UNIVERSITYOFWISCONSINSYSTEM STUDENTRECORDS GENERALRECORDSSCHEDULE

February2012

UNIVERSITYOFWISCONSINSYSTEM:GENERALRECORDSSCHEDULESFORSTUDENTRECORDS I. INTRODUCTIONANDPURPOSE TheUniversityofWisconsinSystemcomprisesfifteendistinctinstitutions,manyofwhichcreateand receiverecordsthataresimilarinpurposeandutility.Intheinterestofefficiency,therefore,thisrecords scheduleidentifiescategoriesofstudentrelatedrecords.Theidentifiedrecordseriesarecommontoall UniversityofWisconsininstitutions. ThisdocumentalsoprovidesguidancetoUniversitySystememployeesregardingwhatdoesanddoesnot compriseapublicrecord,whichwillinturnallowUniversityemployeestoretainforadiscretetimeperiod andthereafterdestroyexpiredpublicrecords,aswellasthosematerialsthatdonotcomprisepublic records.TheUWSystemmustmanageallstudentrecordstoensuresystematiccontrolfromcreationor receiptthroughprocessing,distribution,maintenance,retrieval,retentionandfinaldisposal. II. SCOPE:Therecordsschedulesdescribedwithinthisdocumentincludethefollowingrecords: AdmissionRecords Acceptanceletters ApplicationsforAdmission ApplicationsforAdmission,falsified ApplicationsforAdmission,unsolicited Correspondence,enrollmentstaff,withorconcerningstudents Creditbyexaminationorexperientiallearningcreditrecords Entranceexaminationresults GraduateSchoolDegreeApplications GraduateSchoolAdmissionApplications GraduateSchoolQualifyingExams LettersofRecommendationforenrollees ProgramAdmissionApplications Residencyrecords Transcriptsfromotherinstitutions Veteransrecords StudentAcademicRecords Academicdismissal/suspension/expulsionrecords Academicmisconductrecords Academicwarnings Add/Droprecords Applicationsforgraduation AthleteAcademicRecords AthleticEligibilityReports AuditAuthorizations 2

Changeofgradedocumentation ChangedGradeRecord Correspondenceregardingcoursecontentorprogress Correspondencerelatedtoacademicinquiry Courserepeatapprovalform Coursewaitinglists Credit/nocreditapprovalforms CriminalBackgroundCheckRecords Curriculumchangeauthorizations DegreeAudits Diplomas FellowshipsandScholarships GradeBooks,original(academicdepartments) Grades,Official GraduateSchoolRecordsforacceptedstudents,ISISfiles Grievances,exam/courserelated Holdorencumbranceauthorizations HonorsProgramApplicantfiles Instructionalmaterialsincludingmaterialsincoursemanagementsystems Internshipagreements Internshipcontracts Majordeclarations,changes,certificationofsecondmajor,minors Namechangeauthorizations Petitions,Exceptionstoacademicrules Registrationforms Schedules,individualstudent StudentTeacherFieldExperienceFile StudyAbroadProgramFiles Syllabiand/orcoursecalendars Thesis/Dissertations Transcripts,official Transcripts,studentrequests Transfercreditevaluations Withdrawalauthorizations InternationalStudentRecords ArrivalDepartureRecordsforInternationalStudents CertificateofEligibilityforFVisaStatus CertificateofEligibilityforExchangeVisitorJStatusFormDS PassportPageShowingPassportNumber Statementofeducationalcosts Statementoffinancialresponsibilityandsupportingdocuments UnitedStatesPermanentResidentCard(GreenCard)copy 3

Publications,StatisticsandPolicy Catalog Classschedules/timetables(institutional) Correspondence,policysetting CourseFile,master Enrollmentandclasslists Enrollmentverificationsandcertifications Gradereports/statistics HonorsLists Transferequivalencies FERPArelatedRecords RequestsforandDisclosureofPersonallyidentifiableInformation RequestsforCorrectionstorecordsandFormalhearings RequestsforNondisclosureofDirectoryInformation StatementoncontentsofRecordsregardinghearingpaneldecisions WaiverofRightofAccesstoConfidentialRecommendations Writtenconsentforrecordsdisclosure Writtendecisionsofhearingpanels FederalDisclosureRecords: Athleticparticipation/EADADocument Collegecosts,Accreditation,Textbookinformation,TransferCreditPolicy CrimeStatistics/SecurityReports Graduation/CompletionTransferOutdata InstitutionalInformation

III. UTILITYANDFUNCTIONOFINFORMATIONPROVIDEDWITHINTHISDOCUMENT a.PreservationofHistoricalDocuments.Historically,Universityrecordshavebeenpreservedin paperfiles.Presently,however,advancesintechnologyarebeginningtopresentaviable alternativetopaperrecords:electronicdatastoredincomputersystems.Usingelectronicdatato storeUniversityrecordspresentsapotentiallyfatalflaw,however,becauseelectronicdatadecays overtime.Thus,unlikepaperrecords,withthepassageoftimeelectronicrecordsloseinformation asitrandomlyslipsawayinbitesizedchunks,unlesssoftwareupdatesareconsistentlypurchased, installed,andmaintained.

Becauseofthisaspectofinformationtechnologysystems,recordsstoragewithinaninformation systemmustcomplywiththelegalrequirementssetforthinRegentPolicyDocument32: UniversityofWisconsinSystemPublicRecordsManagement;andChapterAdministrative12: ElectronicRecordsManagementStandardsandRequirements.Pleasecarefullyreviewthese documentspriortostoringofficialcopiesofpublicrecordsuponinformationsystemsandifyou havequestionsorconcernsthenpleaseseekassistancefromtherecordsofficerattheirrespective UniversityofWisconsininstitution. 4

b.UseoftheSystemsApproach.Toasgreatextentaspossible,therecordsschedulesincludedwithin thisdocumentweredevelopedusingasystemsapproach.Thatis,thesubstantiveinformation containedwithinanindividualdocument,ratherthanthedocumentsformat,isthebasisforthe descriptorofeachdepartment.Thisisbecausetheformatforsomedocumentsisdynamicin natureandsubjecttoadministrativechange.Thus,thedescriptorsforeachdocumentareas comprehensiveaspossiblewithoutrelyinguponformatorformnames. Duetothesechanges,however,theremaybeinstancesinwhichanindividualrecordsschedule doesnotreflecttheexacttitleornameofaformasusedbytheoriginatorofadocument.Insuch cases,ifaUniversityemployeehasdifficultydeterminingwhetheradocumentcomprisesarecord byreviewingthedescriptiveinformationcontainedwithinboththedocumentandarecords schedulethenemployeesseekassistancefromtherecordsofficerattheirrespectiveUniversityof Wisconsininstitution. c.MinimumRetentionEstablishedandPermanentRetentionProcedure.Therecordsschedules includedwithinthisdocumentestablishminimumretentionperiodsforeachtypeofrecord.The dispositionofeachrecordisassumedtobedestructionafteritsminimumretentionperiod. However,expiredrecordsmayberetained,foraslongastheyareneededasaresourcefor performingfutureprojectsonbehalfoftheUniversityofWisconsin. d.MaterialsThatDoNotComprisePublicRecords.UnderWisconsinlaw,manymaterialsdonot comprisepublicrecords.Therefore,nonrecordsshouldberetainedonlysolongastheyareuseful asaresourceforperformingthetransactionofpublicbusinessonbehalfoftheUniversityof WisconsinSystem.Thereafter,intheinterestofefficiencyandproperresourcemanagement,they shouldbedestroyed. Thefollowingmaterialsarenotpublicrecords,underWis.Stats.&&16.61and19.35. 1.Duplicates.Publicrecordsdonotincludeduplicatecopiesofrecords,theoriginalcopiesofwhich areinthecustodyofanofficecontainedwithintheUniversityofWisconsinSystemAdministration, andwhicharemaintainedbyaUniversityemployeeonlyforconvenienceorreferenceandforno substantivepurpose. 2.UnsolicitedNoticesorInvitations.Publicrecordsdonotincludeunsolicitednoticesor invitationsreceivedbyaUniversityemployee,whicharenotrelatedtoanyofficialactiontaken, proposed,orconsideredbytheUniversityofWisconsinSystem. 3.Drafts,NotesandPreliminaryComputations.Publicrecordsdonotincludedrafts,notes, preliminarycomputations,andlikematerials,butonlyiftheyareintendedforpersonalusebya UniversityemployeeorpreparedbyaUniversityemployeeinthenameofthepersonforwhomthe employeeisworking. 4.RoutingSlipsandEnvelopes.PublicrecordsdonotincludeRoutingslipsandenvelopes. 5.PersonalMaterials.Publicrecordsdonotincludematerialsthatarethepersonalpropertyofa Universityemployeeandthathavenorelationtohisorheroffice. 5

Pleasenotethatnonrecordsshouldbedestroyedassoonaspossible,concurrentwiththetimeat whichtheyarenolongerusefulasaresourceforperformingthetransactionofpublicbusinesson behalfoftheUniversity.Moreover,personalmaterialsshouldneitherbecreatednorretainedbya Universityduringtheregularcourseofbusiness. Alsonotethatifnonrecordsareretainedbeyondthetimetheyarenolongerusefulasaresource forperformingthepublicbusinessonbehalfoftheUniversitythenunderWisconsinlaw, duplicates,unsolicitednotices,invitations,routingslipsandenvelopeswouldhavetobeturned overtoarequesterinresponsetoarelevantpublicrecordsrequest,andinresponsetoauditor litigationproceedings.SeeWisconsinStatute13.94,19.35,and804.01. e. ScheduleDoesNotrequirecreationofRecords ItisunderstoodthatnotallUWSystemCampusesmayhaveallthetypesofrecordslistedinthis schedule.ThisscheduledoesnotrequirerecordstobecreatedbyUWSystemCampuses.It providespolicyguidanceforthoserecordsthatareusedbyUWSystemCampuses.

