Note: DCF holds these records permanently. | 1 year | Date submitted to DCF | Destroy confidentially | No | Student Affairs |
| UWSTA308 | Staff Records | Records documenting personnel issues that are unique to the work of the center and are not part of formal personnel files. These records may include, but are not limited to: demographic data, background verification, physical examination, education qualifications and continued training documentation. | 8 years | Date of separation | Destroy confidentially | No | Student Affairs |
| UWSTA309 | Staff Development and Training Records | Records documenting child care center staff professional development as required under Wis. Admin. Code DCF 251.05 (2). Records include review of center policies, training in emergency procedures, first aid, job descriptions, recognition of childhood illness and infectious disease control, schedule of activities of the center, child abuse awareness, knowledge of where children are, child management techniques and integrations of children with disabilities. | 8 years | Date of separation | Destroy confidentially | No | Student Affairs |
| UWSTA400 | Student Government Administrative Files | Records pertaining to various functions of the Office of Student Life. Subjects may include, but are not limited to: student organizations, student government, task forces, professional organizations, committee minutes, reports, and correspondence, and print promotional materials. | 5 years | Creation | Transfer to archives | No | Student Affairs |
| UWSTA401 | Student Government Legislative and Deliberative Records | Records of the elected student representatives that are chiefly responsible for exercising the legislative powers and duties as stipulated by Wis. Stat. 36.09(5). Records include: constitution, bylaws, agendas, meeting minutes, legislation passed and/or rejected, resolutions, statutes, formal statements, official letters, and correspondence. | 10 years | Creation | Transfer to archives | No | Student Affairs |
| UWSTA402 | Student Court Judicial Records -- Not Resulting in Student Agreement with Conditions or Expulsion | Records documenting disciplinary decisions passed by student court, or equivalent body, regarding campus groups and/or individuals. This series applies to records documenting actions that were not found severe enough to warrant a student entering into any agreements with conditions with the University or resulting in a student's expulsion. Records include: minutes, agendas, correspondence, and formal decisions. | 8 years | End of hearing | Transfer to archives | Yes | Student Affairs |
| UWSTA403 | Student Court Judicial Records Resulting in Expulsion | Records documenting disciplinary decisions passed by student court, or equivalent body, regarding campus groups and/or individuals. This series applies to records of actions that were found severe enough to warrant a student's expulsion from the University. Records include: minutes, agendas, correspondence, and formal decisions. | 30 years | Date of expulsion | Transfer to archives | Yes | Student Affairs |
| UWSTA404 | Student Court Judicial Records Resulting in Student Agreements with Conditions | Records documenting disciplinary decisions passed by student court, or equivalent body, regarding campus groups and/or individuals. This series applies to records of actions that were found severe enough to warrant a student entering into an agreement with conditions with the University, a settlement process defined in Wis. Admin. Code UWS 17.15, but not resulting in a student's expulsion. Records include: minutes, agendas, correspondence and formal decisions. | 10 years | End of hearing | Transfer to archives | Yes | Student Affairs |
| UWSTA405 | Segregated Fee Documentation | Records created in the process to distribute the monies derived from fees assessed to all students to support student services, activities, programs and facilities that support the mission of University of Wisconsin System institutions. Includes allocable and non-allocable segregated fee documentation. Documentation includes: minutes, agendas, deliberations, recordings, budget requests, correspondence, distribution of funds, passed budgets and related records. | 6 years | Fiscal year | Transfer to archives | No | Student Affairs |
| UWSTA406 | Student Fee Purchase Requests | Requests from student organizations and subsidies from student government approved funds. Information collected includes: organization name, contact information, quantity and description of items requested and cost. | 1 year | Creation | Transfer to archives | No | Student Affairs |
| UWSTA407 | Membership Lists | Lists or other forms of documentation listing student government elected office or job assignment and names of those individuals that filled the position. | 6 years | End of appointment | Transfer to archives | No | Student Affairs |
| UWSTA408 | Organization Officer and Adviser Listings | Lists of organization officers and advisers. | 6 years | Superseded | Transfer to archives | No | Student Affairs |
| UWSTA409 | Student Organization Recognition Files | Records assembled in the process of conferring official status upon student groups. Series includes: recognition/re-recognition forms, organization constitution, and/or bylaws or other founding papers. | 6 years | Superseded | Transfer to archives | No | Student Affairs |
| UWSTA500 | Recreation Records | Reports and standings from non-interscholastic athletic activities including: tournaments, leagues, and other special programs. | 1 year | Creation | Destroy | No | Student Affairs |
| UWSTA501 | Student Trip Files | Records pertaining to various aspects of student recreational trips. Includes: contracts, hold harmless agreements, rosters of names, and health immunization forms (for certain trips). | 3 years | Creation | Destroy confidentially | Yes | Student Affairs |
| UWSTA600 | Liability Waivers | Forms and related records documenting an individual's acknowledgement of possible risks associated with activities they participate in. Furthermore, the records, when signed, indicate the participant promises to hold harmless the University if injury does occur. Activities using liability waivers may include, but are not limited to: outdoor or indoor extra-curricular activities, field trips, excursions and other events that might pose some physical risk to participants. Forms may also ask participants to acknowledge that their photograph may be taken and/or audio/video recordings may be made capturing their likeness and used for promotion or similar purposes. Forms typically include: name, age, date of birth, date(s) of activity and a signature of each individual attending. This series covers liability waivers for all university students, staff and guests. | 1 year | Last date of attendance | Destroy confidentially | Yes | Student Affairs |
| UWSTA700 | On-Campus Fee Waiver Form | Signed forms requesting to waive on-campus segregated fees charged to the student and acknowledgment that no services provided with funding from segregated fees through the university will be provided. These forms are often submitted by students at a significant distance from campus, such as those completing their student teaching requirement or participating in distance education. | 5 years | Last day of semester enrolled | Destroy confidentially | Yes | Student Affairs |
| UWSTU001 | Acceptance 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 years | Date of graduation or last attendance | Destroy Confidentially | Yes | Student |
| UWSTU002 | Acceptance 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 year | Date of application | Destroy Confidentially | Yes | Student |
| UWSTU003 | Applications 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 years | Date of graduation or last attendance | Destroy Confidentially | Yes | Student |
| UWSTU004 | Applications 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 year | Date of application | Destroy Confidentially | Yes | Student |
| UWSTU005 | Applications for Admission, falsified | Admissions 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 years | Close of the term for which they applied | Destroy Confidentially | Yes | Student |
| UWSTU006 | Applications for Admission, unsolicited | This 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 years | Close of the term for which they applied | Destroy Confidentially | Yes | Student |
| UWSTU007 | Correspondence, staff, with or concerning enrolled students | The 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 years | Date of graduation or last attendance | Destroy Confidentially | Yes | Student |
| UWSTU008 | Correspondence, staff, with or concerning students who did not enroll | The 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 year | Date of application | Destroy Confidentially | Yes | Student |
| UWSTU009 | Credit by Examination or experiential learning credit records | Examinations 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 program | 5 years (enrolled and non-enrolled students) | Date of graduation or last attendance | Destroy Confidentially | Yes | Student |
| UWSTU010 | Entrance 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 years | Date of graduation or last attendance | Destroy Confidentially | Yes | Student |
| UWSTU011 | Entrance 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 year | Date of application | Destroy Confidentially | Yes | Student |
| UWSTU012 | Graduate School Degree Applications - received | This 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 year | Date of graduation or last attendance | Destroy Confidentially | Yes | Student |
| UWSTU013 | Graduate 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 years | Date of application | Destroy Confidentially | Yes | Student |
| UWSTU014 | Graduate School Admission Applications -residency/fellowship applications | This 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 years | Date of application | Destroy Confidentially | Yes | Student |
| UWSTU015 | Graduate School Qualifying Exams | Examinations 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 years | Date of last attendance | Destroy Confidentially | Yes | Student |
