These are the PDF’s for the schedules in the table below. Click on the link to print the schedule, otherwise search the table below for the appropriate record series using key words. Please contact the University Records Officer with any questions regarding retention schedules.
2015 DOA Budget and Related Records [pdf] General Policies and Procedures, Biennial Budget Development and Implementation, Operating Budget Development – Implementation, Other Budget and Control Related Record Series. (Global Level in Versatile)
2012 UWSA Fiscal and Accounting Records 11-2016 [pdf] Fiscal Administration Records, Internal Control Records, Payments and receipts from all sources EXCEPT Capital Improvement Projects and State Building Commissions Projects, State Banking and Cash Management – Related Records, Collection Related Records, General Ledger Transactions, Capital Asset Inventory Equipment Inventories. (Global Level in Versatile)
UW-Madison Purchasing Related Records [pdf] Purchasing Receiving, Inventory, Order Fulfillment, General Warehouse, Surplus, Purchasing Services, Purchase Cards. (Company Level in Versatile)
UW-Madison Gift Funding Records [pdf] This Schedule covers the following record series for management of University of Wisconsin records created during the routing of gift funds processed between the UW- Madison Gift Fund Accounts and the UW-Foundation to maintain proper audit documentation. (Company Level in Versatile)
2012 Research and BOR Sponsored Gift and Grant Contract Funds [pdf]
The table below is searchable by term. Type the word in the search box and hit enter.
Financial and Related Records
This table contains records related to Finance, Budget and Purchasing and financial records for Gift Funding and BOR Financial Grant Contracts. For Grants see Research Related Records.| From Records Schedule | Record Series # (RDA#/GRS#) | Records Title | Records Description | Record Retention / Disposition |
|---|---|---|---|---|
| UWSA Fiscal and Accounting and Related Records | 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. | Retention: EVT+4 years EVENT=Date Superseded Disposition: Destroy |
| UWSA Fiscal and Accounting and Related Records | UWFA101 | Manuals | Records include all fiscal and accounting-related manuals. These may be issued by the University of Wisconsin System or by individual institutions. | Retention: EVT+3 years EVENT=Date Superseded Disposition: Destroy |
| UWSA Fiscal and Accounting and Related Records | 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. | Retention: EVT+0 years EVENT= When No Longer Needed. Disposition: Destroy |
| UWSA Fiscal and Accounting and Related Records | UWFA103 | Year-End Reports (GAAP) | Reports and all supporting documentation. Also included in this series are tax-related reports (1098-T listing/logs, W-2's, 1999's, etc.) and the Academic Fee Income Report (AFIR) | Retention: EVT+6 years EVENT=Fiscal Year of Creation Disposition: Destroy Confidential |
| UWSA Fiscal and Accounting and Related Records | UWFA104 | Annual Financial Report | This series may include, at the discretion of individual campuses, supporting documentations (otherwise covered in UWFA105 that will be retained permanently together with the Annual Financial Reports | Retention: Retain Permanently in Office of Origin Disposition: Permanent |
| UWSA Fiscal and Accounting and Related Records | UWFA105 | Non-Routine Financial Reports and Studies | Records include reports and studies created for fiscal, accounting, and administrative review and analysis, 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. | Retention: EVT+4 years EVENT=Fiscal Year Disposition: Destroy |
| UWSA Fiscal and Accounting and Related Records | UWFA106 | Audit Documentation: Regularly-Occurring Audit Cycles | Records include all documentation related to regularly occurring audit, including reports, agency/office responses, and findings. Regular audits include A-133 and CAFR audits. | Retention: EVT+3 years EVENT=Date of Issuance of Final Audit Report. Disposition: Destroy |
| UWSA Fiscal and Accounting and Related Records | UWFA107 | Audit Documentation: Irregular-Occurring Audit Cycles | Records include all documentation relating to infrequent audit, including reports, agency/Office responses, and findings. | Retention: EVT+10 years EVENT=Date of Next Audit Cycle or 10 Years Disposition: Destroy |
| UWSA Fiscal and Accounting and Related Records | UWFA108 | Reconciliation Work Papers | Records include intermediate fiscal records of receipts and disbursements used to reconcile accounts. These may include spreadsheets, proof sheets, abstract of receipts, and disbursements or claims. | Retention: EVT+4 years EVENT= Fiscal Year Disposition: Destroy |
| UWSA Fiscal and Accounting and Related Records | UWFA109 | Authorization for Access/Forms | Records include applications, authorizations, cardholder agreements, and related forms used to establish accounts. Authorizations may related to, but are not limited to, SFS, Purchasing Cards or p-cards, Corporate (travel) cards, and WISDM. | Retention: EVT+4 years EVENT=Fiscal Year in Which the Account was Activated. Disposition: Destroy |
