How to use this table
- If you know the name of your records series or its RRDA number, OR if you know the name of a document in the series type it in the Search bar on the top right of the table. The table will filter down as you type.
- If you want to browse by type of record, type in the following RRDA codes by functional area:
- UWADM: Administrative Records (Including Governance and Publications)
- UWADV: Student Advising Records
- UWBC: Business Communication
- UWFA: Fiscal and Accounting Records
- UWGNT: Research Grant and Related Records
- UWHR: Personnel Records (Including Equal Employment Opportunity records)
- UWIT: IT administration records
- UWLA: Legal records
- UWLIB: Library Records
- UWPP: Police and Parking Enforcement Records
- UWPY: Payroll Records
- UWRES: Housing and Residence Life
- UWRSC: Research Administrative and Related Records
- UWSFA: Financial Aid Records (Including student work-study personnel files)
- UWSH: Student Health Records (Including mental health and on-campus clinics)
- UWSTU: Student Academic Records
- WIAC: Wisconsin Intercollegiate Athletic Conference records (Advisory only for UWM)
Comprehensive General Records Schedules
| RRDA # | Series Title | Description | Retention | Trigger Event | Disposition | Confidential? |
|---|---|---|---|---|---|---|
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 | |
| 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 | |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| UWFA100 | Administrative Policies and Procedures | Records include all written policies, procedures, and related documentation pertaining to fiscal matters. These may be issued by the University of Wisconsin System or by individual institutions. | 4 years | Date superseded | Transfer to Archives per institutional policy | No |
| UWFA101 | Manuals | Records include all fiscal and accounting-related manuals. These may be issued by the University of Wisconsin System or by individual campuses. | 3 years | Date superseded | Transfer to Archives per institutional policy | No |
| UWFA102 | Routine Internal Status and Activity Reports | Records include internal statistical and narrative reports on routine fiscal and accounting operations, including weekly, monthly, and quarterly reports for operations, management analysis, and planning. | 0 days | No longer needed | Destroy | No |
| UWFA103 | Year-End Reports (GAAP) | Reports and all support documentation. Also included in this series are tax-related reports (1098T listings/logs, W-2s, 1099s, etc.) and the Academic Fee Income Report(AFDR). | 6 years | Fiscal year of creation | Destroy | Yes |
| UWFA104 | Annual Financial Report | This series may include, at the discretion of individual campuses, supporting documentation (otherwise covered in UWFA105) that will be retained permanently together with the Annual Financial Report. | Permanent | Retain permanently in office of origin | No | |
| UWFA105 | Non-Routine Financial Reports and Studies | Reports and studies created for fiscal, accounting, and administrative reviews or analyses, including equity and escrow reports, fringe benefit studies, facility usage reports, cost comparison studies, and other special reports and studies. Also included are fiscal management subject and correspondence files used to support general fiscal management. | 4 years | Fiscal year of creation | Destroy | No |
| UWFA106 | Audit Documentation: Regularly-Occurring Audit Cycles | All documentation related to regularly occurring audits, including reports, agency/office responses, and findings. Regular audits include A-133 and CAFR audits. | 3 years | Date of issuance of final audit report | Destroy | No |
| UWFA107 | Audit Documentation: Irregularly-Occurring Audit Cycles | All documentation relating to infrequent audits, including reports, agency/office responses, and findings. | 10 years | Date of next audit cycle or 10 years | Destroy | No |
| UWFA108 | Reconciliation Work Papers | Records include intermediate fiscal records of receipts and disbursements used to reconcile accounts. These may include spreadsheets, proof sheets, abstracts of receipts, and disbursements or claims. | 4 years | Fiscal year of creation | Destroy | No |
| UWFA109 | Authorization for Access/Forms | Applications, authorizations, cardholder agreements, and related forms used to establish accounts. Authorizations may relate to, but are not limited to, SFS, purchasing cards, corporate (travel) cards, and WISDM. | 4 years | Fiscal year in which account was inactivated | Destroy | No |
| UWFA110 | Credit Card Receipts and/or Deposits Transactions | Credit card receipts and other documentation associated with credit card transactions. For electronic transactions, these records include encrypted data containing credit card numbers and related information. | 3 years | Date of transaction | Destroy Confidential | No |
| UWFA111 | Payment Card Industry Compliance (PCI) | PCI compliance means that a merchant accepting credit or debit cards is operating in a way that protects the confidential information (card number, expiration date, name of cardholder and security code) from being released to anyone other than the acquirer of the transactions going into the credit card processing network. The standards are set by the PCI Standards Council established by the major card brands. This records series pertains to the PCI Operator Training forms and corresponding PCI Compliance Logs. | 3 years | Creation year | Destroy Confidential | Yes |
| UWFA200 | Internal Control Policies and Procedures | Policies and procedures governing internal control, and related documentation that explains internal control policies and procedures, including but not limited to: memos, bulletins, and manuals. | 3 years | Date on which the policy directive is withdrawn, revised, or superseded, and thereafter destroy. | Destroy | No |
| UWFA201 | Internal Management Review and Routine Oversight Control Files, Reports and Action Files | All documentation relating to routine internal management review and oversight of operations. | 3 years | Date of completed audit report | Destroy | No |
| UWFA202 | Internal Audit Control Files, Reports, Action Files and Findings | All documentation relating to internal audits of controls and findings. | 10 years | Date of next audit cycle or 10 years | Destroy | No |
| UWFA203 | Internal Control Reference Files | All reference files used to support internal control programs. | 0 days | Date of supersession of file | Destroy | No |
| UWFA300 | Expenditures: Accounts Payable Records | All supporting records relating to the purchases of goods or services. These records may include, but are not limited to, vouchers (both regular and student vendors), invoices, travel expense reports and attached receipts, Payment-to-individual (PIR) reports, Academic Support Service Agreements (ASSA), entertainment contracts, Inter-Institutional Agreements, financial aid disbursements, and purchase orders. | 6 years | Fiscal year of creation | Destroy | No |
| UWFA301 | Receipts: Accounts Receivable Records | All supporting documentation related to the receipt of funds, which may include but are not limited to: deposit forms, remittance forms and any documentation that supports student charges/bills, including, but not limited to: uploads of charges (batch), housing/food plan contracts, manual charges, special fees, etc. Also included in this series are records relating to deposits, as well as invoices to third parties, and financial aid return forms and documentation. Although this General Schedule applies generally to non-student related records, be advised that it does include correspondence and documentation relating to student payments, such as remittances, receipts, and third party settlements. This record series is also described in the General Student Records Schedule. | 6 years | Fiscal year of creation | Destroy | No |
| UWFA400 | Paid/Cancelled Checks | Both paper checks and those imaged onto CD-ROM. CD-ROMs are provided by the state's working bank. | 6 years | Fiscal year of creation | Destroy Confidential | Yes |
| UWFA401 | Voided Checks | Voided checks resulting from printing errors. | 6 years | Fiscal year of creation | Destroy Confidential | Yes |
| UWFA402 | Stop Payment/Voided/Cancelled Check Records | Records include requests for stop payments and related Correspondence and reports. These requests include ZBA, Agency, and Contingent Fund accounts. Also included is all documentation relating to unpaid items, such as requests for re-issuance of checks, as well as all reports, logs, follow-up letters and supplemental documentation for stale check follow-up, voids, and reissues. | 6 years | Fiscal year of creation | Destroy Confidential | Yes |
| UWFA403 | Bank Statements: All Accounts | All statements and supporting documentation for reconciliation. Also included are bank analysis reports and all documentation relating to signature authority for checks. | 6 years | Fiscal year of creation | Destroy | No |
| UWFA404 | Signature Cards: Authorization | All documentation relating to requests for signature authority for checks. | 6 years | Date of inactivation of signature authority | Destroy | No |
| UWFA405 | General Obligation Bond Records | All supporting documentation for principal and interest payments, including correspondence and reports. | 50 years | Date the bond matures or is called | Destroy | No |
| UWFA500 | Collection Case Files | Records include documentation of collection efforts: correspondence, reports, "dunning" letters, payment agreements, relevant reports to/from the agency and the amount of debt defaulted or written off as uncollectible. Also included is all correspondence to/from outside collection agencies. Although this General Schedule applies to non-student related records, be advised that this series includes all correspondence and documentation relating to delinquent student accounts. These records can include, but are not limited to, payment plans, deferments, student letters, e-mail correspondence, pre-collect processes, book vouchers, and temporary loans. Note that student collection records and data are integrated with the ISIS/PeopleSoft client server, and that a number of these records may exist in electronic format. This record series is also described in the General Student Records Schedule. | 7 years | Date account is due | Destroy | Yes |
| UWFA600 | Journal Entries | All supporting documentation for journal uploads or entries into the Shared Financial System General Ledger. These may include, but are not limited to, internal transfers (chargebacks), payment transfers, revenue transfers, budget transfers, and budget entries for projects. Also included is documentation supporting the allocation of purchasing card expenditures, as well as supporting documentation for project budgets. | 6 years | Fiscal year of creation | Destroy | No |
| UWFA700 | Capital Accounting Projects: Federal Construction Funds | Documentation of acquisitions, capital assets, depreciation schedules, fixed assets, material transfer files, mortgage ledgers, facility/plant ledgers, property detail reports, property inventory reports, and reports on property sold. | 30 years | Date of issuance | Destroy | No |
| UWFA701 | Capital Accounting Projects: Non-Federal Construction Funds | All documentation supporting construction fund projects, including acquisitions, capital assets, depreciation schedules, fixed assets, material transfer files, mortgage ledgers, facility/plant ledgers, property detail reports, property inventory reports, and reports on property sold. | 4 years | Fiscal year of creation | Destroy | No |
| UWFA702 | Capital Accounting Project Budgets | Records include budget-related records (allotments) for construction fund projects. | 4 years | Fiscal year of creation | Destroy | No |
| UWFA800 | Capital and Non-Capital Equipment Inventories | Records include running inventories of capital equipment such as motor vehicles, audio-visual equipment, computers, printing and mailing equipment, production copiers, tools lab equipment, furniture, etc., that describe each piece of property, denote its location, and provide totals of each type of institution- or equipment owned by University of Wisconsin System institutions. Also included are the same types of inventories for non-capital equipment such as office supplies, computers, commodities, parts, and materials. | 4 years | Fiscal year of creation | Destroy | No |
| UWFA801 | Surplus Property Disposition Records | Documentation that identifies surplus property and tracks its disposition. Included are requests for disposal of property, receipts, Duplicates of reporting forms and supporting documentation that describes the property and the proposed method of disposition. Records may also include acquisition information and depreciation schedules. | 4 years | Date of disposition of property | Destroy | No |
| UWFA902 | Allocations | All documentation used to verify the fringe, indirect cost, and Facilities and Administration (FandA) allocation processes for grants. | 6 years | Fiscal year of grant's awarding | Destroy | No |
| UWFA903 | Letter of Credit: Drawdown Information | All documentation used to determine draw amounts against federal grants' Letters of Credit. | 4 years | Date of submission of LOC draw request | Destroy | No |
| UWFA904 | Facilities and Administration (FandA) Cost Rate Proposals | Records include rate proposals, cost allocation plans, and computations. | 3 years | Date of submission of proposal | Destroy | No |
