Employee Related Record Schedules

These are the PDF’s for the record 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.  

2016 UWSA Payroll and Benefits Records[pdf] (Time and Labor; Absence Management; Benefits; and Payroll records. (Global Level in Versatile)

2016 UWSA Human Resource and Related Records[pdf] (This record series covers Talent, Recruitment and Engagement Records; Affirmative Action and Equal Employment Opportunity and related records; Grievance or Layoff records; Employee Medical Information and HIPAA Privacy Complaints; Employee Assistance Program (EAP); International Faculty and Staff; Evaluation and Promotion records; Human Resources Employee Training Records.)

The table below is searchable by term.  Type the word in the search box and hit enter.

Employee Related Records

This table contains Human Resources and related records such as Talent, Recruitment and Engagement records, Affirmative Action and Equal Employment Opportunity, Grievance or Layoff Related Records, Employee Personnel records, Employee Medical Information and HIPAA Privacy Complaints, Employee Assistance Program (EAP) records, International Faculty and Staff Records, Evaluation and Promotion, Workforce Development and Training. Payroll records include Time and Labor; Absence Management; Benefits; and Payroll records.
From Record ScheduleRecord Series number aka RDA# or GRS#Record TitleRecord DescriptionRetention / Diposition
Human Resources and Related Records UWHR0100
HR Personnel Hiring and Position Change Forms and RequestsThis series documents 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.
Retention:
EVT+2 Years
EVENT= Date the Request is Approved or Denied

Disposition:
Destroy Confidential

Human Resources and Related Records UWHR0101Position Vacancy Listing or Position AnnouncementThis series documents the position vacancy or position announcement for Faculty, Academic, and University positions. The position announcement describes the position which is being recruited, including information regarding: employing unit and payroll (funding) sources’, position title, type of appointment, salary level, dates of availability and appointment, position descriptions and qualifications and approval signatures.


Retention:
EVT+6 Years
EVENT= Date
Position is Filled

Disposition:
Destroy

Human Resources and Related Records UWHR0102Criminal Background ChecksThis series documents a record of criminal background checks made on UW employees at the time of hire.
These records include, but are not limited to:
(1) the confidential self-disclosure job application supplements;
(2) the criminal background check reports;
(3) Records related to notification of the applicants of a decision not to hire. Original background checks are confidential materials and are to be kept separate from the personnel file.
These files are kept per EEOC and Fair Credit Reporting Act.

Confidential under Employee Personnel Records Wis. Stat. § 19.36(10)

Retention:
CR+7 Years
CR=Date of Creation

Disposition:
Destroy Confidential

Human Resources and Related Records UWHR0103
Federal I-9 Employee Eligibility VerificationThis 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. The federal requirement is that the employer must retain the form for three years after the date of hire, or one year following separation of employment, whichever event is longer per 8 U.S.C. §13249(a).

Confidential under Employee Personnel Records Wis. Stat. § 19.36(10)

Retention:
EVT+ 3 Years
EVENT=Date of Separation

Disposition:
Destroy Confidential

Human Resources and Related Records 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 curriculum Vitae (CV), the initial position description, the criminal background check date, contract/appointment letter etc. A campus may have paper version 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
Retention:
EVT+6 Years
EVENT= Date
Position is Filled

Disposition:
Destroy Confidential

Human Resources and Related Records UWHR0105
Search and Screen Committee Records - GeneralThis record series applies to all Search and Screen for positions of Associate Dean and lower levels of administration. It includes documentation of the activities of committee’s search activities. This may include documents from outside search firms.
This series includes, but is not limited to:
•interview documentation,
•minutes,
•list of candidates and nominees,
•list of interviewees,
•press releases and other publicity materials, position description,
•position vacancy announcements,
•list of search and screen committee members,
•list of colleagues and professional organization from which nominations may have been sought,
•sample letter sent to applicant,
•sample questions used in interview process,
•rejected letter of offer and
•video presentations and
•other correspondences related to the search process.