IV. CONDITIONSAFFECTINGFINALDISPOSITION AllrecommendeddispositionsstatedwithinthisschedulemaybecarriedoutbyUniversityof WisconsininstitutionswithoutfurtherconsultationorapprovalfromtheUniversityofWisconsin Archives,legalservices,orinternalauditwiththefollowingexceptions: a.PublicRecordsRequest.Ifapublicrecordsrequestisreceivedbyanofficeforanyrecordor recordsincludedwithinthisschedulethentherecord(s)cannotbedestroyeduntiltherequestis granted,oruntilatleastsixtydaysafterthedatetherequestisdenied.Courtordersmayextend thistimeperiod.Ifnecessaryanduponrequest,theOfficeofGeneralCounselwillprovide guidancetoUniversityofWisconsininstitutionsregardingpublicrecordrequests. b.LitigationorAudit.EachUniversityofWisconsininstitutionmustnotonlyretainrecordsthat arethesubjectofpendinglitigationoraudit,butalsosuspendanydispositionofthoserecords untilsuchtimeasthelitigationorauditiscompleted.Requestsforrecordsrelatingtoopenaudits mustbefiledwiththeUniversityofWisconsininstitutioninvolvedintheaudit. UNIVERSITYOFWISCONSINSYSTEMSTUDENTRECORDSGENERALRECORDSSCHEDULE TheUniversityofWisconsinSystemStudentRecordsGeneralRecordsScheduleappliestoallUniversity ofWisconsininstitutions.InordertofacilitateefficientrecordsmanagementforUniversityemployees, thisgeneralscheduleisprovidedinnarrativeformat. ThoserecordsseriesthatcontainPersonallyIdentifiedInformation(PII)aremarkedas: PII?Yes. TheFamilyEducationRightsandPrivacyAct(FERPA)appliestomanyrecordsseriesthroughoutthis document.Theseareidentifiedasconfidentialandrequireappropriatehandlingasrequiredbylaw.
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AdmissionRecords
UWSTU001AcceptanceLetters,(enrolledstudents) Comprisingthisseriesaretheuniversityscopyofnotificationlettersinanyformatsenttoadmitted freshmenortransferstudentsasaresponsetoapplicationtotheuniversity.Suchlettersmayincludean invitationtoorientationandindicateanyfurtherstepsneededtobetakenbytheadmittedstudent. RetentionPeriod:EVT+5yearsthendestroyconfidentially(EVT=dateofgraduationorlastattendance) PII?Yes Confidential?Yes Copies:Destroyconfidentiallywhennolongerneeded.Donotkeepcopieslongerthantheoriginal. UWSTU002AcceptanceLetters,(notenrolled) Comprisingthisseriesaretheuniversityscopyofnotificationlettersinanyformatsenttoadmitted freshmenortransferstudentsasaresponsetoapplicationtotheuniversity.Suchlettersmayincludean invitationtoorientationandindicateanyfurtherstepsneededtobetakenbytheadmittedstudent. RetentionPeriod:EVT+1yearthendestroyconfidentially(EVT=dateofapplication) PII?Yes Confidential?Yes Copies:Destroyconfidentiallywhennolongerneeded.Donotkeepcopieslongerthantheoriginal. UWSTU003ApplicationsforAdmission,(enrolledstudents) Therecordsincludeofficialinstitutionalapplicationformscompletedinanyformatbyprospectivestudents foradmissionorreadmissiontotheinstitution. RetentionPeriod:EVT+5yearsthendestroyconfidentially(EVT=dateofgraduationorlastattendance) PII?Yes Confidential?Yes Copies:Destroyconfidentiallywhennolongerneeded.Donotkeepcopieslongerthantheoriginal. UWSTU004ApplicationsforAdmission,(notenrolled) Therecordsincludeofficialinstitutionalapplicationformscompletedinanyformatbyprospectivestudents foradmissionorreadmissiontotheinstitution. RetentionPeriod:EVT+1yearthendestroyconfidentially(EVT=dateofapplication) PII?Yes Confidential?Yes Copies:Destroyconfidentiallywhennolongerneeded.Donotkeepcopieslongerthantheoriginal. UWSTU005ApplicationsforAdmission,falsified Admissionsapplicationandsupportingdocumentationreceivedfromindividuals misrepresentingthemselves.Theretentionperiodprovidessufficienttimetotrackthoseindividualswho maymakerepeatattemptstosubmitafalsifiedapplication. Retentionperiod:Retainforthree(3)semestersfollowingthetermforwhichthesubjectappliedplusan additional7years.Destroyconfidentially. PII?Yes Confidential?Yes Copies:Destroyconfidentiallywhennolongerneeded.Donotkeepcopieslongerthantheoriginal. 7

UWSTU006ApplicationsforAdmission,unsolicited Thisseriescontainslettersofrecommendation,testscores,portfolios,CDs,examplesofworkpreparedby thepotentialapplicantswherenoformalapplicationwaseversubmitted.Thematerialsmaybereceivedin anyformat.Someinstitutionsreceiveasignificantnumberofadmissioninquiriesfromabroad.Itisoften difficultforthosepotentialapplicantstoobtainorreproducematerialspreviouslysubmitted.Twoyears incorporatesagraceperiodforthosepotentialstudentswhodocompleteanapplicationforthenext academicyear. Retentionperiod:Retainforthree(3)semestersfollowingthetermforwhichtheyappliedplusan additional2yearsthendestroyconfidentially. PII?Yes Confidential?Yes Copies:Destroyconfidentiallywhennolongerneeded.Donotkeepcopieslongerthantheoriginal. UWSTU007Correspondence,staff,withorconcerningenrolledstudents TheseriesincludescorrespondenceinanyformatbetweenEnrollmentServicesstaffwithinunitsorwith students,relevanttotheadmissionand/oracademicprogressofindividualstudent. RetentionPeriod:EVT+5yearsthendestroyconfidentially.(EVT=dateofgraduationorlastattendance) PII?Yes Confidential?Yes Copies:Destroyconfidentiallywhennolongerneeded.Donotkeepcopieslongerthantheoriginal. UWSTU008Correspondence,staff,withorconcerningstudentswhodidnotenroll TheseriesincludescorrespondenceinanyformatbetweenEnrollmentServicesstaffwithinunitsorwith students,relevanttotheadmissionand/oracademicprogressofindividualstudent. RetentionPeriod:EVT+1yearthendestroyconfidentially.(EVT=dateofapplication) PII?Yes Confidential?Yes Copies:Destroyconfidentiallywhennolongerneeded.Donotkeepcopieslongerthantheoriginal. UWSTU009CreditbyExaminationorexperientiallearningcreditrecords ExaminationsincludebutarenotlimitedtoAdvancedPlacementresults,CLEP,PEP,othertestscoreresults, priorlearningdocumentation,etc.usedforadvancedplacementwithindegreeprogram RetentionPeriod:EVT+5(forenrolledandnonenrolledstudents)yearsthendestroyconfidentially.(EVT= Graduationdateordatelastattended.) PII?Yes Confidential?Yes Copies:Destroyconfidentiallywhennolongerneeded.Donotkeepcopieslongerthantheoriginal. UWSTU010EntranceExaminationResultsandotherPlacementTestrecords,(enrolledstudents) Studentscoresfromstandardizedtests,include,butarenotlimitedto:ACT,SAT,GREoruniversityor departmentspecifictestsorauditionsforenrolledstudents. RetentionPeriod:EVT+5yearsthendestroyconfidentially(EVT=dateofGraduationorlastattendance) PII?Yes Confidential?Yes Copies:Destroyconfidentiallywhennolongerneeded.Donotkeepcopieslongerthantheoriginal.