| UWBC0001 | Business Communication: Routine | Routine communication has continuing value as a public record, because it is directly connected to the transaction of public business that is conducted by university employees. Routine communication comprises the normal communication that occurs when university employees, and sometimes their colleagues who are not university employees, work together to transact public business on behalf of the University of Wisconsin System. Routine communication has no historical value; never includes records that set forth university policies, guidelines, procedures, or directives; and does not formalize the business processes of the University of Wisconsin System. | 6 months | Business activity or project is completed. | Destroy/Delete | No |
| UWBC0002 | Business Communication: Transitory | Transitory communication is directly connected to the transaction of public business that is conducted by university employees, but it has a short-term business value. Transitory communication has no business value after the information contained in the message has been conveyed or superseded, or the event to which the message is related has occurred. Transitory communication does not establish policies, guidelines, or procedures; certify a transaction; become a receipt; nor perpetuate or formalize business activities of the University of Wisconsin System. Transitory communication is not necessary for statutory, legal, or fiscal purposes; has no historical value; would not be filed in a records management system; and should be destroyed after one week, or when obsolete because the communication has been superseded or the related event has transpired. | 7 days | Communication has been superseded or the related event has transpired. | Destroy/Delete | No |
| 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 |
| 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 |
| UWIT0003 | Program Source Code | Program source code including run or job controls | 3 years | Code is superseded or replaced | Destroy/Delete | No |
| 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 | ||
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| UWIT0010 | Network Architecture and Configuration Documentation | Network architecture documentation, configuration management and circuit inventory system | 3 years | Discontinuance of System | Destroy/Delete | No |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 | |
| 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 |
| UWADV001 | Academic Advising Records - Undergraduate | Records created to document and support comprehensive and planned guidance for matriculated undergraduate students so that both the basic requirements and those of specific majors and minors are fulfilled. This records series does not include informal and isolated communications of faculty and staff who do not provide regular advising services. Academic advising records pertain to undergraduate students and are maintained in two ways: one, by a centralized advising center which advises students for a variety of academic departments and two, by specific academic departments and colleges. The records are kept as a means for staff to provide consistency and comprehensiveness in advising of students. Files are generally organized by student name and may contain, but are not limited to: advising notes, curriculum planner, degree planning sheets, consortium agreements, worksheets, applications and worksheets particular to a department and copies of key advising email and other correspondence. A wide variety of other documents are frequently found in these files including: student academic reports, student progress summaries, requests for modification, requests for late ad/drop, copies of add/drop cards, copies of college and high school transcripts, appeals for late/drop, checklists, waiting lists, internship or independent study agreements and worksheets. Frequently, active records are separated from inactive records to facilitate retrieval and disposition routines. Inactive files can contain information about students who have graduated, have stopped attending or who have formally withdrawn from the program, college or university. This series includes all undergraduate programs except those that are for professional licensure or certification (See ADV003). | 3 years | Last semester of attendance and when no longer needed for ongoing administration. | Destroy | Yes |
| UWADV002 | Academic Advising Records - Graduate | Records created to document and support comprehensive and planned guidance for matriculated graduate students completing their degrees. This records series does not include informal and isolated communications of faculty and staff who do not provide regular advising services. The academic advising file, which is generally the same or a part of a student's graduate application, matriculation and graduation record, typically contains a standard admission to candidacy form for a graduate degree (master's or doctorate), certificate or achievement program, official transcripts, a resume, standard graduate admission test results (i.e. GRE, GMAT, MAT), documentation of specific academic content areas, letters of recommendation, a personal statement describing why the applicant is pursuing this program, a certificate of admission, research proposal form, copies of key advising email and other correspondence. This series includes all graduate programs except those that are for professional licensure or certification (See ADV003). | 3 years | Last semester of attendance and when no longer needed for ongoing administration. | Destroy | Yes |
| UWADV003 | Academic Advising Records - Certificate, License Professional | Records created to document comprehensive and planned guidance for matriculated undergraduate and graduate students who are pursuing professional licensure or certification in areas such as education, social work, nursing, and counseling. This records series does not include informal and isolated communications of faculty and staff who do not provide regular advising services. The records include documents kept for both undergraduate advising and graduate academic advising, but also records specialized for specific professions. This series may include, but is not limited to: student academic reports, a signed statement of commitment to an ethical code, a background information disclosure (BID), a criminal background report, a student responsibilities agreement, a contact information sheet, an application for formal admission to the undergraduate or graduate program, a volunteer reference, practicum documents, teaching materials, clinical assignments, copies of key advising email and other correspondence, and other documents related to specific program preparing students for licensed and professional employment. Certificate, license, professional advising records are kept longer than other advising records for particular programmatic needs. | 8 years | Last semester of attendance and when no longer needed for ongoing administration. | Destroy | Yes |
| UWADV004 | Academic Advising Records - Prospective Student | Prospective student files are kept for students who express interest, but never attend the university. The file contains various documents including but not limited to recruiting and advising notes, worksheets, unofficial or official transcripts, applications, copies of key advising email and other correspondence and may include a variety of other documents. This records series does not include informal and isolated communications of faculty and staff who do not provide regular advising services. Academic advising records and documents of students who are admitted and attend the university become part of the records series: ADV001, ADV002, and ADV003. | 2 years | Last contact with individual. | Destroy | Yes |
| UWADM001 | Policies and Procedures | University established departmental policies and procedures, including manuals, manual codes, handbooks, and other related materials. | 7 years | Policy or procedure is superseded | Destroy or Transfer to Archives per institutional policy | No |
| UWADM002 | Calendars and Schedules | All calendars used for university business which includes both paper and electronic calendaring systems. This series includes, but is not limited to, desk calendars, appointment books, and similar records. | 5 years | End of the Calendar Year | Destroy or Transfer to Archives per institutional policy | No |
| UWADM003 | Alphabetical/Topical Files | Files which document the activities of academic and operational departments on campus, including the internal development and operations of programs. Records can include correspondence, reports, memoranda and notes, publications, and announcements. These files may also be known as subject files, departmental or office files, mixed files, or program files. The files may include records of non-historical value scheduled by other RRDAs, which may be removed by each institution's archives upon receipt. | 3 years | Created | Transfer to Archives for review | No |
| UWADM005 | Planning Documentation | Strategic, business and operational planning files at all levels of the university, including, but not limited to, final plans, calls for proposals, publicity or presentation materials specifically related to planning initiatives, and significant work papers. The official copy of this series is held in the highest-level office affected by the plan being documented (e.g. a campus master plan will be held by the Chancellor's Office; a school/college plan will be held by the Dean's Office, etc.) | 6 years | Plan is completed or superseded | Transfer to Archives | No |
| UWADM006 | Reorganization Documentation | Documents showing organizational changes within the college or university, including files of significant addition, deletion, or transfer of administrative, functional or regulatory responsibilities, etc. | 2 years | Date reorganization is completed | Transfer to Archives | No |
| UWADM007 | Organizational Charts | This series consists of the records of the official organizational structure of each college of university, as well as that any smaller schools within those institutions. | 0 years | Organizational chart is superseded | Transfer to Archives | No |
| UWADM008 | Transition Briefings | Records that are prepared to provide an overview of the university, department, or office during transitions to new management. | 2 years | Date prior official or department chair leaves his/her position | Destroy | Potentially; contact the department chair, dean, or other administrator for more information |
| UWADM009 | University Sponsored Conference Records | This record series consists of but is not limited to registration materials, correspondence, financial reimbursement and public relations materials for conferences that are hosted by a university department of unit. This schedule does not include those records covered under the UWS- Administrative Schedule. | 3 years | Date of the conference | Transfer to Institutional Archives for review per policy | No |
| UWADM010 | External Complaints | Complaints received regarding issues not related to a particular individual, office, or program. This series specifically covers complaints received from non-student, non-staff members of the community. For the retention period for internal complaints, please see the UWSA Personnel Records Schedule. Some of these complaints may be historical or precedent-setting in nature; each institution's archives should work with offices managing these records to determine which records in this series may have ongoing value. | 5 years | Superseded or replaced | Destroy or Transfer to Archives per institutional policy | Yes |
| UWADM011 | Legal Notices | documentation associated with required legal notices. Legal notices required for an event should be filed with the specific action/event. | 1 year | Creation of legal notice | Destroy | Yes |
| UWADM012 | Public Records Requests | Records relating to regular and reformulated, repetitious, systematic or continuing requests by individuals, groups or organizations for access to general information under the provisions of the Wis. Stats 19.35-19.37. The series includes the original request, notice of change (of scope of request), billing, collection of fees, acknowledgement of receipt of request, follow-up letters and transmittal memorandums, access request review, requests for extension, third party notification, access request review recommendations and summaries, listing of records searched and used to respond to requests, and logs maintained documenting receipt and response of requests. The series may also include request response package including any redaction of information (if information is kept). If requests are denied, records covered here include request denials and related justification, mediation, representations from third parties, recommendations, court orders, and reviews. Also includes abandoned requests. | 3 years | Response to request is provided | Destroy | Yes |
| UWADM013 | Agreements and Contracts | Contracts between a university or smaller unit and other government or private entities retained by the office or department. This series may also include any correspondence clarifying or setting terms in the contract itself. | 6 years | Close of contract date or fulfillment/supersession of the terms. | Destroy | No |