(29 U.S. Code § 626 and 29 CFR§1627.3 (Age Discrimination in Employment Act (ADEA)) and 29 CFR §1602.32(Title VII of the Civil Rights Act of 1964

Retention:
EVT+6 Years
EVENT= Date
Position is Filled

Disposition:
Destroy Confidential

Human Resources and Related Records UWHR0106
Search and Screen Committee Records – Higher Level Searchhis record series applies to all Search and Screen for positions of Dean and higher levels of administration. It includes documentation of the activities of committee’s search activities. This may include documents from outside search firms.
This series includes, but is not limited to:
•interview documentation,
•minutes,
•list of candidates and nominees,
•list of interviewees,
•press releases and other publicity materials, position description,
•position vacancy announcements,
•list of search and screen committee members,
•list of colleagues and professional organization from which nominations may have been sought,
•sample letter sent to applicant,
•sample questions used in interview process,
•rejected letter of offer and
•video presentations and
•other correspondences related to the search process.

(29 U.S. Code § 626 and 29 CFR§1627.3 (Age Discrimination in Employment Act (ADEA)) and 29 CFR §1602.32(Title VII of the Civil Rights Act of 1964)
Retention:
EVT+6 Years
EVENT= Date
Position is Filled

Disposition:
Transfer to Institutional Archives or destroy confidentially per institutional policy

Human Resources and Related Records UWHR0107
Compensation, Titling and Salary Equity RecordsThis series consists of, but is not limited to market compensation data/analysis, position and job family analysis, titling structure, labor market surveys and reports, including those for a specific job.Retention:
EVT+6 Years
EVENT = Date
that Analysis or Survey was Completed

Disposition:
Destroy
Human Resources and Related Records UWHR0200
Affirmative Action Records -EEOC (Equal Employment Opportunity Commission) - Applicant Pool and Reporting by Job Group/CategoryThis series documents affirmative action form(s) that the applicant is required to complete or fulfill affirmative action job reporting requirements (such as the applicant pool summary containing the number of applicants, 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)
Retention:
EVT+ 6 years
EVENT= Date
Position is Filled

Disposition:
Destroy Confidential
Human Resources and Related Records UWHR0201
Affirmative Action Records -EEOC (Equal Employment Opportunity Commission) - PlansThis series documents Affirmative Action plans for UW-System Campuses in compliance with Wis. Stat. § 230.04(9) and 29 CFR§ 1602.32 and 29 CFR29§ 1608.4.
Each institution within the UW-System has an Affirmative Action related plan which contains policy related items and working papers.
Retention:
EVT+3 Years
EVENT = Date
that Plan is Created, Updated, or Superseded

Disposition:
Destroy
Human Resources and Related Records UWHR0202
Discrimination Complaint Files This series documents the investigation into any act(s) of discrimination filed by an employee, student or visitor.
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

Confidential under Employee Personnel Records Wis. Stat. § 19.36(10)

Retention:
EVT+6 Years
EVENT = Date
that Personnel Action was Resolved or Terminated

Disposition:
Destroy Confidential
Human Resources and Related Records UWHR0300
Grievance/Complaint Tracking LogAn electronic system, database or mechanism to track the grievances filed by employees at the University. Tracking systems or logs may include information about the grievant, contractual language being grieved, relief sought, grievance response, status of grievance and potential arbitration results.

Confidential under Employee Personnel Records Wis. Stat. § 19.36(10)
Retention:
EVT+ 6 Years
EVENT=Date
that Complaint
or Grievance is Resolved

Disposition:
Destroy Confidential
Human Resources and Related Records UWHR0301
Employee Complaints and/or Grievance RecordsThis series documents the initial complaint, actions, investigation, summary, and deposition of an employee grievance or complaint. This series may include, but is not limited to: investigative and interview notes, logs, and reports and appeals.

For formal grievances see record series UWHR0303.

Confidential under Employee Personnel Records Wis. Stat. § 19.36(10)

Retention:
EVT+ 6 Years
EVENT=Date that Complaint or Grievance is Resolved

Disposition:
Destroy Confidential
Human Resources and Related Records UWHR0302
Formal University Grievance and Appeal This record series includes grievance and 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)
Retention:
EVT+ 6 Years
EVENT=Date that Complaint or Grievance is Appealed and Resolved

Disposition:
Transfer to UW_Madison Archives per
policy for archival
review
Human Resources and Related Records UWHR0303
Employee Lay-Off RecordsEmployee layoff records may include, but are not limited to: notice of risk status or impending layoff; all union/individual notices and 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)
Retention:
EVT+ 6 Years
EVENT= Effective Date of the
Layoff

Disposition:
Destroy Confidentially
Human Resources and Related Records UWHR0304
Non-Renewal of Appointment – Academic Staff /Faculty This series includes records relating to incidents where a faculty or academic staff member fails to have their appointment renewed. Records may include, but are not limited to: notice of non-renewal from the employee’s supervisor, department, dean or administrative officer making the decision, the reason for non-renewal, the written request for full review or appeal; records of an appeal, and any other reports to the dean or chancellor.