| UWSTU016 | Letters 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 years | Date of application | Destroy Confidentially | Yes | Student |
| UWSTU017 | Letters 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 year | Date of application | Destroy Confidentially | Yes | Student |
| UWSTU018 | Program 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 years | Date of graduation from the program | Destroy Confidentially | Yes | Student |
| UWSTU019 | Program 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 years | Date of application | Destroy Confidentially | Yes | Student |
| UWSTU020 | Residency 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 years | Date of graduation or last attendance | Destroy Confidentially | Yes | Student |
| UWSTU021 | Residency 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 year | Date of application | Destroy Confidentially | Yes | Student |
| UWSTU022 | Transcripts 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 years | Date of application | Destroy Confidentially | Yes | Student |
| UWSTU023 | Transcripts 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 year | Date of application | Destroy Confidentially | Yes | Student |
| UWSTU024 | Veterans 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 years | End of benefit award year | Destroy Confidentially | Yes | Student |
| UWSTU025 | Veterans 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 years | Date of application | Destroy Confidentially | Yes | Student |
| UWSTU026 | Academic Dismissal/Suspension/Expulsion records | University'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 years | Created | Transfer to University Archives | Yes | Student |
| UWSTU027 | Academic Misconduct records | Notification of academic misconduct and documentation of sanctions or disciplinary action including correspondence, reports, requests for hearings, appeals and petitions. | 6 years | Created | Transfer to University Archives | Yes | Student |
| UWSTU028 | Academic Warnings | Academic warning sent by email or paper correspondence informing the student of poor academic performance that threatens continued attendance of the institution. | 5 years | Date of graduation or last attendance | Destroy Confidentially | Yes | Student |
| UWSTU029 | Add/Drop records | Completed course add or drop forms and related records required by the institution to add or drop courses after the registration deadline. | 1 year | Date submitted | Destroy Confidentially | Yes | Student |
| UWSTU030 | Applications 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 year | Date of application | Destroy Confidentially | Yes | Student |
| UWSTU031 | Applications 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 years | Application date | Destroy Confidentially | Yes | Student |
| UWSTU032 | Athlete Academic Records | Records 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 years | Date of graduation or last attendance | Destroy Confidentially | Yes | Student |
| UWSTU033 | Athletic Eligibility Reports | Reports 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 years | Date of submission of official report | Destroy Confidentially | Yes | Student |
| UWSTU034 | Audit Authorizations | Documentation 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 year | Date of submission | Destroy Confidentially | Yes | Student |
| UWSTU035 | Change of Grade Documentation | Documentation 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 years | Date of submission | Destroy Confidentially | Yes | Student |
| UWSTU036 | Changed Grade Record | Paper, student information system (SIS) electronic, or other evidence of a legitimately changed final course grade. | 6 years | Created | Transfer to University Archives | Yes | Student |
| UWSTU037 | Correspondence between students and faculty regarding course content or progress | Correspondence 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 months | Close of semester in which grades are submitted | Destroy Confidentially | Yes | Student |
| UWSTU038 | Correspondence related to academic inquiry | Student Correspondence related to academics other than with current instructors (See UWSTU037) or with Enrollment Services regarding Admission (SeeUWSTU007; UWSTU008) | 6 months | Date of correspondence | Destroy Confidentially | Yes | Student |
| UWSTU039 | Course Repeat Approval Form | Form 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 year | Date of submission | Destroy Confidentially | Yes | Student |
| UWSTU040 | Course Wait List | Lists 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 purposes | End of semester in which list was created | Destroy Confidentially | Yes | Student |
| UWSTU041 | Credit/No Credit Approval Forms | Request 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 year | Date of submission | Destroy Confidentially | Yes | Student |
| UWSTU042 | Criminal 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 years | Date of completed check | Destroy Confidentially | Yes | Student |
| UWSTU043 | Curriculum Change Authorizations | Forms 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 years | Date of submission | Destroy Confidentially | Yes | Student |
| UWSTU044 | Degree Audits | Records 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 years | Date of submission | Destroy Confidentially | Yes | Student |
| UWSTU045 | Diplomas, (returned because undeliverable) | Paper diplomas returned to the university, undeliverable due to incorrect address or other reasons. | 1 year | Date of graduation | Destroy Confidentially | No | Student |
| UWSTU046 | Fellowships 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 years | Date of last attendance | Destroy Confidentially | Yes | Student |
| UWSTU047 | Grade 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 years | End of semester | Destroy Confidentially | Yes | Student |
| UWSTU048 | Grades, official | Official student grades, recorded by Registrar, including material in all formats: paper, electronic, D2L, etc. | Permanent | Created | Yes | Student | |
| UWSTU049 | Graduate School Records for accepted students | This 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 years | Date of receipt of degree or date of last attendance | Destroy Confidentially | Yes | Student |
| UWSTU050 | Graduate School: Thesis/Dissertations/Directed Study | Theses and Dissertations written as part of the requirement for a conferred degree. Some programs allow for Directed Study or a Thesis. | 6 years | Created | Transfer to Library or University Archives per policy of the individual institution | No | Student |
| UWSTU051 | Grievances, 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 years | Date of submission | Destroy Confidentially | Yes | Student |
| UWSTU052 | Hold or Encumbrance Authorizations | Limitations 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 years | Fiscal year of creation | Destroy Confidentially | Yes | Student |
| UWSTU053 | Honors Programs Applicant Files, undergraduate | This record series includes Honors Program applicant files and applications, grade point averages, scholarship and award materials, and statistics. | 5 years | Date of application | Destroy Confidentially | Yes | Student |
| UWSTU054 | Instructional Materials including materials in course management systems | Examinations, 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 year | End of semester in which grades are submitted | Destroy Confidentially | Yes | Student |
| UWSTU055 | Internship Agreements | Agreements, 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 year | Expiration of agreement | Destroy | No | Student |
| UWSTU056 | Internship Contracts | Signed 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 year | Date of end of internship as determined by the University | Destroy Confidentially | Yes | Student |
| UWSTU057 | Major Declarations, Changes, Certification of Second Major, Minors | Electronic 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 years | Graduation or last attendance | Destroy Confidentially | Yes | Student |
| UWSTU058 | Name Change Authorizations | Forms and subsequent records in any form documenting a name change request and action initiated by a student. | 5 years | Date of submission | Destroy Confidentially | Yes | Student |
| UWSTU059 | Petitions, Exceptions to academic rules | Paper 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 years | Date of submission | Destroy Confidentially | Yes | Student |
| UWSTU060 | Registration Forms | Forms 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 year | Date of submission | Destroy Confidentially | Yes | Student |
| UWSTU061 | Schedules--individual student schedule of classes | Electronic 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 year | Date of schedule creation | Destroy Confidentially | Yes | Student |
| UWSTU062 | Student Teacher Field Experience File | Records 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 years | Graduation or semester of last attendance | Destroy Confidentially | Yes | Student |
| UWSTU063 | Study Abroad Program Files | These 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 year | End of program | Destroy Confidentially | Yes | Student |
| UWSTU064 | Syllabi and/or individual Course Calendars | Record 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 years | Last day of course | Transfer to University Archives (the determination of archival value will be made by each institution's archives) | No | Student |
| UWSTU065 | Transcripts, official | Official student academic transcripts showing name, years of attendance, courses attended, grades, major and further academic achievements. | Permanent | Created | Yes | Student | |
| UWSTU066 | Transcripts, student requests | Documentation in any format recording student requests for official copies of their university transcripts. | 1 year | Date of request | Destroy Confidentially | Yes | Student |
| UWSTU067 | Transfer Credit Evaluations | Forms 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 years | Date of evaluation | Destroy Confidentially | Yes | Student |