| UWSA Fiscal and Accounting and Related Records | UWFA110 | Credit Cards Receipts and / or Deposit Transactions | Records include 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. | Retention: EVT+3 years EVENT=Date of Transactions unless a longer retention is required by contract or law. Disposition: Destroy Confidential |
| UWSA Fiscal and Accounting and Related Records | 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 record series pertains to the PCI operator Training forms and corresponding PCI Compliance Logs. | Retention: CR+3 years CR=Creation Year Disposition: Destroy Confidential |
| UWSA Fiscal and Accounting and Related Records | UWFA200 | Internal Control Policies and Procedures | Records include 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. | Retention: EVT+3 years EVENT= Date on which the Policy Directive is Withdrawn, Revised, or Superseded Disposition: Destroy |
| UWSA Fiscal and Accounting and Related Records | UWFA201 | Internal Management Review and Routine Oversight Control Files, Reports and Actions Files | Records include all documentation relating to routine internal management review and oversight of operations. | Retention: EVT+3 years EVENT=Date of Completed Report Disposition: Destroy |
| UWSA Fiscal and Accounting and Related Records | UWFA202 | Internal Audit Control Files, Reports, Action Files and Findings | Records include all documentation relating to internal audits of controls and findings. | Retention: EVT+10 years EVENT=Date of Next Audit Cycle or 10 Years Disposition: Destroy |
| UWSA Fiscal and Accounting and Related Records | UWFA203 | Internal Control Reference Files | Records include all reference files used to support internal control programs. | Retention: EVT+0 years EVENT=Date of Super-session of File Disposition: Destroy |
| UWSA Fiscal and Accounting and Related Records | UWFA300 | Expenditures: Accounts Payable Records | Records include 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), enterainment contract, Inter-Institutional Agreements, Financial Aid Disbursements, and purchase orders. or P-cards | Retention: EVT+6 years EVENT=Fiscal Year or creation Disposition: Destroy |
| UWSA Fiscal and Accounting and Related Records | UWFA301 | Receipts: Accounts Receivable Records | Records include 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 is does include correspondence and documentation relating to student payment, such as remittances, receipts, and third party settlements. | Retention: EVT+6 years EVENT=Fiscal Year or creation Disposition: Destroy |
| UWSA Fiscal and Accounting and Related Records | UWFA400 | Paid/Cancelled Checks | Records include both paper checks and those imaged into CD-ROM. CD-ROMs are provided by the state's working bank. | Retention: EVT+6 years EVENT=Fiscal Year or creation Disposition: Destroy |
| UWSA Fiscal and Accounting and Related Records | UWFA401 | Voided Checks | Voided checks resulting from printing errors. | Retention: EVT+6 years EVENT=Fiscal Year or creation Disposition: Destroy Confidential |
| UWSA Fiscal and Accounting and Related Records | UWFA402 | Stop Payment / Voided / Cancelled Check Records | Records include request for stop payment and related correspondence and reports. These requests include ZBA, Agency, and Contingent Fund accounts. | Retention: EVT+6 years EVENT=Fiscal Year or creation Disposition: Destroy |
| UWSA Fiscal and Accounting and Related Records | UWFA403 | Bank Statements: All Accounts | Records include all statement and supporting documentation for reconciliations. Also incldued are bank analysis reports and all documentation relating to signature authority for checks. | Retention: EVT+6 years EVENT=Fiscal Year or creation Disposition: Destroy |
| UWSA Fiscal and Accounting and Related Records | UWFA404 | Signature Cards: Authroization | Records include all documentation relating to requests for signature authority checks. | Retention: EVT+6 years EVENT=Fiscal Year or creation Disposition: Destroy |
| UWSA Fiscal and Accounting and Related Records | UWFA405 | General Obligations Bond Records | Records include all supporting documentation for principal and interest payments, including correspondence and reports. | Retention: EVT+50 years EVENT=Date the Bond Matures or is Called Disposition: Destroy |
| UWSA Fiscal and Accounting and Related Records | UWFA500 | Collection Case Files | Records include documentation of collections efforts: correspondence, reports, "dunning" letters, payment agreements, relevant reports to/form the agency and the amount of debt defaulted or written off an uncollectable. 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 Student Info System/Peoplesoft client server, and that a number of these records may exist in electronic format. | Retention: EVT+7 years EVENT=Date that the Account is Due Disposition: Destroy Confidential |
| UWSA Fiscal and Accounting and Related Records | UWFA600 | Journal Entries | Records include 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 (charge backs), 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. | Retention: EVT+6 Years EVENT=Fiscal Year or creation Disposition: Destroy |