Confidential under Employee Personnel Records Wis. Stat. § 19.36(10)
Retention:
EVT+ 6 Years
EVENT= Date of Final Decision

Disposition:
Destroy Confidential
Human Resources and Related Records UWHR0400
Personnel Record – University Staff, Academic Staff and Faculty – Institutional LevelThere may be institutions where this is occurring at the institutional level. This series documents the university employees Official Personnel record managed by Offices of Human Resources at the institutional level.

These records may be in an imaged format. Paper equivalents may be managed by Division, Department or Unit in record series below and scanned and sent to Office of Human Resources.

See other Personnel records series if this does not apply.

Confidential under Employee Personnel Records Wis. Stat. § 19.36(10)
Retention:
EVT+ 10 Years
EVENT=Separation from Institution

Disposition:
Destroy Confidential
Human Resources and Related Records 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, professorship. 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
 Notices of non-renewal of appointment for
academic staff
Confidential under Employee Personnel Records Wis. Stat. § 19.36(10)
Retention:
EVT+ 30 Years
EVENT = Separation from Unit or Department or Institution


Disposition:
Transfer to UW_Madison Archives per
policy for archival
review
Human Resources and Related Records UWHR0403
Personnel File – Academic & 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
 Notices of non-renewal of appointment for
academic staff
Confidential under Employee Personnel Records Wis. Stat. § 19.36(10)
Retention:
EVT+ 10 Years
EVENT = Separation from Unit or Department or Institution

Disposition:
Destroy Confidential
Human Resources and Related Records UWHR0404
Personnel File – PhD, Graduate, Teaching Assistant or Researcher, Employees in Training, Fellowship and Post-Graduate AssociatesPersonnel 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 or 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
 Letters of resignation

Confidential under Employee Personnel Records Wis. Stat. § 19.36(10)

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)





Retention;
EVT+ 6 Years
EVENT = Date of Termination

Disposition:
Destroy
Confidential
Human Resources and Related Records UWHR0405
Volunteer and Unpaid InternshipsThis records series pertains to records of volunteers and unpaid interns. Records include, but are not limited to: applications, resumes, risk management agreements and other materials related to staffing.

Confidential under Employee Personnel Records Wis. Stat. § 19.36(10)


Retention:
EVT + 2 Years
EVENT = Date of Assignment Completion

Disposition:
Destroy Confidential
Human Resources and Related Records UWHR0500
Employee Medical Information Files - DepartmentalThis series includes records relating to an employee’s medical status. Records may include such items as American Disabilities Association (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.
Retention:
EVT+6 Years
EVENT = Date
that Personnel Action Was Resolved or Terminated

Disposition:
Destroy Confidential
Human Resources and Related Records 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.Retention:
EVT+6 Years
EVENT = Date
that Personnel Action Was Resolved or Terminated

Disposition:
Destroy Confidential
Human Resources and Related Records UWHR0600EAP- Statistical Reports and Program AccomplishmentsThis record series includes statistical reports, utilizations summaries, and year-end reports of EAP activities. The information included in this series summarizes program utilizations and various other program activities and is used for purposes of program evaluation, policy/procedure and the development of future program goals.

Retention:
CR + 5 Years
CR=Date of Creation

Disposition:
Destroy
Human Resources and Related Records UWHR0601
EAP- Employee Assistance Case FilesThis series includes confidential records documenting an employee’s contact with EAP.

Series many include, but in not limited to: case notes written by EAP staff, signed consents for release of information, medical/treatment records received from the employee’s treatment provider, or other reports from internal or external sources.

Wis. Stat. § 146.81 - 146.84 - Confidentiality of Health Records
Wis. Stat. § 51.30 - Mental Health Records
HIPAA Privacy Rule at 45 CFR Parts 160 and 164

Retention:
EVT + 5 Years
EVENT=Date
of Last Encounter

Disposition:
Destroy Confidential
Human Resources and Related Records UWHR0602
EAP- Employee Assistance Satisfaction SurveysThis series includes documents created when campuses conduct EAP satisfaction surveys or when an employee has utilized EAP services.Retention:
EVT+0
EVENT=Date
Survey Analysis Was Completed

Disposition:
Destroy Confidential
Human Resources and Related Records UWHR0603
University Wellness Program and Related ActivitiesThis series consists of documentation of program activities performed under the university wellness program. Program activities might include, but are not limited to: educational presentations; promotion of wellness; onsite health screenings; health fairs, on-site accessibility classes such as Pilates/Yoga and on-site weight loss programs. Retention:
CR+ 5 Years
CR=Date of Creation

Disposition:
Destroy
Human Resources and Related Records UWHR0700
H-1B and E-3 Labor Condition Applications (LCA) Public Access FilesEmployers 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 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.

