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Departmental Health and Safety Manual

Department specific plan regarding health and safety concerns and the prevention of accidents. Also includes the emergency evacuation and operations plan. May include the Accident Prevention Plan, Supplemental Accident Prevention Plan or Job Hazard Analysis.

Official Copy: Any Office
Retention: 6 years after superseded or updated
Disposition Method: Transfer to University Archives for review

Destruction Log

Log used to track records which have been disposed of either by deleting, shredding or recycling. Includes name of record, authorization, dates of material, and date recycled or shredded.

Official Copy: Any Office
Retention: 6 years after end of calendar year
Disposition Method: Recycle or Delete

Digital Student-Related Reports

The following electronic records do not have to be saved or printed because they are extracted from a master file or database. Reports printed from a database are considered duplicates and can be destroyed as soon as they have served their reference purpose. They will be visible and accessible for their full retention period in the system of record and can be reprinted as needed. Includes aggregate reports which include identifying information about individual student. For example, a program director asks for a report about all student performance or progress in either a course or course series in the program. 

Includes:

  • Add Codes
  • Alumni Info
  • BI-Portal Reports
  • Copies of admissions materials
  • Curriculum Database Printouts
  • DARS report (Degree Audit)
  • EDW Reports
  • Printouts from EARS, MyPlan, or MyGrad
  • Qualtrics and Catalyst surveys and results
  • Registrar on-demand reports
  • UW Time Schedule

Official Copy: Any Advisory Office
Retention: Reference purpose served / End of academic year
Disposition Method: Delete

Disciplinary Actions -- Faculty/Academic Personnel

A record of disciplinary actions taken regarding a member of the faculty, including deans, directors, etc. May include documentation of termination for cause. 

Official Copy: Academic Human Resources -- as part of Personnel Folder
Retention: 50 years after termination of employment
Disposition Method: Shred or Delete

Other Copy: College/School or Department
Retention: 3 years after termination of employment with department
Disposition Method: Shred or Delete

Disciplinary Actions -- Hourly or Student Employees

A record of disciplinary actions taken regarding a student or hourly employee. Includes background material.

Official Copy: Employing Department
Retention: 3 years after termination of employment with department
Disposition Method: Shred or Delete

Disciplinary Cases

A record of investigations and disciplinary actions taken pursuant to the Student Conduct Code (WAC 478-120). 

Official Copy: Office of the Vice Provost for Student Life - academic and non-academic cases
Retention: 6 years after disciplinary action has been taken and/or after the administrative purpose has been served
Disposition Method: Shred or Delete

Official Copy: Dean -- for academic disciplinary actions & non-disciplinary actions
Retention: 6 years after disciplinary action has been taken and/or after the administrative purpose has been served
Disposition Method: Shred or Delete

Official Copy: Housing and Food Services: Residential Life - residence hall cases
Retention: 6 years after disciplinary action has been taken and/or after the administrative purpose has been served
Disposition Method: Shred or Delete

Other Copy: Department
Retention: 6 years after disciplinary action has been taken and/or after the administrative purpose has been served
Disposition Method: Shred or Delete

Disposal of Radioactive Waste - Form 160

Form provided by EH&S, Radiation Safety to document the use and disposal of unsealed radioactive material. Once the unsealed radioactive material is used, the Form 160 is sent to Radiation Safety from a lab, or the information on the Form 160 is entered into a database by the lab, to document the method of disposal for the radioactive material.

Official Copy: Environmental Health and Safety: Radiation Safety Office
Retention: Termination of UW radioactive materials license
Disposition Method: Transfer to University Archives

Other Copy: Any Lab
Retention: 1 years after copy is sent to Radiation Safety or entered into the Radiation Safety database by the lab
Disposition Method: Shred or Delete

Document Errors

Incorrect versions of documents, forms or reports that had to be regenerated in order to correct errors in typing, data entry, spelling, grammar, or format.

Retention: May be disposed of as soon as the reference purpose has been served.  Please shred, recycle or delete as appropriate.

Donor Files

Provides information regarding donor prospects gathered for the purpose of soliciting gifts or funds for the University. Documents the relationship between the college/school/department/office and individual donor, corporate donor, or foundation. May include profiles, donation information, correspondence, annual reports, newspaper clippings, etc.

Official Copy: Any Office
Retention: Until Superseded
Disposition Method: Shred or Delete

Dosimetry Data/Records

Dosimetry data provided by the UW dosimetry vendor and uploaded to a database. The data is used to track radiation exposure and provided reports to individuals and UW area dosimeter coordinators (ADCs). This data supplements the information contained in the Radiation Worker Personnel Files, which contains the legal records of personnel exposure.

Official Copy: Environmental Health and Safety: Radiation Safety Office
Retention: 5 years after end of calendar year
Disposition Method: Recycle or Delete

Other Copy: College/School/Department or Lab
Retention: 5 years after end of calendar year
Disposition Method: Recycle or Delete

Drafts

Drafts may be disposed of as soon as the document is finalized and are no longer needed for reference purposes. Please shred, recycle or delete as appropriate.

Duplicates

Extra copies of correspondence, completed forms, bulletins, statistics, reports, hardcopy printouts from a database (including e-procurement purchase orders and reports), electronic files extracted from a master file or database, mailing lists, etc., used only for reference or informational distribution. Also includes unsigned forms, contracts, meeting minutes and other records created electronically that are not complete until they are signed.

Retention: May be disposed of as soon as the reference purpose has been served. Please shred, recycle or delete as appropriate.

Electronic Personnel/Payroll Records that do not need to be printed or saved

The following personnel/payroll electronic records do not have to be saved or printed because they are extracted from a master file or database.  Reports printed from a database are considered duplicates and can be destroyed as soon as they have served their reference purpose. They will be visible and accessible for their full retention period in the system of record and can be reprinted as needed. The official copy is the original digital version. Refer to Electronic Records that do not need to be printed or saved.