| UWSTU068 | Withdrawal Authorizations | Documentation 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 years | Date of submission | Destroy Confidentially | Yes | Student |
| UWSTU069 | Arrival-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 years | Date of graduation or last attendance | Destroy Confidentially | Yes | Student |
| UWSTU070 | Arrival-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 year | Date of submission | Destroy Confidentially | Yes | Student |
| UWSTU071 | Certificate 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 years | Date of graduation or last attendance | Destroy Confidentially | Yes | Student |
| UWSTU072 | Certificate 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 year | Date of submission | Destroy Confidentially | Yes | Student |
| UWSTU073 | Certificate 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 years | Date of graduation or last attendance | Destroy Confidentially | Yes | Student |
| UWSTU074 | Certificate 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 year | Date of submission | Destroy Confidentially | Yes | Student |
| UWSTU075 | Passport 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 years | Date of graduation or last attendance | Destroy Confidentially | Yes | Student |
| UWSTU076 | Passport 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 year | Date of submission | Destroy Confidentially | Yes | Student |
| UWSTU077 | Statement 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 years | Date of graduation or last attendance | Destroy Confidentially | Yes | Student |
| UWSTU078 | Statement 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 year | Date of submission | Destroy Confidentially | Yes | Student |
| UWSTU079 | Statement 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 years | Date of graduation or last attendance | Destroy Confidentially | Yes | Student |
| UWSTU080 | Statement 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 year | Date of submission | Destroy Confidentially | Yes | Student |
| UWSTU081 | United 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 years | Date of graduation or last attendance | Destroy Confidentially | Yes | Student |
| UWSTU082 | United 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 year | Date of submission | Destroy Confidentially | Yes | Student |
| UWSTU083 | Catalog, graduate and undergraduate | Official 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 years | Created | Transfer to University Archives | No | Student |
| UWSTU084 | Class 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 years | Created | Transfer to University Archives | No | Student |
| UWSTU085 | Correspondence, policy-setting | Policy-setting correspondence within enrollment services units or between them and university administration. | 6 years | Created | Transfer to University Archives | No | Student |
| UWSTU086 | Course File, master | Official courses offered throughout the history of the institution. | 6 years | Created | Transfer to University Archives | No | Student |
| UWSTU087 | Enrollment and Class Lists | Reports generated by Enrollment Services during any given semester reflecting student enrollment rosters, class size, graduation lists. | 6 years | Created | Transfer to University Archives | Yes | Student |
| UWSTU088 | Enrollment Verifications and Certifications | Records used to verify student enrollment for purposes such as loan applications, insurance discounts, and Social Security benefits. | 1 year | Completion of verification or certification | Destroy Confidentially | Yes | Student |
| UWSTU089 | Grade Reports/statistics | Reports of official grades awarded, degrees conferred, grade lists, academic standing, grade point averages, degree statistics. | 6 years | Created | Transfer to University Archives | Yes | Student |
| UWSTU090 | Honors Lists | Lists of students who have achieved academic distinction, including but not limited to the Dean's List. | 6 years | Created | Transfer to University Archives | Yes | Student |
| UWSTU091 | Transfer Equivalencies | Aggregate 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 days | Superseded | Destroy | No | Student |
| UWSTU092 | Requests for and Disclosure of Personally identifiable Information | Records 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. | Permanent | Created | Yes | Student | |
| UWSTU093 | Requests for Corrections to Records and Formal Hearings | Student-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. | Permanent | Created | Yes | Student | |
| UWSTU094 | Requests for Nondisclosure of Directory Information | Documentation supporting a request to withhold items from public records, including the "Request to Withhold Student Information" form, where applicable. | Permanent | Created | Yes | Student | |
| UWSTU095 | Statement on Contents of Records regarding Hearing Panel Decisions | Statement 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. | Permanent | Created | Yes | Student | |
| UWSTU096 | Waiver of Right of Access to Confidential Recommendations | The 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 student | Created | Yes | Student | |
| UWSTU097 | Written Consent for Records Disclosure | The 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. | Permanent | Created | Yes | Student | |
| UWSTU098 | Written Decisions of Hearing Panels | Decisions 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 UWSTU095 | Permanent | Created | Yes | Student | |
| UWSTU099 | Athletic Participation/EADA Document | These 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 years | Disclosure of data | Destroy or Transfer to University Archives | No | Student |
| UWSTU100 | College Costs, Accreditation, Textbook information, Transfer Credit Policy | These 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 years | Disclosure of data | Destroy or Transfer to University Archives | No | Student |
| UWSTU101 | Graduation/Completion Transfer Out data | The 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 years | Disclosure of data | Destroy or Transfer to University Archives | No | Student |
| UWSTU102 | Institutional Information | These 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 years | Disclosure of data | Destroy or Transfer to University Archives | No | Student |
| W0000250 | Campus Transportation and Parking Customer Records | This series consists of campus transportation customer records pertaining to the regulation of parking on campus as a regular service or on a temporary basis. Records may also include the purchase of annual bus passes and customer information collected by campus-provided / funded transit services such as safe rides/sharing and local campus shuttles. A customer can be staff, student or the public. | 6 years | Date Customer Record Becomes Inactive | Destroy Confidential | Yes | Transportation/Parking |
| W0000251 | Routine License Plate Recognition (LPR) Reads | License Plate Recognition reads (LPRs) are are broadly collected by LPR (mobile) cameras on transportation parking enforcement vehicles and ALPR (stationary) cameras at garage entrances and exits. There is no PII associated with the reads. Records in this series are transporation-related "non-event" LPR reads that are not needed for parking citations or enforcement activities and includ photos of the license plate and surrounding area for context and text records of the license plate itself. This series does not include general surveillance of lots, docks, ramps, streets, alleys, and other campus thoroughfares which are covered by other RDAs. | 30 days | Date collected | Destroy | No | Transportation/Parking |
| W0000252 | Event License Plate Recognition (LPR) Reads | License Plate Recognition reads (LPRs) are broadly collected by LPR (mobile) cameras on transportation parking enforcement vehicles and ALPR (stationary) cameras at garage entrances and exits. There is no PIII associated with the reads. Records in this series are transportation-related "event" LPR reads that may be needed for parking citations or enforcement activities and include photos of the license plate and surrounding area for context and text records of the license plate itself. Some event LPRs may be moved to the customer record and follow that record schedule. | 1 year | Date collected | Destroy | No | Transportation/Parking |
| W0000253 | Parking Permits - Lost, Stolen or Returned Forms | This series consists of forms that are received by the Transportation Office for permits that are declared lost / stolen or are returned by a customer. These forms are retained until the information is entered into the parking management system at which point it becomes part of the customer record. | 1 month | Date entered | Destroy confidential | Yes | Transportation/Parking |
| W0000254 | Returned, Exchanged or Voided Parking Hang Tags and Permits | This series contains the physical hang tags or permits which are produced but never used for general campus use or for special events, are returned when a customer no longer requires parking services or exchanges their permit for one that provides a different type of parking service. This may also include returned or voided hang tags from special events. The hang tags are kept to document that all parking hang tags and permits are accounted for during the audit process. | 3 years | Fiscal year returned | Destroy | No | Transportation/Parking |
| W0000255 | Validated Payment System Tickets - Paid by Third Party | Validated parking system tickets may be provided to visitors by campus departments or hospitals. The validated tickets are source documentation for Transportation Services to bill the resulting parking costs back to the issuing department or hospital. | 6 years | Fiscal year collected | Destroy | No | Transportation/Parking |
| W0000256 | Payment System Tickets - Paid by Customer | This series contains daily validated parking system tickets that are paid directly by the customer and received by staff at point of sale or entered into self-serve kiosks when exiting a parking facility. | 6 months | Date received | Destroy | No | Transportation/Parking |