| UWSA Fiscal and Accounting and Related Records | UWFA700 | Capital Accounting Projects: Federal Construction Funds | Records include documentation of acquistions, capital assests, depreciation schedules, fixed assets, material transfer files, mortgage ledgers, facility/plant ledgers, property detail reports, property inventory reports, and reports on property sold. | Retention: EVT+30 years EVENT=Date of Issuance Disposition: Destroy |
| UWSA Fiscal and Accounting and Related Records | UWFA701 | Capital Accounting Projects: Non-Federal Construction Funds | Records include all documentation supporting construction fund projects, including acquisitions, capital assets, depreciation schedule, fixed assets, material transfer files, mortgage ledgers, facility/plant ledgers, property detail reports, property inventory reports, and reports on property sold. | Retention: EVT+4 years EVENT=Fiscal Year of creation Disposition: Destroy |
| UWSA Fiscal and Accounting and Related Records | UWFA702 | Capital Accounting Projects Budgets | Records include budget-related records (allotments) for construction fund projects. | Retention: EVT+4 years EVENT=Fiscal Year of creation Disposition: Destroy |
| UWSA Fiscal and Accounting and Related Records | 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 copies, tools lab equipment, furniture, etc. that describe each piece of property, denote its locations, and provide totals of each type of institution - or equipment owned by the University of Wisconsin System institutions. Also included are the same types of inventories for non-capitol equipment such as office supplies, computers, commodities, parts, and materials. | Retention: EVT+4 years EVENT=Fiscal Year of creation Disposition: Destroy |
| UWSA Fiscal and Accounting and Related Records | UWFA801 | Surplus Property Disposition Records | Records include documentation that identifies surplus property and tracks its disposition. Included are requests for disposal of property and the proposed method of disposition. Records may also include acquisition information and depreciation schedules. | Retention: EVT+4 years EVENT=Date of Disposition of Property Disposition: Destroy |
| DOA Budget and Related Records | BUD00001 | Policies and Procedures Related to Budgeting | Established policies and high-level procedures associated with budget functions (both bi-annual and annual operating budgets) issued by the State Budget Office and Agency Center Budget Office. Governor’s instructions to state agency heads and State Budget Office instructions/guidance to agencies. Also includes agency instructions to divisions related to preparation of operating budgets. Legislative Fiscal Bureau policies and procedures are reference materials and non-records to state agencies. Note: Procedures under this RDA have typically gone through a vetting process and are intended to support the agency’s policies in a direct manner. This RDA does not necessarily include worker instructions which may be viewed as task-specific directions used to ensure compliance with policies and procedures. | Retention: EVT+7 EVENT=The Date the Policy or Procedure is Superseded or made Obsolete Disposition: Destroy |
| DOA Budget and Related Records | BUD00002 | Budget Director File | These documents pertain to the Budget Director’s records including memoranda, reports, directives, etc. documenting all activities of the State Budget Office and/or Agency Central Budget Office. This series also includes the correspondence files and annual reports within the Director’s possession. The Budget Director File is the main file within the State Budget Office and in state agencies in which many official materials are maintained. It represents the location of the bulk of the policy documents and further information pertaining to the Biennial Budget process. | Retention: FIS+6 years FIS=Fiscal Year Disposition: Transfer to UW-Madison Archives |
| DOA Budget and Related Records | BUD00004 | Program Revenue Supplements and Positions | Records include requests under s. 16.515, Wisconsin Statutes, for supplements to existing program revenue and certain appropriations and requests under s. 16.505(2) for program revenue requests. This series also contains agency requests and justifications, as well as the analysis of Department of Administration budget analysts, along with recommendations. | Retention: FIS+6 FIS=Fiscal Year Disposition: Transfer to UW-Madison Archives |
| DOA Budget and Related Records | BUD00006 | Budget Documents/ Developments | Records include budget papers used in the preparation of the biennial budget documents under s. 16.46, Wisconsin Statutes. Records also include: o final agency requests (forms or their equivalents) o justifications/ analyses o policy papers (from them Department of Administration and the Legislative Fiscal Bureau) o statutory language proposal drafted by the Legislative Reference Bureau o related correspondence o requests for information and final agency responses for policy clarifications and/or o requests for information to and from agency staff and/SBO and LFB analysts See Division Biennial Requests for those Decision Items (DINs) that were requested but did not make it into the final agency biennial budget submittal. May include comments from public hearings if Governor does these hearings as part of the biennial budget development. Also includes agency head presentation to Joint Finance Committee on the agency budget request. Intent is for this category to have policy-related documents and not the actual numbers which are maintained in other record series. | Retention: FIS+6 years FIS=Fiscal Year Disposition: Destroy |