20 CFR §655.760(a)
Retention:
EVT + 1 Year
EVENT = 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

Disposition:
Destroy Confidential
Human Resources and Related Records UWHR0701
PERM = Program Electronic Review Management (also referred to as “labor certification”)PERM applications filed with DOL and all supporting documentation
•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
•Documentation

20 CFR §656.10(f)
Retention:
EVT + 5 Years EVENT= Date
of Filing

Disposition:
Destroy Confidential
Human Resources and Related Records 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 (Non-immigrant) 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
•Correspondence between IFSS, department, and beneficiary

Confidential under Employee Personnel Records Wis. Stat. § 19.36(10)

Retention:
EVT+ 3 Years
EVENT= Last
Date of Employment


Disposition:
Destroy Confidential
Human Resources and Related Records 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)
• Relevant correspondence between IFSS, department, and beneficiary

Confidential under Employee Personnel Records Wis. Stat. § 19.36(10)

Retention:
EVT+ 5 Years
EVENT= Date Permanent Residency
Obtained

Disposition:
Destroy Confidential
Human Resources and Related Records UWHR0800
Student Evaluations or Summary of Tenured Faculty, Academic Staff, Teaching Assistants and PA’s 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)

Retention:
EVT+ 5 Years
EVENT=End of
the Semester
in which the Evaluation was Completed

Disposition:
Destroy
Confidential
Human Resources and Related Records UWHR0801Student Evaluations or Summary of Probationary
Faculty for Tenure
This series consists of statistical and /or narrative evaluation forms and summaries completed by student concerning the teaching performance of individual faculty or academic staff. Student evaluations information can be used to support tenure application as well as academic staff indefinite appointment.

Confidential under Employee Personnel Records Wis. Stat. § 19.36(10)

Retention:
EVT+ 5 Years
EVENT=End of
the Tenure
Review Process

Disposition:
Destroy
Confidential
Human Resources and Related Records 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)
Retention:
EVT+ 6 Years
EVENT=Date of
Final Tenure Decision

Disposition:
Transfer to UW-Madison per
policy for archival
review
Human Resources and Related Records 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.Retention:
CR+1 Year
CR=Date of Creation

Disposition:
Destroy Confidential
Human Resources and Related Records 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.Retention:
CR+1 Year
CR=Date of Creation

Disposition:
Destroy Confidential
Human Resources and Related Records UWHR0902
Human Resource Training VendorsThis record series contains vendor files on presenters who have taught or provided training to University of Wisconsin Staff.Retention:
EVT+1 Year
EVENT=Date that the Vendor Last Provided a Class

Disposition:
Destroy Confidential
Human Resources and Related Records UWHR0903
Human Resource Training Course MaterialsThis record series consists of, but is not limited to: the curriculum training materials, presenters and related materials for training programs and presentations.Retention:
EVT + 5 Years
EVENT= Date
Old Materials are Superseded

Disposition:
Destroy Confidential

Human Resources and Related Records UWHR0904
Human Resource for Tracking Employee TrainingAn electronic system, database or mechanism to track the employee attendance at training activities. Records can include, but are not limited to: employee’s 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)
Retention:
EVT+ 5 Years
EVENT=Date
of Employee Termination

Disposition:
Destroy
Confidential
Payroll and Benefit Records
UWPAY001

Employee Time Records (Academic and University Staff)

Records created or entered by employees to record their work time and/or leave. This includes recording including sick time and vacation, legal holidays and personal time. Official Timesheets

Electronic submission of leave reports through HRS
will be archived in the HRS Enterprise Performance Management (EPM) Data Warehouse for at least Six years which meets the requirements for 29CFR §516.5 (a) Payroll records retention of 3 years.
Confidential under Employee Personnel Records Wis. Stat. § 19.36(10) Official timesheets or time sheets