| W0000257 | Impound Record/Tow Receipt | This series contains records submitted to Transportation Services by towing companies providing campus services. Records include, but are not limited to, tow company receipts and documentation submitted by the tow company stating any prior damage to the vehicle prior to towing. | 6 years | Date received | Destroy confidential | Yes | Transportation/Parking |
| W0000258 | Transportation Services Incident Reports | This series consists of reports submitted directly to Transportation Services regarding incidents that occurred in the spaces under their management such as lost or damaged property. Records include, but are not limited to, correspondence and photos. This series only applies to incidents that are not reported to campus police. | 3 years | Date received | Destroy confidential | Yes | Transportation/Parking |
| W0000259 | Legal Matter Case Files | The University of Wisconsin legal affairs offices serve as primary, advisory, or liaison counsel on a variety of litigated case files including, but not limited to, State of Wisconsin administrative proceedings; Federal or State court proceedings; internal proceedings; federal enforcement actions and other campus legal matters. Legal matter case files include but are not limited to pleadings and legal arguments, client files, evidence, research, legal summons and subpoenas issued, expenses, attorney notes, medical records, and depositions or transcripts. Records may also include correspondence, attorney notes or additional documentation associated with the cases. These records may be covered by lawyer-client privilege according to Wis. Stat. 905.03 and the work-product doctrine codified in Wis. Stat. 804.01(2)(c)1. | 10 years | Date case closed | Destroy Confidentially | Yes | Legal |
| W0000260 | Legal Affairs Case Files - Historically Significant | The University of Wisconsin legal affairs offices serve as primary, advisory, or liaison counsel on a variety of litigated case files including, but not limited to, State of Wisconsin administrative proceedings; Federal or State court proceedings; internal proceedings; federal enforcement actions and other campus legal matters. This series documents historically significant legal cases at the University of Wisconsin that have long-lasting impact. Legal matter case files include, but are not limited ot, pleadings and legal arguments, client files, evidence, research, legal summons and subpoenas issued, expenses, attorney notes, medical records, and depositions or transcripts. Records may also include correspondence, attorney notes or additional documentation associated with the cases. These records may be covered by lawyer-client privilege according to Wis. Stat. 905.03 and the work-product doctrine codified in Wis. Stat. 804.01(2)(c)1. | 20 years | Date case closed | Transfer to University Archives | Yes | Legal |
| W0000261 | Trademark and Intellectual Property Case Files | This series contains University of Wisconsin legal affairs case files associated with university-related trademarks, copyright and other intellectual property issues. Records may include, but are not limited to, legal analysis, responses and recommendations, certificates of registration received on behalf of the University, correspondence and associated documents. These records may be covered by lawyer-client privilege according to Wis. Stat. 905.03, the work-product doctrine codified in Wis. Stat. 804.01(2)(c)1, and proprietary information that would be covered pursuant to Wis. Stat. 19.36(5). | 10 years | Date case file is closed | Transfer to archives | Yes | Legal |
| W0000262 | Trusts, Real Estate, and Construction Records | This series contains University of Wisconsin legal affairs records associated with university-related trusts, real estate and construction projects. Records may include, but are not limited to, real estate/construction project and trust fund creation legal advice, correspondence and associated documents. The formal final documents (deeds, gift instruments, etc.) are retained by the appropriate system office. These records may be covered by lawyer-client privilege according to Wis. Stat. 905.03 and the work-product doctrine codified in Wis. Stat. 804.01(2)(c)1. | 10 years | Date real estate/construction project is completed or date trust fund is established | Destroy confidential | Yes | Legal |
| W0000263 | Legal Client Consultation Records | The University of Wisconsin general counsel and legal affairs offices frequently consult with clients on legal questions and concerns. Consultation records include, but are not limited to, client records, legal analysis, responses and recommendations, correspondence and associated documents. Records are held with regard to applicable statutes of limitations for potential related claims to be filed. These records may be covered by lawyer-client privilege according to Wis. Stat. 905.03 and the work-product doctrine codified in Wis. Stat. 804.01(2)(c)1. | 6 years | Date of resolution | Destroy Confidentially | Yes | Legal |
| W0000265 | Student Housing Contracts | The purpose of the housing contract is to provide documentation for housing obligation and relationship between the student and the University. The housing contracts pertain to all residence halls or dormitories. These housing contracts do not pertain to conference center rentals. These records include, but are not limited to, housing applications, room change information, hall preference records, ADA accommodations, food plans/accounts and contracts, rent references, residence hall selection cards, housing status action forms, room condition inventories, rosters and logs, contracts, cancellation notices, contract release forms, contract offer, interest assessment materials, letters and printed emails. Some records in this series may be confidential under 20 U.S.C. 1232g and 34 C.F.R. 99 (FERPA). | 6 years | Date contract ends | Destroy confidential | Yes | Residential |
| W0000266 | Apartment and Lease Records | Records in this series pertain to lease arrangements for residents. These records include, but are not limited to: Apartment applications, apartment waitlists, apartment assignment records, community and social work related documentation, check in and checkout records on apartment condition and reference letters. Some records in this series may be confidential under 20 U.S.C. 1232g and 34 C.F.R. 99 (FERPA). | 6 years | Date lease ends | Destroy confidential | Yes | Residential |
| W0000267 | Menu and Recipe Records | Records in this series include, but are not limited to menus of meals offered and recipes used in the preparation meals. The series also documents such information as serving sizes, serving times, nutritional analysis and ingredient lists. | 1 year | End of Fiscal Year | Transfer to archives | No | Residential |
| W0000268 | Food Cost and Usage Records | These records include, but are not limited to food cost and food usage reports based on inventories and purchases, meal counts, and average meal costs. | 3 years | End of Fiscal Year | Destroy | No | Residential |
| W0000269 | Safety Inspection Records | This 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 years | End of Fiscal Year | Destroy | No | Residential |
| W0000270 | Student Housing Front Desk Logs | Logs created and maintained by individual residence halls. Records include, but are not limited to, residential mail operations: package/mail logs, non-deliverable log, tampered mail logs, package delivery receipts, and missing package logs. Service Desk: lost and found log and supply check out logs. Note: Building access records are covered by other record series. Some records in this series may be confidential under 20 U.S.C. 1232g and 34 C.F.R. 99 (FERPA). | 1 year | End of fiscal year | Destroy confidentially | Yes | Residential |
| W0000271 | Dietary Accommodation Records | This record series consists of a form and correspondence regarding requests for assistance with meal plan accommodations. Following a recommendation the dining contract is updated. Some records in this series may be confidential under 20 U.S.C. 1232g and 34 C.F.R. 99 (FERPA) and 45 C.F.R. 160 and 164 (HIPAA). | 3 years | End of academic year | Destroy confidentially | Yes | Residential |
| W0000272 | Food Production Records | Records in this series include, but are not limited to, production records, time and temperature logs pertaining to food production, and special diet requirements. | 1 year | End of fiscal year | Destroy | No | Residential |
| W0000273 | Police Case Files -- Unlimited Prosecution | This series consists of case files related to solved or unsolved homicides, sexual assaults and any criminal case with an unlimited statute of limitations. Records may include, but are not limited to, reports, attachments, crime scene photos, audio/video, Restorative Justice documents, subject jackets, and citations. Records may be confidential under Wis. Stat.§§ 19.36(2), 19.35(1)(a) for certain law enforcement records and Wis.Stat. §§ 48.396, 938.396 - Juvenile Justice code. | Permanent | Yes | Police/Security | ||
| W0000274 | Police Case Files | This series consists of case files related to solved or unsolved cases and incidents with statutes of limitations (e.g., burglary, theft of a motor vehicle, OWI, etc.). Records may include, but are not limited to, reports, attachments, crime scene photos, audio/video, Restorative Justice documents, subject jackets, and citations. Unsolved cases should be retained until closed or have passed the statute of limitations for the charge. Records may be confidential under Wis. Stat.§§ 19.36(2), 19.35(1)(a) for certain law enforcement records and Wis.Stat. §§ 48.396, 938.396 - Juvenile Justice code. | 25 years | Date case closed or statute of limitations has been reached | Destroy confidentially | Yes | Police/Security |