Human Resources
  • Workday reports
  • Workday-generated notification emails
  • Temporary Employee Accumulated Hours Notifications
  • UWHIRES notification emails
  • OWLs System Generated Reminders and Notifications
  • PERMS
  • Work Leave Summary Review Notifications

Electronic Records that do not need to be printed or saved

The following electronic records do not have to be saved or printed because they are extracted from a master file or database. Reports printed from a database are considered duplicates and can be destroyed as soon as they have served their reference purpose. They will be visible and accessible for their full retention period in the system of record and can be reprinted as needed. You should never print e-mails - the official copy is the original digital version.

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Electronic Student Records that do not need to be printed or saved

The following student electronic records do not have to be saved or printed because they are extracted from a master file or database.  Reports printed from a database are considered duplicates and can be destroyed as soon as they have served their reference purpose. They will be visible and accessible for their full retention period in the system of record and can be reprinted as needed. The official copy is the original digital version.

Registrar
  • BI-Portal Reports
  • Curriculum Database Printouts
  • DARS Report (Degree Audit)
  • EDW Reports
  • Printouts from EARS, MyPlan, or MyGrad
  • Registrar On-Demand Reports
  • UW Time Schedule

Email, Texts, IMs, and Other Electronic Communications

As with any other kind of record, the retention period for these types of electronic messages is based on the content of each individual message.

The vast majority of messages sent and received have a very transitory value. They may request or provide information but don’t serve any legal or financial purpose for the University. You may delete transitory messages as soon as a reply is given/received or as soon as you no longer need it for reference.

  • Routine replies/requests for information
  • Messages sent as reference or for informational distribution
  • Messages used to set-up or accept meetings
  • Voice mailbox email notifications with voicemail .wav attachment
  • Announcements/Acknowledgements
  • Automated notifications
  • Preliminary drafts

Messages that inform decision-making or could potentially be relied upon legally or financially are substantive and must be retained as per the General Records Retention Schedule. Examples of substantive records include, but are not limited to:

  • Policy and procedure directives
  • Legal or audit issues
  • Approvals for purchases, HR decisions, or other actions to be taken
  • Final reports or recommendations
  • Grievances, disciplinary actions, and petitions/waivers
  • Documentation of departmental/office actions, decisions, operations and responsibilities

Embryonic Stem Cell Research Oversight Research Application Files - Approved

Applications submitted to Embryonic Stem Cell Research Review Oversight (ESCRO) Committee and/or the Embryonic Stem Cell Research Chair for approval to use stem cells in research projects. Files may include, but are not limited to, the following: master copy of applications, Review Committee's disposition documentation, investigator's responses to the Committee, consent forms, sponsor research protocols, correspondence and supporting papers, modifications to applications, annual status reports, copy of Environmental Health & Safety (EH&S) approvals, and other relevant Compliance Office approvals. 

Official Copy: Office of Research: Administration
Retention: 6 years after study termination
Disposition Method: Shred or Delete

Other Copy: Principal Investigator
Retention: 6 years after close of study, or 3 years after study termination if research is not grant/contract funded
Disposition Method: Shred or Delete

Embryonic Stem Cell Research Oversight Research Application Files - Denied

Applications for research using stem cells that were denied by the ESCRO Committee and/or the ESCRO Chair. May include, but not limited to, the following: application, sample consent forms, ESCRO's disposition documentation, the investigator's responses to the Committee, sponsor protocols, copy of EH&S's approval, correspondence and supporting documentation, modifications to applications, application annual reviews, non-compliance documentation, records requests.

Official Copy: Office of Research: Administration
Retention: 1 year after end of academic year
Disposition Method: Shred or Delete

Other Copy: Principal Investigator
Retention: 1 year after end of academic year
Disposition Method: Shred or Delete

Embryonic Stem Cell Research Oversight Research Application Files - Withdrawn

Applications for research using stem cells that were withdrawn from consideration. May include, but not limited to: application, consent forms, ESCRO's disposition documentation, the investigator's responses to the Committee, sample sponsor protocols, copy of EH&S's approval, documentation of withdrawal.

Official Copy: Office of Research: Administration
Retention: 1 year after application withdrawn
Disposition Method: Shred or Delete

Other Copy: Principal Investigator
Retention: 1 year after application withdrawn
Disposition Method: Shred or Delete

Endowment Fund Records

Correspondence and summary reports related to trust agreements, establishment of endowment funds, use of funds, etc.

Official Copy: Treasurer's Office
Retention: 6 years after endowment liquidated
Disposition Method: Transfer to University Archives for review

Other Copy: College/School or Department
Retention: 1 year after funds dispersed
Disposition Method: Transfer to University Archives for review

Equipment Inventory Database

Provides a record of all equipment owned by an office or department. This information is kept electronically and tracks the location and status of the equipment. The database contains items not found in the Equipment Inventory Office's database.

Official Copy: Any Office
Retention: 6 years after end of calendar year
Disposition Method: Recycle or Delete

 

Equipment Inventory Reports (Physical Inventories)

A record of UW-owned and federally-owned equipment held or deleted by departments. NOTE: Inventory is updated annually by a department and recorded by the Equipment Inventory Office.  

Official Copy: Equipment Inventory Office
Retention: 6 years after end of calendar year
Disposition Method: Recycle or Delete

Other Copy: Any Office
Retention: until superseded by updated and approved Equipment Inventory Report
Disposition Method: Recycle or Delete

 

Equipment Maintenance/Service Reports

A record of equipment maintenance and repair. May include work performed by other UW units, work performed by outside companies under a service agreement with a UW department or work performed by outside companies not under a service agreement. Does not include medical equipment. 