Retention:
EVT + 6 years
EVENT = Date Supervisor Approved Leave Report or Time-sheet
Report

Disposition: Destroy Confidential
Payroll and Benefit Records

UWPAY002
Time and Labor Administrative Reports
This series contains various types of reporting from the HRS system to check on reported time. In many instances, these reports monitor issues that need to be resolved or the payroll will not be processed. Records include but are not limited to:
Payable Status Report, Total 80-Summations of Reported Time,
Future Time Entry, Comparison of Payable Time to Timesheets,
Time Approval Reference report, Labor Reference Report, Rejected Time Report; Schedule Definition Report, Weekly/day schedules.
Confidential under Employee Personnel Records Wis. Stat. § 19.36(10)


Retention:
CR + 1 Year
CR = Date
of Creation

Disposition: Destroy Confidential
Payroll and Benefit Records
UWPAY003

Employee Earnings Statement and Leave Balances and Leave Activity Summary Reporting
Leave Balance and Activity Reporting. Statements show leave time taken during a designated pay period.
Leave balances are available to employees via MyUWPortal or My UWSystem or UW-Extension.
Earning Statements, Tax Statements and W-2 are available to employees via MyUWPortal or My UWSystem or UW-Extension.

Confidential under Employee Personnel Records Wis. Stat. § 19.36(10)



Retention:
EVT + 15 years
EVENT= Date
Report
was Created

Disposition: Destroy Confidential
Payroll and Benefit Records
UWPAY004

Leave Activity Summary Reports at Institution
This report shows cumulative year to date leave activity by pay period.
Confidential under Employee Personnel Records Wis. Stat. 19.36(10)

Retention:
CR + 15 years
CR= Date Report
was Created

Disposition: Destroy Confidential

Payroll and Benefit Records
UWPAY005
Leave of Absence Request Forms
Forms completed by individual UW System employees requesting leaves of absence (other than sabbatical leave) and approved by supervisors and department / employing unit head.
Confidential under Employee Personnel Records Wis. Stat. 19.36(10)

Retention:
CR + 5 years
CR = Date Created

Disposition: Destroy Confidential




Payroll and Benefit Records
UWPAY006
Leave of Absence Reports
The approval of various types of leaves is processed through HR channels within the particular UW institution or employing unit. The recording /monitoring of leaves falls within the absence management function of HRS. Report lists the employees on a LOA so their payment status can be monitored. The Service Center will use the report to monitor which leave employees have paid and will manually add a general deduction for those who do not pay within the allotted time period so that they can be charged upon return from leave.
The following reports are included in this series: Leave of Absence Report-UIA Eligible (JIRA #6908)
Confidential under Employee Personnel Records Wis. Stat. 19.36(10)


Retention:
CR + 15 years
CR= Date Report
was Created

Disposition: Destroy Confidential
Payroll and Benefit Records
UWPAY007
UW-System Leave Plan Types
The HRIS system manages several leave plan types: FMLA (Family Medical Leave); University, Academic, Leave without Pay, Sabbatical, Military and other leave plans. HRIS tables contain details of the plans. (When the HR Manager enter employees who have an approved leave status, they are assigned a leave type based on the leave plans.)
NOTE: HRIS: The description of the various leave plans must be retained as long as employees are covered by them and are employed by the UW System.
Confidential under Employee Personnel Records Wis. Stat. 19.36(10)


Retention:
EVENT= Retain until Superseded

Disposition: Destroy Confidential
Payroll and Benefit Records
UWPAY008
Payroll Registers and Vouchers
Payroll listings showing gross and net pay, as well as deductions for UW employees.
These are the basis for all salary payments and are referred to on questions of back pay and income taxes. Also
includes payroll voucher
Signature page for each payroll.

*Payroll Voucher
*Payroll listing
Confidential under Employee Personnel Records Wis. Stat. 19.36(10)

"
Retention:
EVT + 6 years
EVENT = Fiscal Year

Disposition: Destroy Confidential
Payroll and Benefit Records
UWPAY009
Garnishment Records
Records consist of UW employee wage actions for state or federal court ordered wage assignments or earnings garnishment, federal IRS levies and Wis. Dept. of Revenue liens.