UWSTU011EntranceExaminationResultsandotherPlacementTestRecords,(notenrolled)Student scoresfromstandardizedtests,includingbutnotlimitedto:ACT,SAT,GREoruniversityordepartment specifictestsorauditionforstudentswhodidnotenrollintheinstitution. RetentionPeriod:EVT+1yearthendestroyconfidentially(EVT=dateofapplication) PII?Yes Confidential?Yes Copies:Destroyconfidentiallywhennolongerneeded.Donotkeepcopieslongerthantheoriginal. UWSTU012GraduateSchoolDegreeApplicationsreceived ThisseriesiscomprisedofgraduationapplicationsreceivedbyeithertheRegistrar'sOffice(forthe Bachelor'sandProfessionaldegrees)ortheGraduateSchool(forMaster'sandDoctor'sdegrees),may includecompiledlistsofstudentseligibletograduate.TheOfficialCopyresidesintheRegistrar'sOffice GraduationandAcademicRecordsforBachelor'sandProfessionaldegreesandintheGraduateSchoolfor Master'sandDoctor'sdegrees.OthercopiesmaybefoundintheCollege/SchoolorDepartment RetentionPeriod:EVT+1yearthendestroyconfidentially(EVT=dateofGraduationorlastattendance) PII?Yes Confidential?Yes Copies:Destroyconfidentiallywhennolongerneeded.Donotkeepcopieslongerthantheoriginal. UWSTU013GraduateSchoolAdmissionApplications,(notaccepted,notenrolled,orincomplete) ArecordofapplicantsforUWadmissionintoagraduateprogramwhowerenotaccepted;whowere accepted,butwhodidnotenroll;orwhonevercompletedtheapplicationprocess.Graduateschool applicationfilesmaintainedattheschooland/ordepartmentlevelscontainingsometoallofthefollowing typesofmaterials:copyoftheapplicationforadmissiontotheGraduateSchool,completesetofofficial transcriptsfromotherinstitutions,copyoftheGraduateSchoolExaminer'sreport,reasonsforgraduate study,anymiscellaneouscorrespondence,lettersofrecommendation,GREscores,andothermaterials whichmayberequestedbytheparticularschoolordepartment. RetentionPeriod:EVT+5yearsthendestroyconfidentially(EVT=dateofapplication) PII?Yes Confidential?Yes Copies:Destroyconfidentiallywhennolongerneeded.Donotkeepcopieslongerthantheoriginal. UWSTU014GraduateSchoolAdmissionApplicationsresidency/fellowshipapplicants ThisseriesincludesadmissionapplicationsinanyformatofapplicantstoaResidencyorFellowshipProgram whodidnotmatchtheprogramrequirements,werenotaccepted,withdrewfromconsideration,orwere notinterviewed.AlsoincludesNotMatched,NotAccepted,Withdrawn,orNotInterviewed. RetentionPeriod:EVT+5yearsthendestroyconfidentially(EVT=dateofapplication) PII?Yes Confidential?Yes Copies:Destroyconfidentiallywhennolongerneeded.Donotkeepcopieslongerthantheoriginal. 9

UWSTU015GraduateSchoolQualifyingExams ExaminationsorqualifyingexamstakenbyPh.D.candidatesinwhichCandidatesarerequiredtopassa certainnumberofexamsbyacertaindeadlinetoqualifyforadmissiontograduateschool.Theyare groupedbysemesterandeachexamisgradedbytwopeople.TherearealsoGradingChartsthat complementtheseexamswhichindicatewhothegradersare. RetentionPeriod:EVT+2yearsthendestroyconfidentially(EVT=dateoflastattendance) PII?Yes Confidential?Yes Copies:Destroyconfidentiallywhennolongerneeded.Donotkeepcopieslongerthantheoriginal. UWSTU016LettersofRecommendation,(enrolledstudents)Theserecordsincludelettersof recommendationinanyformatrequiredbytheschoolorprovidedbytheapplicantasadditional informationtoadmissionofficers. RetentionPeriod:EVT+5yearsthendestroyconfidentially.(EVT=dateofapplication) PII?Yes Confidential?Yes Copies:Destroyconfidentiallywhennolongerneeded.Donotkeepcopieslongerthantheoriginal. UWSTU017LettersofRecommendation,(notenrolled)Theserecordsincludelettersofrecommendation inanyformatrequiredbytheschoolorprovidedbytheapplicantasadditionalinformationtoadmission officers. RetentionPeriod:EVT+1yearthendestroyconfidentially.(EVT=dateofapplication) PII?Yes Confidential?Yes Copies:Destroyconfidentiallywhennolongerneeded.Donotkeepcopieslongerthantheoriginal. UWSTU018ProgramAdmissionsRecords,(admittedstudents) Thisseriesincludesmaterialssubmittedintheapplicationprocessformajorsthathavelimitedspaceand requireapplication.Entrancetothesemajorsiscompetitive;notallstudentswillnecessarilybeaccepted. Eligibilityrequirementsvaryfromprogramtoprogram.Forexample,ingeneral,teachereducationstudents mustcompleteaminimumnumberoftotalcredits,earnaminimumgradepointaverage,takeandsubmit thescoresforthePraxisI/PreProfessionalSkillsTest(PPST),andsubmitanapplication.Someprograms alsorequireapplicantstocompleteaminimumnumberofcreditsinthemajor.Programsmayaskfor essaysorstatements,lettersofrecommendation,extendedstudyabroad,orotherdocuments,testscores, orexperiences.Thesematerials,submittedbysuccessfulapplicants,comprisethisseries. RetentionPeriod:EVT+5Years(EVT=Dateofgraduationfromtheprogram) PII?Yes Confidential?Yes Copies:Destroywhennolongerneeded.

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UWSTU019ProgramAdmissionsrecords,(notadmitted) Thisseriesincludesmaterialssubmittedintheapplicationprocessforsomemajors,whichhavelimited spaceandrequireapplication.Entrancetothesemajorsiscompetitive;notallstudentswillnecessarilybe accepted.Eligibilityrequirementsvaryfromprogramtoprogram.Forexample,ingeneral,teacher educationstudentsmustcompleteaminimumnumberoftotalcredits,earnaminimumgradepoint average,takeandsubmitthescoresforthePraxisI/PreProfessionalSkillsTest(PPST),andsubmitan application.Someprogramsalsorequireapplicantstocompleteaminimumnumberofcreditsinthemajor. Programsmayaskforessaysorstatements,lettersofrecommendation,extendedstudyabroad,orother documents,testscores,orexperiences.Thesedocumentsforstudentswhohaveappliedandfailedtobe admittedcomprisethisseries. RetentionPeriod:EVT+2Years(EVT=Dateofapplication) PII?Yes Confidential?Yes Copies:Destroywhennolongerneeded. UWSTU020Residencyrecords,(enrolledstudents) Recordsusedtodeterminestudentresidencyclassificationfortuitionpurposes.Theserecordsalsoinclude formstoappealforinstateresidenttuition.Recordssuppliedtosubstantiatethismayincludeavarietyof stateandfederalincometaxinformation,highschoolrecords,employmentrecordsandotherdocuments. RetentionPeriod:EVT+5yearsthendestroyconfidentially.(EVT=dateofgraduationorlastattendance) PII?Yes Confidential?Yes Copies:Destroyconfidentiallywhennolongerneeded.Donotkeepcopieslongerthantheoriginal. UWSTU021Residencyrecords,(admitted,notenrolled) Recordsusedtodeterminestudentresidencyclassificationfortuitionpurposes.Theserecordsalsoinclude formstoappealforinstateresidenttuition.Recordssuppliedtosubstantiatethismayincludeavarietyof stateandfederalincometaxinformation,highschoolrecords,employmentrecordsandotherdocuments. RetentionPeriod:EVT+1yearthendestroyconfidentially.(EVT=dateofapplication) PII?Yes Confidential?Yes Copies:Destroyconfidentiallywhennolongerneeded.Donotkeepcopieslongerthantheoriginal. UWSTU022Transcriptsfromotherinstitutions,(enrolledstudents) Transcriptsfromotherinstitutionssuchaspreparatoryschools,highschools,otheruniversities,colleges andtechnicalschoolsusedtosupporttheadmissionsprocess RetentionPeriod:EVT+5yearsthendestroyconfidentially.(EVT=dateofapplication) PII?Yes Confidential?Yes Copies:Destroyconfidentiallywhennolongerneeded.Donotkeepcopieslongerthantheoriginal. UWSTU023Transcriptsfromotherinstitutions,(notenrolled) Transcriptsfromotherinstitutionssuchaspreparatoryschools,highschools,otheruniversities,colleges andtechnicalschoolsusedtosupporttheadmissionsprocess RetentionPeriod:EVT+1yearthendestroyconfidentially.(EVT=dateofapplication) PII?Yes Confidential?Yes Copies:Destroyconfidentiallywhennolongerneeded.Donotkeepcopieslongerthantheoriginal. 11

UWSTU024Veteransrecords,(enrolledstudents) Recordsrelatedtostudentenrollmentforfederal/statemilitarybenefitssuchasapplication,copiesof dischargeformDD214,VAeligibilitycertificates,studygrants,VAvocationalrehabilitationagreements,VA feevouchers,andcorrespondence,inasfarastheserecordssupporttheadmissionsprocess.See FINAID001andFINAID010forthedisposalofthoseveteransrecordsusedtodeterminefinancialaid eligibility. RetentionPeriod:EVT+5yearsthendestroyconfidentially.(EVT=endofbenefitawardyear) PII?Yes Confidential?Yes Copies:Destroyconfidentiallywhennolongerneeded.Donotkeepcopieslongerthantheoriginal. UWSTU025Veteransrecords,(notenrolled) Recordsrelatedtostudentenrollmentforfederal/statemilitarybenefitssuchasapplication,copiesof dischargeformDD214,VAeligibilitycertificates,studygrants,VAvocationalrehabilitationagreements,VA feevouchers,andcorrespondence,inasfarastheserecordssupporttheadmissionsprocess.See FINAID001andFINAID010forthedisposalofthoseveteransrecordsusedtodeterminefinancialaid eligibility. RetentionPeriod:EVT+2yearsthendestroyconfidentially.(EVT=dateofapplication) PII?Yes Confidential?Yes Copies:Destroyconfidentiallywhennolongerneeded.Donotkeepcopieslongerthantheoriginal.