Official Copy: Any Office
Retention: 6 years after service date
Disposition Method: Recycle or Delete

 

Equipment Requests

Documents the check out and return of audio/visual and other equipment by students, staff and faculty.  If the equipment is not returned on time, a late fee is not incurred.

Other Copy: College/School or Department
Retention: 6 months after return of equipment
Disposition Method: Shred or Delete

Exams and Answer Sheets -- Proficiency/Placement & Credit by Exam

A record of student responses to placement exams administered by college/school or department to determine level of subject proficiency, or to authorize students for possible exemption from taking a course.

Official Copy: College/School or Department
Retention: 1 year after end of academic year
Disposition Method: Shred or Delete

Note: A sample of each exam and its answer sheet should be retained with Course History Files.

Exams, Papers, Projects and Other Assignments by Students

A record of answers to examinations, as well as papers, projects and other assignments submitted by students in fulfillment of course or degree requirements. Includes Zoom or other conferencing platform recordings.

NOTE: This retention period applies to those exams and assignments not retrieved by the student after they are graded.

Official Copy: Academic Departments
Retention: 1 quarter after end of quarter
Disposition Method: Shred or Delete

Note: Records in the Canvas LMS will be deleted 5 years after the end of the academic year; instructors will receive notification in advance of deletion. Copies of materials uploaded or created in Canvas do not need to be retained outside of Canvas.

Note: A sample of each exam and its answer sheet should be retained with Course History Files.

Exception Time Reports (ETR)

A record certifying changes from the normal number of hours worked by each permanent employee paid on a particular budget for a particular pay period. Includes leave without pay, overtime, shift differentials, etc.

Note: For reports which include both state and grant/contract personnel see Research and Grant/Contract Records: ETRs for Grants/Contracts

Note: These records are now generated through Workday and do not have to be saved or printed. Records created before July 2017 should be maintained for the following retention periods:

Official Copy: Payroll
Retention: 6 years after end of calendar year
Disposition Method: Shred or Delete

Other Copy: College/School or Department
Retention: These records are now generated through Workday and do not have to be saved or printed.
Disposition Method: Shred or Delete

Exception Time Reports (ETR) for Grants/Contracts

A record certifying changes from the normal number of hours worked by each permanent employee paid on a particular budget for a particular pay period. Includes leave without pay, overtime, shift differentials, etc.

Note: These records are now generated through Workday and do not have to be saved or printed. Records created before July 2017 should be maintained for the following retention periods:

Official Copy: Payroll
Retention: 6 years after end of month
Disposition Method: Shred or Delete

Other Copy: College/School or Department
Retention: 3 years after submission of a financial status report
Disposition Method: Shred or Delete

Expert Witness

Records related to expert witness testimony or opinion provided by a UW employee.

Official Copy: Any Office
Retention: 6 years after testimony/opinion provided
Disposition Method: Shred or Delete

Export Control Records for Grants/Contracts

This series provides a record of the documentation required to be retained on the exports of commodities, software, or technology from the United States. It also includes a record of any known re-exports, trans-shipment, or diversions of items exported from the United States as per Export Administration Regulation 762.6. Documentation includes export control documents, memoranda, invitations to bid, financial records, etc.

Official Copy: Any office
Retention: 5 years after termination of funding period
Disposition Method: Shred or Delete

Extracted Data

Documents derived from a master file or database in the form of statistics, reports, hardcopy printouts, mailing lists,  auto-generated notifications and reminders, etc. Includes emails.  These records will be visible and accessible for their full retention period in the system of record and can be reprinted as needed. Refer to list of electronic records that do not need to be printed or saved.

Retention: May be disposed of as soon as the reference purpose has been served.  Please shred, recycle or delete as appropriate.

Faculty Adjudication Files

A record of the judicial proceedings of a faculty committee for the resolution of differences.

Official Copy: Office of Faculty Senate and Governance
Retention: 6 years after case closed
Disposition Method: Shred or Delete

Other Copy: College/School or Department
Retention: 3 years after claim resolved
Disposition Method: Shred or Delete

Other Copy: UWT: Vice Chancellor for Academic Affairs
Retention: 3 years after claim resolved
Disposition Method: Shred or Delete

Other Copy: UWB: Vice Chancellor for Academic Affairs
Retention: 3 years after claim resolved
Disposition Method: Shred or Delete

Faculty Effort Certification (FEC)

Forms documenting faculty salary expenses charged to federal grants and contracts, and cost-sharing activities related to federally sponsored projects.

Official Copy: Post Award Fiscal Compliance
Retention: 12 years after end of fiscal year (after reporting period end date)
Disposition Method: Recycle or Delete

Other Copy: College/School or Department
Retention: 1 year after end of fiscal year
Disposition Method: Recycle or Delete

Faculty Request for Outside Work Approval (Form 1460)

Requests to the Dean, Vice President or Provost from academic personnel to perform consulting work and other professional and public activities outside the UW for compensation. Formerly known as the Request for Approval of Outside Professional Work for Compensation.

Official Copy: Office of Research
Retention: 6 years after end of fiscal year
Disposition Method: Shred or Delete

Other Copy: Dean or Department Chair
Retention: 6 years after the end of fiscal year
Disposition Method: Shred or Delete

Other Copy: UWT: Vice Chancellor for Academic Affairs
Retention: 6 years after end of fiscal year
Disposition Method: Shred or Delete

Other Copy: UWB: Vice Chancellor for Academic Affairs
Retention: 6 years after end of fiscal year
Disposition Method: Shred or Delete

Faculty Reviews

Evaluations of UW faculty performance. May be used in evaluations for merit pay. May include yearly activity report on professional activities prepared by a faculty member for review by a Chair or Dean, measures of student performance used to evaluate teaching effectiveness, student course evaluations of instructors, etc.