This is consistent with Federal requirement N1-GRS-92-4 item 18.
Records may include original writs of garnishment; recapitulations of amounts withheld; and related records.
Confidential under Employee Personnel Records Wis. Stat. 19.36(10)

"
Retention:
EVT + 6 years
EVENT= Levy or Garnishment is Terminated

Disposition: Destroy Confidential
Payroll and Benefit Records
UWPAY010
Tax Withholding Reporting Files
Records series includes forms and reports related to employees' federal and state income tax withholding activities and documentation of withholding.
Series includes, but is not limited to the following forms and reports:
*Certificate Of Exemption Prepayment Of Taxes
* Employer's Quarterly Federal Tax Return
* Employers Annual Reconciliation Of Wisconsin Income Tax Withheld From Wages
* Federal Bi-Weekly Tax Deposit Coupon
* Federal Income Tax, Social Security, Medicare Bi-Weekly Report
* Form 941 Payment Voucher
* Statement To Correct Information
* Transmittal Of Corrected Income and Tax Amounts
* Undeliverable W-2, W-2C, 1042-S and W-200 forms.
* Wisconsin Tax Deposit Report Coupon
This series also includes MILITARY PAY VOUCHERS that are created for employees.
NOTE: This series includes interface files that transmit data from the university to Federal and State government. The same retention period applies to the interface file as to the report or form.
Confidential under Employee Personnel Records Wis. Stat. 19.36(10)

Retention:
CR + 5 years
CR= Date the Report is created

Disposition: Destroy Confidential
Payroll and Benefit Records
UWPAY011
Unemployment Compensation Report to Dept. of Workforce Development
This series includes a report and transfer file (interface) sent to the Dept. of Workforce Development.
Confidential under Employee Personnel Records Wis. Stat. 19.36(10)



Retention:
CR + 5 years
CR= Date the Report is created

Disposition: Destroy Confidential
Payroll and Benefit Records
UWPAY012
COBRA Related Reports
Reports related to the eligibility and enrollment in COBRA. Includes report listing individuals denied COBRA coverage because they were dismissed for cause, required COBRA notification for eligible employees, COBRA error report (JIRA #6986), COBRA Notification Letters and Enrollment Forms (JIRA #6985)
Confidential under Employee Personnel Records Wis. Stat. 19.36(10)


Retention:
EVT + 5 years
EVENT= Date of Employee Termination

Disposition: Destroy Confidential
Payroll and Benefit Records
UWPAY013Employee Payroll Case File - Institutional
Records series includes various documents that are maintained in the Institutional Payroll office and regularly superseded by updated documents during the employee's term of employment in the institution.
Items in both series include the following items:
Withholding Agreements: Forms filed by employees authorizing withholding of income from paychecks. Records in this series include required withholding agreements, notifying the employer (State) of federal and State income tax withholding allowances; tax sheltered annuity, deferred compensation and savings bond authorizations; and various other voluntary authorizations. Records in this series are used to document withholding agreements and authorizations for each employee.
Series includes but is not limited to the following agreements/forms:
*Tax Withholding Forms such as: IRS 1001, IRS 8233, W4, Earned Income Credit, WT-4 State
Withholding Allowances
* Other Withholding (For a detailed list please consult index.)
*Accidental Death & 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
Confidential under Employee Personnel Records Wis. Stat. 19.36(10)

Retention:
EVT + 50 years
EVENT= Date of Employee Termination

Disposition: Destroy Confidential
Payroll and Benefit Records
UWPAY014
Employee ETF/ Benefits Case File - Institution
This records series includes the benefit forms, withholding, applications, notifications, etc. that are current at the time of employee termination. After the employee terminates from the particular Institution, the case file is maintained to determine the employee's rights to various benefits. These records are the responsibility of the employing institution. Employees will complete new withholding authorization forms when they move to another Institution. However, records in this series may be used to provide backup documentation of the employee's payroll activities.
State of Wisconsin ETF is the official holder of Benefit Records.
Confidential under Employee Personnel Records Wis. Stat. 19.36(10)


Retention:
EVT + 5 years
EVENT= Date of Employee Termination

Disposition: Destroy Confidential
Payroll and Benefit Records
UWPAY015
Annual Benefit Statements/Benefit Reports
This series consists of Annual benefit statements produced by the HRIS system. This statement reflects all benefit programs in which the employee is currently enrolled and total employer/employee contributions to them.
Access to employees via MyUWPortal or My UWSystem or UW-Extension
Confidential under Employee Personnel Records Wis. Stat. 19.36(10)