| UWADM014 | Unit/Department Training/Course Materials | Materials prepared and used by staff to provide information targeted to internal and external audiences. This series may include handouts, flyers, presentation files, or any other materials used in the course of training sessions. | 0 years | End of course or when no longer relevant to course | Destroy | No |
| UWADM015 | University Publications | All publications - whether one-time only or serial- produced by the university, such as newsletters, newspapers, magazines, pamphlets, brochures, press releases, bulletins and catalogs. This series includes both analog and digital publications. | 3 years | Created | Transfer to Archives | No |
| UWADM016 | University Speeches/Presentations | Official or final version of the speech or presentation that is filled with department records. Working copies, hand-written notes, and drafts should be filed with the personal papers or the presenter. | 3 years | Created | Destroy or Transfer to Archives per institutional policy | No |
| UWADM017 | University Recorded Performances/Events (non-athletic) | Audio or Video recordings of campus events or performances staged or recorded by a campus unit. This series does not include audio-visual materials prepared for course instruction or conduct of research unless these materials are of a unique nature. | 3 years | Created | Destroy or Transfer to Archives per institutional policy | No |
| UWADM018 | Agendas/Minutes | Minutes and agendas for all official meetings, including department, committee, faculty senate meetings (including high-level committee meetings), council meetings, university wide meetings and Department Chair correspondence. This series also includes any supplementary documents or other materials that are associated with the minutes. | 3 years | Approval of minutes | Transfer to Archives | Potentially; contact the records creator for more information |
| UWADM019 | Meeting Recordings | Audio or video recordings of official meetings, including all categories of meetings mentioned in UWMADM017. In general, these recordings have little to no historical value; the minutes of the meetings recorded should serve as the official record of events. | 0 years | No longer needed for administrative purposes | Destroy | No |
| UWADM020 | Voting Materials - Elections to Committees | Written or electronic ballots, nomination papers, tally sheets, and other materials used to elect employees to committees, or used within committees to elect committee chairs. | 1 year | Vote is tabulated | Destroy | Yes |
| UWADM021 | Voting Materials - Executive Committee Actions | Written or electronic ballots, nomination papers, tally sheets, and other materials used by departmental executive committees to decide on actions to be taken by the committee. This series includes formal ballots on issues of promotion or tenure decided by executive committees. | 6 years | Approval of minutes | Transfer to Archives | Yes |
| UWADM022 | Routine Activity/Production Reports | Occasional and/or periodic reports by individuals, offices or teams that document the business of the agency. | 1 year | Date report is created | Destroy | No |
| UWADM023 | Annual/Summary Reports | Summaries of accomplishments, goals, statistics, awards received, anticipated program needs and plans, as well as any supplementary documentation to support such reports. | 5 years | End of the reporting period | Transfer to Archives | No |
| 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 |
| 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 |
| UWADM026 | Surveys/Questionnaires - Non-Academic | Documents the creation and results of surveys by or for agencies for administrative, informational or non-academic research purposes. Records may include, but are not limited to, survey planning documents, survey instruments, completed surveys or questionnaires, analyzed results, and any reports or publications that result from the survey. For academic course evaluations, please see the UWSA Personnel Records Schedule. | 1 year | Date survey is completed | Destroy | Yes |
| 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 |
| 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 |
| UWSH100 | Student Health Center Directors Correspondence | Includes all general correspondence of the Student Health Center Director. This may include statistical summaries, physician contracts and matters other than individual student health issues. | 3 years | Created | Destroy or Transfer to Archives depending on institutional policy. | |
| UWSH101 | Student Health Center Administrative Subject Files | Includes alphabetic topical files, operational policies and procedures and other issues that arise regarding the administration of the Student Health Center. | 5 years | Created | Destroy or Transfer to Archives depending on institutional policy. | |
| UWSH102 | Student Health Center Annual Reports | The annual reports document all activities of the Student Health Center on a yearly basis. The report provides financial and statistical information, summaries, accomplishments and discussion of future goals. | 1 year | Created | Transfer to University Archives | |
| UWSH103 | Student Health Center Meeting Records | Includes meeting minutes, agendas and distribution materials of all committee and sub-committees created to assist in the management of the Student Health Center. | 3 years | Fiscal year of creation | Destroy or Transfer to Archives depending on institutional policy. | |
| UWSH104 | Student Health Services Health Insurance Records | These records include information on the health insurance plan products for students and the different type of information regarding coverage. Also included are enrollment options, types of waivers, payment options, COBRA coverage and foreign government billing and vendor accounting related to insurance plans. | 5 years | Created | Destroy Confidentially | |
| UWSH105 | Student Health Services Health Advisory Committee Records | Includes meeting minutes, agendas and distribution materials related to the work of the advisory committee which serves as a liaison with the Student Health Center as well as an advocate for health outreach programs to the campus community. | 3 years | Fiscal year of creation | Destroy or Transfer to Archives depending on institutional policy. | |
| UWSH106 | Student Health Center Medical Records | The student medical files contain comprehensive information on each student who receives medical services at the Student Health Center. It may include, but is not limited Problem Lists, Face Sheets, visit notes, encounter notes, telephone notes, lab tests, radiology tests, mental health tests, other diagnostic tests, physical exams, outside records, correspondence such as emails, messages, allergy injection records, immunization records, consent forms, WIR immunization reports, laboratory reports, T-B Skin Tests, progress notes, flow sheets, psychological reports, Billing records, notices of privacy practices and disclosures. Student Health records are kept according to FERPA confidentiality requirements. These records are considered to be part of the designated set of health records and part of the legal health record guidelines which are center specific. | 10 years | Last date of encounter at University Health Services (UHS) | Destroy Confidentially | Yes |
| UWSH107 | Student Health Services Employee/Visitor Encounter Record | Medical information on each visitor who was treated for emergency or occasional treatment at the Student Health Center. | 3 years | Date of last encounter | Destroy Confidentially | Yes |
| UWSH108 | Student Instructional Camp Health Records (Non-Athletic) | Health records and consent forms generated by the Student Health Center for all individuals attending UW System sponsored camps. These records may include individual and family histories, health questionnaires, physical examination results, and X-ray and laboratory reports as well as signed consent forms to allow for medical treatment and medicinal dispensing. This series does not apply to sports camps. | 4 years unless participant is a minor, then records need to be kept until minor reaches age 18 | Last year of enrollment | Destroy Confidentially | Yes |
| UWSH109 | Student Health Center Daily Log | The daily log includes the name of each patient, the name of the medical personnel attending the patient and the medical problem or treatment it may include procedures done in the laboratory which contain the patient's name, the name of the medical personnel, who attended the patient, and the prescribed treatment. | 3 years | Created | Destroy Confidentially | Yes |
| UWSH110 | Student Health Center Appointment Schedules and Statistical Logs | The series includes a weekly schedule for each nurse and physician and the name of the patient seen. It also includes a log for laboratory tests and results, log of physician's appointments, which also includes the patient's name, diagnosis, laboratory work and treatment. | 5 years | Created | Destroy Confidentially | Yes |
| UWSH111 | Student Health Center Visit and Coding Statistics | The records series includes appointments, schedules, physician information, coding, invoices, billings, patient accounts, reporting and payment posting. | 7 years | Created | Destroy Confidentially | Yes |
| UWSH112 | Student Health History Form - Inactive Students | Health history forms completed by every student at the start of their enrollment. This series includes only those forms of students who never made an appointment at the Student Health Center. (The forms of students who have been seen as a patient at the Student Health Center are included in the Students Medical file covered under HRS106) | 5 years | Last semester of attendance | Destroy Confidentially | Yes |
| UWSH113 | Student Health Center Pharmacy Records | Patient prescriptions for pharmaceuticals written by the medical staff of the Student Health Center for patients. The records include the type of medication, the dose and quantity of the medication, when the medication was dispensed and the name of the medical staff person who dispensed it. | 7 years | Date of last visit | Destroy Confidentially | Yes |
| UWSH114 | Student Health Center Laboratory Reports - Copies | Copies of laboratory reports which include testing and their results completed on each patient at the Student Health Center. (Original Laboratory Reports are kept as part of the Students Medical Record, HRS106) | 3 years | Created | Destroy Confidentially | Yes |
| UWSH115 | Student Health Center Master Patient Index (MPI) | Record of all patients who received care at the Student Health Center and contains the Patient's Medical Record Number, Patient's Legal Name, DOB, Gender, Race, Ethnicity, Address, Campus ID, Account #, Admission or Encounter date, Discharge or Departure date, Encounter or Service Type, Patient's disposition. Master Patient Index is the link in tracking patient, person, or member activity within an organization (or enterprise) and across patient care settings. The MPI identifies all patients who have been treated in a Facility or enterprise and lists the medical record or identification number associated with the name. An index can be maintained manually or as part of a computerized system. | 75 years or Life of University Health Service, whichever is longer | Created | Yes | |
| UWSH116 | Student Health Center STD Case Records | All materials which document a positive case of sexually transmitted disease (STD) on campus. The records may include test requisitions, test analytics reports, quality control analytics and other documentation required to verify the report. | Transfer to the Wisconsin Department of Health and Family Services | Yes | ||
| UWSH117 | Student Health Center Quality Controls Records | Student Health Center studies which are utilized to improve the quality of health care. They include, but are not limited to, quality studies, peer review and case review, risk management reports, satisfaction surveys and National College Health Assessments. It also includes a complaint form or surveys to be completed on optional bases by any patient. The form includes the date, nature of the complaint and a comment section. The staff person's name and the patients name are optional. | 3 years | Created | Destroy Confidentially | Yes |
| UWSH118 | Student Health Centers Service Program Records | Materials on various educational programs, reports and correspondence provided by the Student Health Center. This may include posters, circulars, contests and other preventive health care initiatives. | 3 years | Created | Destroy or Transfer to Archives depending on institutional policy. | No |
| UWSH119 | Counseling Center Administrative Subject Files | Includes all correspondence, alphabetic topical files, policies and procedures that deal with the administration of the Counseling Center created by the Director. | 5 years | Created | Destroy or Transfer to Archives depending on institutional policy. | |
| UWSH120 | Counseling Center Annual Reports | The Director prepares an annual report which documents all activity of the Counseling Center on a yearly basis. The report includes statistical information. | 1 academic year | Created | Transfer to University Archives | No |