| W0000275 | Citations | This series consists of citations written for ordinance and non-criminal traffic violations on or around UW campuses. Records may include, but are not limited to name, address, dob, charge, officer's name and any corresponding documentation. Records may be confidential under Wis.Stat. §§ 48.396, 938.396 - Juvenile Justice code. | 7 years | Date citation resolved | Destroy confidentially | Yes | Police/Security |
| W0000276 | Police Daily Schedules | This series contains the daily briefings for staff, daily roster schedules and assignments such as security or police officer assignments and incident briefing sheets. | 2 years | Creation | Destroy confidentially | No | Police/Security |
| W0000277 | Police Communications - Dispatch and Audio Recordings | This series consists of recordings of campus police radio transmissions, which may include, but are not limited to, requests for police assistance and police responses. Records may be confidential under Wis. Stat. § 19.35(1)(a) - for certain law enforcement records. | 6 months | Creation | Destroy | Yes | Police/Security |
| W0000278 | Computer Aided Dispatch (CAD) Records | This series consists of records created by the Police Dispatcher during calls regarding incidents or activities. Records may contain the date and time received, nature of the information, general notes or actions taken. Records may be confidential under Wis. Stat. § 19.35(1)(a) - for certain law enforcement records. | 1 year | Creation | Destroy confidentially | Yes | Police/Security |
| W0000279 | Police Ride-Along Records | This series consists of the ride-along waiver that is completed by UW police staff and the person(s) participating in the ride-along. Records include, but are not limited to, the initial application for the ride-along and the approved completed waiver. Records may also include annual logs of completed Ride-Alongs consisting of the name of person(s) on the ride-along, name of officer and date. | 2 years | End of calendar year | Destroy confidentially | No | Police/Security |
| W0000280 | Police Special Event Records | This series includes records created for special events that occur on UW campuses and require police or security presence. Records include, but are not limited to special event plans, reports, staffing and follow-up analysis. Records may be confidential under Wis. Stat. § 19.36(2) and Wis. Stat. § 19.35(1)(a) for certain law enforcement records. | 7 years | End of fiscal year | Destroy confidentially | Yes | Police/Security |
| W0000281 | UW Police Key Logs | This series contains records regarding keys issued to UW police department employees for police facilities. | 2 years | Date of separation from employment | Destroy confidentially | No | Police/Security |
| W0000283 | Routine Campus Activity Records | This series contains records related to routine campus security activities such as bicycle license registrations, vehicle assists, room lockouts, motor vehicle and driver authorizations, and similar activities. Records include, but are not limited to, the incident request, information about the person making the request, date, time, location and resolution. | 3 years | Creation | Destroy confidentially | No | Police/Security |
| W0000284 | Police Firearms and Other Weapons Inventory Records | This series consists of inventories of police department weapons and individually owned firearms that have been department-approved to be used in the workplace. Weapons may include, but are not limited to firearms and conducted electrical weapons (Tasers). Inventories include, but are not limited to personal information, the weapon's make, model and serial number, and inspection records. | 1 year | Date superseded | Destroy confidentially | No | Police/Security |
| W0000285 | Police Fingerprint Service Records | This series consists of records related to fingerprinting conducted as a public fee-for-service by the UW Police. This service is available to UW-affiliated individuals as well as the general public and results in completed fingerprint cards which are then turned over to the requestor. These are not considered to be evidentiary records. | 1 day | Date of confirmation of receipt by the Crime Information Bureau | Destroy confidentially | No | Police/Security |
| W0000286 | Police Field Training Records | UW Police policy states that successful candidates for staff positions on the UW Police force must meet the standards of the field training program. This training is required for all new police officers, security officers and police communications operators and conducted during their probationary periods. If the field training is not successfully completed, the individual is terminated. | 7 years | Separation from employment | Destroy confidentially | Yes | Police/Security |
| W0000287 | Police Inservice Course Files | This series consists of records associated with Inservice Courses for UW Police staff. Records include, but are not limited to, curriculum and lesson plans, course attendance and performance records, required state forms, and other associated records. Course materials may also include video or evidence from case files. Records may be confidential under Wis. Stat. §§ 19.36(2), 19.35(1)(a) for certain law enforcement records. | 20 years | Fiscal year | Destroy confidentially | Yes | Police/Security |
| W0000288 | Police Service Animal Records | Records related to the training, certification, deployment and health records of UW PD service animals. This may include, but is not limited to canines and mounted patrol horses. Records may be confidential under Wis. Admin. Code § VE 1.52. | 7 years | Date service animal's service ends | Destroy confidentially | No | Police/Security |
| W0000289 | Police Professional Standards and Internal Affairs (PSIA) Case Files | This series consists of Professional Standards and Internal Affairs (PSIA) complaints and investigative case files. This series also includes administrative reviews of high liability incidents. Records in this series include, but are not limited to, the original complaint, final resolution, evidence, correspondence, audio/video related to the incident and related documents. Records may be confidential under Wis. Stat. § 19.35(1)(a) for certain law enforcement records, Wis.Stat. §§ 48.396, 938.396 - Juvenile Justice code, Wis. Stat. § 103.13(6)(a) - investigation of a criminal offence by personnel, and Wis. Stat. § 19.36(10) - employee personnel records. | 10 years | Date of separation from employment | Destroy confidentially | Yes | Police/Security |
| W0000290 | Police Response to Resistance Review Documentation | Response to resistance reviews are conducted by supervisors for all incidents above compliant handcuffing. These reviews determine if there are any policy, training, weapon/equipment and/or discipline issues which should be addressed and to review the constitutionality of the use of force. After review, records may move to follow W0000289 or W0000291. Records may include, but are not limited to the incident report, supervisor/manager review, decisions made and associated documents. Records may be confidential under Wis. Stat. § 19.35(1)(a) for certain law enforcement records. | 5 years | Date review completed | Destroy confidentially | Yes | Police/Security |
| W0000291 | Police Officer Involved Critical Incidents (OICI) Case Files | This series consists of records associated with Officer Involved Critical Incidents (OICI) cases with the exception of cases investigated by other designated agencies as required by Wis. Stat. § 175.47. Records may include, but are not limited to, details of the incident, individuals involved, interviews, audio/video, review of steps taken, investigation records, training, and final reports. This series contains cases of high public interest and historical importance. Records may be confidential under Wis. Stat. § 19.35(1)(a) for certain law enforcement records, Wis.Stat. §§ 48.396, 938.396 - Juvenile Justice code, Wis. Stat. § 103.13(6)(a) - investigation of a criminal offence by personnel, and Wis. Stat. § 19.36(10) - employee personnel records. | 10 years | Date of separation from employment | Transfer to archives | Yes | Police/Security |
| W0000292 | Clery Act Annual Report | The Clery Act for Higher Education requires colleges and universities that receive federal funding to disseminate a public Annual Security Report (ASR) to employees and students every October 1st as stated in 20 U.S. Code § 1092(f). This ASR must include statistics of campus crime for the preceding 3 calendar years, plus details about efforts taken to improve campus safety. Records in this series consists of the final Clery report that is submitted annually. | 7 years | Creation | Destroy confidentially | No | Police/Security |
| W0000293 | Clery Act Report Supporting Documents | The Clery Act for Higher Education requires colleges and universities that receive federal funding to disseminate a public annual security report (ASR) to employees and students every October 1st as stated in 20 U.S. Code § 1092(f). Records in this series consist of all supporting records used in compiling the annual Clery report. It includes a daily occurrence log that describes case #, date/time, case type, locations, address, status and occurrence and other associated documents used in preparation of the annual report. Records may be confidential under Wis. Stat.§§ 19.36(2), 19.35(1)(a) for certain law enforcement records and Wis.Stat. §§ 48.396, 938.396 - Juvenile Justice code. | 7 years | Creation | Destroy confidentially | Yes | Police/Security |
| W0000294 | Law Enforcement Accreditation - Final Reports | This series consists of the final report received from accreditation bodies as part of the accreditation process for law enforcement agencies to various bodies such as the Commission on Accreditation for Law Enforcement Agencies (CALEA), the Wisconsin Law Enforcement Accreditation Group (WILEAG) and the International Association of Campus Law Enforcement Administrators (IACLEA). | 5 years | End of assessment cycle | Transfer to archives | No | Police/Security |