StudentAcademicRecords
UWSTU026AcademicDismissal/Suspension/Expulsionrecords UniversityscopyoftheletterinanyformatfromtheDeanofStudentsorequivalentofficeexplainingto thestudentthedismissalandtheacademicornonacademicreasonsfortheaction. RetentionPeriod:CR+6years,thentransfertoUniversityArchives. PII?Yes Confidential?Yes Copies:Retainoneyearthendestroyconfidentially UWSTU027AcademicMisconductrecords Notificationofacademicmisconductanddocumentationofsanctionsordisciplinaryactionincluding correspondence,reports,requestsforhearings,appealsandpetitions. RetentionPeriod:CR+6years,thentransfertoUniversityArchives. PII?Yes Confidential?Yes Copies:Retainoneyearthendestroyconfidentially UWSTU028AcademicWarnings Academicwarningsentbyemailorpapercorrespondenceinformingthestudentofpooracademic performancethatthreatenscontinuedattendanceoftheinstitution. RetentionPeriod:EVT+5years.(EVT=dateofgraduationorlastattendance) PII?Yes Confidential?Yes Copies:Destroyconfidentiallywhennolongerneeded.Donotkeepcopieslongerthantheoriginal. 12

UWSTU029Add/Droprecords Completedcourseaddordropformsandrelatedrecordsrequiredbytheinstitutiontoaddordropcourses aftertheregistrationdeadline.

RetentionPeriod:EVT+1year.(EVT=datesubmitted) PII?Yes
Confidential?Yes Copies:Destroyconfidentiallywhennolongerneeded.Donotkeepcopieslongerthantheoriginal. UWSTU030ApplicationsforGraduation,(graduatedstudents) Applicationscompletedbystudentsasrequiredpriortograduation.Thesetriggerdegreeauditswhich reviewstudentrecordsforcompletionofdegreerequirements.(DegreeAuditsUWSTU044)

RetentionPeriod:EVT+1year.(EVT=dateofapplication) PII?Yes
Confidential?Yes Copies:Destroyconfidentiallywhennolongerneeded.Donotkeepcopieslongerthantheoriginal. UWSTU031ApplicationsforGraduation,(nongraduatedstudents) Applicationscompletedbystudentsasrequiredpriortograduation.Thesetriggerdegreeauditswhich reviewstudentrecordsforcompletionofdegreerequirements.(DegreeAuditsUWSTU044)

RetentionPeriod:EVT+5years.(EVT=applicationdate) PII?Yes
Confidential?Yes Copies:Destroyconfidentiallywhennolongerneeded.Donotkeepcopieslongerthantheoriginal. UWSTU032AthleteAcademicRecords RecordsincludingdossiersinanyformatcreatedbytheAthleticDirector,theAssociateAthleticDirectoror theComplianceOfficerforindividualstudents,compilingacademicandenrollmentrecords,creditand majorrequirements,amateurathleticstatuscertification,semestersofeligibilityusedandremaining, whichmakeupparticipationstatus.Whereoffered,tutorevaluationandassessmentrecordsormandatory studytimerequirementrecordsmaybeincluded. RetentionPeriod:EVT+10yearsthendestroyconfidentially(EVT=dateofgraduationorlastattendance) PII?Yes Confidential?Yes Copies:Destroyconfidentiallywhennolongerneeded.Donotkeepcopieslongerthantheoriginal. UWSTU033AthleticEligibilityReports ReportsinpaperorelectronicformcreatedbytheAthleticDirector,theAssociateAthleticDirectororthe ComplianceOfficertodemonstrateathleticeligibilityofteams.Thereportsincludesummarizedacademic andenrollmentinformationandapprovalofacademicrecordforeachmemberoftheteamaswellas certificationofamateurathleticstatusandnumberofsemestersofeligiblecompetitionusedand remaining.(ForschoolsinWIAC,thisseriesrunsparalleltotheconferencewideseriesWIAC107) RetentionPeriod:EVT+2yearsthendestroyconfidentially(EVT=dateofsubmissionofofficialreport) PII?Yes Confidential?Yes Copies:Destroyconfidentiallywhennolongerneeded.Donotkeepcopieslongerthantheoriginal.

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UWSTU034AuditAuthorizations Documentationconsistingofpaperorelectronicformscompletedbystudentsandsignedbythecourses instructor,givingthestudentpermissiontoauditacourse,insteadofenrollingforacademiccredit. RetentionPeriod:EVT+1yearthendestroyconfidentially(EVT=dateofsubmission) PII?Yes Confidential?Yes Copies:Destroyconfidentiallywhennolongerneeded.Donotkeepcopieslongerthantheoriginal. UWSTU035ChangeofGradeDocumentation Documentationasapaperorelectronicdataentryformcompletedbytheinstructoroftherelevantcourse andsignedbytheappropriatedeansupportinganapprovedchangeofapreviouslyassignedcoursegrade. RetentionPeriod:EVT+5yearsthendestroyconfidentially(EVT=dateofsubmission) PII?Yes Confidential?Yes Copies:Destroyconfidentiallywhennolongerneeded.Donotkeepcopieslongerthantheoriginal. UWSTU036ChangedGradeRecord Paper,studentinformationsystem(SIS)electronic,orotherevidenceofalegitimatelychangedfinalcourse grade. RetentionPeriod:CR+6years,thentransfertoUniversityArchives. PII?Yes Confidential?Yes Copies:Destroyconfidentiallywhennolongerneeded.Donotkeepcopieslongerthantheoriginal. UWSTU037Correspondencebetweenstudentsandfacultyregardingcoursecontentorprogress Correspondencebetweenfacultyandstudentsinanyformrelatingtocoursework,asretainedbyacademic departmentstoserveassourcedocumentsforsubmittedofficialgrades. RetentionPeriod:6monthsaftercloseofsemesterinwhichgradesaresubmitted. Destroyconfidentially PII?Yes Confidential?Yes Copies:Destroyconfidentiallywhennolongerneeded.Donotkeepcopieslongerthantheoriginal. UWSTU038Correspondencerelatedtoacademicinquiry StudentCorrespondencerelatedtoacademicsotherthanwithcurrentinstructors(SeeUWSTU037)orwith EnrollmentServicesregardingAdmission(SeeUWSTU007;UWSTU008) RetentionPeriod:EVT+6monthsyearsthendestroyconfidentially(EVT=dateofcorrespondence) PII?Yes Confidential?Yes Copies:Destroyconfidentiallywhennolongerneeded.Donotkeepcopieslongerthantheoriginal. UWSTU039CourseRepeatApprovalForm Formrequestingand/orgrantingapprovaltorepeatacourseforcredit.Documentcontainsstudentname, ID,coursenumberandsignatureofadvisorandmayrecordacademicreasonsforrepeatingtheclass. RetentionPeriod:EVT+1yearthendestroyconfidentially.(EVT=dateofsubmission) PII?Yes Confidential?Yes Copies:Destroyconfidentiallywhennolongerneeded.Donotkeepcopieslongerthantheoriginal. 14