Official Copy: College/School or Department
Retention: 3 years after completion of review
Disposition Method: Shred or Delete

Faculty/Academic Employment Applications--Hired and Not Hired

Materials regarding applicants for academic positions including faculty, Chair, Dean, Director, and temporary positions (visiting scholars or scientists, clinical faculty, post-doctoral scholars, etc.). May include, but not limited to: advertisement and recruitment notices, correspondence with applicants, resumes, curricula vita, letters of reference, research proposals, evaluations of candidates, notes on employment selection, etc.

Official Copy: Academic HR selected records for hired applicant which become the basis for the personnel record
Retention: 50 years after termination of employment
Disposition Method: Shred or Delete

Official Copy: Academic HR not hired
Retention: 3 years after completion of hiring process (see Note below)
Disposition Method: Shred or Delete

Official Copy: Hiring Department
Retention: 3 years after completion of hiring process
Disposition Method: Shred or Delete

Note: Visa and Permanent Residence records are maintained separately.  Refer to Faculty/Academic Employment--International Scholars and Faculty/Academic Employment-- Permanent Resident Status.

Faculty/Academic Employment--International Scholars

Documents procedures necessary for international academic personnel seeking nonimmigrant status as E-3 temporary workers, H-1B temporary workers, J-1 exchange visitors, O-1 individuals with extraordinary ability, and TN NAFTA workers. May include related forms, applications and petitions.

Official Copy: International Scholars Office
Retention: varies depending upon Visa type; refer to departmental schedule
Disposition: Delete or Shred

Other Copy: Hiring Department
Retention: 1 year after termination of employment/application expired or withdrawn
Disposition: Delete or Shred

 

Faculty/Academic Employment--Permanent Resident Status

Documents requests for permanent resident status by faculty holding H-1B or O-1 visas. May include forms, applications, requests, supporting documentation, and green card documentation.

Official Copy: International Scholars Office
Retention: 5 years after permanent labor certification filed
Disposition: Delete or Shred

Other Copy: Hiring Department
Retention: 5 years after permanent labor certification filed
Disposition: Delete or Shred

 

Field Advances

Provides a record of field advances, which provide a temporary source of funds that cannot be paid for using traditional methods (i.e. purchase orders, check requests, UW Travel/Procurement credit cards).  Issued to individuals conducting official UW business in remote areas where checks and credit cards are not accepted, or issued as foreign per diem advances for individuals not on UW payroll, or may also be used as research subject and incentive payments when a revolving fund account is not applicable.  May include field advance banking information, receipts, and reconciliation.

Note: These records are now generated through Workday and do not have to be saved or printed. Records created before July 2023 should be maintained for the following retention period

Official Copy: Any Office
Retention: 6 years after submission of a financial status report
Disposition Method: Shred or Delete

Field Trip Permission Slips

A record of signed consent by a student, or legal guardian if the student is a minor, to participate in a field trip.

Official Copy: Any Office
Retention: 6 years from completion of field trip
Disposition Method: Shred or Delete

Financial Records for Grants/Contracts

Records of financial transactions on grants and contracts including non-FEC (Faculty Effort Certification) cost share documentation.  Includes the following financial records:

  • Cash Transmittals (CTs)
  • Cost Transfer Invoices (CTIs)
  • Memo to Request an Advance Notice
  • Credit Card Receipts
  • ProCard transaction approval and reconciliation including reviewed and signed Transaction Detail Report, invoices, and receipts
  • Central Travel Account (CTA) approvals and reconciliations including reviewed and signed UW Transaction Detail with Notes & Account Codes Report, invoices and receipts
  • Packing Slips
  • Petty Cash (Revolving Fund) Records including Application for Revolving Fund
  • Petty Cash Vouchers with supporting documents such as sales slips, cash register receipts, paid invoices
  • Receipt for Petty Cash Advance and study subject compensation records
  • Internal Purchase Approvals
  • Banking Records including deposit slips, canceled checks, reconciliations and monthly statements
  • Delegations of Authority

Note: These records are now generated through Workday and do not have to be saved or printed. Records created before July 2023 should be maintained for the following retention periods

Official Copy: Procurement Services 
Retention: Variable, depending upon departmental retention schedule
Disposition Method: Recycle or Shred or Delete

Official Copy: Grant and Contract Accounting 
Retention: 6 years after submission of a financial status report
Disposition Method: Recycle or Delete

Other Copy: College/School or Department
Retention: 6 years after submission of a financial status report
Disposition Method: Recycle or Delete

Financial Records for State and Non-Grant Budgets

Records documenting financial transactions including purchasing and expenditures as well as revenues and reconciliations for state, self-sustaining, gift, and endowment budgets. Includes the following records:

  • Cash Register Tapes
  • Central Travel Account (CTA) approvals and reconciliations including invoices, receipts, and reviewed and signed UW Transaction Detail with Notes & Account Codes Report
  • Credit Card Records of Sales
  • Field Advances
  • Financial Statements/Reports
  • Invoices--Vendor
  • Packing Slips
  • Petty Cash (Revolving Fund) Records for any office with a revolving fund, including supporting transaction documents
  • ProCard transaction approvals and reconciliations including invoices, receipts, and reviewed and signed UW Transaction Detail with Notes & Accounts Code Report
  • Purchase Requests--Internal
  • Receipts (For Money Received or Paid)
  • Reconciliation of Cash and Receipts
  • Reconciliation of Financial Assets (Vault Contents and Cash on Hand)

Note: These records are now generated through Workday and do not have to be saved or printed. Records created before July 2023 should be maintained for the following retention period:

Official Copy: Any Office
Retention: 6 years after end of fiscal year
Disposition Method: Shred/Delete

Fire Drill Report

This series provides a record that a fire drill was performed within a building.

