University of Wisconsin Archives and Records Management
http://archives.library.wisc.edu/records/index.html
UNIVERSITY OF WISCONSIN - MADISON
PURCHASING AND RELATED RECORDS
RECORDS RETENTION SCHEDULE
2011
Approved by PRB on 06/16/2011
______________________
UNIVERSITY OF WISCONSIN - MADISON: GENERAL RECORDS
SCHEDULES FOR PURCHASING AND RELATED RECORDS
I.
INTRODUCTION AND PURPOSE
The Purchasing and Related Records retention schedule is comprised of
departmental units, many of which create and receive records that are similar in
purpose and utility. In the interest of efficiency, therefore, this records schedule
identifies categories of records resulting from processes commonly associated with
Purchasing, SWAP and MDS.
This retention schedule represents the official University of Wisconsin-Madison
policy with regard to the retention and disposition of records and information and
has the approval of the Campus Records Review Group (CRRG) and the Wisconsin
Public Records Board (PRB). The PRB is the statutory body with the responsibility
to safeguard the financial, legal, administrative, and historical interests of the State
in the disposition of records through the review of records schedules prepared by
State agencies.
This retention schedule also provides guidance to University of Wisconsin-Madison
employees regarding what does and does not comprise a public record. The UWMadison campus must manage all records to ensure systematic control from creation
or receipt through processing, distribution, maintenance, retrieval, retention and final
disposal.
II. SCOPE:
This schedule pertains to the records and information arising from currently
understood UW-Madison record policies and procedures. It applies to all such
records regardless of format or media. While an attempt has been made to describe
the records in commonly used terms, there may be instances in which the schedule
does not reflect the exact title or name used by a given department. If offices or
departments cannot determine by the descriptive information provided on each item
whether a given departmental record is covered or not, they should contact the
University Records Officer. An attempt has been made to include all records
commonly required or used within the University campus. However, as processes
change, forms may be modified and new ones created, and documentation
requirements may also change. This schedule will be reviewed periodically to insure
that it is kept as up-to-date as possible. This schedule applies to all organizational
units of the University of Wisconsin-Madison and any attached entities that are
required to follow UW-Madison policies.
University of Wisconsin -Madison Retention Schedule for Purchasing and Related Services - 2011
Page 3
III. SUSPENSION OF THE RECORDS RETENTION SCHEDULE
Records may be delayed from disposition / destruction only under the following
conditions:
1.
Particular records have been identified as needed for a financial or performance
audit.
2.
Records that are required for legal proceedings are held under a “litigation
hold” for an actual or imminent legal proceeding. Imminent meaning legal
action is anticipated or there is reasonable expectation thereof.
3.
An open records request has been received and not completed.
The Wisconsin Open Records Law, s. 19.35(5), Wis. Stats, forbids the
destruction of any record after an inspection or copying request until the
request is granted, or at least 60 days after the date that the request was
denied. Court orders may extent this time period. The agency's legal custodian
of records can provide advice. For the University of Wisconsin Madison the
legal custodian is the Chancellor's Office.
4.
It is the responsibility of the office holding the record to determine if an audit,
litigation, or an open record request is pending, before disposing of the records.
IV. UTILITY AND FUNCTION OF INFORMATION PROVIDED WITHIN THIS
DOCUMENT
a.
Minimum Retention Established and Permanent Retention Procedure. The
records retention schedules included within this document establish minimum
retention periods for each type of record. The disposition of each record is
assumed to be destruction after its minimum retention period or transfer to the
UW Archives.
b.
Materials That Comprise Public Records.
Under Wisconsin law, many materials comprise public records performing the
transaction of public business on behalf of the University Campus. Under WI
SS 16.31, A “Record" means any material on which written, drawn, printed,
spoken, visual or electromagnetic information is recorded or preserved,
regardless of physical form or characteristics, which has been created or is being
kept by an authority. "Record" includes, but is not limited to, handwritten, typed
or printed pages, maps, charts, photographs, films, recordings, tapes (including
computer tapes), computer printouts and optical disks
c.