| DOA Budget and Related Records | BUD00010 | Position Listing (B-1's) | The purpose of this record series is to provide detailed position reports that do the full salary funding calculation under standard budget adjustments. Records also include position by position listing of all authorized permanent and project positions on PMIS, the position number and classification of each position, the b-2 numeric appropriation under which each position is authorized, the program sub-unit of the agency in which the position is authorized, and the subtotal information. | Retention: FIS+6 years FIS=Fiscal Year Disposition: Destroy |
| DOA Budget and Related Records | BUD00011 | Original Source Documents used for Budget-Related Research | Records include original source document develop by budget analysis for studies, reports, survey to complainer Wisconsin with other peer states. Files contain data created for issues which are ongoing and, therefore will be used again in the future to update the studies, reports, surveys, etc. Research materials obtained from external sources are reference materials and not subject to Wisconsin Records Laws. | Retention: FIS + 6 years FIS=Fiscal Year Disposition: Transfer to UW-Madison Archives |
| DOA Budget and Related Records | BUD00015 | Agency Proposed Vetoes | Agency suggestions and policy rationale to the Governor on draft vetoes pertaining to the proposed budget or other legislative bills. The SBO records maintained on potential vetoes is maintained in the series Executive Budget and Veto Briefing Documents (BUDG014). | Retention: FIS +6 years FIS=Fiscal Year Disposition: Destroy |
| DOA Budget and Related Records | BUD00018 | Decision Item Narrative Background Documents | Records contain final briefing papers, spreadsheets and statistics and calculations, research materials and supporting document relating to DINs. DINs are also development for proposed statutory language changes without fiscal consequences. | Retention: FIS+6 years FIS=Fiscal Year Disposition: Destroy |
| DOA Budget and Related Records | BUD00019 | Decision Item Narratives - (DINs) All Types | These records present succinct summaries of the need, options, and proposed solutions beginning with a brief one or two sentence summary. These records are designed to give a description of the decision item such as building operations, additional financial positions, increased LTC funds, ongoing capital equipment needs and technical position consolidation. DINs are also developed for proposed statutory language changes without fiscal consequences. Records include worksheets, spreadsheets, schedules, and any other information pertaining to the reconciliation process of the biennial budget. | Retention: FIS+6 years FIS=Fiscal Year Disposition: Destroy |
| DOA Budget and Related Records | BUD00020 | Base Reconciliation (B-9s) | This is the starting point of the biennial budget process. Records contain summaries of expenditure items including permanent and project position salaries, fringe benefits, supplies and services, permanent properties, non-allotted reserves, as well and the adjusted base year level of funds associated with each item. | Retention: FIS+6 years FIS=Fiscal Year Disposition: Destroy |
| DOA Budget and Related Records | BUD00021 | Department Biennial Budget Submission including all DINs Approved by the Agency Head | Wis. Stat. 16.42 specifies that agency budget requests are to be submitted to the State Budget Office no later than September 15th of each even numbered year. This document represents many forms or their equivalents within the agency budget office and effectively details the Biennial Budget process. This record also encompasses a large group of important components such as the Agency Budget Request(B-2), Revenue Projections/Balance Statement (B-3), Title Final Detail Listing and Department Appropriation Structure File Maintenance (B-5/B-6), Department Summaries Form (B-7), Program Summaries Form (B-8), and the Position Changes and Salary Documentation Worksheet (B-10), which are used by budget analysts to submit their Biennial Budget information. | Retention: FIS+6 years FIS=Fiscal Year Disposition: Destroy |
| DOA Budget and Related Records | BUD00022 | External Briefing Documents | Records include materials prepared by budget staff to brief decisions-makers outside the agency on initiative contained in the biennial budget. May include issue papers, summaries, correspondence, briefings and other information. | Retention: FIS+6 years FIS=Fiscal Year Disposition: Destroy |