Official Copy: Environmental Health and Safety: Occupational Safety & Health
Retention: 6 years after date of drill or exercise
Disposition Method: Recycle or Delete

Other Copy: Any Office
Retention: 1 year after end of calendar year
Disposition Method: Recycle or Delete

Fire Permits

Provides a record of permits issued by the local jurisdiction’s fire department. This includes Temporary Permits that are issued for a variety of activities that are conducted for a period not exceeding 6 months such as tents and canopies, open flame permits, food booths at fairs and festivals, hot work on marine vessels, and construction site activities. Also includes Annual Permits issued for places of assembly, hazardous activities, or operations conducted on an ongoing basis at either a fixed location or at a variety of locations. Annual permits most commonly include Assembly Permits, Hazardous Materials Permits, High Piled Storage Permits, and Hot Work Permits.

Official Copy: Any Office
Retention: 6 years after expiration of permit
Disposition Method: Recycle or Delete

Fire/Incident Investigation Reports

Record of investigation of fires and incidents in UW buildings.  Includes photos, inspectors reports, interviews, details regarding alarm systems, etc.

Official Copy: Environmental Health and Safety: Occupational Safety and Health
Retention: 6 years after completion of investigation
Disposition Method: Shred or delete

Other Copy: Any Office
Retention: until completion of investigation
Disposition Method: Shred or Delete

General Ledgers

An itemization and summary of all income and expenditure transactions for each month in a biennium. 

Note: These records are now generated through Workday and do not have to be saved or printed. Records created before July 2023 should be maintained for the following retention periods:

Official Copy: Financial Accounting or Auxiliary Enterprises
Retention: 6 years after end of fiscal year
Disposition Method: Recycle or Delete

Other Copy: Any Office
Retention: 2 years after end of biennium
Disposition Method: Recycle or Delete

General/Industrial Hygiene Sampling Records

Documents Occupational Safety and Health sampling and evaluation for the presence of chemical, biological, or physical agents to ensure employee exposure to substance are within regulatory limits.

Official Copy: Environmental Health and Safety: Occupational Safety & Health
Retention: 30 years after end of calendar year
Disposition Method: Shred or Delete

Other Copy: Any Office/Lab
Retention: 6 years after corrective action taken or 6 years after end of calendar year if no corrective action taken
Disposition Method: Shred or Delete

Gift Budget Records

Records of financial transactions on gift budgets established by Grant and Contract Accounting.  May include but is not limited to:

  • Cash Transmittals (CTs)
  • Cost Transfer Invoices (CTIs)
  • Memo to Request an Advance Notice
  • Credit Card Receipts
  • ProCard transaction approval and reconciliation including reviewed and signed Transaction Detail Report, invoices, and receipts
  • CTA approvals and reconciliations including reviewed and signed UW Transaction Detail with Notes & Account Codes Report, invoices and receipts
  • Packing Slips
  • Petty Cash (Revolving Fund) Records including Application for Revolving Fund
  • Petty Cash Vouchers with supporting documents such as sales slips, cash register receipts, paid invoices
  • Receipt for Petty Cash Advance and study subject compensation records
  • Internal Purchase Approvals
  • Banking Records including deposit slips, canceled checks, reconciliations and monthly statements
  • Delegations of Authority.

Note: These records are now generated through Workday and do not have to be saved or printed. Records created before July 2023 should be maintained for the following retention periods

Official Copy: Grant and Contract Accounting
Retention: 6 years plus 90 days after termination
Disposition Method: Recyle or Delete

Official Copy: College/School or Department
Retention: 6 years after end of fiscal year
Disposition Method: Recylce or Delete

Gold Slips and Logs

Provides record of gold inventory and amount of gold used in dental procedures. May include Gold Log, which includes student name, patient name, date and amount of gold used in procedure.

Official Copy: Any Clinic
Retention: 6 years after end of fiscal year
Disposition Method: Shred

Grade Appeals and Grievance Files

A comprehensive record of a student's appeal of a grade, or other student grievance mediated within the department, school or college.

Official Copy: College/School or Department
Retention: 5 years after end of quarter in which issue is resolved
Disposition Method: Shred or Delete

Grade Books

Listing of student grades for exams, papers, projects, class participation for a particular course. Provides the basis upon which the final grade is assigned.

Official Copy: College/School or Department
Retention: 5 years after end of academic year
Disposition Method: Shred or Delete

Note: Records in the Canvas LMS will be deleted 5 years after the end of the academic year; instructors will receive notification in advance of deletion. Copies of materials uploaded or created in Canvas do not need to be retained outside of Canvas.

Grade Confirmation Reports

Provides a department with confirmation of grades for all students in a course, as reported to the Registrar by the instructor each quarter.

Official Copy: Office of the University Registrar (Registrar Student Services)
Retention: Sent to department; no copy retained
Disposition Method: Shred or Delete

Official Copy: UW Bothell: Student Affairs: Registrar
Retention: Sent to department; no copy retained
Disposition Method: Shred or Delete

Other Copy: College/School or Department
Retention: 2 years after end of quarter
Disposition Method: Shred or Delete

Grade Sheets (Instructor's Grade Report Sheet)

Listings of the quarterly grade assigned by the instructor to each student in a course, and sent to the Registrar's Office for recording. Includes Grade Change Forms.

Official Copy: Office of the University Registrar (Registrar Student Services)
Retention: 5 years after end of quarter
Disposition Method: Shred or Delete

Official Copy: UW Bothell:  Student Affairs:  Registrar
Retention: 5 years after end of quarter
Disposition Method: Shred or Delete

Official Copy: UW Tacoma:  Enrollment Services
Retention: 5 years after end of quarter
Disposition Method: Shred or Delete

Other Copy: College/School or Department
Retention: Until superseded by verified Grade Confirmation Report
Disposition Method: Shred or Delete

Graduate Program Patient Charts

Provides complete documentation of examination, diagnosis and treatment for each patient receiving dental care including: periodontal, orthodontal, oral surgery, endodontic treatment, or procedures such as dental implants which require long term tracking. Charts may include: Chart Routing Record, X-Rays logs, Admitting Record, Dental Insurance Questionnaire, Problem and Treatment Lists and Plans, Progress Notes/Treatment Record (UW-D-3), Health History Questionnaire, Fees Statement, Request for Radiographic Examination, etc. NOTE: As part of the teaching curriculumn, graduate students are required to perform recall visits on previous patients throughout the patient's life. Frequently, this means that a patient who received treatment in Graduate Periodontics or Graduate Prosthodontics might be called back many years, even decades after their initial treatment. Once the patient is deceased, the chart will be considered closed.