| UWSH121 | Counseling Center Meeting Records | Includes meeting minutes, agendas and distribution of materials of all committees and sub-committees created to assist in the management of the Counseling Center. | 3 years | Fiscal year of meeting | Destroy or Transfer to Archives depending on institutional policy. | |
| UWSH122 | Counseling Center Student Counseling Patient Files | This record series represents the main student health care record for the counseling center. Records include counselor's notes and reports, psychological test results, referral records, correspondence with referring agencies, release forms, security reports and additional information gathered about the client in the course of counseling. The files are used for crisis intervention, monitoring progress and as a resume for future treatment by other professionals. Student Health records are kept according to FERPA and HIPAA confidentiality requirements. These records are considered to be part of the designated set of health records and part of the legal health record guidelines which are center specific. | 10 years | Last semester of attendance | Destroy Confidentially | Yes |
| UWSH123 | Counseling Center Employee Assistance Program (EAP) | The record series represents the main employee health record for the counseling center. Employee assistance files contain comprehensive information on each university employee who receives counseling services through the EAP. It includes the counselor's notes and reports, referral records, correspondence with referring agencies, release forms, security reports and additional information gathered about the client in the course of counseling. The files are used for crisis intervention, monitoring progress and as a resume for future treatment by other professionals. | 7 years | Last appointment date | Destroy Confidentially | Yes |
| UWSH124 | Counseling Center Appointment Schedule and Statistical Logs | Includes weekly appointment sheets for each counselor with the name of the client, date and time. The statistical logs are compilations of the weekly appointment sheet used for end-of-the month reports. | 2 years | Created | Destroy Confidentially | Yes |
| UWSH125 | Counseling Center Satisfaction Surveys | Surveys record client satisfaction with Counseling Center services, counselors and admission procedures. | 3 years | Created | Destroy Confidentially | |
| UWSH126 | Counseling Center Community Outreach Prevention and Education Program | Materials on community outreach prevention and education programs. This includes but is not limited to posters, circulars, contest materials as well as program related reports. | 3 years | Created | Destroy or Transfer to Archives depending on institutional policy. | No |
| UWSH127 | Student Athletics Student Athlete Medical Files | Series represents the main student athlete health record for athletics programs. Student athlete medical files contain health physicals, health history questionnaires, physician notes, injury evaluations, injury rehabilitation, diagnostic imaging results, operative reports, operative pictures, health insurance information and any other health material. | 7 years | Last semester of attendance | Destroy Confidentially | Yes |
| UWSH128 | Student Athletics Athlete Diagnostic Tests | Includes MRI's, X-Rays, Bone scans and CT scans. The tests are filed alphabetically by team sport for active student athletes and alphabetical only for noncurrent student athletes. | 7 years | Last semester of eligibility | Destroy Confidentially | Yes |
| UWSH129 | Sports Camp Medical Records | Medical records consist of a health history form which is required for each person enrolled in a athletic sports camp sponsored by a UW System institution. The form includes date of last physical examination, immunization records, allergic reactions and identification of any existing medical problems, as well as signed consent forms to allow for medical treatment and medicinal dispensing. | 4 years unless participant is a minor, then records need to be kept until minor reaches age 18 | Year of participation | Destroy Confidentially | Yes |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| UWLA0001 | Matter Case Files | The legal affairs offices at UW System Administration, UW-Madison, and UW-Milwaukee serve as primary, advisory, or liaison counsel on a variety of litigated case files including, but not limited to: State of Wisconsin administrative proceedings; Federal or State court proceedings; internal proceedings; and federal enforcement actions and other campus legal matters. Legal matter files include but are not limited to pleadings and legal argument, correspondence, evidence, research, orders all documents related to a Legal Summons, and Subpoenas issued, May contain Client File; Expenses; Attorney Notes; Medical Records; Government Agency Filings; Discovery [for example Interrogatories, Request for Production of Documents; Deposition Transcripts; Evidence [for example photos, statements, etc. and/or related correspondence requesting specific records pertaining to University employees or University business transactions are included in this series. This retention period is consistent with that employed by the Wisconsin Department of Justice for similar records, and covers the longest expected applicable statute of limitations. The recommended retention period is ten years, unless the file is deemed historic. | 10 years | Date the file was closed | Destroy Confidentially | Yes |
| UWLA0002 | Legal Affairs Case Files - Historically Significant | Matter Case files that are determined to be documentation of historically significant events that happen on the university campuses. | 20 years | Created | Transfer to University Archives per institutional policy | No |
| UWLA0003 | Legal Trademark and Intellectual Property - Formal Legal Documents | Official legal documents dealing with Trademarks and Intellectual Property which are retained by Legal Affairs. Examples of these documents include those related to, but not limited to: trademark, intellectual property, trusts, real estate, and certain legal agreements or court orders related to trademarks and intellectual property. | 50 years | Created | Transfer to University Archives | Yes |
| UWLA0004 | Client Consultation Records | The general counsel and legal affairs offices frequently consult with clients on legal questions and concerns. Related records should be retained for six years because that is the longest statute of limitations for potential, related claims to be filed, and because that is a reasonable length of time for such documents to be useful in resolving similar matters. | 6 years ( The minimum is EVT + 6 Years. UW-Madison has opted to keep records more than the minimum for operational purposes to EVT+10 Years .) | Date of issue resolution | Destroy Confidentially | Yes |
| UWLA0006 | Administrative Rule Development - Official File | The University of Wisconsin System may promulgate administrative rules pursuant to Wis. Stat, chapter 36. The official rule drafting file should be should be retained permanently as is consistent with state-wide practice. | Permanent | Transfer to Archives per institutional policy | No | |
| UWPY0001 | Time and Labor Forms | These forms authorize and approve payments to employees. These forms include: Missed Punch Form, Work Scheduler and Approver Form, and Timesheet Report. | Signed original: HRS is the official holder of the data from the forms. Institution: 5 years. | Created | Destroy Confidentially | Yes |
| UWPY0002 | Time and Labor Administrative Reports | This series contains various types of HRS reports that institutions can produce to monitor or check reported time. In many instances, these reports monitor issues that need to be resolved or the payroll will not be processed. The following are report examples within HRS: Payable Status Report, Total 80-Summation of Reported Time, Future Time Entry, Comparison of Payable Time to Timesheets, Time Approval Reference Report, Labor Reference Report, Rejected Time Report, Schedule Definition Report, Weekly/Daily Schedules. | Institutions: 1 month | Created | Destroy Confidentially | Yes |
| UWPY0003 | Employee Login IP Addresses | Report shows IP addresses that employees are using to login and record time. This serves as part of the original reported time record as it identifies the individual and records the time they accessed in the HRS system. Login IP addresses are part of the authentication process for reported time. | HRS: 5 years | Created | Destroy Confidentially | Yes |
| UWPY0004 | Time Collection/Reporting Device Validation | Reports that record/report time to the payroll process. Time Collection Device Report that compares employee dept. to TCD ID for reported time loaded by interface. This report is used primarily by housing and athletics. -Report for positive time reporters (employees without time). This series also includes Time Clock/Web entry report. This latter report shows modification made by timesheet to time reported via clock or web entry. Also includes Time Entry Status Report. | HRS: 5 years | Created | Destroy Confidentially | Yes |
| UWPY0005 | Payable Time (Classified Employees Only) | This report by campus/division shows all payable time and indicates employee name, ID, time period, rate, hours worked and other data. Other HRS reports include Duplicate Time Report, Overtime and Comp Report. | HRS: 5 years | Created | Destroy Confidentially | Yes |
| UWPY0006 | Time and Labor Audit/Error Reports | This series includes such reports as: Report Time by Task which is a query report that shows time with task id's by date range and TRC's. This is a reference report that payroll managers may run to evaluate labor costs associated with given tasks. Also includes: Reported Time by TRC, Duplicate Time Report, Exception Report. | HRS: 4 years | Fiscal Year | Destroy Confidentially | Yes |
| UWPY0007 | Leave of Absence Report | 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) | HRS: 15 years. Campus Copies: 10 years. | Created | Destroy Confidentially | Yes |
| UWPY0008 | Leave Plans | The HRS system manages several leave plan types; FMLA (Family Medical Leave), Classified, Unclassified, Leave without Pay, Sabbatical, Military and others. HRS tables contain details of the plans, (When HR managers enter employees who have an approved leave status, they are assigned a leave type based on leave plans). UW System HR: The description of the various leave plans must be retained as long as employees covered by them are employed by the UW System. | HRS: 0 days Campuses: N/A | Superseded | Destroy Confidentially | Yes |
| UWPY0009 | Earning Statements | Earning statements show leave time taken during a designated pay period. (Leave balances are available to employees via MyUWPortal). | HRS: 15 years Campuses: N/A | Created | Destroy Confidentially | Yes |
| UWPY0010 | Leave Activity Summary Report | This report shows cumulative year to date leave activity by pay period. Some institutions receive copies of leave reports that are specific to their respective institutions. | HRS: 15 years. Campus Copies: Retain to meet administrative purposes not to exceed 18 months. | Created | Destroy Confidentially | Yes |
| UWPY0011 | Leave Reports | Leave activity reports and queries, such as: negative allocated vacation balance, generic leave balance, absence event, unpaid absences, payout/payback | HRS: 5 years. Campus copies: Retain to meet administrative purposes not to exceed 18 months. | Created | Destroy Confidentially | Yes |
| UWPY0012 | Leave Forms | Forms completed by individual UW System employees requesting leaves (other than sabbatical leave) and approved by supervisors and department/employing unit head. Forms include: Unclassified Leave Report, Unclassified Leave Conversion. | HRS: N/A. Campuses: 5 years. | Created | Destroy Confidentially | Yes |
| UWPY0013 | Absence Management HRS System Audit Reports | Routine reports used to check potential errors in the system. | HRS: Administrative need not to exceed 6 months. Campuses: N/A | Created | Destroy Confidentially | Yes |
| UWPY0014 | Wisconsin Retirement System Files and Reports | Electronic data file is created after each payroll is processed that includes data for each employee, including the employment category, earnings, hours worked and data necessary for monthly and annual WRS reporting. Other HRS reports (interfaces) that are governed by this record series include: Annual Detail Report and Cover Sheet, WRS Earnings/Hours Report, Half Time Compliance Report. | HRS: 15 years. Campuses: N/A | Created | Destroy Confidentially | Yes |
| UWPY0015 | Employee Payroll Case File | Records series includes various documents that are maintained in the institution Payroll office and regularly superseded by updated documents during the employee's term of employment in the institution. Items in both series include the following items: Withholding Agreements: Forms filed by employees authorizing withholding of income from paychecks. Records in this series include required withholding agreements, notifying the employer (State) of federal and State income tax withholding allowances; tax sheltered annuity, deferred compensation and savings bond authorizations; and various other voluntary authorizations. Records in this series are used to document withholding agreements and authorizations for each employee. Series includes but is not limited to the following agreements/forms: Tax Withholding Forms such as: IRS 1001, IRS 8233, W4, Earned Income Credit, WT-4 State Withholding Allowances; Other Withholding (For a detailed list please consult index.); Accidental Death and Dismemberment Application; Dental Insurance Application; Direct Deposit Authorization; Employee Reimbursement Account Enrollment Form; Savings Bond Deduction Authorization; Tax Sheltered Annuity Authorization; Miscellaneous Dues and Deduction Authorization Cards | HRS: 50 years. Campuses: Retain Event | HRS: Resolved, verified, superseded or between 1-6 pay periods | Destroy Confidentially | Yes |
