Scanning Policy

University Advancement Scanning Guidelines and Requirements

INDEX

Overview
UW Requirements

Best Practices

Addendums


Overview

Effective July 1, 2012, Finance & Administration will begin to store and file documents electronically to be maintained for the duration of the full retention period.  The objective of a near-paperless environment is to create greater flexibility and efficiency.  We hope to more effectively share documents with each other, to reduce routing time through campus mail, and to increase work productivity.   Employees will be able to access files without physically being in the office.  Furthermore, a less paper-dependent environment will reduce dramatically the need for physical storage space. We believe a less paper-dependent environment will save the organization money and time.

With these guidelines, F&A encourages other Advancement units to move to a scanning environment. Advancement units wishing to adopt a scanning procedure must first have their AVP’s approval and adhere to the UW and Washington State requirements set forth in this document.  These guidelines are based on Imaging Systems, Standards for Accuracy and Durability-Chapter 434-663 of Washington Administrative Code (WAC).


UW REQUIREMENTS


Meeting minimum UW Standards

Original paper documents must be scanned following UW and State requirements as outlined in these guidelines.  Once a paper document is scanned according to UW and State requirements and saved to the UW Nebula network drive, the original paper document can be destroyed, and the scanned document will legally take the place of the paper document.

UW requirements are the minimum standard, and may not be modified, but UA requirements may be modified to meet department needs. The requirements that follow will indicate UW minimum requirements, as well as additional UA recommendations. UA has adopted recommendations as a best practice.


Types of Records

Any kind of record can be scanned, including: color text documents, photographs, maps, plans, engineering drawings. Black and white, gray, and color paper records can be scanned.

Quality Control Requirements

Scanned images must meet UW and State minimum requirements before electronic storage can take place.  The scanned document(s) must be inspected visually to ensure they are complete (the entire document has been captured) and that the content is clear and easily readable.  The UW requires the following procedures when scanning records:

  • Perform sampling by inspecting every 10th document for quality, clarity, and usability
  • Visually inspect to ensure image is complete, clear and usable. Scanned records should be compared to the original paper document to ensure accuracy
  • Compare number of original paper documents to number of scanned records to ensure all documents have been scanned

Destruction of Original Records

After scanning records and complying with the QC requirements, the originals may be shredded one business day after scanning, to ensure Nebula has performed nightly back–up routine. Units may choose to shred the records themselves or purchase a shredding service. The University has contracts with various vendors for shredding services.  They can be found using the following link: http://f2.washington.edu/fm/recmgt/FAQs/shredding.

The exception to this policy is when handling vital documents and historical documents. An original vital document or historical document may not be shredded after scanning.  All vital document records must be transferred to University Archives (see “Retention Schedule”). Vital records are vital to the function and mission of the University; essential for the continuous operation or reconstruction of any University owned buildings, necessary to establish or protect the legal or financial position of the University; necessary to protect and ensure the rights and interests of the employees and clients of the University. Historical records are any records that may have historical value to the UW, which documents the history and development of an office, program or event; these may include photographs, videotapes, newsletter, etc.

Only a small percentage of all documents will be vital.  Using the following criteria will help to identify a vital record:

  • Operational – functions that are vital to the operation and continuation of your office of the University as a whole
  • Legal -  functions that provide proof of the University’s legal stand on an issue
  • Emergency -  functions needed during an emergency
  • Fiscal – functions that prove the University’s financial standings
  • Historical – documents the history and development of an office, program, or event

For more information regarding identification of vital records, please visit: http://f2.washington.edu/fm/recmgt/managing/vitalrecords

Destruction of Scanned Records

All scanned documents must be kept through the duration of the retention period (see Addendum section entitled: Document Identification and Retention Schedule). UW requirements and procedures for record destruction must include:

    • Only authorized individuals (positions) are qualified to delete files
    • AVP or AVP appointed delegate(s) approval process to delete files (UA recommendation)
    • If the AVP appointed delegate identifies records for deletion, the AVP must be the approver
    • Approver(s) must be housed in the unit

Administrative Assistants and Managers are considered qualified to delete files.  At the end of each calendar year, individuals (positions) authorized to delete files will review the titles of scanned files to identify all files that have reached the end of their retention period.  They will send a list of file(s) to the AVP or AVP appointed delegate(s) for destruction approval.  Once the AVP or AVP appointed delegate(s) returns the email with their approval, the Administrative Assistant or Manager will delete the file(s) and record the destroyed file(s) on the Records Destruction Log form.

NOTE:  When destroying records, please be aware that all records pertaining to ongoing or pending audits, lawsuits (or even reasonably anticipated lawsuits), or public disclosure proceedings must not be destroyed, damaged or altered until the issue is resolved, and you are specifically advised that such records may be destroyed.

Retention Schedule

The UW provides the legal authority for the destruction of all records or for their transfer to the University Archives. A sample list of records that are most common to University Advancement can be found in the addendums section of this document. The full UW Records Retention Schedule may be found at: http://f2.washington.edu/fm/recmgt/retentionschedules/gs/general

In general, scanned records must be kept for between 6 months – 6 years, after which they may be destroyed. The exception to this policy is when handling vital documents and historical documents. An original vital document or historical document may not be shredded after scanning (see “Destruction of Original Records”).

Archival records and records with a retention period of 6+ years require a migration and preservation strategy before the original paper documents can be destroyed.  This is to ensure the scanned records can be opened and read (remains accessible and readable) for their full retention period.

Migration and Preservation Procedures with Retention Period of 6+ years:

  1. For original paper records designated as “Archival” or “Potentially Archival” on a records retention schedule, first Contact University Archivist (206-543-0242), to discuss if the document should be destroyed or transferred.
  2. When maintaining the electronic copy of records that are stored in a networked storage location (e.g. Nebula I-drive), files must be saved in the new operating system when a new version of windows is released.

See Addendum section for Document Identification and Retention Schedule for the most common records that pertain to University Advancement.

Minimum UW Scanning Requirements

  • Minimum of 300 dpi (dots per inch)
  • Must save document as Read Only PDF file

Additional UA recommendations:

  • Duplex capability (can scan double-sided paper)
  • Auto feed (allows for multiple pages to scan automatically)
  • Searchable PDF (allows for easier retrieval of document)
  • Auto rotate (can detect paper orientation and scans the same way)
  • Auto alignment (straightens out crooked scans)

The purchased scanner must meet the UW scanning requirements. F&A recommends the Fujitsu ScanSnap S1500 (at Office Depot, approximately $450). This scanner meets or exceeds the UW requirements with the following specifications:

  • 600 dpi
  • Read- Only PDF

Additional UA recommendations:

  • Duplex
  • Auto feed up to 50 sheets
  • Searchable PDF
  • Auto rotation of based on page orientation
  • Auto alignment

Note:  If a department purchases a scanner without the auto rotation function, units must ensure they have a program such as Acrobat Professional to rotate the orientation of the scanned document to read left to right.  For example, if a document contains both portrait and landscape view pages the landscape view page must be rotated so that it can be read from left to right.

BEST PRACTICES

Common Problems and Solutions

If the scanned document will replace the original paper record, the record must be readable and usable. Below is a list of common problems and solutions:

  • Scanned images must be clear of all speckles, spots or blemishes. Scanned images must be clearly legible. Reset the dpi to a higher setting, make sure the glass is clean and rescan the document
  • Scanned images must be properly aligned: all portrait orientation pages should be rotated to read from left to right, and all landscape orientation pages should be rotated with the top of the page facing the left. Rescan the paper so that the image appears straight
  • The full document must be scanned. Rescan the paper so that it is properly aligned and the entire page is included in the scanned image
  • If the condition of the original paper record precludes a good quality scanned image from being produced, include the words “best scan possible” in the title when indexing and naming the document.