| W0000295 | Law Enforcement Accreditation - Supporting Documents | This series consists of the supporting documentation created as part of the accreditation process for law enforcement agencies to various bodies as the Commission on Accreditation for Law Enforcement Agencies (CALEA), the Wisconsin Law Enforcement Accreditation Group (WILEAG) and the International Association of Campus Law Enforcement Administrators (IACLEA). | 5 years | End of assessment cycle | Destroy | No | Police/Security |
| W0000296 | Police Incident and Statistical Reports | This series consists of historical information and statistics used to identify and track crime and incident trends which are used for planning and operations. Records include, but are not limited to annual state incident-based reports such as the Uniform Crime Report and internal statistical reports. Records may be confidential under Wis. Stat.§§ 19.36(2), 19.35(1)(a) for certain law enforcement records and Wis.Stat. §§ 48.396, 938.396 - Juvenile Justice code. | 20 years | Creation | Destroy confidentially | Yes | Police/Security |
| W0000297 | Campus Infrastructure Security Reports | This series consists of reports produced by UW Police as a campus service and are related to the physical security and protection of buildings and areas of the University. Records include, but are not limited to, walk-through evaluations of buildings, crime prevention surveys, scope reports, Commission on Accreditation for Law Enforcement Agencies (CALEA) risk assessments and other related reports. These reports are sensitive in nature and may be confidential under Wis. Stat. 19.36(9) for campus security measures. | 3 years | Creation | Destroy confidentially | Yes | Police/Security |
| W0000298 | Police Surveillance Records | This series includes photographs and video surveillance recordings made as part of a planned investigation. Evidentiary materials that eventually become part of the prosecution of a case or used for an investigation follow the record schedule for that case or investigation. Records may be confidential under Wis. Stat.§§ 19.36(2), 19.35(1)(a) for certain law enforcement records and Wis. Stat. §§ 48.396, 938.396 - Juvenile Justice code. | 1 year | Creation | Destroy confidentially | Yes | Police/Security |
| W0000299 | Police Audio and Video Recordings | This series includes police audio or video recordings documenting events that occur prior to, during, and after an enforcement action. Records may include recordings from in-car video systems, body cams, and police department facilities such as hallways and holding rooms. Evidentiary recordings that eventually become part of the prosecution of a case or used for an investigation follow the record schedule for that case or investigation. Records may be confidential under Wis. Stat.§§ 19.36(2), 19.35(1)(a) for certain law enforcement records and Wis. Stat. §§ 48.396, 938.396 - Juvenile Justice code. | 6 months | Creation | Destroy confidentially | Yes | Police/Security |
| W0000300 | Police Property/Evidence Records | University police officers routinely seize/collect evidence, and take custody of abandoned/recovered property as well as property that is part of an asset forfeiture process. This series covers inventories of recovered, seized or forfeited property and includes chain of custody information for evidence held by the UW Police. Records may contain victim information. These records are maintained as part of civil and criminal case documentation. May be confidential under Wis.Stat. § 950.04(1v). | 75 years | Date added to inventory | Destroy confidentially | Yes | Police/Security |
| W0000301 | Police Property Audit Records | This series consists of forms and reports related to the audits of the inventory and disposition of property held by a campus UW Police department. Records may contain victim information. May be confidential under Wis.Stat. § 950.04(1v). | 20 years | Fiscal year | Destroy confidentially | Yes | Police/Security |
| W0000302 | Police Property / Evidence Room Access Log | This series consist of log files documenting people entering and exiting UW Police property / evidence storage rooms. | 7 years | Fiscal year | Destroy | No | Police/Security |
| W0000303 | UW Youth Activity Participant Records - Enrolled and Attended | This series consists of participant records for individuals who attended in-person or virtual UW institution sponsored activities. Covered activities are defined by UW System Administrative Policy 625 - Youth Protection and Compliance. Participant records may vary based on the type of program attended. Records may include, but are not limited to, registration forms, financial information, academic transcripts, consent forms, media release forms, and behavioral expectation forms. Some records in this series may be confidential under 20 U.S.C. § 1232g and 34 C.F.R. pt. 99 (FERPA). | 7 years | Date activity ends | Destroy confidentially | Yes | Youth |
| W0000304 | UW Youth Activity Participant Records - Did Not Attend | This series consists of records submitted for youth registering or applying to attend in-person or virtual UW institution sponsored activities but did not attend or were not accepted to participate. Covered activities are defined by UW System Administrative Policy 625 - Youth Protection and Compliance. Participant records may vary based on the type of program applied to or registered for. Records may include, but are not limited to, registration forms, financial information, academic transcripts, consent forms, media release forms, and behavioral expectation forms. Some records in this series may be confidential under 20 U.S.C. § 1232g and 34 C.F.R. pt. 99 (FERPA). | 1 year | Date application denied or date of activity | Destroy confidentially | Yes | Youth |
| W0000305 | UW Youth Activity Participant Medical Records | This record series includes health records that are required for youth to participate in any UW institution covered activity as defined by UW System Administrative Policy 625 - Youth Protection and Compliance. Records include, but are not limited to, medical history forms, medical consent forms, immunization records, documentation of last physical examination, and medication lists. Records in this series are confidential under 45 C.F.R. pts. 160 and 164 (HIPAA). | 3 years | Date activity ends or date of 18th birthday | Destroy confidentially | Yes | Youth |
| W0000306 | UW Youth Activity Participant Medical Logs | This record series contains entries into a medical log of any medication or treatment provided to a youth participant by an authorized adult during a covered activity as defined by UW System Administrative Policy 625 - Youth Protection and Compliance. Records in this series are confidential under 45 C.F.R. pts. 160 and 164 (HIPAA). | 3 years | Date activity ends | Destroy confidentially | No | Youth |
| W0000307 | UW Youth Activity Incident Reports | This series contains records pertaining to the official reporting of all documented incidents involving minors engaging in covered activities, as defined by UW System Administrative Policy 625 - Youth Protection and Compliance. Records include, but are not limited to, incident reports, steps taken, police reports, reports submitted to UW institution offices, and decisions made as a result of the incident. | 7 years | Date incident resolved | Destroy confidentially | No | Youth |
| W0000308 | UW Youth Activities - Third Party Contracts | This record series consists of contracts between UW institutions and third parties engaging in covered activities, as defined by UW System Administrative Policy 625 - Youth Protection and Compliance. This series may also include any correspondence clarifying or setting terms in the contract itself. | 7 years | Date contract expires | Destroy confidentially | No | Youth |
| W0000309 | Library Donor Files | Records documenting the donation of materials to a circulating library collection. They may include a signed deed of gift, any correspondence pertaining to the donation, a list of the contents of the collection, and donor contact information. This series may also include records regarding the withdrawal or removal of any library materials donated or purchased under special conditions. Records for Special Collections, Archives, Museums and Galleries are covered under different schedules. | 10 years | Date item is donated | Destroy confidentially | No | Galleries, Libraries, Archives, Museums |
| W0000310 | Library Item Circulation Records | Commonly called circulation records, these records document the borrowing of circulating library materials by qualified patrons. The series links the item's bibliographic information to a patron during the loan period. Information may include, but is not limited to, the time-period of the loan, renewals, and fines. This series may also include communication regarding circulating items. | 6 months | Date item returned | Destroy confidentially | Yes | Galleries, Libraries, Archives, Museums |
| W0000311 | Library User Agreements | Records related to agreements signed by library patrons regarding the use of library resources and facilities. | 2 weeks | Date agreement expires | Destroy confidentially | Yes | Galleries, Libraries, Archives, Museums |
| W0000312 | Library Resolved Search Lists | Cumulative list of resolved title searches for each academic year, may include the date, bibliographic information, and how the search was resolved. Records for Special Collections, Archives, Museums and Galleries are covered under different schedules. | 1 year | End of academic year | Destroy | No | Galleries, Libraries, Archives, Museums |
| W0000313 | Library Stack Management Records | Records created in the process of managing library books 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. Records for Special Collections, Archives, Museums and Galleries are covered under different schedules. | 1 day | Date superseded | Destroy | No | Galleries, Libraries, Archives, Museums |