| 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 |
| UWPY0017 | Benefit Audit/Error/Reference Reports | Routine reports run to verify HRS table settings, notify institutions of routine updates, etc. Series includes the following HRS record items: Flexible Spending Acct Table (JIRA #6970), Flat Rate Table Information (JIRA #6971), Disability Plan Table (JIRA #6972), Billing History Report (JIRA #6965), Employee Enrollments, Charges, Credits (JIRA #6967), Benefit Contribution Report (JIRA #6961), ABBR Changes (JIRA #6893), Health Plan Participants Report (JIRA #6959), Participant Location Report (JIRA #6947), Eligible Participant Reports (JIRA #6945), Enrollment Event Triggered Listing (JIRA #6922), Event Rules Billing (JIRA # 6957), Undeliverable Email Report (JIRA #6915), Deduction Exception Report (JIRA #6921), Missing Employee/Dependent Data Report (JIRA #6919), Enrollment Code Error Report (JIRA # 6923), Individual and Family Life Audit Report (JIRA #6937), WRS Earnings Report-Federal Cap (JIRA #6036), Concurrent Employment Audit Report (JIRA #6935), Benefit Eligibility Intention Report (JIRA #6933), Age 70 Report (JIRA #6930), Accidental Death Audit Report (JIRA #6929), Termination Date-Coverage Report (JIRA #6904), Spouse Family Double Coverage Report (JIRA #6940), Insurance/Provider Vendor Report (JIRA #6988) | Retain until administrative need has concluded, not to exceed one year. | |||
| UWPY0018 | TSA Multiple Enrollments Report | Report to identify employees with multiple TSA enrollments who are close to reaching the IRS maximum to determine which TSA deduction to allow to go through, and which deduction to manually override for the remainder of the calendar year. | HRS: 5 years. Campuses: administrative need not to exceed 1 year. | Created | Destroy Confidentially | Yes |
| UWPY0019 | Payroll Accounting and Benefit Reports and Transfers | Reports and correspondence that have fiscal audit values related to transfers of payroll funds. Series documents issues and concerns related to transfer of funds to banks for state payroll, reports that total savings bond deduction totals and other summary accounting reports that provide backup documentation to support the WISMART system. Items in this series include but are not limited to the following: Electronic Deposit Correspondence: between Processing Center and banks that deposit employee paychecks through electronic deposit; ACH (Automatic Check Transfer) Cancellation Notice; Saving Bond Deduction Totals Report: generated bi-weekly from Processing Center system. Report is not distributed outside of Processing Center; Saving Bond Payment form used by Processing Center staff to identify the total bi-weekly savings bond payment amount; Retroactive Benefit Calculations Report (JIRA #6914); Retroactive Benefit Missing Premium Report (JIRA #6913); Deduction Pre-pay Reconciliation Report (JIRA #6905) | HRS: 4 years. Campuses: Administrative need not to exceed 1 year. | Created | Destroy Confidentially | Yes |
| UWPY0020 | Active ETF Participant Case File Records | Records series covers various application, enrollment and maintenance records that State employees use to participate in various benefit programs administered by the State Department of Employee Trust Funds (DETF). The DETF maintains the official copy of records in this series in the DETF Participant files of the Department, for the duration of an individual's term of employment with the state and for the following periods of time thereafter: Event (Death) + 25 years, or, Event (Separation benefit or single sum annuity) + 40 years. Records in this series document the employee's participation in the Wisconsin Retirement System (WRS), Health insurance, benefits, life insurance, income continuation insurance (ICI) and certain benefit continuation programs. Series includes but is not limited to the following: Accumulated Leave Certification; Approval Notice of Benefits; Beneficiary Designation; Benefit Claim; Continuation Notice; Death Benefit Information Request; Election to Reduce Life Insurance Amount; Employment Application and Statement; Evidence of Insurability; Group Life Insurance Coverage; Health Insurance Application; Health Insurance Change; Income Continuance Insurance Application; Life Insurance Application/Cancellation; Life Insurance Disability Premium Waiver; Medical Report-Disability Retirement; Notice of Death; Sick Leave Certification; Sick Leave Escrow Application. Also includes Enrollment Deadline Worksheet for employees with no email preference as well as Name Change documentation, Beneficiary Change Forms. This series may also include a copy of the employee's most recent ETF Benefit Statement. This statement is used to retirement benefit counseling. The employee also receives copies of many items above for his or her own record. | Official Copy-maintained by ETF: 25 years from date of death or 40 years from date of separation. Campuses: Case file pulled and placed with terminated employee case file. HRS: N/A | Date of death or separation | Destroy Confidentially | Yes |
| UWPY0021 | Enrollment Reports | Series of HRS reports on new benefit plan enrollments, changes in coverage level or plans, and enrollment terminations for each benefit plan in addition to changes in personal data such as name changes, changes in addresses, and corrections of Social Security Numbers and dates of birth. This series also includes reports that show what insurance programs employees are enrolled in and deduction amounts, (JIRA #6987) | HRS: 7 years. Campuses: administrative need not to exceed 1 year. | Created | Destroy Confidentially | Yes |
| UWPY0022 | Benefit Confirmation Reports | Open Enrollment and New Hire enrollment events have a requirement to provide a statement to employees as confirmation of their enrollment elections. Distribution will be via paper for employees who do not have the new custom field "UW Communication Preference" (see HRS-665) marked for email communication and/or don't have an email address available. This series includes such items as: Income Continuation (ICI) Notification. Campus-Completed enrollment forms may be a part of the employee's benefit case file. | HRS: 7 years. Campuses: administrative need not to exceed 1 year. | Date of termination | Destroy Confidentially | Yes |
| UWPY0023 | DETF Benefits Reports | Records series includes various benefits reports that list benefits accrued in DETF - administered programs, including the WRS, health, life, and ICI insurances. Series includes but is not limited to the following reports: Annuitant Health Insurance Monthly Coverage Report; Employee Transaction Report; Group Health Insurance Monthly Additions Report; Group Health Insurance Monthly Change Report; Group Health Insurance Monthly Deletions Report; Group ICI Monthly Premium Report; Group Life Insurance Collection Report; Health Insurance Summary Report; ICI Summary Report; Monthly Health Insurance Coverage Report; Monthly Retirement Remittance Report; Rehired Annuitant Election to Participate in the WRS; WRS Coverage Detail Report; WRS Over/Under Payment/Interest Due Report. Institutions receive copies of reports if applicable to employees in their institution. The Department of Employee Trust Funds (DETF) has the original which is retained for 7 years from the date of the report. This item includes the following interfaces: ERA Enrollment Report, Employee Periodic Transaction Report, and Annual Employee Transaction Report. | HRS Interfaces: 7 years. Campuses: retain until completion of administrative need, not to exceed 1 year. | Created | Destroy Confidentially | Yes |
| UWPY0024 | TSA and Wisconsin Deferred Compensation Documentation | Includes hard copy TSA and WDC documentation of enrollments and changes to contribution levels for individual UW employees. | HRS: 7 years. Campuses: Employee Benefit Case File-7 years. | Created | Destroy Confidentially | Yes |
| 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 |
| 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 |
| 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 |
| UWPY0028 | Benefit Program Vendor Data Files | Data files that are electronically transferred to vendors supplying the benefit and/or insurance program to UW employees. The data files include names, ID information, payment data, SSN, and other pertinent information of employees who have enrolled in such programs. Data transfers are used to inform vendors of new enrollments, transfer payments, and support eligibility determinations. These data file transfers can include some or all of the following: ERA Eligibility and Deduction files. | HRS: 7 years. Campuses: N/A | Created | Destroy Confidentially | Yes |
| UWPY0029 | 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). | HRS: 7 years. Campuses: Retain copy of official notices in employee payroll case file if one is maintained (See UWPY0030) | Created | Destroy Confidentially | Yes |
| UWPY0030 | Terminated Employee Case File | This records series includes the Institution copy of benefit forms, withholding, applications, notifications, etc. that are current at the time of employee termination. After the employee terminates from the particular institution, the case file is maintained to determine the employee's rights to various benefits. These records are the responsibility of the employing institution. Employees will complete new withholding authorization forms when they move to another institution. However, records in this series may be used to provide backup documentation of the employee's payroll activities. | HRS: N/A. Campuses: 5 years. | Date of employment termination | Destroy Confidentially | Yes |
| UWPY0031 | Life Insurance Reports and Interfaces Sent to Vendors | Lists of employees and their coverage sent to life insurance vendor (currently Minnesota Life). (Example Individual and Family Annual Census File) | HRS: 7 years. Campuses: N/A. | Created | Destroy Confidentially | Yes |
| UWPY0032 | Annual Benefits Statements | This series consists of Annual benefit statements produced by the HRS system. This statement reflects all benefit programs in which the employee is currently enrolled and total employer/employee contributions to them. | HRS: 5 years. Campuses: N/A. | Date of employee termination | Destroy Confidentially | Yes |
| UWPY0033 | HRS 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 calc data is created/added to the employee permanent payroll history after the payroll confirmation process has been run. The payroll microfiche jacket will contain the following types of information: date of payroll, type of payroll, gross earnings, and deferred items. The jacket will be maintained with the Master Payroll Fiche for 50 years. Also included under these records series and the 50 year retention requirement are the following reports: Audit Tables Query Report (JIRA #6918) | HRS: Master Fiche/Tape for all UW Institutions maintained by HRS 50 years. Campuses: N/A | Created | Destroy Confidentially | Yes |
| UWPY0034 | Timesheets | This series consists of signed individual timesheets. | HRS: N/A Campuses: 5 years. | Date of the pay period | Destroy Confidentially | Yes |
| UWPY0035 | Payroll Processing Reports | Series of reports produced as part of the processing of each payroll. Reports include: Employees NOT processed in Current Payroll, Deductions not Taken, Payroll Error Messages. | HRS: Retain to meet administrative need not to exceed 18 months. Campuses: N/A | Created | Destroy Confidentially | Yes |
| UWPY0036 | HRS Payroll Audit Logs | This series consist of Audit logs to track changes made during payroll processing. | HRS: 3 years. Campuses: N/A | Created | Destroy Confidentially | Yes |
| UWPY0037 | Payroll Register and Voucher | Payroll listings showing gross and net pay, as well as deductions taken. This series also includes the payroll voucher. | HRS: 6 years. Campuses: retain to meet administrative need not to exceed 18 months. | Fiscal Year | Destroy Confidentially | Yes |
| UWPY0038 | Work Study Reports | Various reports that can be produced from the HRS system to monitor Work Study employees. These reports can include some or all of the following: work study award by job type, work study award by department budget, work study adjustment, work study balance control, work study award by person. | HRS: 5 years (34CFR 676.19). Campuses: 5 years. | Created | Destroy Confidentially | Yes |
| UWPY0039 | Unemployment Compensation | This series includes a hard copy report and transfer file (interface) sent to the Dept. of Workforce Development. | HRS: 6 years. Campuses: N/A | Created | Destroy Confidentially | Yes |
| 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 |
| 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 |
| UWPY0042 | Garnishment Report | A report to vendors of terminated employees who had garnishments taken from their wages. | HRS: 7 years. Campuses: retain to meet administrative need not to exceed 1 year. | Created | Destroy Confidentially | Yes |