| DOA Budget and Related Records | BUD00023 | Revenue Re-Estimates for Reconciliation of Program Revenue Appropriations | The agency central budget office is in charge of reconciling the budget to ensure that expenditures do not exceed revenues. During this reconciliation process, certain records are used to form the base on which the Biennial Budget is built. Revenue Re-Estimates are those background papers which further detail the amount of revenues flowing into the agency to ensure correctness. These records include correspondence, general purpose revenue earned estimates, and analysis of revenues collected by the agency. | Retention: FIS+6 years FIS=Fiscal Year Disposition: Destroy |
| UW-Madison Purchasing Records | UWPS0001 | Request for Purchasing Approval/Authority (RPA) | Waivers, Requests for Purchasing Approvals/Authority (RPA) | Retention: EVT + 4 years EVENT=End Date of the Resulting Contract Disposition: Destroy |
| UW-Madison Purchasing Records | UWPS0002 | Bid Case File Working Papers | Submitted Bids NOT Awarded including catalogs | Retention: EVT+ 10 Years EVENT=Contract End Date Disposition: Destroy |
| UW-Madison Purchasing Records | UWPS0003 | Contract Case Files | Official Sealed Bids, Request for Proposals, Agreements (All vendor files, Bid Jackets and Contract files) Contract "Keeps", Academic support services agreements, Bidder's List, Awarded Bids, VendorNet Ads, Intent to Award Letters, Notice of Award Letters, and Cost Benefit Analysis(CBAs), Award Protests. | Retention: EVT+ 4 years EVENT= End DAte of the Resulting Contract Disposition: Destroy |
| UW-Madison Purchasing Records | UWPS0004 | Contract Compliance Program Case File | Affirmative Action Plans | Retention: FIS+4 years FIS=Fiscal Year Disposition: Destroy |
| UW-Madison Purchasing Records | UWPS0005 | Agency Detail Reports to State Bureau of Procurement | Minority Business Enterprise Reports | Retention: FIS + 4 years FIS=Fiscal Year Disposition: Destroy |
| UW-Madison Purchasing Records | UWPS0006 | Agency Purchasing Delegation Agreements | Delegated Agent Agreements | Retention: EVT+6 years EVENT=Superseded by a more Current Agreement Disposition: Destroy |
| UW-Madison Purchasing Records | UWPS0007 | Purchasing Audits or Management Review | Delegated Agent Reviews | Retention: EVT= 4 years EVENT=Date that Audit or Management Review is Closed or Superseded Disposition: Destroy |
| UW-Madison Gift Funds | GRS01758 | UW-Madison Department/Unit Financial Gift Funds | This Schedule covers the following record series for management of University of Wisconsin records created during the routing of gift funds processed between the UW- Madison Gift Fund Accounts and the UW-Foundation to maintain proper audit documentation. This record series includes but is not limited to records produced during the process of routing Gift Funds with the UW Foundation and management of the records in possession of UW- Madison department or units. Because this process crosses back and forth into another organization, many UW-Madison units or departments keep copies or original records. This record series includes guidance for UW Madison Unit/Department, Division and the retention for gift fund documents from this process. 1. eReimbursement: a. Department: Retains original backup documentation. b. Division: Retains copies of backup documentation. c. UW Foundation: Has access to the eReimbursement expense details only (no documentation unless requested). 2. Check Request from the UW Foundation: The UW Foundation sends the department or unit copies of these forms for our information only. The Foundation retains the originals. 3. Check Request for Vendor Payment: a. Department: Retains copies. b. Division: Currently retains copies but possesses originals from a few years ago. c. UW Foundation: Currently receives originals but probably has copies from a few years ago. 4. Gift Deposit Forms and Accompanying Checks: a. Department: Retains copies. b. Division: Retains copies of the Gift Deposit form and checks. c. UW Foundation: The original form and checks are mailed to the Foundation's Milwaukee lockbox. 5. Check Request/Gift Check Routing Form: This pulls money from the Foundation account to transfer funds to a 233 University project. a. Department: Retains copies. b. Division: Retains copies. c. Foundation: Receives originals | Retention: EVT+6 years EVENT=Date of Transaction Disposition: Destroy Confidential |
| Research and Sponsored Grants Contracts | 34001720 | Research and Sponsored Gift and Grant Contract Funds (Federal and Non Federal) | This records series consists of individual files on all gift and grant funds approved by the Board of Regents. Each file includes but is not limited to: • Copies of all Administrative Correspondence between UW-Madison Research Administration and the Agency, • Copies of Reports and Copies of any required closeout documents. • This record series may also contain Project Technical Reports and Subsidiary Contract. | Retention: EVT+15 years EVENT=Date of submission of Financial Report or Close of Grant, whichever is longer Disposition: Destroy Confidential |