Official Copy: Clinical Services: Patient Records
Retention: Patient deceased
Disposition Method: Shred

Other Copy: Any Dental Clinic sending patient charts to Clinical Services: Patient Records
Retention: Send to Clinical Services: Patient Records

Grant and Contract Certification Report

Signed report which provides a means of payroll verification for Principal Investigator of a grant or contract.

Official Copy: College/School or Department
Retention: 12 years after end of fiscal year
Disposition Method: Shred or Delete

Note: If your office is scanning signed GCCRs, please follow the UW Scanning Requirements and, once the scan has been saved appropriately, dispose of any paper copies.

Grievance Files (Staff Employee Complaint Files)

A record of labor-related complaints and grievances. 

Official Copy: Labor Relations Office
Retention: 6 years after case resolved or withdrawn
Disposition Method: Shred or Delete

Other Copy: College/School or Department
Retention: 3 years after case resolved or withdrawn
Disposition Method: Shred or Delete

Hazardous Waste Collection Request Form

A record of a department's request for collection of hazardous materials/waste by the Environmental Programs Office. Request may be for routine or one-time only pick-up.

Official Copy: Environmental Health and Safety: Environmental Programs Office
Retention: 1 year after end of calendar year
Disposition Method: Recycle or Delete

Other Copy: College/School/Department or Lab
Retention: 1 year after date of collection
Disposition Method: Recycle or Delete

Hazardous Waste Tracking Records

This series includes facility signed manifests, land disposal restrictions, and certificates of disposal for hazardous waste.

Official Copy: Environmental Health and Safety: Environmental Programs Office
Retention: 30 years after the end of the calendar year
Disposition Method: Transfer to University Archives

Other Copy: Any Off-campus Facility
Retention: 5 years after site no longer generates hazardous or dangerous waste
Disposition Method: Shred or Delete

Help Desk Requests

Provides a record of requests for advice and assistance in using computing or networking hardware or software. There is no charge for these services.

Official Copy: Any Office
Retention: Job complete
Disposition Method: Recycle or Delete

History Files

Documentation of the history and development of an office, program, event, or course. May include photographs, videotapes, Zoom or other conferencing platform recordings, newsletters, course descriptions, syllabi, bibliographies, sample examinations, etc.

Official Copy: Any Office
Retention: 6 years after end of calendar year
Disposition Method: Transfer to University Archives

Human Subject Research: Deliverables

Records or products developed or produced as the result of a research grant or grant agreement. May include: reports, studies, surveys, educational materials, prototypes, publications, videos, recordings, and multi-media materials, etc

Official Copy: Principal Investigator
Retention: 6 years after close of study
Disposition Method: Transfer to University Archives for review

Human Subject Research: HIPAA Authorization Forms

Records relating to the permission granted for access to or use of protected health information.

Official Copy: Principal Investigator
Retention: 6 years after close of study or the date the authorization was last in effect, whichever is longer.
Disposition Method: Shred or Delete

Human Subject Review Committee Applications -- Approved

A record of requests for the use of human subjects in research. May include application, sample consent forms for subjects, Review Committee's Disposition documentation, investigator's responses to the committee, application modifications, application annual reviews, final report, sponsor protocols, Adverse Event Reports, non-compliance documents, subject complaints, records requests, copies of Radiation Safety Committee Review, Certification of Review or documentation that certification was sent to funding agency, other supporting documentation, etc.

Official Copy: Human Subjects Division
Retention: 10 years after study termination
Disposition Method: Shred or Delete

Other Copy: Principal Investigator
Retention: 6 years after close of study, or 6 years after study termination if research is not grant/contract funded
Disposition Method: Shred or Delete

Human Subject Review Committee Applications -- Denied

A record of denied requests for the use of human subjects in research. May include application, sample consent forms, Review Committee's Disposition documentation, investigator's responses to the Committee, sponsor protocols, copies of Radiation Safety Committee Review, supporting documentation, modifications of applications, Adverse Event Reports, correspondence and non-compliance documentation, record requests, safety reports, complaints, etc.

Official Copy: Human Subjects Division
Retention: 10 years after end of academic year
Disposition Method: Shred or Delete

Other Copy: Principal Investigator
Retention: 6 years after denial
Disposition Method: Shred or Delete

Human Subject Review Committee Applications -- Withdrawn

Applications for research using human subjects that were withdrawn from consideration. Includes application, sample consent forms, investigator's response to the Committee, sample sponsor protocols, copy of Radiation Safety Committee review, and documentation of withdrawal.

Official Copy: Human Subjects Division
Retention: 1 year after application withdrawn
Disposition Method: Shred or Delete

Other Copy: Principal Investigator
Retention: 1 year after application withdrawn
Disposition Method: Shred or Delete

IACUC Letters of Commendation, Acknowledgement, Counsel and/or Reprimand and/or Suspension to Primary Investigators (or other UW employees)

Letters that document noncompliance with policy, deviation from the provisions of the Guide for the Care and Use of Laboratory Animals, or suspensions of an activity by the Institutional Animal Care and Use Committee. Letters are kept to ensure that any patterns of noncompliance by an individual can be monitored and dealt with appropriately by the University.     