| UWPY0043 | 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; Employer's Annual Reconciliation of Wisconsin Income Tax Withheld from Wages; Federal Bi-Weekly Tax Deposit Coupon; Federal Income Tax, Social Security, Medicare Bi-Weekly Report; Form 941 Payment Voucher; Statement to Correct Information; Transmittal of Corrected Income and Tax Amounts; Undeliverable W-2, W-2C, 1042-S and W-200 forms; Wisconsin Tax Deposit Report Coupon. This series also includes Military Pay Vouchers that are created for employees. | HRS: 7 years. Campuses: each institution is responsible for maintaining records of its employees' tax withholding records. | Fiscal Year | Destroy Confidentially | Yes |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| UWSTU048 | Grades, official | Official student grades, recorded by Registrar, including material in all formats: paper, electronic, D2L, etc. | Permanent | Created | Yes | |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| UWSTU065 | Transcripts, official | Official student academic transcripts showing name, years of attendance, courses attended, grades, major and further academic achievements. | Permanent | Created | Yes | |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| UWSTU086 | Course File, master | Official courses offered throughout the history of the institution. | 6 years | Created | Transfer to University Archives | No |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 | |
| 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 | |
| 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 | |
| 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 | |
| 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 | |
| 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 | |
| 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 | |
| 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 |
| 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 |
| 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 |
| 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 |
| WIAC100 | Commissioner's General Correspondence | The general correspondence records are used to support the administration of WIAC. They include but are not limited to general correspondence of significance with UW Council of Chancellors, WIAC Executive Committee, the Athletics Directors' Council, the Faculty Athletics Representatives' Council and the individual sport committees. | 10 years | Created | Transfer to UW Madison Archives for review | No |
| WIAC101 | Budget Documentation | The commissioner prepares an annual budget for the conference office that is reviewed by the athletic directors and faculty athletic representatives with the ultimate authority for approval residing with the Council of Chancellors. Payment invoices and purchase orders are also processed in accordance with UW System requirements. | Permanent | Invoices sent to the UW System Financial Administration | NO | |
| WIAC102 | Meeting Records | These records include meeting minutes, agendas and distribution materials pertaining to regular or special meetings (including telephone conference calls) of the governance and administration of WIAC. They include meetings with Council of Chancellors, WIAC Executive Committee, the Athletic Directors' Council, the Faculty Athletic Representatives' Council, and each individual sport committee. | 10 years | Created | Transfer to UW Madison Archives for review | NO |
| WIAC103 | Monthly Reports | The conference office prepares a monthly report entitled "Did you Hear the Latest" for purposes of informing the Board of Regents, Senior-Level UW System Administration, Council of Chancellors and various other constituencies of the major accomplishments and activities within the conference for the previous month. | 10 years | Created | Transfer to UW Madison Archives for review | No |
| WIAC104 | Directory and Record Book | The WIAC publishes an annual Directory and Records Book with copies distributed to each WIAC institution, members of the statewide media as well as other affected/interested groups and individuals. It includes contact information for the conference office and each member institution and a summary of the prior academic year and historical information (e.g., all-time records, statistics) for all WIAC championship sports. | Permanent | No | ||
| WIAC105 | News Releases | News releases are created on different formats to generate news stories or features about WIAC, special events, Conference Championships, honors to member schools and awards to individual athletes. | 10 years | Created | Transfer to UW Madison Archives for review | No |
| WIAC106 | Website | The website provides general information about WIAC administration, participating schools, sanctioned sports and corporate partners. The website also includes current information on Conference activities, annual schedules for each school, current standings in individual schools and championship events. | 0 days | When no longer needed | Destroy | No |
| WIAC107 | Eligibility Certificate | The WIAC Eligibility Certificate is a comprehensive record that each school must complete and submit to the conference office for each sport prior to the first permissible contest against outside competition in that sport. Comparable to an academic transcript, the certificate requires specific information on each student-athlete's eligibility status (e.g., credit hours enrolled, earned and current GPA). The certificate must be signed by the school's athletic director, coach, registrar, and faculty athletic representative to insure eligibility. Other supporting documentation pertaining to eligibility is provided by member institutions in addition to the eligibility certificate for selected student-athletes to include the WIAC Transfer Player Eligibility Statement, Athletics Tracer Report, Medical Hardship Request Form and the Petition for Wavier of Conference Eligibility Rules. At the conclusion of each sport season, institutions are also required to file with the conference office a Season of Participation/Competition Form. This form includes the names of each player who participated/competed during the prior season as well as their past participation and competition. The report must be signed by the athletic director and the head coach and is due in the WIAC office within four weeks of the final contest in the sport. | 10 years | Date of last year of eligibility | Destroy Confidentially | Yes |
| WIAC108 | Report of Secondary Violation | The WIAC requires its member institutions to report any and all NCAA or WIAC rules violations to the conference office. These reports are filed with the conference via the WIAC Report of Secondary Violation form. The record identifies the institution, when the violation occurred, description of the violation and what steps the school took to correct or to take discipline action if needed. In instances in which the infraction is a violation of NCAA rules, the commissioner forwards the report along with his disposition on the matter to the NCAA Enforcement Staff. | 7 years | Created | Destroy | No |
| WIAC109 | Scholastic Honor Roll | The Honor Roll record enumerates individual student athletes for their outstanding work in the classroom for each academic year. The student-athlete must maintain a 3.0 GPA or better during the last academic year and compete in at least one athletic contest to be recognized. | 3 years | Created | Destroy | No |
| WIAC110 | Athletic Director's General Correspondence | The Athletic Director maintains a record of general office issues and operations. This record series includes correspondence, reports, requests and responses related to all athletic programs at the University. | 6 years | Created | Destroy | No |
| WIAC111 | Athletic Director's Subject Files | The subject files include records on each of the school's sports programs. It also includes information on all University activities including special events and community relations, awards, special projects and presentations. | 6 years | Created | Destroy | No |
| WIAC112 | Meeting Records | These records include meeting minutes, agendas and distribution materials relating to regular or special meetings of the governance and administration of the Athletic Department of the University. | 6 years | End of fiscal year | Destroy | NO |
| WIAC113 | Annual Reports | The Director of Athletics where applicable prepares an annual report which documents the activities of all the athletic programs at the University on a yearly basis. | 6 years | Created | Transfer to University Archives for archival review | No |
| WIAC114 | Publications | Publications are created to communicate the activities and programs of the Athletic Department to the campus and audiences outside the University. They include but are not limited to programs, brochures, pamphlets and special event material. | Permanent | Created | No | |
| WIAC115 | Student Athletic Sports Committee Chapter Subject Files | The subject files of the University SAAC Chapter includes general correspondence on governance, list of members, agendas and meeting minutes, community events and projects. The committee serves as a vehicle to promote communication between the Athletic administration and student athletes. | 6 years | Created | Destroy | No |
| WIAC116 | News Releases | News releases are created on different formats on a daily or weekly basis. The news releases include but are not limited to campus sports events, conference games, top sports stories and athletes of the week. | 6 years | Created | Destroy | No |
| WIAC117 | Photographs and Videos | Photographs and videos are taken for use in the Athletic Department for marketing materials and news media as well as to document a visual history of the University's athletic programs. | 6 years | Created | Destroy | No |
| WIAC118 | Recruitment Records | Records document contact between the school and a prospective athlete. It includes a recruitment questionnaire and two suggested WIAC forms:Official Visit Form and Unofficial Visit Form. | 6 years | File is Closed | Destroy Confidentially | Yes |
| WIAC119 | Athletic Department Website | The website provides general information about each University's participation in WIAC. It also highlights team schedules, current information and statistics on men's and women's teams, top sport stories and conference athletes of the week. | 0 days | When information is not current for athletic programs or of use to the public | Destroy | No |
| 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 |
| 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 |
| 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 |
| 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 |
| UWRES005 | Student Housing Contracts | The purpose of the housing contract is to provide documentation for housing obligation andrelationship between the student and the University. The housing contracts pertain to all residence halls or dormitories. These housing contracts do not pertain to conference center rentals. Documents in this series may include but are not limited to housing applications, room change information, hall preference records, ADA accommodations, food plans/accounts and contracts, rentreferences, residence hall selection cards, housing status action forms, room condition inventories, rosters and logs, contracts, cancellation notices, contract release forms, contract offer, interest assessment materials, letters and printed emails | 6 years | End of contract | Destroy | Yes |
| 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 |
| UWRES007 | 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. | 6 years | End of lease | Destroy | Yes |
| 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 |
| 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 |
| UWRES010 | Menu and Recipe Records | Records in this series include, but are not limited to production records, time and temperature logs pertaining to food production, recipes, and special diet requirements. | 1 year | End of Fiscal Year | Destroy | No |
| UWRES011 | Food Cost and Usage Records | These records include, but arenot limited to food costand food usage reports based on inventories and purchases, mealcounts, andaverage meal costs. | 3 years | End of Fiscal Year | Destroy | No |
| 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 |
| UWRES013 | Safety Inspections | 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 |
| UWPP100 | Parking Services Annual Report | Annual report of the activities of the campus parking services. | 5 years | Created | Transfer to Archives | No |
| UWPP101 | Parking Director's Correspondence and Administrative Files | Correspondence and files of the Director of Parking Services which may contain information oflong-term value -such as planning materials fornew parking areas, policy information, and administrative matters. Files may include campus parking oversight committee materials. | 5 years | Created | Destroy or Transfer | No |
| UWPP102 | Parking Permit Registration Forms | Forms containing informationneededto register a vehicle for parking on campus. They will include name and address ofthe vehicle owner. They may include information for payroll deduction of fees, campusparking assignments, and campus identification numbers. Persons may include, but are not limited to, students, staff, or guests | 5 years | Created | Destroy | Yes |