UWSTU040CourseWaitList Listsofstudentswaitingforanenrollmentopeninginanindividualcoursebecausethecoursehasreached itsmaximumclasssize.Listsmaybegeneratedbyacademicdepartmentsorindividualinstructors.They maybeusedtogivepreferencetowaitingstudentsinthefollowingsemesterordeterminetheneedfor moresectionsoftheclass. RetentionPeriod:EVT+onesemesterorwhennolongerneededforadministrativepurposes.(EVT=endof semesterinwhichlistwascreated.) PII?Yes Confidential?Yes Copies:Destroyconfidentiallywhennolongerneeded.Donotkeepcopieslongerthantheoriginal. UWSTU041Credit/NoCreditApprovalForms Requestformscompletedbythestudentandsignedbytheinstructorandrelatedrecordstochangethe individualsgradingoptionofacoursefromthelettergradetopass/failorviceversa. RetentionPeriod:EVT+1yearthendestroyconfidentially.(EVT=dateofsubmission) PII?Yes Confidential?Yes Copies:Destroyconfidentiallywhennolongerneeded.Donotkeepcopieslongerthantheoriginal. UWSTU042CriminalBackgroundCheckRecords,Students Recordsarecreatedthroughaninvestigationofoffensesandrelateddisclosedinformationforstudents workingtowardprofessionalexperience,licensureorcertificationandusuallyinvolvedwithaninternship orclinicalexperience.Manyprogramskeeptheserecordsseparatefromotherstudentrecords.These recordsinclude,butarenotlimitedto:(1)confidentialselfdisclosureapplicationsupplements;(2)criminal backgroundcheckreports,whicharegeneratedbyprivatevendorsonacontractbasis,University employees,oremployeesoftheWisconsinDepartmentofJustice;(3)recordscreatedandreceivedbythe Universityemployeeswhoareresponsiblefordecisionsrelatedtotheapplicantscontinuedprogress. RetentionPeriod:EVT+7yearsthendestroyconfidentially.(EVT=dateofcompletedcheck) PII?Yes Confidential?Yes Copies:Destroyconfidentiallywhennolongerneeded.Donotkeepcopieslongerthantheoriginal. UWSTU043CurriculumChangeAuthorizations Formsandrelateddocumentationinanyformatauthorizedbythedepartmentchairand/orthecollege deanapprovingchangeswithauthorizationstoindividualstudentdegreeprogramrequirements. RetentionPeriod:EVT+5yearsthendestroyconfidentially.(EVT=dateofsubmission) PII?Yes Confidential?Yes Copies:Destroyconfidentiallywhennolongerneeded.Donotkeepcopieslongerthantheoriginal. UWSTU044DegreeAudits Recordscreatedthroughcomparisonoftranscriptandotherstudentrecordswithuniversityand departmentalrequirementsforgraduationtoverifyprogressmadeinstudentdegreeprogram requirementsand/oreligibilityforadegree. RetentionPeriod:EVT+5yearsthendestroyconfidentially.(EVT=dateofsubmission) PII?Yes Confidential?Yes Copies:Destroyconfidentiallywhennolongerneeded.Donotkeepcopieslongerthantheoriginal. 15

UWSTU045Diplomas,(returnedbecauseundeliverable) Paperdiplomasreturnedtotheuniversity,undeliverableduetoincorrectaddressorotherreasons. PII?No Confidential?No RetentionPeriod:EVT+1yearthendestroyconfidentially.(EVT=dateofgraduation) UWSTU046FellowshipsandScholarships(graduateandundergraduate) Noticesoffellowshipandscholarshipopportunities,nominationsofcandidatesandresults,either individualorlistsinanyformat,forbothgraduateandundergraduatestudents. RetentionPeriod:EVT+3years(EVT=dateoflastattendance) PII?Yes Confidential?Yes Copies:Destroyconfidentiallywhennolongerneeded.Donotkeepcopieslongerthantheoriginal. UWSTU047GradeBooks,original(academicdepartments) Studentgradesrecordedbyprofessorsandinstructorsinanyformattosupporttheofficialawardedgrades submittedtotheRegistrar RetentionPeriod:EVT+2yearsthendestroyconfidentially.(EVT=endofsemester) PII?Yes Confidential?Yes Copies:Destroyconfidentiallywhennolongerneeded.Donotkeepcopieslongerthantheoriginal. UWSTU048Grades,official Officialstudentgrades,recordedbyRegistrar,includingmaterialinallformats:paper,electronic,D2L,etc. RetentionPeriod:Permanent. PII?Yes Confidential?Yes Copies:Destroyconfidentiallywhennolongerneeded.Donotkeepcopieslongerthantheoriginal. UWSTU049GraduateSchoolRecordsforacceptedstudents Thisseriescontainstheofficialstudentrecordcontainedinanintegratedstudentinformationsystem (ISIS).ItcontainsAdmissionApplicationsandProficiencyTesting,LetterofRecommendations,Directed StudyandThesisPreauthorizationForms,CreditEvaluationsandReevaluations,WisconsinResidency determinationandsupportingdocumentation,Dean'sAcademicandtransferforms,ForeignLanguage Examforms,GradeChangeformsandGradeProblemCards,Pass/FailOptionforms,MajorDeclaration forms,Disciplinaryorconductactionsforms,Withholdofpublicinformationform(FERPA),Student AuthorizationforDisclosureinEducationRecords,Studyabroadcourseandgradeevaluations,Degree summarywithattachedcorrespondenceandrelatedforms,DegreeAudits,CopyoftheTranscript,Copyof thepermanentcard,Identitychange,legalsummons,subpoenasandrelatedcorrespondence,ROTCforms, Coursechangerequestforms,EnrollmentlettersandothersupportinginformationfromRegistrarsoffice, andTranscriptsfromothercollegesoruniversities.Otherformatsmayincludemicrofilm,Images,anddata intheDatawarehouse. RetentionPeriod:10yearsfromdateofreceiptofdegreeordateoflastattendanceanddestroy confidentially PII?Yes Confidential?Yes 16

UWSTU050GraduateSchool:Thesis/Dissertations/DirectedStudy ThesesandDissertationswrittenaspartoftherequirementforaconferreddegree.Someprogramsallow forDirectedStudyoraThesis. RetentionPeriod:CR+6,thentransfertoLibraryorUniversityArchivesperpolicyoftheindividual institution. PII?No Confidential?No Copies:Destroyconfidentiallywhennolongerneeded.Donotkeepcopieslongerthantheoriginal. UWSTU051Grievances,Exam/courserelated(notgradedisputes) Paperorelectronicformsrecordingstudentgrievancesaboutcourses,coursework,exams,instructorand includestudentnameandnumber,term/semester,coursenumbernameofinstructorandsignaturesby student,facultyorstaff. RetentionPeriod:EVT+3yearsthendestroyconfidentially(EVT=dateofsubmission) PII?Yes Confidential?Yes Copies:Destroyconfidentiallywhennolongerneeded.Donotkeepcopieslongerthantheoriginal. UWSTU052HoldorEncumbranceAuthorizations Limitationsplacedonastudent'saccountduetolatepayment,lateregistration,orotherreasonsstatedby theinstitutionduetononpaymentoffees,libraryfines,parkingcitations,etc.Anencumbrancecan prohibitstudentsfromregisteringforclasses,affectthereleaseoftheirtranscripts,ordelaythereception oftheirdiplomas. RetentionPeriod:EVT+6yearsthendestroyconfidentially(EVT=fiscalyearofcreation) PII?Yes Confidential?Yes Copies:Destroyconfidentiallywhennolongerneeded.Donotkeepcopieslongerthantheoriginal. UWSTU053HonorsProgramApplicantFiles,undergraduate ThisrecordseriesincludesHonorsProgramapplicantfilesandapplications,gradepointaverages, scholarshipandawardmaterials,andstatistics. Retention:EVT+5yearsthendestroyconfidentially(EVT=dateofapplication) PII?Yes Confidential?Yes UWSTU054InstructionalMaterialsincludingmaterialsincoursemanagementsystems Examinations,coursework,assignments,etc.asretainedbyacademicdepartmentstoserveassource documentsforsubmittedofficialgrades.Thisseriesincludescoursesupportinstructionalmaterialsinany formatincludingthosefoundincoursemanagementsystems,suchasDesire2Learn(D2L). RetentionPeriod:1yearafterendofsemesterinwhichgradesaresubmittedyearsthendestroy confidentially. PII?Yes Confidential?Yes Copies:Destroyconfidentiallywhennolongerneeded.Donotkeepcopieslongerthantheoriginal.

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UWSTU055InternshipAgreements Agreements,alsoknownasmemorandums,betweentheUniversity,individualdepartmentsorcollegesor theUWBoardofRegentsandexternalbusinessesoragenciesgoverningpotentialsupervisedpractical trainingorservicelearningexperiencesofuniversitystudents.InternshipagreementsDONOTconcern individualstudentsbutratheracknowledgethebusinessoragencyswillingnesstoacceptinternsinthe future.Agreementsmayincludealistoftheresponsibilitiesandexpectationsoftheagencies,the Universityofficesandthestudents;aswellasanygeneralprovisionsorinformationgermanetothe executionofthelearningexperience. RetentionPeriod:EVT+1yearthendestroy(EVT=expirationofagreement) PII?No Confidential?No Copies:Destroyconfidentiallywhennolongerneeded.Donotkeepcopieslongerthantheoriginal. UWSTU056InternshipContracts Signedagreementsgoverningsupervisedpracticaltrainingorservicelearningexperiencesofuniversity students.Ofteninternshipcontractsaremadebetweenacademicdepartments/collegesandexternal agenciesbutmayinvolveanotheruniversitydepartment.Contractsstipulateexpectationsofastudents responsibilities,thelearningoutcomestobecoveredaswellasthelogisticalaspectsoftheprogram. Retentionperiodisidenticaltothatfortestsandotherinstructionalmaterialsthataresimilarlyusedto determineastudentsfinalgrade. RetentionPeriod:Original:EVT+1yearthendestroyconfidentially.(EVT=dateofendofinternshipas determinedbytheUniversity) PII?Yes Confidential?Yes Copies:Destroyconfidentiallywhennolongerneeded.Donotkeepcopieslongerthantheoriginal. UWSTU057MajorDeclarations,Changes,CertificationofSecondMajor,Minors Electronicorpaperdocumentsdetailingthestudentsdeclarationorchangeofmajorsortheadditionofa secondmajororminor.Recordscontainthedateofthechange,requiredauthorizations,theparametersof theadditionorchangeincludingthenewrequirementsforcompletion.Majordeclaration,changeandthe additionofasecondmajororminormayallbecontainedinonedocumentortheymaybeaccomplished viaseveralforms.Practicevariesbetweendepartmentsandschools. RetentionPeriod:EVT+5yearsthendestroyconfidentially.(EVT=graduationorlastattendance) PII?Yes Confidential?Yes Copies:Destroyconfidentiallywhennolongerneeded.Donotkeepcopieslongerthantheoriginal. UWSTU058NameChangeAuthorizations Formsandsubsequentrecordsinanyformdocumentinganamechangerequestandactioninitiatedbya student. RetentionPeriod:EVT+5yearsthendestroyconfidentially(EVT=dateofsubmission) PII?Yes Confidential?Yes Copies:Destroyconfidentiallywhennolongerneeded.Donotkeepcopieslongerthantheoriginal.