Materials That Do Not Comprise Public Records. Under Wisconsin law,
many materials do not comprise public records. Therefore, non-records should
be retained only so long as they are useful as a resource for performing the
transaction of public business on behalf of the University Campus. Thereafter,
University of Wisconsin -Madison Retention Schedule for Purchasing and Related Services - 2011
Page 4
in the interest of efficiency and proper resource management, they should be
destroyed. WI SS16.31 "Record" does not include drafts, notes, preliminary
computations and like materials prepared for the originator's personal use or
prepared by the originator in the name of a person for whom the originator is
working; materials which are purely the personal property of the custodian and
have no relation to his or her office; materials to which access is limited by
copyright, patent or bequest; and published materials in the possession of an
authority other than a public library which are available for sale, or which are
available for inspection at a public library.
d.
Preservation of Historical Documents. Historically, University records have
been preserved in paper files. Presently, however, advances in technology are
beginning to present a viable alternative to paper records: electronic data stored
in many electronic systems. Thus, unlike paper records, with the passage of time
electronic records lose information as it randomly slips away in bite-sized
chunks, unless software updates are consistently purchased, installed, and
maintained.
Because of this aspect of information technology systems, records storage
within an information system must comply with the legal requirements set forth
in Regent Policy Document 3-2: University of Wisconsin System Public
Records Management; and Chapter Administrative 12: Electronic Records
Management-Standards and Requirements.
Please carefully review these documents prior to storing official copies of
public records upon information systems and if you have questions or
concerns, then please seek assistance from the Records Officer.
Using the Schedule
• Use the table to locate the record series item.
• Identify whether you are the holder of the official,
department, or copy of the
record.
• Implement the retention and disposition noted at the level of record you hold.
• If you are uncertain about the records series item or your responsibility for it,
contact the Records Officer for clarification.
• Retention periods and disposition methods outlined in this document have
been reviewed and approved by both University (CRRG) and State Public
Records Board.
University of Wisconsin -Madison Retention Schedule for Purchasing and Related Services - 2011
Page 5
UNIVERSITY OF WISCONSIN- MADISON
PURCHASING AND RELATED RECORDS GENERAL RECORDS
SCHEDULE
The University of Wisconsin Madison Purchasing and Related General Records Schedule
applies to all units conducting business on behalf of the university. In order to facilitate
efficient records management for University employees, this general schedule is provided
in grid format.
Purchasing services provides the University with effective and responsive life cycle
procurement practices.
 (MDS) Material Distribution Services and Surplus
 Surplus With A Purpose program (SWAP) which is run by the Business ServicesPurchasing department within the University of Wisconsin-Madison. (SWAP is a
multi-faceted surplus property disposal operation that serves all University of
Wisconsin-Madison departments, UW State schools, Municipalities, and State of
Wisconsin agencies.)
The following records retention schedule is for campus –wide use by the University of
Wisconsin-Madison. It supersedes the previous Purchasing Schedule. The schedule if
divided into the following sections:
o
o
o
o
o
o
o
Purchasing Receiving
Inventory
Order Fulfillment
General Warehouse
Surplus
Purchasing Services
Purchase Cards
This schedule is based on record series from the UW-System GRS for Fiscal and
Accounting Schedule and the DOA Purchasing schedule.
The requirements for records and record keeping are addressed in sec. Tax 11.92,
Wis. Adm. Code as amended by CR 09-090.
University of Wisconsin -Madison Retention Schedule for Purchasing and Related Services - 2011
Page 6
General Records Retention Schedule for Purchasing and Related Records
2011
Record Series Title
Record Series
Code
RECEIVING (SEE UW-System annd Accounting Schedule)
UWFA201
UWFA300
Record Description/Examples
Internal Management Review and
Inventory Replenishment, Central Warehouse
Routine oversight Control files, reports Inventory Receipt, Quotes, Central Warehouse
and actions files.
Inventory Packing Lists
Expenditures: Accounts Payable
Records
Physical inventory count sheets
Internal Control Reference Files
Daily driver delivery log, Prime vendor manifest,
Missing order reports, Daily vehicle inspection
sheets
ORDER FULLFILLMENT (SEE UW-System annd Accounting Schedule)
Internal Management Review and
Customer orders, Pick lists
Routines Oversight Control Files,
UWFA201
Reports and Actions Files
Receipts: Accounts Receivable
Customer Invoicing
UWFA301
GENERAL WAREHOUSE (SEE UWS-System annd Accounting Schedule)
Receipts: Accounts Receivable
Monthly rental billing Sheet
UWFA301
PURCHASING ACCOUNTING AND FINANCIAL (SEE UWS-System annd Accounting Schedule)
Annual Financial Reports
Annual financial report
UWFA104
UWFA108
UWFA109
UWFA201
Reconciliation Work Papers
Balance sheet monthly reconciliation
Authorization for Access/Forms
Customer set-up/change forms
Internal Management Review and
Routines Oversight Control Files,
Reports and Actions Files
Customer refunds, Credits to Customers and
Customer Account Adjustments and MOU's,
Requistions (Paper with Signature)
Expenditures: Accounts Payable
Records
Purchase Orders (Electronic), Licenses , Power of
Attorney Bond, Vendor Classifications Surveys.
UWFA300
Receipts: Accounts Receivable
Capital and Non-Capital Equipment
Inventories.
Fixed asset inventory
SURPLUS (SEE UWS-System annd Accounting Schedule)
Credit Card Receipts and/or Deposits: SWAP Credit card receipts for customers
UWFA110
Paper and Electronic
UWFA300
Expenditures: Accounts Payable
Records
Credits issued for SWAP points, Auction
payout/money back to state, depts., agencies, etc
Receipts: Accounts Receivable
Auction sales, Monitor billing
UWFA301
Surplus Property Dispositon Records
No
Destroy
Confidentially
PII
EVT + 3 Years
EVENT = Date of
completed audit
report
Destroy
No
Date of next audit
or 10 years
Destroy
No
Date of
supercession of file
Destroy
No
EVT + 3 Years
EVENT = Date of
completed audit
report
Destroy
No
FIS + 1 Year
FIS + 6 Years
FIS + 1 Year
Destroy
Confidentially
PII
FIS + 6 Years
FIS + 1 Year
Destroy
Confidentially
PII
Retain permanently
in office of origin
Destroy
No
FIS + 4 Years
Destroy
Confidentially
PII
FIS + 4 Years
Destroy
Confidentially
PII
EVT + 3 Years
EVENT = Date of
completed audit
report
Destroy
No
FIS + 6 Years
FIS + 1 Year
Destroy
Confidentially
PII
FIS + 6 Years
FIS + 1 Year
Destroy
Confidentially
PII
FIS + 6 Years
FIS + 1 Year
Destroy
Confidentially
PII
FIS + 4 Years
Destroy
No
EVT + 1 Year
EVENT=Date of the
Transaction
Destroy
Confidentially
PII
General accounting documentation
UWFA600
UWFA800
Destroy
EVT + 3 Years
EVENT = Date of
completed audit
report
Deposit slips and Cash register Receipts
UWFA301
Journal Entries
Confidential or
PII
FIS + 6 Years
Internal Audit Control Files, Reports,
Action Files and Findings
UWFA203
Disposition
Copies
Vendor Invoice/Credits, Payment Documentations
INVENTORY (SEE UW-System annd Accounting Schedule)
Internal Management Review and
Inventory adjustments, Inventory write-offs,
Routines Oversight Control Files,
Package tracking data
UWFA201
Reports and Action Files
UWFA202
Total Record
Retention Period