| UWPP103 | Parking Citations | Official copies of citations for parking violations on campus. Format may be paper or electronic. | 5 years | Created | Destroy | Yes |
| UWPP104 | Parking Citation Appeals | Correspondence appealing parking violations and requesting waiver offees and/or other penalties. Format may be paper or electronic. | 6 years | Date of payment or closure | Destroy | Yes |
| UWPP105 | Parking Wait Lists | Lists of persons waiting for assigned parking spaces. Format may be paper or electronic. | 0 years | Superseded | Destroy | No |
| UWPP200 | Police Services Annual Report | Annual report of the activities of the campus police services. | 5 years | Created | Transfer to Archives | No |
| UWPP201 | Police Chief Correspondence and Administrative Files | Correspondence and files of the Chief of Police Services and other office files which may contain policy documents, letters, and administrative information oflong-term value. Note: Some institutions may consider some or all of these records to have archival value. | 5 years | Created | Destroy or Transfer | No |
| UWPP202 | Citations | Citations are tickets written for ordinance and non-criminal traffic violations. | 5 years | Created | Destroy | Yes |
| UWPP203A | Case Files (Juvenile-Misdemeanor) | These records may be called incident reports, investigation reports, offense reports, juvenile police reports or case files. They may include reports on juvenile offenders, misdemeanors (including criminal traffic incidents), and felonies. They may include evidence reports, photographs, mugshots, etc. Cases may be open or closed. Campuses may, per local policy, keep homicide and sexual assault cases permanently. Selected cases may have historical value. | 4 years | 18th Birthday | Destroy | Yes |
| UWPP203B | Case Files (Juvenile-Felony) | These records may be called incident reports, investigation reports, offense reports, juvenile police reports or case files. They may include reports on juvenile offenders, misdemeanors (including criminal traffic incidents), and felonies. They may include evidence reports, photographs, mugshots, etc. Cases may be open or closed. Campuses may, per local policy, keep homicide and sexual assault cases permanently. Selected cases may have historical value. | 8 years | 18th Birthday | Destroy | Yes |
| UWPP203C | Case Files (Adult-Misdemeanor) | These records may be called incident reports, investigation reports, offense reports, juvenile police reports or case files. They may include reports on juvenile offenders, misdemeanors (including criminal traffic incidents), and felonies. They may include evidence reports, photographs, mugshots, etc. Cases may be open or closed. Campuses may, per local policy, keep homicide and sexual assault cases permanently. Selected cases may have historical value. | 25 years | Closed Case | Destroy | Yes |
| UWPP203D | Case Files (Adult-Felony) | These records may be called incident reports, investigation reports, offense reports, juvenile police reports or case files. They may include reports on juvenile offenders, misdemeanors (including criminal traffic incidents), and felonies. They may include evidence reports, photographs, mugshots, etc. Cases may be open or closed. Campuses may, per local policy, keep homicide and sexual assault cases permanently. Selected cases may have historical value. | 25 years | Closed Case | Destroy | Yes |
| UWPP204 | Officer and Department Activity Reports | These records cover daily and weekly logs/reports of officer activities, including work schedules and court rosters. | 3 years | Created | Destroy | No |
| UWPP205 | Campus Security Activity Records | Records in this series include bicycle license registrations, motor vehicle lockouts, room lockouts, ride-along programs, motor vehicle and driver authorizations, and similar activities. | 3 years | Created | Destroy | No |
| UWPP206 | Dispatch and Radio Logs | Records of requests for police assistance and police responses, often in electronic format. | 120 days | Created | Destroy | Yes |
| UWPP207 | Security Video/Audio Surveillance Records | Video or audio associated with facility related surveillance of persons entering,using, or departing campus buildings or property. | 120 days | Created | Destroy | No |
| UWPP208 | Access Cards, Keys, Official Identification Badges Rosters | Lists of those University employees who have access cards and/or keys for University facilities and those who have official identification (i.e.name badges,university photo identification cards). Employees shall report missing cards/keys and /or identification as needed and shal lsurrender such items at the endof employment. Format may be paper or electronic. | 6 months | Key/Card Returned or Destroyed | Destroy | No |
| UWPP209 | Field Training Records | Field training is a requirement of all new employees and conducted during their probationary periods. If the field training is not completed successfully, the individual is terminated. The contentof the field training is part of the National FieldTraining Program used by many law enforcement agencies. It is a twelve week process. UW Police Policy states that successful candidates for staff positions onUW Police forces must meet the standards ofthetraining program. Files are maintained on both successful and unsuccessful candidates. Training files of successful candidates arenot tincluded in their official personnel files. | 7 years | Date of termination | Destroy | Yes |
| UWPP210 | Clery Act Report Files | This series consists of information complied for Clery Act for Higher Education (20 U.S.C. 1092(f)) reports. It includes a daily occurrence log that describes case #, date/time, case type, location, address, status and occurrence and other documents used in the preparation of the annual report. Official copy may be created and/or held at a higher administrative level. | 7 years | Created | Destroy Daily Logs; Send Annual Report to Archives | No |
| UWLIB100 | Policy Documents | Policy documents may include statements on hours of operation, rules and regulations for the reference, circulation, gifts and donations, human resource management, and other administrative matters. They may govern the use of differing patron cards, loan periods for various materials, fines and other charges, collection development, reference services, acceptable use, access to the Internet and other library equipment. Personnel policies may include job descriptions and requirements, as well as policies concerning leave, appropriate behavior, evaluation, and benefits. Policies may also document how the library will comply with statutory regulations, such as the Americans with Disabilities Act, Wisconsin public records law (Wis. Stat. ç 19.21 - 19.39), and the patron confidentiality law (Wis. Stat. ç 43.30), Federal Education Rights and Privacy Act, and laws governing employment, environmental health, fiscal accountability, and civil rights. | Superceded + 2 years | Superseded | Destroy | No |
| UWLIB101 | Leadership Reports | These reports are created by library administrators, including directors and assistant directors, to summarize current issues facing the library for review by university administrators. The reports are both narrative and statistical, and include information received from library department managers. | Academic year + 2 years | Academic year end | Transfer to archives | No |
| UWLIB102 | Director's Subject Files | These records are used to support administrative analyses, program and project planning, procedure development, and programmatic activities for a library. Subject files are generally organized alphabetically by topic. Document types may include periodic activity reports, both narrative and statistical, special reports, topical correspondence, research materials, project planning notes, organizational charts, or agency descriptions. Subject files do NOT include files related to individual program activities, human resources files, and accounting records. For topics of continuing interest, files may be segmented into annual files. | No longer need + 5 years | No longer needed | Transfer to archives | No |
| UWLIB103 | Library Use Reports | These reports may be created by library departments and may include documents that summarize acquisition, interlibrary loan activity, catalog and circulation as well as other library activities. These reports do NOT contain personally identifiable information. | Adademic year + 1 year | Academic year end | Destroy | No |
| UWLIB104 | Meeting Records Internal Staff | These records may include meeting minutes, agendas, and distribution materials related to staff meetings consisting of members that are entirely or primarily internal to the library. Original record remains with appropriate chair, all other copies are considered duplicates. | Academic year + 2 years | Academic year end | Destroy | No |
| UWLIB105 | Procedures | Procedures are generally a process or series of steps especially of a practical or mechanical nature involved in a particular form of work. Examples include circulation check out, reference desk procedures, and the like. | Keep until superceded or no longer needed | Superseded | Destroy | No |
| UWLIB106 | Library Strategic Plan | This is the final version of the library strategic plan that is approved by campus administration. | After approval of plan | Transfer to archives | No | |
| UWLIB107 | Library Budget Records | The budget forecasts income and allocates expenditures for the next fiscal year. Revenue sources may include governmental entities, grants, fees, fines, sales, and service provision. Expenditures may include payroll, facilities, electronic equipment, collection development, supplies and other maintenance costs. These records are used to prepare the library's budget in future years. The files may include planning materials, such as current budget and financial reports, projections of revenue, expenses such as materials, services, marketing, or information technology, fixed costs, or requests by each department for funding. | FY + 6 years | Fiscal year | Destroy | No |
| UWLIB108 | Confidentiality Form | Records include employee acknowledgement of security-related responsibilities, such as data confidentiality form or employee password security agreements. | Date of supersession or employee termination + 7 years | Supersession or termination | Destroy | No |
| UWLIB109 | Electronic Equipment Inventory | This inventory lists each computer, software license, and peripheral equipment used by library patrons and staff as well as servers, network and telecommunications equipment. The inventory may identify the model number, manufacturer, location, connections, inventory numbers, type of user, date of purchase, peripherals, software licenses, IP addresses and allocations assigned to each device. | Date equipment is withdrawn from use + 5 years | Date equipment is withdrawn | Destroy | No |
| UWLIB110 | Patron (Non-Faculty/Staff) Requests | Records including but not limited to: patron purchase requests for materials not currently owned by libraries, rush processing for library materials, and suggestions submitted by non-faculty/staff patrons to library administrators. | Creation date + minimum of 2 weeks | Creation date | Destroy | Yes |
| UWLIB111 | Deaccession Records (Library) | Series documents recommendations concerning deaccessioning of specific holdings and action upon those recommendations when detailed deaccessioning procedures are necessary generally due to gift books or materials purchased under special conditions. This would not include routine withdrawls from collections. This series may include but is not limited to: transfer forms to transfer ownership/custody of materials held within institutional collections to other institutions; names of persons making deaccession recommendations and dates, reasons for deaccessioning, documentation that legal searches of donor records have been done to establish that the institution is not precluded from deaccessioning, appraised or estimated values, signatures of approval for deaccessioning, and related documentation and correspondence. | 10 years | Destroy | No | |
| UWLIB112 | Donor Files (Library | These files document the donation of materials to a circulating library collection. They may include a signed deed of gift, any correspondence pertaining to the donation, a list of the contents of the collection, and donor contact information. | 10 years | Destroy | May | |
| UWLIB113 | Art Inventory | of art, artist name, date of accessioning, estimated value, the provenance of object. Records will also include art objects that were once owned by the library but were deaccssioned. This information will include the date and reason of decaccessioning. This information is kept to preserve provenance information often critical in art collecting. | Permanent | ? | No | |
| UWLIB114 | Special Collections Annual Registration Forms | Annual documents created by special collections patrons to capture information for security and to acquaint patrons with department rules and regulations. Records may contain patron name, address, phone number, email address, patron type, reason for research, and the signature of the individual as a record of them agreeing to the rules of the reading room. These documents may contain driver license, student, military, Passport or similar identification numbers. | FY + 10 years | Fiscal year | Destroy | Yes |