Official Copy: Any Office
Retention: 6 years after Termination of Employment
Disposition Method:  Shred or Delete

Incident Reports

Internal departmental reports of facility damage, theft of UW property, etc., when no claim has been filed.

NOTE: This is not the official UW Police "Incident Report" or "Accident/Incident Report" (injuries).

Official Copy: Any Office
Retention: 1 year after end of calendar year
Disposition Method: Shred or Delete

 

Indirect Cost -- Allowable Expense Reports

Data gathered from departments regarding expenses from a particular budget that cannot be included on an indirect cost proposal. Used to develop the UW's indirect cost study.

Official Copy: Management Accounting and Analysis
Retention: 10 years after last year of current rate
Disposition Method: Recycle or Delete  

Other Copy: College/School or Department
Retention: 3 years after end of quarter
Disposition Method: Recycle or Delete  

Indirect Cost -- Staff Activity Surveys

Data gathered from departments about the allocation of staff time for various activities -- research, instruction, administration, etc. Used to develop the UW's annual indirect cost study.

Official Copy: Management Accounting and Analysis
Retention: 10 years after last year of current rate
Disposition Method: Recycle or Delete

Other Copy: College/School or Department
Retention: 3 years after end of quarter
Disposition Method: Recycle or Delete

Informal Events

Records relating to routine celebrations/events (such as staff recognition holiday parties, retirements, accomplishments and initiatives not related to the mission of the office). May include Zoom or other conferencing platform recordings and photographs.

See also Photographs and Recordings.

Official Copy: Any Office
Retention: 6 years after the end of the academic year
Disposition Method: Transfer to University Archives for review

Informal Notifications/Communications

Communications and postings that do not relate to the functional responsibility of the department (i.e., announcements of meetings, reservations, confirmations, itineraries, acknowledgements, form-letter thank you notes, etc.).

Retention: May be disposed of as soon as the reference purpose has been served.  Please shred, recycle or delete as appropriate.

Inspection/Survey Records

Provides a record of internal and external inspections or surveys of environmental issues to provide a safe and healthful workplace at the UW. Includes inspections of labs and equipment, food handling, water quality, hazardous materials and waste management, and animal facilities to ensure compliance with health and safety policies.  Also includes prevention and assessment inspections by the Environmental Health and Safety Assessment team and Washington Department of Ecology inspections.  May include inspection reports, test results, worksheets, etc.

Includes Inspection Reports for: Prevention and Assessment, Internal Safety Inspections, Hazardous Materials and Waste Management

Official Copy: Environmental Health and Safety
Retention: 30 years after end of calendar year
Disposition Method: Recycle or Delete

Other Copy: Any Lab
Retention: 6 years after last inspection
Disposition Method: Recycle or Delete

Insurance

A record of insurance policies for property such as scientific instruments, equipment or fine art.  May include correspondence, photographs, policies and claims. Includes documentation and policies pertaining to special insurance needs.

Official Copy: Compliance and Risk Services
Retention:6 years after termination or renewal of policy
Disposition Method: Transfer to University Archives for review

Other Copy: Any Office
Retention: 6 years after termination or renewal of policy
Disposition Method: Transfer to University Archives for review

Insurance Billing Records

 A record of all requests for payment submitted to Medicaid, DSHS, or insurance companies. May include copies of applicable patient chart notes, procedure coding sheets, patient bill, etc.

Official Copy: Any Dental Office receiving insurance payments
Retention: 6 years after end of fiscal year
Disposition Method: Shred

Internal Departmental Databases

Documents interactions with or information/notes about individual students.  May contain aggregate information identifying individual students.

Official Copy: Any Advisory Office
Retention:  1 year after student/cohort inactive or graduated
Disposition Method:  Delete

Interview Expense

Requests for authorization from a Dean and from the Provost to pay travel expenses for an individual traveling to the UW for a position interview.

Official Copy: Procurement Services
Retention: 6 years after end of fiscal year file closed
Disposition Method: Shred or Delete

Note: These records are now generated through Workday and do not have to be saved or printed. Records created before July 2023 should be shredded.

 

Invention Disclosure Package

Confidential material on new patents awarded to UW. Provided by CoMotion to Dean/Chair of inventor's College/School or Department. May include copies of disclosure letter, invention power of attorney and assignment of rights, US patent form, etc.

Official Copy: College/School or Department
Retention: administrative purpose served
Disposition Method: Transfer to University Archives for review 

Invoice Vouchers

A billing record in lieu of a vendor invoice for goods or services purchased by UW offices. Details items, amount and purpose of purchase.

Official Copy: Procurement Services
Retention: 6 years after end of fiscal year
Disposition Method: Recycle or Delete

Note: These records are now generated through Workday and do not have to be saved or printed. Records created before July 2023 should be shredded.

Job Descriptions

Documentation of titles and descriptions for classified staff positions, professional staff, faculty or hourly positions. Includes background material and distinguishing characteristics. 

Official Copy: Any Office
Retention: until superseded
Disposition Method: Recycle or delete

Job Hazard Analysis

Documented method for identifying and evaluating hazards associated with tasks (steps) with a specific job or activity and eliminating or mitigating them prior to conducting work. This document may be included as part of the Departmental Health and Safety Manual.

Official Copy: Any Office/Lab
Retention: 6 years after superseded
Disposition Method: Transfer to University Archives for review

Journal Vouchers (JVs)

A record of budget entries and transfers of funds between UW budgets. Also used for Field Advance Expense Requests and Reverse Expenditures.

Note: These records are now generated through Workday and do not have to be saved or printed. Records created before July 2023 should be maintained for the following retention periods:

Official Copy: Procurement Services
Retention: 6 years after end of fiscal year
Disposition Method: Recycle or Delete

Official Copy: Any Issuing Office
Retention: 6 years after end of fiscal year
Disposition Method: Recycle or Delete

Other Copy: Any Receiving Office
Retention: 2 years after end of biennium
Disposition Method: Recycle or Delete

Key Card Records

Records documenting the authorization of access for employees, contractors, and volunteers to university buildings and offices through the use of electronic systems. Includes: badges, key cards (such as Husky Cards) or access codes.