Saving and Naming Scanned Documents

Consistency in saving and naming scanned documents is critical to ensuring that records can be easily retrieved. Additionally, it is critical to preserve the original content of the document. To ensure that there are no improper alterations or modifications, all scanned records must be saved as “Read Only”.

(It is acceptable to add notes to the PDF using the text box feature. Adding notes to the “Read Only” PDF is not considered a modification of the document).
All scanned documents must be named using the following convention before they are electronically stored:

Title of Document+Month+Year

Use this format for date (mm-yyyy)
Example 1: UWCampaignCommitteeMeeting05-2012
Example 2: UW Campaign Committee Meeting 05-2012
Example 3: UW Campaign Committee Meeting 05-2012 –best scan possible

If the original document cannot produce a wholly clean scanned copy, add “best scan possible” to the end of document title. See Best Practices under Common Problems and Solutions.

If abbreviations are used for the name of the document, make sure abbreviations are conventional, industry-standard abbreviations that everyone can follow.  Remember that when scanning documents, only the final document needs to be scanned. Therefore, when naming the document, please refrain from using the following words:

  • Final
  • Version
  • Draft
  • Document 1, Document 2

Secure Electronic Storage

When original paper documents are destroyed after scanning, the scanned image becomes the legal and auditable record. Therefore secure storage of the scanned document must be maintained for the full retention period.   There are two network locations in nebula where scanned documents may be retained.  They can be stored on your current department “groups” drive under “dar” or a new network folder can be created under “workgrps”.

When determining the best location of storage, please consider the level of security your unit documents require.    If the scanned documents are confidential and should not be view by others within your unit it is best to create a new folder under “workgrps”.  Your unit will be able to restrict access to the new “workgrps” folder. If the scanned documents can be shared and view by others within your unit it is recommended files are saved to your current department folder under “dar” (i.e. FINADM, ARRM).

The file path to the “workgrps” folder is:

UW Nebula I Drive/groups/workgrps/UNIT NAME (use project code for unit name)
The file path to the “dar” folder is:
UW Nebula I Drive/groups/ dar/CURRENT UNIT FOLDER (i.e. FINADM, ARRM)

To set up a “workgrps” folder:

  • Contact UW Nebula (206-221-5000, nebula-support@uw.edu) to request a “workgrps” folder
  • Name the folder in correspondence with the departmental unit, i.e. IGP Regional, Finance & Administration, or Advancement Vice President.
  • Develop and maintain access rights to the folder and must keep a log of all users in order to maintain access rights update and/or remove users that may no longer work for their unit. Keeping a log will ensure that the electronic records are confidential and secured.
  • Create a secured folder, additional subfolder(s) must be created within “workgrps” secure folder to keep scanned records organized.

When deciding on how scanned records are filed, keep in mind the document’s retention period.  Use retention period as a guide to determine how scanned records should be best stored for easy retrieval and destruction.  Is the record to be kept based on an individual or is it based on a specific function?

For records that must be maintained based on an individual, it is recommended that scanned records be stored using the following approach as outlined by this example:

  • Workgrps or Dar (depending on your department needs)
    • FINADM
      • Employee Files
        • Employee Name
      • Donor Files
        • Donor Name

For records that must be maintained based on a specific function, it is recommended that scanned records be stored using the following approach as outlined by this example:

  • Workgrps or Dar (depending on your department needs)
    • FINADM
      • ProCard Authorization
        • 2012
        • 2013
      • Staff Meeting Agenda/Notes
        • 2012
        • 2013

Adhering to a consistent file storage convention will ensure that records can be found easily, and timely and efficient destruction of scanned records that have met retention periods, can occur.  Using this method, units may delete entire folders of scanned records, instead of deleting individual files.

Disaster Preparedness and Backups

Scanned records must be backed-up to ensure that, regardless of any external emergencies, the records will be sustained and remain accessible and readable for their full retention period. UW Minimum standards require all scanned records to be saved in Nebula. Nebula backs-up all documents nightly and stores said data east of the Cascades. After scanning, original paper documents may be shredded one business day after scanning, to ensure Nebula has performed nightly back–up routine (see section entitled Destruction of Original Records).

NOTE:  A back-up is considered a duplicate record.  It should not be retained longer than is necessary to ensure restoration after a disaster or crash. The copy of the record that resides on a back-up tape is subject to audit, litigation, and public records requests as long as the back-up exists. Therefore, it should never be retained longer than the retention period of the records it contains.

Computer Security Standards

The “workgrps” folder where files will be stored is considered a secure folder, and comports with the UW minimum standard. It is critical that managers promptly notify the system administrator, when an employee separates from their unit, so access capabilities can be removed.

All incidents of potential security breaches should be reported immediately to unit supervisor and/or Advancement F&A. In addition, the following security breaches should be reported immediately and to:

  • Incidents involving national security information or national security systems to the University Facility Security Officer at 206-543-1315 or uwfso@uw.edu.
  • Incidents involving protected health information (to UW Medicine Compliance or Executive Director of Health Sciences Administration)
  • Incidents unrelated to national security information, national security systems, or protected health information (to the Office of the University Chief Information Security Officer (CISO))


ADDENDUM


DOCUMENT IDENTIFICATION AND RETENTION SCHEDULE

The “Official Copy” designation identifies the office with the primary responsibility for that record at the University.

The “Other Copy” designation refers to additional copies of the record which may be held in University offices and departments other than the official copy holder.  This is an optional retention – you are not required to keep these records.

The “UW Record Series” designation is helpful when completing the Destruction Audit Log.

Records with retention periods that end with ‘Transfer to the University Archives” or “Transfer to University Archives for Review are vital records, or records that may have historical value and should be preserved permanently. At the end of the retention period, these records should be transferred to University Archives.

NOTE:  A back-up is considered a duplicate record.  It should not be retained longer than is necessary to ensure restoration after a disaster or crash.   The copy of the record that resides on a back-up tape is subject to audit, litigation, and public records requests as long as the back-up exists. Therefore, it should never be retained longer than the retention period of the records it contains.

ADMINISTRATIVE

Air bills for Expedited Mail Service Carrier (UW Record Series:  UW-GS 6)
Acts as receipt for use of express mailing services such as Federal Express, Airborne Express, etc.

Official Copy: Mailing Services
Retention: 6 years after end of month
Disposition Method: Recycle
Other Copy: Any Office
Retention: 2 years after end of biennium
Disposition Method: Recycle

Budget Preparation Files/Working Papers (UW Record Series:  UW-GS 6)
Document departmental budget planning process for a biennial budget proposal, may include correspondence, reports, statistics, etc.

Official Copy: Any Office
Retention: 2 years after end of biennium
Disposition Method: Transfer to Archives for review

Committees/Councils/Teams –Internal to UW (UW Record Series:  UW-GS 1)
Record of actions and decisions of UW-sponsored committees, councils and similar groups. Typically include minutes, agendas, notes, reports, etc.

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

Copy Services Order Forms (UW Record Series:  UW-GS 6)
Orders from departments for copy services involving large photocopy orders or special jobs

Official Copy: Creative and Communications
Retention: 6 years after end of month
Disposition Method: Recycle
Other Copy: College/School or Department
Retention: 2 years after end of biennium
Disposition Method: Recycle

Correspondence (UW Record Series:  UW-GS 10)
Written communications between/within UW offices/departments and other UW offices/departments or non-UW entities

Official Copy: Any Office
Retention: 5 years after end of calendar year
Disposition Method: Transfer to Archives for review

Donor Files (UW Record Series: UW-GS 10)
Information regarding donor prospects gathered for the purpose of soliciting gifts or funds for the University. Documents relationship between 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

Note: Outdated documents do not need to be retained.

Gift Records (UW Record Series: UW-GS 10)
Documentation of the amounts of donations received, name of donors, and conditions placed on donations. May include Gift/Pledge Transmittal Form, correspondence, solicitation material, copies of checks or securities documents, acknowledgement letters, etc.

Official Copy: UW Advancement: Gift Processing (non-endowed funds)
Retention: 6 years after end of month
Disposition Method: Shred
Official Copy: Treasurer’s Office (endowed funds)
Retention: 6 years after endowment liquidated; transfer to Archives for review
Disposition Method: Shred
Other Copy: College/School or Department
Retention: 2 years after end of biennium
Disposition Method: Shred
Other Copy: College/School or Department
Retention: 2 years after end of biennium
Disposition Method: Shred

History Files (UW Record Series: UW-GS 10)
Documentation of the history and development of an office, program or event. May include photographs, videotapes, newsletter, etc.

Official Copy: Any Office
Retention: 5 years after end of calendar year
Disposition Method: Transfer to Archives

Mail Preparation Services Forms (UW Record Series: UW-GS 6)
Departmental requests for mail preparation, which also itemize charges for mailing services provided. Includes “Requests for Mail Preparation Services” and “Mail Preparation Service Order Forms”

Official Copy: Mailing Services
Retention: 6 years after end of month
Disposition Method: Recycle
Other Copy: College/School or Department
Retention: 2 years after end of biennium
Disposition Method: Recycle

Media Services Requests (UW Record Series: UW-GS 6)
Departmental requests for services from Classroom Support Services

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Official Copy: Classroom Support Services
Retention: 6 years after end of fiscal year
Disposition Method: Recycle
Official Copy: UWB: Information Technologies
Retention: 6 years after end of fiscal year
Disposition Method: Recycle
Other Copy: College/School or Department
Retention: 2 years after end of biennium
Disposition Method: Recycle
Other Copy: College/School or Department
Retention: 2 years after end of biennium
Disposition Method: Recycle

Packing Slips from Outside Vendors (UW Record Series: UW-GS 6)
A record of departmental receipt of goods or equipment from outside vendors. Includes ProCard transaction receipts. NOTE: Audit procedures require that Packing Slips be initialed and dated upon receipt by the person receiving the goods

Official Copy: Any Receiving Department
Retention: 6 years after receipt of merchandise/equipment
Disposition Method: Recycle

Parking Validation Log (UW Record Series: UW-GS 6)
A record of parking stickers issued to individuals visiting UW. Log may contain parking number, name and date

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

Planning/Project Files (UW Record Series: UW-GS 10)
Documentation of goal setting and planning for special projects/general office operations, including statistics, correspondence, notes, reports, budget information, etc.

Official Copy: Any Office
Retention: 5 years after calendar year
Disposition Method: Transfer to Archives for review

Policies and Procedures (UW Record Series:  UW-GS 10)
Records establishing policies and procedures, including background materials, drafts, manuals, directives, etc.

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

Public Records Requests (UW Record Series:  UW-GS 10)
Official notice sent by the Office of Public Records and Open Meetings to a UW department requesting records needed for disclosure.

Official Copy: Office of Public Records and Open Meetings
Retention: 6 years after end of month
Disposition Method: Shred
Other Copy: Any Office
Retention: 2 years after end of calendar year
Disposition Method: Shred

Publications Production Records (UW Record Series: UW-GS 10)
Documentation of production of materials for publication by department or program, including rough drafts and working materials for brochures, flyers, announcements, reports, newsletters, etc.
NOTE: For all other types of publications, see section 11 of the General Records Retention Schedule.