| UWLIB115 | Special Collection Daily Registration Records | These records document each patron's daily use of the special collection department by capturing their name, the records may also include the city of the patron's residence, and the date and times of their use of the facility. | FY + 10 years | Fiscal year | Destroy | No |
| UWLIB116 | Special Collections Annual Statistics | Statistical record created annually to share with other System partners. Records include, but are not limited to, annual head count, off-site substantive reference requests provided, hours of week opened, or archival transfers in the Area Research Center System. | FY + 10 years | Fiscal year | Destroy | No |
| UWLIB117 | Special Collections Call Slips | Call slips, collections used forms, or similar records that record the materials used by patrons in the special collections department. Records may include the name of the individual, date of use, reason for use and bibliographic information regarding the collection. | Original: FY + 10 years | Fiscal year | Destroy | Yes |
| UWLIB118 | Special Collections Transfer Forms | Forms used to process shipments of archival materials through the Area Research Center network. The triplicate forms act as a shipping list and are used to confirm shipments. Patron information is NOT included on these documents. | Original: FY + 10 years | Fiscal year | Destroy | No |
| UWLIB119 | Special Collections Reference/Research Requests and Responses | Records documenting off-site reference and research services by special collections staff. Collection includes requests made in writing, emailed, or transcribed from telephone calls and the response from the special collections staff. | Original: FY + 1 year | Fiscal year | Destroy | Yes |
| UWLIB120 | Special Collections Donor Files | These files document the donation of materials to an archival collection. They may include a signed deed of gift, any correspondence pertaining to the donation, a list of the contents of the collection, and donor contact information. | Original: Permanent | Permanent | ? | May |
| UWLIB121 | Special Collections Accession, Deaccession, and Processing Records | These records document the transfer of legal and physical custody of materials to and from the local history collection. It may include the date of transfer, name of and brief biographical information about the donor/creator, a brief description of the extent and contents of each box/container, documentation transferring intellectual property rights to the library, the accession number of the collection, information about the acquisition price and existence of copies, any restrictions on use of the collection, notes, and the date that a letter of acknowledgement was sent. These files may also contain information about what is retained or de-accessioned during the processing of each collection that has been accessioned. | Original: Permanent | Permanent | ? | No |
| UWLIB122 | Circulation Records Patron History | Records documenting the borrowing of circulating library materials by qualified patrons. This series may include but is not limited to: the name and identification of the borrower; the titles of materials borrowed; the due date; | Original: Destroy | When returned safely and satisfaction of circulation staff | Destroy | Yes |
| UWLIB123 | Circulation Records Item History | Records documenting the borrowing of circulating library materials by qualified patrons. This series may include but is not limited to: the titles of materials borrowed; the length of time borrowed; and related documentation and correspondence. Note these records do NOT contain information regarding the individuals who had borrowed the item. | Original: Destroy | When no longer needed | Destroy | No |
| UWLIB124 | Overdue and Courtesy Notices | These notices are sent to patrons to remind them to return borrowed items. Notices may be generated manually or automatically by an information system. | Destroy | When item is returned, fines are paid, or item is written off per library policy | Destroy | No |
| UWLIB125 | Transfer of Patrons Records to Collection Agencies | Records produced after patrons fail to pay library fines or fees. Records may affect a patron's credit rating for a period of six years; therefore, they must be retained for a time period of no less than six years. | Original: Date of transfer + 6 years | Date of transfer | Destroy | Yes |
| UWLIB126 | Patron Registration (Library), User Agreements, Checkout Forms | Records related to registration of patrons, including but not limited to: user agreements regarding the use of library resources and facilities, including those for intertype library consortium users; checkout forms regarding the names of borrowed resources and due dates for their return; or the forms by which patrons request and receive interlibrary loans of materials. | Original: Completion of transaction or expiration of agreement + a minimum of 2 weeks | Completion of transaction or expiration of agreement | Destroy | Yes |
| UWLIB127 | Search/Hold/Retrieval Requests | Records created by library patrons asking library staff to find a missing item or retrieve and place a hold on an item. Record may include the name of the patron, contact information, campus ID number and bibliographic information regarding the title. | Original: Keep until search/hold is resolved | Search/hold is resolved | Destroy | Yes |
| UWLIB128 | Resolved Search Lists | Cumulative list of resolved title searches for each academic year, includes only date, bibliographic information, and how the search was resolved. | Academic year + 1 year | Academic year | Destroy | No |
| UWLIB129 | Stack Management Records | Records created in the process of managing book and multi-media stacks. Records may include measurements of free space, shelf reading materials, shelving accuracy statistics, and other records created in the shelving and shifting of collections. | Original: Academic year + 5 years; Copies: When no longer needed | Academic year | Destroy | No |
| UWLIB130 | Interlending Records | Records that track the request and return of library items with other libraries through Interlibrary Loan and Universal Borrowing and similar, non-archives lending systems. The requests may be made manually, but are generally made and filled through a shared automated system. Records may include but are not limited to, requests for materials, receipts, patron signed forms, routing slips and other records creating in the borrowing and lending process. Records indicate when and where the library item was sent, when it is due back, and when it was returned. | Original: Destroy | When item is returned | Destroy | Yes |
| UWLIB131 | Library Staff Client Records | Records, typically server logs, which track employee logins to Library software, such as circulation, cataloging, or acquisitions. May contain IP number of staff computer along with staff or user id. | Original: Minimum 2 weeks to facilitate troubleshooting or possible abuse | Destroy | No | |
| UWLIB132 | Application Server Records | Records pertaining to remote users of online Library resources. May include Proxy, EZProxy or other Web Server logs including user NetID, UW-ID, or IP number. | Original: Minimum 2 weeks to facilitate troubleshooting or possible abuse | Destroy | No | |
| UWLIB133 | Patron Records and Statistics | Records pertaining to the processing and maintenance of Library patron records and databases. May include user name, demographic data, NetID, or UW-ID. | Original: Creation + minimum 2 weeks to facilitate troubleshooting or possible abuse | Destroy | No | |
| UWLIB134 | Interlending Server Records | Records, typically server logs, pertaining to Interlibrary loan transactions that are maintained on information systems. | Minimum 2 weeks to facilitate troubleshooting or possible abuse | Destroy | No | |
| UWLIB135 | Library Website | These websites may include online information about services, hours, library events and programs, links to popular reference resources, subscription databases, and provide a gateway to one or more online catalogs. | Destroy | When website information is not current or of use to the public | Destroy | No |
| UWLIB136 | Library Newsletters | These publications are created to inform the public and staff of events, policies, and other matters of interest to the library. They may include programming calendars, updates on electronic resources, or changes in library policies. Administrative Note: A library may wish to keep duplicate newsletters as part of its historical file. | Original: Transfer to archives; Copies: Destroy when no longer needed | After publication | Transfer to archives | No |
| UWLIB137 | Programming and Events Files | These files provide information about specific library programs, events or exhibits. These files may contain a copy of materials developed for publicity and Libraries are encouraged to permanently keep duplicates of some of these materials in the historical file, particularly more popular events and/or activities that offer a historical perspective.programming, and evaluation forms. They may also include contracts or purchase orders for the event, the number and distribution sites of publicity materials, and schedules. Files documenting performances and lectures may include promotional literature, printouts from performer websites, press releases, notes, permission/consent to photograph forms signed by attendees, any donation requests, correspondence, and flyers. These files may include subject files about performers in general, copies of flyers or other promotional ephemera. These records may describe a library exhibit and document the items that were used to create it. These files may include lists of materials used, any loan agreements for the exhibit materials, and dates the exhibit was shown. These records may also include photographs of library programming and events. | Destroy or Transfer to Archives for Review | |||
| UWLIB138 | Reference Questions and Statistics (Library) | These records may document the number of reference inquiries received from patrons by librarians, and may include online queries as well as questions submitted in written form to reference desks. | Destroy when no longer needed | Destroy | Yes if PID | |
| UWLIB139 | Bibliographic Instruction Statistics | Records created to document the teaching of BI classes by members of the library staff. Information will include the name of the staff member, the course number and title, department, instructor and number of students present. | Original: Academic year + 1 year; Copies: When no longer needed | Destroy | No | |
| UWLIB140 | Handouts | Materials created for patron use explaining the use of databases and other bibliographic tools. | Destroy when no longer needed | Destroy | No | |
| UWLIB141 | Survelliance Records | These records include audio and visual recordings, which memorialize the entry, departure, and ongoing use of library facilities by patrons. | 90 days after creation | Creation date | Destroy | Yes |
| UWLIB142 | Security Records | These records consist of reports regarding unusual incidents occurring on library property. These records may include or refer to surveillance records, eye witness accounts, descriptions of damage or injury, dates, times, and nature of the incidents, along with other pertinent information. The records may also address further investigations or court proceedings. | Academic year of creation + 3 years | Destroy | Yes | |
| UWLIB143 | Accident Reports and Claims Records | unexpected incidents on the library premises by non-employees. It lists the location, witnesses, person injured, type of injury or property damage, and actions to prevent reoccurrence. These records are reviewed and signed by relevant administrators. These files may include related information, such as witness statements, medical information, information from legal counsel, or subsequent claims filed by non-employees. | Academic year + 7 years | Academic year of incident | Destroy | Yes |
| UWLIB144 | Patron Incident and Disciplinary Files | These files document patrons who have received disciplinary action or prohibitory sanctions. They are organized by patron name, and consist of letters sent to patrons describing the unacceptable activity and the prohibitions on patron privileges. They may also contain correspondence with public safety or patron guardians. | Academic year + 5 years | Last incident involving patron | Destroy | Yes |
| 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 |
| 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 |
| 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 |
| 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 | |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| UWHR0302 | Written Complaints | This series documents written complaints made about faculty or staff. A copy of the written complaint which leads to a disciplinary action and any notice of the action taken is transferred to the employeeÂs institutional personnel file. Follow retention for the personnel file. Confidential under Employee Personnel Records Wis. Stat.§ 19.36(10) | EVT+ 6 Years | Date of Final Decision | Destroy Confidential | Yes |
| UWHR0303 | 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 |
| UWHR0304 | 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 |
| UWHR0305 | 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |