The following are examples of folder structures for different types of records. If you are unsure about how your records fit in, contact us.

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Financial State-Budget Financial
Research/Grant Research and Grants/Contracts
Student/Curriculum Student and Curriculum
Personnel/Payroll Personnel and Payroll
Office Admin General Office Administration

STATE-BUDGET FINANCIAL

Fixed in time

Possible Cutoffs
  • End of biennium
  • End of fiscal year
  • End of fiscal year in which approved
Use Folder Structure

Model structure:

  •  Record Type
    •  Year
      •  Folder Name
      •  Folder Name
    •  Year

For example:

  •  Budget Records
    •  FY2021
      •  01-2345
      •  98-7654
    •  FY2020
Includes
  • Accounts Receivable
  • Animal Request/Order Forms
  • Bank Records
  • Billing Source Documents
  • Budget Preparation Files/Working Papers
  • Budget Requests -- Final
  • Budget Revision Documentation
  • Cash Transmittals
  • Check Requests
  • Financial Records for State and Non-Grant Budgets
  • General Ledgers
  • Journal Vouchers (JVs)
  • Parking Validation Log
  • Petitions and Waivers
  • Petty Cash Vouchers
  • Recharge/Service Center Amortization Schedules, Fee Rate Analysis and Schedules
  • Refund Records

Event based

Possible Cutoffs
  • Award of bid or solicitation cancelled
  • Budget closed
  • Debt paid or determined uncollectable
  • Funds dispersed
  • Resolution of audit issues
  • Submission of request
  • Termination of authorization
  • Until superseded
Use Folder Structure

Model structure:

  •  Record Type
    •  Active
      •  Folder Name
    •  Closed
      •  Year
        •  Folder Name
      •  Year

For example:

  •  State Audit Reports
    •  Open
      •  Culinary History Program
    •  Completed
      •  2021
        •  Economics of Food Program
      •  2020
Includes
  • Audit Reports
  • Bid Documents
  • Budget Number Requests
  • Collections Files
  • Consolidated Budget Status Report
  • Delegation of Authority
  • Endowment Fund Records
  • NSF Checks
  • SAF Budget Requests

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RESEARCH AND GRANTS/CONTRACTS

Fixed in time

Possible Cutoffs
  • End of academic year
  • End of calendar year
  • End of fiscal year
  • End of quarter
Use Folder Structure

Model structure:

  •  Record Type
    •  Year
      •  Folder Name
      •  Folder Name
    •  Year

For example:

  •  GCCRs
    •  FY2021
      •  Fatimah Erikson
      •  Andrew Wilson
    •  FY2020
Includes
  • Faculty Effort Certification (FEC)
  • Grant and Contract Certification Report
  • Indirect Cost -- Allowable Expense Reports
  • Indirect Cost -- Staff Activity Surveys

Event based

Possible  Cutoffs
  • Application withdrawn
  • Close of study
  • Close of study/ study termination
  • Denial/ notification of denial
  • Repository closed
  • Resolution of audit issues
  • Return from trip
  • Submission of a financial status report
  • Submittal
  • Termination of funding period
  • Termination of grant
  • Termination of project funded by award
  • Termination or expiration of instrument
Use Folder Structure

Model structure:

  •  Record Type
    •  Active
      •  Folder Name
    •  Closed
      •  Year
        •  Folder Name
      •  Year

For example:

  •  Research Records
    •  Open Studies
      •  Humpback Population
    •  Closed Studies
      •  2021
        •  Paddlefish Extinction
      •  2020
Includes
  • Accounts Receivable
  • Applications and Administration Records for Grants/Contracts and Internal (UW) Research Support Funds
  • Audits - Sponsored Programs
  • Billing Source Documents for Grants/Contracts
  • Certificate of Exemption for Human Subjects Research
  • Conflict of Interest Files (COI)
  • Embryonic Stem Cell Research Oversight Research Application Files
  • Export Control Records for Grants/Contracts
  • Field Advances
  • Financial Records for Grants/Contracts
  • Human Subjects Research: Consent Forms
  • Human Subjects Research: Deliverables
  • Human Subjects Review Committee Applications
  • Project Review Forms (for Use of Animals in Research)
  • Registry Consent Forms
  • Repository Consent Forms
  • Research Data -- Drug Development
  • Research Records and Data
  • Time Reporting (ETR/PTR) for Grants/Contracts
  • Visa Travel Records

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STUDENT AND CURRICULUM

Fixed in time

Possible Cutoffs
  • Completion of application/admission process
  • End of academic year
  • End of calendar year
  • End of quarter
Use Folder Structure

Model structure:

  •  Record Type
    •  Year
      •  Folder Name
      •  Folder Name
    •  Year

For example:

  •  Placement Exams
    •  2020-21
      •  Marcela Garces
      •  Latosha Allen
    •  2019-20
Includes
  • Admission Applications -- Not Accepted, Not Entered, or Application Incomplete
  • Course Evaluations
  • Credit by Exam Applications
  • Curriculum Committee Reports
  • Exams, Answer Sheets, Proficiency Placement & Credit by Exam, Papers, Projects, and Other Assignments by Students
  • Grade Books and Grade Confirmation Reports
  • Outreach Programs
  • Program Review and Evaluation
  • Reference Letters (Students)
  • Registrar's Statistical Reports
  • Scholarships/Assistantship/Fellowship/Traineeship/Research Award/Student Award by Department -- Denied
  • Special Educational Forums, Events and Activities
  • Student Employment Recruitment Files
  • Textbook Orders and Desk Copy Requests to Publishers
  • Time Schedule Changes (Requests for Change in the Quarterly Time Schedule)

Event based

Possible Cutoffs
  • Completion of course/program/trip
  • Course no longer offered
  • Date of accreditation
  • Date of graduation, degree awarded, or last activity/contact
  • Issue resolved/disciplinary action taken
  • No longer needed for agency business/administrative purpose served
  • Proposal approved
  • Proposal denied
  • Return of equipment
  • Tenure approved or denied
  • Termination of agreement/award
  • Until superseded
Use Folder Structure

Model structure:

  •  Record Type
    •  Active
      •  Folder Name
    •  Closed
      •  Year
        •  Folder Name
      •  Year

For example:

  •  Change of Major Forms
    •  Active
      •  Jess Marillo
    •  Graduated
      •  2021
        •  Faraj Modestas
      •  2020
Includes
  • Accreditation Documentation
  • Admission Applications -- Enrolled Students
  • Advisor's Files
  • Agreements for Programs or Curriculum
  • Award Files
  • Continuing Education Course Records
  • Course Comment Sheets
  • Course Materials
  • Curriculum Proposals
  • Declaration/Change of College, School and/or Major Forms
  • Degree Applications
  • Degree Audit Reporting System (DARS) Report
  • Disciplinary Cases/Investigations
  • Equipment Requests
  • Field Trip Permission Slips
  • Grade Appeals and Grievance Files
  • Grade Sheets (Instructor's Grade Report Sheet)
  • Petitions and Waivers: Student
  • Resident Physician/Medical Student Evaluations
  • Scholarships/Assistantship/Resident/Fellowship/Traineeship/Research Award/Student Award Records
  • Student Folders -- Enrolled, Non-Academic, Non Matriculated and Visiting Students
  • Student Tickler File
  • Theses and Dissertations
  • Transcripts (Permanent Student Record)

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PERSONNEL AND PAYROLL

Fixed in time

Possible Cutoffs
  • Ballots counted
  • Date of receipt
  • End of calendar year
  • End of fiscal year
  • End of month
  • End of quarter
Use Folder Structure

Model structure:

  •  Record Type
    •  Year
      •  Folder Name
      •  Folder Name
    •  Year

For example:

  •  Outside Work Approvals
    •  2021
      •  Jun Huang
      •  Yvonne Dussault
    •  2020
Includes
  • Ballots for Appointment, Promotion or Tenure
  • Check Registers
  • Faculty Request for Outside Work Approval (Form 1460)
  • Resumes -- Unsolicited
  • Time Reporting (ETR/PTR)
  • Time Sheets for Work Study Students (On-Campus Time Sheets)
  • Volunteer Applications -- Not Accepted/Withdrew

Event based

Possible Cutoffs
  • Audit completed
  • Completion of next evaluation
  • Completion of recruitment/search/hiring process
  • Completion of review
  • File/case closed
  • Issue resolved/completed or withdrawn
  • Paid in full
  • Salary increase
  • Services completed
  • Termination of employment
  • Transaction captured by opus
  • Until superseded
Use Folder Structure

Model structure:

  •  Record Type
    •  Active
      •  Folder Name
    •  Closed
      •  Year
        •  Folder Name
      •  Year

For example:

  •  Personnel Folders - Staff
    •  Current
      •  Emily Alves
    •  Separated
      •  2021
        •  Nicolas Arvidsson
      •  2020
Includes
  • Affirmative Action Plans
  • Applicant Flow Reports
  • Application/Recruitment/Selection/Hiring/Search Committee Records
  • Background Checks for Academic Appointments
  • Complaint Files Investigated by Human Resources or CRIO
  • Disciplinary Actions
  • Faculty Adjudication Files
  • Faculty Reviews
  • Grievance Files (Staff Employee Complaint Files)
  • IACUC Letters of Commendation, Acknowledgement, Counsel and/or Reprimand and/or Suspension
  • Job Descriptions
  • Orientation and Training Files
  • Overpayment Repayment Option Documentation
  • Payroll Folders -- for Individual Employees
  • Performance Evaluations
  • PERMs (Post Entry Review Messages)
  • Personnel Records for All Categories of Employees
  • Reclassification Documents
  • Request for Outside Work Approval -- Professional and Classified Staff
  • Research, Scientific or Scholarly Misconduct Allegations
  • Salary Increase Worksheet
  • Tenure/Promotion/Merit Pay Evaluations and Tenure Appeals
  • Time Records for Classified and Professional Staff
  • Volunteer Records
  • Workers Compensation (L&I) Forms

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GENERAL OFFICE ADMINISTRATION

Fixed in time

Possible Cutoffs
  • Award presented
  • End of academic year
  • End of calendar year
  • End of event
  • End of fiscal year
  • End of month
  • End of quarter
  • End of reporting period
  • Votes counted
Use Folder Structure

Model structure:

  •  Record Type
    •  Year
      •  Folder Name
      •  Folder Name
    •  Year

For example:

  •  Annual Reports
    •  2021
      •  Annual Customer Stats
      •  Engagement Survey
    •  2020
Includes
  • Annual Reports
  • Award Files
  • Ballots
  • Banquet Permit to Serve Alcohol, Authorization to Apply for
  • Board of Regents
  • Calendars, Appointment Books, Daily Schedules, Telephone Logs
  • Committees/Councils/Teams/Faculty and Staff Meetings
  • History Files
  • Incident Reports
  • Legislation, Regulations, Rules -- Monitoring/Tracking
  • Lost and Found Records
  • Monthly/Quarterly Reports
  • Planning/Project Files
  • Property Activity Requests
  • Room Assignment Requests
  • Shredding/Recycling Log
  • Statistics
  • Surveys/Questionnaires
  • Temporary Food Event Form

Event based

Possible Cutoffs
  • Administrative/reference purpose served
  • Date of event/facility used
  • Date of publication
  • Disposition of last record on accession confirmation
  • Equipment inventory report is verified
  • Expiration of lease
  • Job complete
  • Publication or video no longer in use
  • Request closed/denied
  • Service date
  • Surplus of equipment
  • System replaced/no longer used
  • Termination of contract/litigation/policy
  • Testimony/opinion provided
  • Until processed/transferred
  • Until superseded
Use Folder Structure

Model structure:

  •  Record Type
    •  Active
      •  Folder Name
    •  Closed
      •  Year
        •  Folder Name
      •  Year

For example:

  •  Contracts
    •  Active
      •  Scanning Vendor
    •  Expired
      •  2021
        •  In-Person Event Planner
      •  2020
Includes
  • Brainstorming and Collaborating
  • Building Leases
  • Contracts and Agreements
  • Donor Files
  • Equipment Inventory, Asset Control Sheets, and Service/Maintenance Records
  • Expert Witness
  • Help Desk Requests
  • Insurance
  • Invention Disclosure Package
  • Litigation Files/Subpoenas
  • Model Release Forms
  • Organization Charts and Listings
  • Organizing/Monitoring Work in Progress
  • Photographs and Recordings
  • Policies and Procedures
  • Public Records Requests
  • Publications Production Records
  • Records Center Storage Documentation
  • Records Retention Schedules
  • Request for Use of University Facilities
  • Scheduling
  • Space Survey
  • Technical System Documentation
  • WAC Files

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