For physical keys, see Key Records

Official Copy: Any office
Retention: 6 years after termination of access
Disposition Method: Recycle or Delete

Key Records

A record of building keys, door keys, and equipment keys issued to individuals. May include various Key Request forms, Special Keying/Security Request form, Key Request Authorization memos, departmental key authorization memos, Individual Key Record forms, etc.

Official Copy: Facilities: Building Access and Keys
Retention: Refer to departmental schedule

Official Copy: Any Office - Individual Key Record forms; Key Authorization memos which may be internal within a department, etc.
Retention: until superseded by new lock or keyholder
Disposition Method: Recycle or Delete

Legislation, Regulations, Rules –Monitoring/Tracking

Records relating to the monitoring/tracking of proposed legislation, regulations and rules with possible impact on the University under consideration by the Legislature, other state agencies, federal, or local governments. Includes, but is not limited to bill drafts, amendments, fiscal notes, memos, committee reports, monitoring reports and related records.

Official Copy: Any Office
Retention: 2 Years after end of calendar year 
Disposition Method: Shred or Delete

Library Card Applications

Provides a record of application for a library card. 

Official Copy: UW Seattle Libraries: Account Services
Retention: 3 years after the end of the calendar year
Disposition Method: Shred or Delete

Other Copy: UW Bothell and UW Tacoma Libraries
Retention: 0 years after transfer to UW Seattle Libraries: Account Services
Disposition Method: Shred or Delete

Lists and Logs

Lists/logs containing information tracked by a department from which elements are superseded as new data/information is received, where not covered by a more specific records series. Includes membership lists and contact information.

Retention: May be disposed of as soon as the reference purpose has been served.  Please shred, recycle or delete as appropriate.

Litigation Evidence Files

Material held for on-going litigation to which an office is a party. Generated as duplicates of materials found in existing record series. May include correspondence, financial records, personnel folders, etc. 

Official Copy: Any Office
Retention: 6 years after termination of litigation
Disposition Method: Shred or Delete

Litigation Files

Material created specifically in response to litigation. May be in the form of background material, evidence files, correspondence, meeting minutes, reports, statistics, etc. 

Official Copy: Any Office
Retention: 10 years after termination of litigation
Disposition Method: Shred or Delete

 

Major Application -- Undergraduate

A record of applicant's petition for major standing within an academic program. 

Official Copy: College/School or Department
Retention: If approved - as part of student folder; If not approved - 1 year after quarter of denial
Disposition Method: Shred or Delete

Meeting Records of Governing/Executive/Policy-Setting Bodies

Records documenting the actions, meetings, and membership of UW governing bodies, executive management teams, and other policy-setting/decision-making boards, committees, commissions, councils, task forces, faculty meetings, etc. Includes agendas, meeting/agenda packets (briefs, reference materials, etc.); recordings of meetings on conferencing platforms or audio/visual recordings, or minutes or transcripts of proceedings.

Official Copy: Any Office
Retention: 6 years after end of calendar year
Disposition Method: Transfer to University Archives for review

Meetings, Informal Staff

Records documenting staff meetings in which information of short-term relevance was communicated. This includes organizing basic logistics and status of work in process.  Includes notes, agendas, conferencing platform recordings.

Official Copy: Any Office
Retention: Administrative purpose served
Disposition Method: Shred/delete

Meetings, Routine Staff and Internal Committees

Records documenting routine staff meetings and the work of internal committees, and task forces. Includes minutes, agendas, notes, reports, recordings of meetings on conferencing platforms, etc.

Official Copy: Any Office
Retention: 2 years after end of calendar year
Disposition Method: Shred/Delete

 

Model Release Forms

An agreement between an individual and the University of Washington granting the University rights to photographs, video, or to produce recordings of an individual.

Official Copy: Any Office
Retention: 6 years after publication or video no longer in use
Disposition Method: Shred or Delete

 

Monthly/Quarterly Reports

Summaries of monthly and quarterly activity or project/program status. May include statistics.

Official Copy: Any Office
Retention: 3 years after end of reporting period
Disposition Method: Transfer to University Archives for review

Non-cash Gift Records (Donor Files)

Provides a record of non-cash gifts, including both non-appraised and appraised items, received by the UW Libraries. May include gift transmittal, gift report form, correspondence, etc. which document the donation to the UW Libraries

Official Copy: UW Libraries: Gifts Program
Retention: 10 years after last gift from donor
Disposition Method: Transfer to University Archives for review 

Other Copy: Any Library
Retention: Forwarded to Gifts Program
 

Notice of Improper Hazardous Waste Disposal

Provides record of Custodial Services notification to Building Coordinators of buildings having department(s) which have violated hazardous waste disposal regulations. 

Official Copy: Any Office
Retention: 2 years after end of calendar year
Disposition Method: Shred or Delete

Notice of Laboratory Equipment Decontamination

This form informs Facilities Services personnel that the equipment has been cleaned or decontaminated prior to service or removal for surplus.

Official Copy: Any Office
Retention: 6 years after Service Date or Surplus
Disposition Method: Shred or Delete

NSF Checks

Checks returned because of insufficient funds in the check writer's bank account. May include letters notifying check writers of the return of their checks, etc.

Official Copy: Any Department Receiving an NSF Check
Retention: 6 years after debt paid or determined uncollectable
Disposition Method: Shred or Delete

Organization Charts and Listings

Records of a department's organizational structure or its relationship to other offices and departments. May delineate lines of responsibility, chain of command, etc. 

Official Copy: Any Office
Retention: until superseded
Disposition Method: Transfer to University Archives