| W0000314 | Library Interlending Request Records | Records that track the request, shipping, and return of library items with other libraries. Records may include, but are not limited to, requests for materials, receipts, and patron signed forms. Records indicate when and where the library item was sent, the due date, and when it was returned. Some campuses use this information for long-term historical analysis. Records for Special Collections, Archives, Museums and Galleries are covered under different schedules. | 1 year | Date request completed or historical analysis completed, whichever is longer | Destroy confidentially | Yes | Galleries, Libraries, Archives, Museums |
| W0000315 | Library Reference Questions | Records of written exchanges between patrons and library staff regarding ready-reference or resource-based questions made via email, text, chat, or other forms of written communications. Records for Special Collections, Archives, Museums and Galleries are covered under different schedules. | 1 year | Fiscal year | Destroy confidentially | No | Galleries, Libraries, Archives, Museums |
| W0000316 | Library Instructional Materials | Materials created for patron or campus use, explaining the use of the catalog, databases and other bibliographic tools. Records may include LibGuides and similar resources. Records for Special Collections, Archives, Museums and Galleries are covered under different schedules. | 1 day | Date superseded | Destroy confidentially | Yes | Galleries, Libraries, Archives, Museums |
| W0000317 | Library Patron Record | Records created within the library automated system that indicate name, address, major, class standing, etc. of library patrons. The system allows for patrons of different user types including students, staff, and community members. Records for Special Collections, Archives, Museums and Galleries are covered under different schedules. | 3 years | Date of last attendance, last day of employment, or expiration of user agreement | Destroy confidentially | Yes | Galleries, Libraries, Archives, Museums |
| W0000318 | Library Bibliographic Record | Records of all cataloged library materials considered part of the library collection including books, media, archival, and special collection materials. Records include descriptive metadata for each item. Some campuses use this information for long-term historical analysis. Records for Special Collections, Archives, Museums and Galleries are covered under different schedules. | 1 day | Date last copy withdrawn or historical analysis completed, whichever is longer | Destroy | No | Galleries, Libraries, Archives, Museums |
| W0000319 | Library Circulation Historical Usage Records | These records document the use of library materials over the lifetime of an item. The records include transaction and bibliographic information of the items that were circulated but are no longer linked to patron information to protect the identity of the borrower. Some campuses use this information for long-term historical analysis to determine when items should be removed from the collection. Records for Special Collections, Archives, Museums and Galleries are covered under different schedules. | 1 week | Date item withdrawn or historical analysis completed, whichever is longer | Destroy | No | Galleries, Libraries, Archives, Museums |
| W0000320 | Library Patron Historical Collection Records | Records that document the borrowing of circulating library materials by qualified patrons who have opted-in to preserve their historical library use. Patrons may include students, staff or community members. Records for Special Collections, Archives, Museums and Galleries are covered under different schedules. | 3 years | Date of last attendance, last day of employment, or expiration of user agreement | Destroy confidentially | Yes | Galleries, Libraries, Archives, Museums |
| W0000321 | Special Collections, Museums, and Galleries Management Records | Records pertaining to the acquisition, history, value, care and movement of special collections, museums, and galleries materials. This series may include, but is not limited to, accession records, catalog records, deeds of gifts, donor files, processing records, research materials, object images, condition reports, appraisals, insurance records, and historical information. Deaccession records are also kept to preserve provenance information. Records for Libraries are covered under different schedules. | Permanent | Yes | Galleries, Libraries, Archives, Museums | ||
| W0000322 | Special Collections and Museums Researcher Registration Records | Registration records are created to authenticate a patron on an annual or daily basis in preparation for research in special collections and museums. These records are used for security purposes, statistical analysis, and to acquaint patrons with department rules and regulations. Patrons may be of different user types including students, staff, and community members. Records for Libraries are covered under different schedules. | 10 years | Date of last attendance, last day of employment, or expiration of user agreement | Destroy confidentially | Yes | Galleries, Libraries, Archives, Museums |
| W0000323 | Special Collections Circulation Records | Records that document the borrowing of special collections materials by qualified patrons and would include the name of the individual, date of use, reason for use, materials used by patron and bibliographic information regarding the collection. The series links the item's bibliographic information to a patron and records items like the time period of the loan, renewals, and fines. Records for Libraries are covered under different schedules. | 10 years | Date item returned | Destroy confidentially | Yes | Galleries, Libraries, Archives, Museums |
| W0000324 | Special Collections Interlending Records | Records created to process shipments of special collections materials through the Area Research Center network. Records may include patron information, shipping lists and shipment confirmation statements. Records for Libraries are covered under different schedules. | 10 years | Fiscal year | Destroy confidentially | Yes | Galleries, Libraries, Archives, Museums |
| W0000325 | Special Collection and Museums Reference/Research Requests and Responses | Records documenting reference and research requests and responses by special collections and museum staff. Records for Libraries are covered under different schedules. | 5 years | Fiscal year | Destroy confidentially | Yes | Galleries, Libraries, Archives, Museums |
| W0000326 | Special Collections, Museums, and Galleries Conservation Treatment Records | Records documenting any repair or conservation treatment performed on art objects, artifacts, and materials in special collections, museums, and galleries. These records may include, but are not limited to, a description of the action, the person or company performing such work, and related documentation, as well as vital information regarding the provenance of university-owned museum objects, special collections and archival materials. Records for Libraries are covered under different schedules. | Permanent | No | Galleries, Libraries, Archives, Museums | ||
| W0000327 | Library, Special Collections, Museums, and Galleries Special Event Loan Records | Records documenting the borrowing or loan of collection materials typically for exhibitions by libraries, special collections, museums, and galleries. Records include, but are not limited to, brochures, insurance certifications, loan forms, manuscript appraisals, condition and facility reports, and related correspondence. | 5 years | Date materials returned | Destroy | No | Galleries, Libraries, Archives, Museums |
| W0000328 | Library, Special Collections, Museums, and Galleries Exhibition Records | Materials pertaining to the design, execution, and installation of exhibitions. Records may include correspondence, memoranda, concepts, scripts, label texts, clippings, installation photographs, floor plans, drawings, graphics, checklists, schedules, notes, and related materials. | 5 years | Date exhibit closed | Destroy | No | Galleries, Libraries, Archives, Museums |
| W0000329 | Academic Advising Records | This series contains records created to document and support comprehensive and planned guidance for matriculated undergraduate and graduate students as well as for certificate and licensure programs. These records may contain, but are not limited to, advising notes, curriculum and degree planning materials, reports and summaries, and correspondence. Graduate advising records may also include graduate admission test results, certificates of admission, letters of recommendation and research proposal forms. This series also includes records created to document comprehensive and planned guidance for students pursuing professional licensure or certification in areas including, but not limited to, education, social work, nursing, and counseling. Records may additionally include background checks, agreements, references, practicum and/or clinical reports and documents. Records may be confidential under 20 U.S.C. § 1232g; 34 CFR Part 99 (FERPA) | 8 years | Date of last enrollment | Destroy confidentially | Yes | Advising |
| W0000330 | Academic Advising Records -- Admitted Students -- Did Not Attend | This series pertains to advising records for students who express interest, but never attended the university. Records include, but are not limited to, recruitment and advising notes, transcripts, applications, and correspondence. This records series does not include the informal and isolated communications of faculty and staff who do not provide regular advising services. This series does not apply to students considered "prospective" as those records are covered under other schedules. Records may be confidential under 20 U.S.C. § 1232g; 34 CFR Part 99 (FERPA) | 2 years | Date of first contact | Destroy confidentially | Yes | Advising |
| PUR00001 | Work Center Certification, Recertification and Product and Service Development Files | The Wisconsin State Use Board pursuant to Wis. Stat. § 16.752, identifies requirements for state agency procurement of materials, supplies, equipment and contractual services from Work Centers for persons with severe disabilities. Work Centers are certified pursuant to Wis. Stat. § 16.752, and licensed pursuant to Wis. Stat. § 104.07. This record series includes Work Center certification and recertification files which include, but are not limited to, qualification materials, articles of incorporation, by-laws, Internal Revenue Service tax-exempt letters, the sub-minimum wage license from the Department of Workforce Development and other correspondence and documents covering issues related to Work Center eligibility for certification or recertification. Records in this series may also include Work Center related requests to develop a product or service, related correspondence, and decision. | 4 years | Date of certification letter denial or approval | Destroy | No | Purchasing/Procurement (State) |
| PUR00002 | Contract Compliance Program File | Contractors doing business with the State must comply with non-discriminatory practices pursuant to Wis. Stat. § 16.765. This record series includes contractor affirmative action plans, contract compliance forms and other program materials and correspondence to ensure contractor complies with the State’s requirements. Records may include, but are not limited to, Affirmative Action Exemption form and Subcontractor List. | 4 years | Date contract ends | Destroy | No | Purchasing/Procurement (State) |
| PUR00003 | Contract Compliance Vendor Directories | Directories of contractors that have submitted Affirmative Action Plans for review to provide products and services to the State. This record series covers both the directories which list contractors that are eligible or ineligible under Wis. Stat. § 16.765. Vendor remains on a Directory until eligibility status changes. | 1 year | Date directory is superseded | Destroy | No | Purchasing/Procurement (State) |
| PUR00007 | Requests for Purchasing Authority (RPA) and Procurement Plans | Records for the procurement process which takes place prior to a solicitation. Records may include, but are not limited to, RPA form(s) and case letters; Procurement Plans; Large High-Risk IT Project requests, correspondence, and related documents. Note: Agencies are required to secure approval or authority from the State Bureau of Procurement to initiate procurements beyond the agency's delegated authority. | 6 years | Date contract ends or date RPA, plan or project is denied | Destroy | No | Purchasing/Procurement (State) |
| PUR00010 | Contract and Request for Bid/Proposal File | This record series documents the procurement of all commodities and services which may require a contract, including piggyback, simplified and best judgment procurements, as well as Requests for Information and those where the purchase order serves as the single contract. This record series also documents compliance with the requirements of Wis. Stat. § 16.705, and state policies for contractual services. File documents include, but are not limited to, Standards committee activities, such as agendas, minutes, meeting results and correspondence. File documents also include the official Request for Bid/Proposal, record of award, signed contract or agreement, amendments, Certificates of Insurance, price lists, research materials, fair market information, cost analyses, protests, disputes, complaints, warranties, correspondence and related records. In addition, file documents also include forms and related documents associated with notifications and approvals for telecommunications, graphic reproduction equipment, banking services and private guard services. | 6 years | End date of contract or cancellation date of contract or bid/proposal | Destroy confidentially | Yes | Purchasing/Procurement (State) |
| PUR00015 | Vendor Performance Issue Files | Records in this series include documentation of vendors and contractors who fail to meet the terms and specifications of purchasing contracts including, but not limited to, failure to deliver services or commodities in a timely manner. These records may be used to support the renegotiation or cancellation of a contract or agreement. Entities monitor contractor performance to ensure service and commodity expectations meet specifications. | 6 years | Date contract ends | Destroy | No | Purchasing/Procurement (State) |
| PUR00050 | Account Profile Information | Vendor/supplier, bidder, or customer account profiles, internal and external. May include, but are not limited to, applications, account update and renewal requests, billing address and bank account updates. | 7 years | Date the application is denied, terminated or information superseded | Destroy confidentially | Yes | Purchasing/Procurement (State) |
| PUR00020 | Procurement Authority Review | Records in this series document procurement management reviews of policies, practices and activities related to the purchase of commodities and services. These reviews may be random in nature or routinely scheduled, internal or external. Records include, but are not limited to, tracking, review, audit, correspondence and related records of purchasing and procurement activities including direct payments, purchasing card expenditures, purchase orders, and related supporting documentation. Also included are records associated with the State Bureau of Procurement’s reviews performed in accordance with Wis. Stats. § 16.004(4), (5) and (6), reviews. | 5 years | Date of final report | Destroy confidentially | Yes | Purchasing/Procurement (State) |
| PUR00030 | Purchasing Delegation Agreements | This record series documents agreements and related materials between the State Bureau of Procurement and state agencies to formally delegate purchasing authority under Wis. Stat. § 16.71(1). Also included are sub-delegation agreements made by authorized designated agents. Records may include, but are not limited to, the request, correspondence, review of the request, documented purchasing practices and compliance with purchasing laws, the executed delegation agreement. | 6 years | Date agreement is superseded or cancelled | Destroy | No | Purchasing/Procurement (State) |
| W0000264 | Third Party Contracts and Agreements | This series consists of contracts and agreements between the University of Wisconsin System or its campuses and third parties such as brand licensing agreements or contracted services provided to or by the University. This series includes, but is not limited to, the contract, supporting documentation, and correspondence clarifying or setting terms in the contract itself. Attachments or exhibits to the contracts may contain trade secrets or personally identifiable information. Records may be confidential under Wis. Stat. 19.36(5). | 7 years | Date contract or agreement ends | Destroy confidentially | Yes | Administrative |
| W0000333 | Adult Activity Health Records | This series consists of health records and consent forms generated for all adult individuals (over the age of 18) attending University-sponsored activities, camps or programs where health information might be collected or medical care provided during the course of those activities. These records may include health histories, questionnaires, signed consent forms to allow for medical treatment and medicinal dispensing, and medical liability waivers required to participate in the activity as well as records of injury reports, first aid treatment, or medication dispensed during the activity. These records may be confidential under Wis. Adm. Code 146.82 (1). | 3 years | Year of participation | Destroy confidentially | Yes | Health |
| W0000334 | Health Insurance Plan Records | This series pertains to information on health insurance plan products for students and information regarding coverage and enrollment options. Reports may also include foreign government billing and vendor accounting information related to insurance plans. | 5 years | Creation | Destroy | No | Health |
| W0000335 | Health Provider Appointment Records | This series includes the appointment schedules for any health care provider. Appointment schedules may contain the name of the patient. These records may be confidential under 45 C.F.R. pts. 160 and 164 (HIPAA) and Wis. Adm. Code 146.82 (1). | 7 years | Creation | Destroy confidentially | Yes | Health |
| W0000331 | Health Services Patient Records | This series pertains to patient health records for individuals who receive health services at the University. This may include general health services, counseling and psychological services, audiology, immunizations and other health services. Records may include, but are not limited to, a person's health history, medications, treatments, tests, immunizations, records associated with visits to a health care provider and subsequent correspondence. This schedule not apply to health records for minors participating in University activities, human research participants or veterinary health records which are covered in other schedules. These records may be confidential under 45 C.F.R. pts. 160 and 164 (HIPAA) and Wis. Adm. Code 146.82 (1). | 10 years | Date of last encounter | Destroy confidentially | Yes | Health |
| W0000332 | Student Athlete Health Files | This series represents the main student athlete health record for athletics programs. Student athlete medical files may contain, but are not limited to, health physicals, health history questionnaires, physician notes, injury evaluations and rehabilitation reports, diagnostic imaging results, operative reports and images, health insurance information and other associated health records. These records may be confidential under 45 C.F.R. pts. 160 and 164 (HIPAA) and Wis. Adm. Code 146.82 (1). | 10 years | Date of last encounter | Destroy confidentially | Yes | Health |
| W0000336 | Health Services Quality Control Records | This series contains Health studies and quality assessments/audits which are utilized to improve the quality of health care. Records include, but are not limited to, quality studies or audits, peer reviews and case reviews, complaint forms, surveys, and National College Health Assessments (NCHA) reports. These records may be confidential under 45 C.F.R. pts. 160 and 164 (HIPAA) and Wis. Adm. Code 146.82 (1). | 3 years | Creation or Superseded date | Destroy confidentially | Yes | Health |