Official Copy: Any Office
Retention: 3 years after date of publication; transfer one copy of final publication to the University Archives
Disposition Method: Recycle

Quarterly Reports (UW Record Series: UW-GS 10)
A quarterly record of departmental activities, achievements, including statistics

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

Records Center Storage Documentation (UW Record Series: UW-GS 10)
Information regarding boxes/records stored at the University Records Center, including:

  • Storage Request form - used to request storage of records at Records Center
  • Accession Confirmation - listing of records from Storage Request form with corresponding Records Center box location codes;
  • Disposition Notification -Used to authorize destruction of records
Official Copy: Records Management Services
Retention: 6 years after disposition of last record
Disposition Method: Recycle
Other Copy: Any Office
Retention: 3 years after disposition of last record on any particular Accession Confirmation
Disposition Method: Recycle

Shredding/Recycling Log (UW Record Series: UW-GS 10)
Log used to track destroyed records by shredding or recycling. Includes name of record, authorization, dates of material, and date recycled/shredded http://f2.washington.edu/fm/recmgt/FAQs/shredding

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

Staff and Faculty Meetings (UW Record Series: UW-GS 1)
A record of decisions/actions taken at staff meetings/retreats. Includes notes, minutes, working papers

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

Surveys/Questionnaires (UW Record Series: UW-GS 10)
Individual responses to surveys or questionnaires

Official Copy: Any Office
Retention: 1 year after results compiled
Disposition Method: Shred

Survey/Questionnaire Reports (UW Record Series: UW-GS 10)
Summary record of compiled responses to surveys/questionnaires. Includes blank sample survey and report of results

Official Copy: Any Office
Retention: 3 years after end of calendar year
Disposition Method: Transfer to Archives for review

Training Materials (UW Record Series: UW-GS 10)
Brochures, slides, videos, overheads, hand-outs and other training materials used by office/departments for employee training sessions.

Official Copy: Any Office
Retention: 2 years after training session no longer presented
Disposition Method: Recycle

Travel Expense Vouchers (UW Record Series: UW-GS 6)
Documentation of travel-related expenses incurred on UW-related business or projects.

Official Copy: Travel Office
Retention: 6 years after end of month
Disposition Method: Shred
Other Copy: College/School or Department
Retention: 2 years after end of biennium
Disposition Method: Shred

EVENTS

Authorization to Apply for a Banquet Permit to Serve Alcohol (UW Record Series: UW-GS 10)
Form which provides a record of University offices who have applied for a permit to serve alcoholic beverages on campus. Includes a description of the event; date; location; and estimated attendance.

Official Copy: Chair, Use of University Facilities Committee
Retention: 6 years after end of event
Disposition Method: Recycle
Other Copy: College/School or Department
Retention: 6 months after end of event
Disposition Method: Recycle

Request for Use of University Facilities (UW Record Series: UW-GS 10)
A record of requests to use UW facilities for events which are open to the general public, or which involve the co-sponsorship of a non-University organization by a University academic or administrative unit.

Official Copy: Use of University Facilities Committee(for all facilities)
Retention: 5 years after end of calendar year
Disposition Method: Recycle
Other Copy: Any Office, including sponsor
Retention: 1 year after facility used; or 1 year after request denied
Disposition Method: Recycle 

Room Assignment Requests (UW Record Series: UW-GS 10)
A record of requests from departments for the assignment of classrooms, meeting or conference rooms.

Official Copy: Registrar: Time Schedule and Room Assignment Office
Retention: 1 year after end of quarter
Disposition Method: Recycle
Other Copy: Any Office
Retention: 1 year after end of quarter
Disposition Method: Recycle 

PURCHASING

Bid Documents (UW Record Series:  UW-GS 6)
A record of proposals from vendors or consultants for services or supplies, in response to a Request for Proposal (RFP), Request for Quote (RFQ) or Request for Information (RFI). May include RFP’s, RFQ’s, RFI’s, awarded or denied bids, bid evaluation forms, correspondence, etc.