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UWSTU059Petitions,Exceptionstoacademicrules Paperformssubmittedbythestudentrequestinganexceptionbemadetoacademicrulesregarding requiredclasses,etc.FormsincludestudentnameandIDnumber,term/semester,coursenumbernameof instructorandsignaturesbystudent,facultyorstaff. RetentionPeriod:EVT+5yearsthendestroyconfidentially(EVT=dateofsubmission) PII?Yes Confidential?Yes Copies:Destroyconfidentiallywhennolongerneeded.Donotkeepcopieslongerthantheoriginal. UWSTU060RegistrationForms Formscompletedbystudentsatthetimeofregistrationinpaper,electronicoronlineformats.Theseforms containstudentnameandnumber,termorsemester,classnumberandtitleandnumberofcredits. RetentionPeriod:EVT+1yearthendestroyconfidentially(EVT=dateofsubmission) PII?Yes Confidential?Yes Copies:Destroyconfidentiallywhennolongerneeded.Donotkeepcopieslongerthantheoriginal. UWSTU061Schedulesindividualstudentscheduleofclasses Electronicorpaperscheduleissuedtostudentsrecordingtheclassesinwhichtheyareenrolled,credits, gradingoption,locationandmeetingtimesofclasses,andincludingstudentname,class,majorand identificationnumber. RetentionPeriod:EVT+1yearthendestroyconfidentially(EVT=dateofschedulecreation) PII?Yes Confidential?Yes Copies:Destroyconfidentiallywhennolongerneeded.Donotkeepcopieslongerthantheoriginal. UWSTU062StudentTeacherFieldExperienceFile Recordsassembledthroughtheevaluationofstudentteachersconductingtheirfieldwork.Recordsmay containbutarenotlimitedto:writtenevaluationsoffieldsupervisorsandcooperatingteachers; remediationplans;recommendationletters;signedagreementswithdistricts;correspondence;copiesof transcriptsandotherstudentrecords.Recordskeptduringaprobationaryperiodofnewteacherstoaidin theirprofessionaldevelopmentplans.Note:Forretentionguidelinesfornecessarytuberculosisorother medicalteststhatfieldexperiencemayrequire,seetheHealthServicesGeneralRecordSchedule. RetentionPeriod:EVT+7yearsthendestroy(EVT=Graduationorsemesteroflastattendance) PII?Yes Confidential?Yes Copies:Destroyconfidentiallywhennolongerneeded.Donotkeepcopieslongerthantheoriginal UWSTU063StudyAbroadProgramFiles Theserecordsconsistofaseriesofdatabasesorpaperfileswhicharemaintainedformultipleyears.The dataprovidesacontinuouslistofstudyabroadprogramnames,studentnames,numberparticipating, datesoftheprogram,courseregistration,medicalinformation,namesofroommates,biographical informationandotherinformation. RetentionPeriod:EVT+1yearthendestroyconfidentially(EVT=endofprogram) PII?Yes Confidential?Yes Copies:Destroyconfidentiallywhennolongerneeded.Donotkeepcopieslongerthantheoriginal. 19

UWSTU064Syllabiand/orindividualCourseCalendars Recordseriesincludesthewrittensummaryofindividualclassobjectives,topicscovered,requirements, necessarytextsandequipment,gradingandevaluationproceduresandotherclassspecificpoliciescreated byaninstructorforstudents.Anofficialcopyofthesyllabusshouldbekeptbythedepartmentforofficial retentionasdetailedbelow.Othercopiesmaybekeptbyinstructorsforadministrative,personalusefora timespecifictoeachcollege,departmentorindividual'sneedsforthepurposesofreaccreditation,course modificationandreview,tenure/personneldecisions,etc. Retention:OfficialDepartmentCopy:10yearsafterlastdayofcoursethentransfertoarchives* PII?No Confidential?No Copies:Destroywhennolongerneededforcollege/departmentalorpersonaluse. *Thedeterminationofarchivalvalueofsyllabiwillbemadebyeachinstitutionsarchives. UWSTU065Transcripts,official Officialstudentacademictranscriptsshowingname,yearsofattendance,coursesattended,grades,major andfurtheracademicachievements. RetentionPeriod:Permanent PII?Yes Confidential?Yes Copies:Destroyconfidentiallywhennolongerneeded.Donotkeepcopieslongerthantheoriginal. UWSTU066Transcripts,studentrequests Documentationinanyformatrecordingstudentrequestsforofficialcopiesoftheiruniversitytranscripts RetentionPeriod:EVT+1yearthendestroyconfidentially(EVT=dateofrequest) PII?Yes Confidential?Yes Copies:Destroyconfidentiallywhennolongerneeded.Donotkeepcopieslongerthantheoriginal. UWSTU067TransferCreditEvaluations Formsthatevaluatethecreditsanindividualstudentpreviouslyearnedatanotherinstitutionbasedon transferequivalencies(UWSTU091)andusedtodetermineactualstudentcredittransfers RetentionPeriod:EVT+5yearsthendestroyconfidentially(EVT=dateofevaluation) PII?Yes Confidential?Yes Copies:Destroyconfidentiallywhennolongerneeded.Donotkeepcopieslongerthantheoriginal. UWSTU068WithdrawalAuthorizations Documentationincludesformscompletedbystudentsinordertoofficiallywithdrawfromallclassesafter thelastdaytowithdrawfromindividualclasses.Formincludesidentificationinformation,theagreementto paythewithdrawalfee,andanexplanationoftheextraordinarynonacademicreasonsforthestep. Documentationalsoincludestherecordsofthedecisionofthegrantingauthority. RetentionPeriod:EVT+5yearsthendestroyconfidentially(EVT=dateofsubmission) PII?Yes Confidential?Yes Copies:Destroyconfidentiallywhennolongerneeded.Donotkeepcopieslongerthantheoriginal.

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InternationalStudentRecords
UWSTU069ArrivalDepartureRecords,(enrolledstudents)(I94)(copy) TheUWagencykeepsacopyorimageoftheI94,nottheoriginal.FormI94mustbecompletedatthe timeofentrytotheUnitedStatesbyforeigncitizensthatarebeingadmittedintotheUnitedStateswith nonimmigrantvisastatus.FormI94documentsalawfuladmissiontotheU.S.inaspecificstatusandany definedexpirationofthatstatusintheUnitedStates. RetentionPeriod:EVT+5yearsthendestroyconfidentially(EVT=dateofgraduationorlastattendance) PII?Yes Confidential?Yes Copies:Destroyconfidentiallywhennolongerneeded.Donotkeepcopieslongerthantheoriginal. UWSTU070ArrivalDepartureRecords,(notenrolled)(I94)(copy) TheUWagencykeepsacopyorimageoftheI94,nottheoriginal.FormI94mustbecompletedatthe timeofentrytotheUnitedStatesbyforeigncitizensthatarebeingadmittedintotheUnitedStatesina nonimmigrantvisastatus.FormI94documentsalawfuladmissiontotheU.S.inaspecificstatusandany definedexpirationofthatstatusintheUnitedStates. RetentionPeriod:EVT+1yearthendestroyconfidentially(EVT=dateofsubmission) PII?Yes Confidential?Yes Copies:Destroyconfidentiallywhennolongerneeded.Donotkeepcopieslongerthantheoriginal. UWSTU071CertificateofEligibilityforF1VisaStatus,(enrolledstudents)(I20)(copy) TheUWagencykeepsacopyorimageoftheI20,nottheoriginal.TheI20isaformusedtoapplyfora nonimmigrantstudentvisa(F1visa).TheI20formisacertificateofeligibilityfornonimmigrant(F1) studentstatusissuedbytheschoolthathasadmittedtostudent.ItisarequirementfortheF1Visa.The UWagencyprovidestheI20tostudentswhohavebeenacceptedtoattendclass.Thestudentisrequired tokeeptheoriginal. RetentionPeriod:EVT+5yearsthendestroyconfidentially(EVT=dateofgraduationorlastattendance) PII?Yes Confidential?Yes Copies:Destroyconfidentiallywhennolongerneeded.Donotkeepcopieslongerthantheoriginal. UWSTU072CertificateofEligibilityforF1VisaStatus,(notenrolled)(I20)(copy) TheUWagencykeepsacopyorimageoftheI20,nottheoriginal.TheI20isaformusedtoapplyfora nonimmigrantstudentvisa(F1visa).TheI20formisacertificateofeligibilityfornonimmigrant(F1) studentstatusissuedbytheschoolthathasadmittedtostudent.ItisarequirementfortheF1Visa.The UWagencyprovidestheI20tostudentswhohavebeenacceptedtoattendclass.Thestudentisrequired tokeeptheoriginal. RetentionPeriod:EVT+1yearthendestroyconfidentially(EVT=dateofsubmission) PII?Yes Confidential?Yes Copies:Destroyconfidentiallywhennolongerneeded.Donotkeepcopieslongerthantheoriginal.