Pick up request form, SWAP point assignments,
Property control
UWFA801
1
FIS + 6 Years
FIS + 1 Year
Destroy
Confidentially
PII
FIS + 6 Years
FIS + 1 Year
Destroy
Confidentially
PII
Destroy
No
EVT + 3 Years
EVENT=Date of
Dispostion
General Records Retention Schedule for Purchasing and Related Records
2011
Record Series Title
Record Series
Code
Record Description/Examples
Total Record
Retention Period
Disposition
Confidential or
PII
EVT + 3 Years
EVENT= Date of
Supersession
Destroy
No
FIS + 4 Years
Destroy
Confidentially
PII
EVT + 1 Year
EVENT=Date of the
Transaction
Destroy
Confidentially
PII
Copies
PURCHASING CARDS (SEE UWS-System annd Accounting Schedule)
Manuals
UWFA101
Authorization for Access/Forms
Purchasing Cardholder Manual, Site
Adminstration Handbook, Bank Implementation
Manual, Cardholder Guide, Site Manager Guide,
other policies and procedures documents
Authorization to sign for corporation cardholder
agreements, hierarcy forms, account forms.
UWFA109
Credit Card Receipts and/or Deposits:
Paper and Electronic
Cardholder logs (paper & electronic)
Expenditures: Accounts Payable
Records
Sales slips, receipts, packing slips, etc: Payment;
voucher, voucher backup, and check warrant
Receipts: Accounts Receivable
UWFA110
FIS + 6 Years
FIS + 1 Year
Destroy
Confidentially
PII
Settlement report from software which is reviewed
by Accounts Payable auditor and sent out tying to
produce voucher, check and electronic
transactions
FIS + 6 Years
FIS + 1 Year
Destroy
Confidentially
PII
Daily Transaction files - includes cardholder
transactions sent electronically to accounts
payable server; Accounting control ledger
statement (paper)/GL transaction entries
(electronic)
FIS + 6 Years
FIS + 1 Year
Destroy
Confidentially
PII
Destroy
No
Destroy
Confidentially
PII
UWFA300
UWFA301
Journal Entries
UWFA600
PURCHASING SERVICES
UWPS0001
UWPS0002
Request for Purchasing
Approval/Authority (RPA)
Waivers, Requests for Purchasing
approvals/Authority (RPA)
Bid Case File Working Papers
Submitted Bids NOT Awarded including catalogs
Contract Case Files
Official Sealed Bids, Request for Proposals,
Agreements (All vendor files, Bid Jackets and
Contract files) Contract "Keeps", Academic
support services agreements, Bidder's List,
Awarded Bids, VendorNet Ads, Intent to Award
Letters, Notice of Award Letters, and Cost Benefit
Analysis(CBAs), Award Protests; Simplified Bids.
UWPS0003
UWPS0004
Contract Compliance Program Case
file
UWPS0005
Agency Detail Reports to State Bureau Minority Business Enterprise Reports
of Procurement
Agency Purchasing Delegation
Agreements
Affirmative Action Plans
Delegated Agent Agreements
UWPS0006
Purchasing Audits or Management
Review
Delegated Agent Reviews
UWPS0007
2
EVT + 4 Years
EVENT=end date CR + 18 mos
of the resulting
contract
EVT+1 Year
EVENT= Bid
Opening Date
EVT + 6 Years
EVENT=end date
of the resulting
contract
CR + 18 mos
Destroy
Confidentially
PII
FIS+4 Years
CR + 18 mos
Destroy
No
FIS+4 Years
CR + 18 mos
Destroy
No
EVT+6 Years
EVENT=
superseded by a
more current
agreement
CR + 18 mos
Destroy
Confidentially
PII
EVT + 4 Years
EVENT= date that
audit or
management
review is closed or
superceded
CR + 18 mos
Destroy
No