Retention:
EVT + 5 years
EVENT= Date of Termination of Employee

Disposition: Destroy Confidential

Payroll and Benefit Records
UWPAY016
Summary Reports of Benefits Programs Provided to ETF
Records series includes copies of summary reports of benefit
programs that are administered by the Department of Employee Trust Funds (ETF) and other insurance carriers as listed below Summary Reports to/from. Also includes Enrollment Reports and Benefit Confirmation Reports and Program Vendor Data Files and Life Insurance Reports send to vendors.
ETF-UW:
This group of records includes various summary reports required to be sent to ETF by UW. Reports are used to remit funds and provide information on benefits accrued in ETF-administered programs, including WRS, ERA, health, life, and ICI insurance.
NOTE: The UW must retain copies of reports sent to ETF if applicable to employees in their agency for seven years in order to correct information
Confidential under Employee Personnel Records Wis. Stat. 19.36(10)

Retention:
CR + 7 years
CR= Date the Report is created

Disposition: Destroy Confidential

Payroll and Benefit Records
UWPAY017
Wisconsin Retirement System Reporting -WRSElectronic Data file is created after each payroll is processed that includes data for each employee, including the employment category, earning, hours worked and data necessary for monthly and annual WRS Reporting.
Confidential under Employee Personnel Records Wis. Stat. 19.36(10)

Retention:
CR + 15 years
CR= Date the Report is created

Disposition: Destroy Confidential

Payroll and Benefit Records
UWPAY018
Tax Sheltered Annuity and TSA Multiple Enrollments Reports
Reports to identify employees with multiple TSA enrollments who are close to reaching the IRS maximum to determine which TSA deduction to allow to go through, and which deductions to manually override for the remainder of the Year.

Confidential under Employee Personnel Records Wis. Stat. 19.36(10)
"
Retention:
CR + 5 years
CR= Date the Report is created

Disposition: Destroy Confidential

Payroll and Benefit Records
UWPAY019
Payroll Accounting and Benefit Reports and Transfers
Record series consists of reports and correspondence that have fiscal audit value related to transfers of payroll funds. Series documents issues and concerns related to transfers of funds to banks for state payroll, reports that total saving bond deduction totals and other summary accounting reports that provide backup documentation to support the WiSMART system.
Items in this series include but are not limited to the following:
*Electronic Deposit Correspondence between processing center and banks that deposit employee paycheck through electronic deposit.
*ACH & Automatic Check Transfer
*Cancellations Notice
*Saving Bond Deduction Total Reports
*Saving Bond Payment form
*Retroactive Benefit Calculation Report - (JIRA #6919)
*Retroactive Benefit Missing Premium Report (JIRA#6905)
*Deduction Pre-pay Reconciliation Report (JIRA#6905
Confidential under Employee Personnel Records Wis. Stat. 19.36(10)

Retention:
CR + 5 years
CR= Date the Report is created

Disposition: Destroy Confidential


Payroll and Benefit Records
UWPAY020
Core Payroll History Data
"NOTE: The wording for this record series remains the same as it was in the original GRS. The Department of Administration does not maintain a central payroll roster or data file for the University of Wisconsin System. The responsibility for maintaining a permanent payroll history data will continue with HRS. The retention period is 50 years. Currently, this long term retention requirement is met by microfiche.

This electronic file includes the results of personnel transactions affecting employees payroll such as hires, transfers, terminations, reclassification's and reallocation's. Files contain data elements for each employee, including appointments, deductions, hours, payroll balances, deduction balances, and retroactive adjustments to hours worked, lump-sum pay adjustments, dollar and hour balance adjustments, refunds, wage assignments and check cancellations. This electronic file functions as the source for federal and state tax reporting, W-2 production and other year-end reports.

The HRS Core Payroll data file is created when payroll calculation data is created /added to the employee permanent payroll history after the payroll confirmation process has been run.

The payroll microfiche jacket will contain the following types of information: date of payroll, type of payroll, gross earnings, and deferred items. The jacket will be maintained with the Master
Payroll Fiche for 50 years. REVISED: This paragraph was added by the Public Records Board 11/19/97.

Also included under these records series and the 50 year retention requirement are the following reports: Audit Tables Query Report (JIRA #6918)

Confidential under Employee Personnel Records Wis. Stat. 19.36(10)

Electronic In HRS after 2011.
Pre 2011 Master Fiche / Tape for all UW Institutions maintained by HRS


Retention:
CR + 50 years
CR= Date the report is created

Disposition: Destroy Confidential