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UWSTU073CertificateofEligibilityforExchangeVisitorJ1StatusFormDS2019,(enrolledstudents) (copy) TheUWagencykeepsacopyorimageoftheDS2019.ThisisamultipurposedocumentissuedbyaU.S. governmentapprovedinstitution(ororganization)certifyingthatadmissionintoaprogramhasbeen accepted.ProgramparticipantsusetheDS2019toapplyforanexchangevisitor(J1)nonimmigrantvisa. TheStudentandExchangeVisitorInformationSystem(SEVIS),database,processestheinformationand producesacopyoftheDS2019thatissentbacktotheschool.Thestudentisrequiredtokeeptheoriginal. RetentionPeriod:EVT+5yearsthendestroyconfidentially(EVT=dateofgraduationorlastattendance) PII?Yes Confidential?Yes Copies:Destroyconfidentiallywhennolongerneeded.Donotkeepcopieslongerthantheoriginal. UWSTU074CertificateofEligibilityforExchangeVisitorJ1StatusFormDS2019,(notenrolled)(copy) TheUWagencykeepsacopyorimageoftheDS2019.TheDS2019isamultipurposedocumentissuedby aU.S.governmentapprovedinstitution(ororganization)certifyingthatadmissionintoaprogramhasbeen accepted.ProgramparticipantsusetheDS2019toapplyforanexchangevisitor(J1)nonimmigrantvisa. TheStudentandExchangeVisitorInformationSystem(SEVIS),database,processestheinformationand producesacopyoftheDS2019thatissentbacktotheschool.Thestudentisrequiredtokeeptheoriginal. RetentionPeriod:EVT+1yearthendestroyconfidentially(EVT=dateofsubmission) PII?Yes Confidential?Yes Copies:Destroyconfidentiallywhennolongerneeded.Donotkeepcopieslongerthantheoriginal. UWSTU075PassportPageshowingpassportnumber,(enrolledstudents)(copy) TheUWagencykeepsacopyorimageofthepassportphotopagetoverifythepassportnumber,country ofcitizenship,birthplace,birthdate,andaccuratespellingofthenameofthestudent. RetentionPeriod:EVT+5yearsthendestroyconfidentially(EVT=dateofgraduationorlastattendance) PII?Yes Confidential?Yes Copies:Destroyconfidentiallywhennolongerneeded.Donotkeepcopieslongerthantheoriginal. UWSTU076PassportPageshowingpassportnumber,(notenrolled)(copy) TheUWagencykeepsacopyorimageofthepassportphotopagetoverifythepassportnumber,country ofcitizenship,birthplace,birthdate,andaccuratespellingofthenameofthestudent. RetentionPeriod:EVT+1yearthendestroyconfidentially(EVT=dateofsubmission) PII?Yes Confidential?Yes Copies:Destroyconfidentiallywhennolongerneeded.Donotkeepcopieslongerthantheoriginal. UWSTU077StatementofEducationalCosts,(enrolledstudents) TheUWagencyprovidesacopyofthestatementofeducationalcosttothestudents.Thestatement indicatesuniversitycontactinformation,estimatedexpensesfortuition,fees,livingexpenses,health insuranceandinstructionsforsubmittingfinancialverificationform. RetentionPeriod:EVT+5yearsthendestroyconfidentially(EVT=dateofgraduationorlastattendance) PII?Yes Confidential?Yes Copies:Destroyconfidentiallywhennolongerneeded.Donotkeepcopieslongerthantheoriginal. 22

UWSTU078StatementofEducationalCosts,(notenrolled) TheUWagencyprovidesacopyofthestatementofeducationalcosttothestudents.Thestatement indicatesuniversitycontactinformation,estimatedexpensesfortuition,fees,livingexpenses,health insuranceandinstructionsforsubmittingfinancialverificationform. RetentionPeriod:EVT+1yearthendestroyconfidentially(EVT=dateofsubmission) PII?Yes Confidential?Yes Copies:Destroyconfidentiallywhennolongerneeded.Donotkeepcopieslongerthantheoriginal. UWSTU079StatementofFinancialResponsibilityandsupportingdocuments,(enrolledstudents) Copiesoffinancialdocumentsincludebanklettersshowingsufficientfundsondepositforatleastthefirst yearsexpensesandlegalnamesofsponsorswithappropriatesignaturesanddates.TheUWagencymay keeptheoriginaldocumentsorcopiesorimagesofthem. RetentionPeriod:EVT+5yearsthendestroyconfidentially(EVT=dateofgraduationorlastattendance) PII?Yes Confidential?Yes Copies:Destroyconfidentiallywhennolongerneeded.Donotkeepcopieslongerthantheoriginal. UWSTU080StatementofFinancialResponsibilityandsupportingdocuments,(notenrolled)Copiesof financialdocumentsincludebanklettersshowingsufficientfundsondepositforatleastthefirstyears expensesandlegalnamesofsponsorswithappropriatesignaturesanddates.TheUWagencymaykeep theoriginaldocumentsorcopiesorimagesofthem. RetentionPeriod:EVT+1yearthendestroyconfidentially(EVT=dateofsubmission) PII?Yes Confidential?Yes Copies:Destroyconfidentiallywhennolongerneeded.Donotkeepcopieslongerthantheoriginal. UWSTU081UnitedStatesPermanentResidentCard(GreenCard)copy,(enrolledstudents) TheUWagencykeepsacopyorimageofthePermanentResidentCard,nottheoriginal.Thecardhas previouslybeencalledtheAlienRegistrationReceiptCardandishasnotalwaysbeengreenincolor.The cardprovidesevidenceofadmissibilitytotheUnitedStatesasalawfulpermanentresident. RetentionPeriod:EVT+5yearsthendestroyconfidentially(EVT=dateofgraduationorlastattendance) PII?Yes Confidential?Yes Copies:Destroyconfidentiallywhennolongerneeded.Donotkeepcopieslongerthantheoriginal. UWSTU082UnitedStatesPermanentResidentCard(GreenCard)copy,(notenrolled) TheUWagencykeepsacopyorimageofthePermanentResidentCard,nottheoriginal.Thecardhas previouslybeencalledtheAlienRegistrationReceiptCardandishasnotalwaysbeengreenincolor.The cardprovidesevidenceofadmissibilitytotheUnitedStatesasalawfulpermanentresident. RetentionPeriod:EVT+1yearthendestroyconfidentially(EVT=dateofsubmission) PII?Yes Confidential?Yes Copies:Destroyconfidentiallywhennolongerneeded.Donotkeepcopieslongerthantheoriginal.

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Publications,StatisticsandPolicy
UWSTU083Catalog,graduateandundergraduate Officialinstitutionalcoursecataloginpaperorelectronicformatprovidingoverviewofadmissionspolicies, courseofferingsanddegreerequirementsaswellasminorandcertificaterequirements. RetentionPeriod:CR+6years,thentransfertoUniversityArchives. PII?No Confidential?No Copies:Destroywhennolongerneeded. UWSTU084ClassSchedules/timetables(institutional) Officiallistofcoursesofferedeachsemester,withinformationregardingcoursenumbers,namesand credits;instructors;times;andcourselocationinanyformat.Thismaydiffersignificantlyfromthe publicationavailabletostudentsatthetimeofregistration. RetentionPeriod:CR+6years,thentransfertoUniversityArchives. PII?No Confidential?No Copies:Destroywhennolongerneeded. UWSTU085Correspondence,policysetting Policysettingcorrespondencewithinenrollmentservicesunitsorbetweenthemanduniversity administration. RetentionPeriod:CR+6years,thentransfertoUniversityArchives. PII?No Confidential?No Copies:Destroywhennolongerneeded. UWSTU086CourseFile,master Officialcoursesofferedthroughoutthehistoryoftheinstitution RetentionPeriod:CR+6years,thentransfertoUniversityArchives. PII?No Confidential?No Copies:Destroywhennolongerneeded. UWSTU087EnrollmentandClassLists ReportsgeneratedbyEnrollmentServicesduringanygivensemesterreflectingstudentenrollmentrosters, classsize,graduationlists. RetentionPeriod:CR+6years,thentransfertoUniversityArchives. PII?Yes Confidential?Yes Copies:Destroywhennolongerneeded.

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UWSTU088EnrollmentVerificationsandCertifications Recordsusedtoverifystudentenrollmentforpurposessuchasloanapplications,insurancediscounts,and SocialSecuritybenefits. RetentionPeriod:EVT+1.(EVT=completionofverificationorcertification)Destroyconfidentially PII?Yes Confidential?Yes Copies:Destroyconfidentiallywhennolongerneeded. UWSTU089GradeReports/statistics Reportsofofficialgradesawarded,degreesconferred,gradelists,academicstanding,gradepointaverages, degreestatistics RetentionPeriod:CR+6years,thentransfertoUniversityArchives. PII?Yes Confidential?Yes Copies:Destroywhennolongerneeded. UWSTU090HonorsLists Listsofstudentswhohaveachievedacademicdistinction,includingbutnotlimitedtotheDean'sList RetentionPeriod:CR+6years,thentransfertoUniversityArchives. PII?Yes Confidential?Yes Copies:Destroywhennolongerneeded. UWSTU091TransferEquivalencies Aggregatetransfercreditequivalencyinformation,comparingcoursesubjectarea,content,difficulty,level, andcredithourscollectedtoevaluateanddeterminetransferrablecoursecreditsfromotherinstitutions. RetentionPeriod:Untilsuperseded.Keepuntilsupersededanddestroy PII?No Confidential?No Copies:Destroywhennolongerneeded.

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FERPARelatedRecords
UWSTU092RequestsforandDisclosureofPersonallyidentifiableInformation Recordsinanyformofthirdpartyrequestsforinformation,whichrequireastudentssignedanddated writtenconsentfordisclosureofinformation(seeUWSTU097),anddocumentationofthesubsequent disclosureoftheinformation,ifgranted. RetentionPeriod:Permanent. PII?Yes Confidential?Yes Copies:Destroywhennolongerneeded. UWSTU093RequestsforCorrectionstoRecordsandFormalHearings StudentinitiatedRequestsforcorrectionstorecordsandforformalhearingsregardingtheamendmentof theacademicrecord,basedonthestudentsrighttorequesttohaverecordscorrectedthatheorshe believestobeinaccurate,misleadingorinviolationoftheirprivacyrights.Requeststochangeand/orto challengetheinformationdeemederroneousormisleadingmustbemadeinwritinganddirectedtothe deanoftherelevantcollegeorthedirectoroftheappropriateofficesothatahearingcanbescheduled. RetentionPeriod:Permanent. PII?Yes Confidential?Yes Copies:Destroywhennolongerneeded. UWSTU094RequestsforNondisclosureofDirectoryInformation Documentationsupportingarequesttowithholditemsfrompublicrecords,includingtheRequestto WithholdStudentInformationform,whereapplicable. RetentionPeriod:Permanent. PII?Yes Confidential?Yes Copies:Destroywhennolongerneeded. UWSTU095StatementonContentsofRecordsregardingHearingPanelDecisions Statementwrittenbyastudentwhofindsthedecisionoftheformalhearingregardingtheacademicrecord unsatisfactory.Thestatementofreasonsfordisagreeingwiththedecisionisplacedinthestudentsfile. RetentionPeriod:Permanent. PII?Yes Confidential?Yes Copies:Destroywhennolongerneeded.

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UWSTU096WaiverofRightofAccesstoConfidentialRecommendations Thewaivertorightofaccessforaletterofrecommendationisallowedforthreepurposes:(1)admissionto anothereducationalinstitution;(2)employment;(3)receiptofanawardorhonor.Thesearetheonlyareas inwhichwaiversareallowed.Astudent'ssignatureonawaiverisvoluntaryandisnotrequiredasa conditionforadmission,receiptoffinancialaidform,orreceiptofanyotherservicesorbenefitsfromthe University.Studentswhosignthewaiverwill,uponrequest,benotifiedofthenamesofallpersonsmaking confidentialrecommendationsandsuchrecommendationswillbeusedsolelyforthepurposeforwhich theywerespecificallyintended.Revocationofwaiversmustbeinwritingtobeeffective. RetentionPeriod:Permanentoruntilterminatedbythestudent PII?Yes Confidential?Yes Copies:Destroywhennolongerneeded. UWSTU097WrittenConsentforRecordsDisclosure Thestudentswritten,signed,anddatedconsenttothedisclosureofpersonallyidentifiableinformation aboutastudentortheinspectionofthestudentsrecords.Itmustcontainthreeelements:thespecification ofrecordstobereleased,theidentityofthepartytowhomtherecordsaretobereleased;thereasonfor therelease. RetentionPeriod:Permanent. PII?Yes Confidential?Yes Copies:Destroywhennolongerneeded. UWSTU098WrittenDecisionsofHearingPanels Decisionsresultingfromaformalhearingregardingastudentinitiatedrequestforamendmentofthe studentseducationalrecords.Inmostcasesthedecisionofthedeanordirectorisfinal.Ifthestudentfinds thedecisionunsatisfactory,theymayplaceastatementintheirfilesettingforthanyreasonsfor disagreeingwiththedecision.RelatedtoseriesUWSTU093andUWSTU095 RetentionPeriod:Permanent. PII?Yes Confidential?Yes Copies:Destroywhennolongerneeded.

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FederalDisclosureRecords
UWSTU099AthleticParticipation/EADADocument TheserecordsareprovidedbothtostudentsinpaperorelectronicformattodisclosedataaboutEquityin AthleticsandtotheOfficeofPostsecondaryEducation(OPE),FederalDepartmentofEducation.Thesource andbackgroundforthesereportsaredataretainedinworksheets,spreadsheets,charts,surveys,email, weblinkeddataandnarrativereports,allofwhicharetobeconsideredrecordsbelongingtothisseries. SchoolscontributedocumentsandathleticsdatathataresubmittedannuallyasrequiredbytheEquityin AthleticsDisclosureAct(EADA),viaaWebbaseddatacollection,byallcoeducationalpostsecondary institutionsthatreceiveTitleIVfunding(i.e.,thosethatparticipateinfederalstudentaidprograms)and thathaveanintercollegiateathleticsprograms. RetentionPeriod:3yearsafterrequireddisclosure.DestroyortransfertoArchives PII?No Confidential?No Copies:Destroywhennolongerneeded. UWSTU100CollegeCosts,Accreditation,Textbookinformation,TransferCreditPolicy TheserecordsareprovidedbothtostudentsandtheDepartmentofEducation.Thesourceandbackground forthesereportsaredataretainedinworksheets,spreadsheets,charts,surveys,email,weblinkeddata andnarrativereports,allofwhicharetobeconsideredrecordsbelongingtothisseries.Thesedisclosure recordsareorganizedintwobroadcategories:I.NonLoanRelatedDisclosureRequirements:Availabilityof InstitutionalandFinancialAidInformation,StudentFinancialAssistance,GeneralInstitutionalInformation, TeacherPreparationProgramReport,HealthandSafety,StudentOutcomes,IntercollegiateAthletic Program,andVoterRegistrationII.DisclosureRequirementsRelatingtoEducationLoans:HEAdisclosure requirementsthatarerelatedtoTitleIV,HEAprogramloans,andprivateeducationloans. RetentionPeriod:3yearsafterrequireddisclosure.DestroyortransfertoArchives PII?No Confidential?No Copies:Destroywhennolongerneeded. UWSTU101Graduation/CompletionTransferOutdata TherecordsincludedataandreportssuppliedtotheDepartmentofEducation(ED)andtostudents fulfillingStudentRighttoKnowlegislativerequirements.Thesourceandbackgroundforthesereportsare dataretainedinworksheets,spreadsheets,charts,surveys,email,weblinkeddataandnarrativereports,all ofwhicharetobeconsideredrecordsbelongingtothisseries.ReportingtoEDisaccomplishedviasystems suchastheIntegratedPostsecondaryEducationDataSystem(IPEDS).IPEDScollectsdataonpostsecondary educationintheUnitedStatesinsevenareas:institutionalcharacteristics,institutionalprices,enrollment, studentfinancialaid,degreesandcertificatesconferred,studentpersistenceandsuccess,andinstitutional humanandfiscalresources.ThecompletionofallIPEDSsurveysismandatoryforinstitutionsthat participateinorareapplicantsforparticipationinanyfederalstudentfinancialaidprogramsandother programs.(Seerecordsretentioninformation34CFR668.24). RetentionPeriod:3yearsafterrequireddisclosure.DestroyortransfertoArchives PII?No Confidential?No Copies:Destroywhennolongerneeded. 28

UWSTU102InstitutionalInformation Theserecordsandinformationaredisclosedtostudents(includingprospectivestudents)andreportedto theFederalDepartmentofEducation.Thesourceandbackgroundforthesereportsaredataretainedin worksheets,spreadsheets,charts,surveys,email,weblinkeddataandnarrativereports,allofwhichareto beconsideredrecordsbelongingtothisseries.Theinformationcollectedincludes,butisnotlimitedto:cost ofattendanceincludingfeesandbooks,refundpolicy,withdrawalprocedures,studyabroadprograms,and nameofaccreditingagencies(See34CFR668.43) RetentionPeriod:3yearsafterrequireddisclosure.DestroyortransfertoArchives PII?No Confidential?No Copies:Destroywhennolongerneeded.

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