Official Copy: Procurement Services
Retention: 6 years after file closed
Disposition Method Recycle
Other Copy: College/School or Department
Retention: 1 year after award of bid
Disposition Method: Recycle

Billing Source Documents (UW Record Series:  UW-GS 6)
Documentation used by UW Recharge/Cost/Service Centers (e.g. Mailing Services, Fleet Services, Facilities Services, Creative+Communication, University Temporary Services, Telecommunications, etc.) to prepare Cost Transfer Invoices (CTIs), Internal Sales Documents (ISDs), recharge documents, journal vouchers, or invoices for the purpose of charging other budgets or non-UW entities for services or supplies. May describe, in greater detail than billing document, the service or supplies provided. May include work orders, service requests, logs of goods/services provided, etc.

Official Copy: Any Issuing Office
Retention: 6 years after end of month
Disposition Method: Recycle
Other Copy: Any Receiving Office
Retention: 2 years after end of biennium
Disposition Method: Recycle

Contracts — Purchase, Lease or Rental (UW Record Series:  UW-GS 6)
Agreements for the purchase of goods or services, or the lease/rental of equipment or vehicles. May include local purchase contracts for a group of products or services to be purchased locally over a period of time, equipment maintenance/service agreements and warranties, memorandums of understanding, personal service contracts with individuals or firms for specialized services and State purchase agreements for items or services contracted through the State Division of Purchasing.

Official Copy: Procurement Services
Retention: 6 years after termination of contract
Disposition Method: Recycle
Other Copy: College/School or Department
Retention: 6 years after termination of contract
Disposition Method: Recycle

HUMAN RESOURCES

Personnel Folders — Classified and Professional Staff (UW Record Series: UW-GS 8 )
Comprehensive record of all personnel actions affecting a UW classified or professional staff employee, which includes information which has a reasonable bearing on the efficient and effective management of the UW and provides a basis for employment and post-employment benefits. May include Personnel Request Application for Staff Employment, resumes, letters of reference, Training and Development records, job descriptions, Personal Action Forms, letters of commendation or reprimand, letters of resignation, documentation of State Labor & Industries reimbursements for on-the-job injuries, Additional Compensation-Payroll Payment Authorization Form, etc.

Official Copy: Human Resources Operations
Retention: 50 years after termination of employment
Disposition Method: Shred
Other Copy: College/School or Department
Retention: 3 years after termination of employment with department
Disposition Method: Shred

NOTE: These are records held in UA HR.

Personnel Folders – Hourly, Per Diem, Temporary, and Student Employees (UW Record Series: UW-GS 8 )
Comprehensive record of a department’s employment of an hourly employee. Includes folders for student hourly, work-study, and temporary employees. May include applications, Notices of Temporary Employment, resumes, letters of reference, commendations/reprimands, job descriptions, copies of payroll forms, etc.

Official Copy: College/School or Department
Retention: 3 years after termination of employment with department
Disposition Method: ShredOfficial Copy: Work-Study — work study records only
Retention: 5 years after December 1st of academic year
Disposition Method: Shred
Other Copy: n/a
Retention: n/a
Disposition Method: n/a

Reference Letters (UW Record Series: UW-GS 8 )
Letters of reference prepared by UW employees regarding other current or former UW employees with whom they are acquainted.

Official Copy: Signatory
Retention: 1 year after end of calendar year
Disposition Method: Shred
Other Copy: n/a
Retention: n/a
Disposition Method: n/a

Resumes – Unsolicited (UW Record Series: UW-GS 8 )
A record of inquiries about employment opportunities not specifically related to an open position. May include correspondence, resumes, curriculum vitae, etc.

Official Copy: Receiving Office Retention: 1 year after date of receipt
Disposition Method: Shred
Other Copy: n/a
Retention: n/a
Disposition Method: n/a

Time Records for Classified & Professional Staff (UW Record Series: UW-GS 8 )
Submitted by Classified and Professional Staff to request/report leave and overtime hours.

Official Copy: Any office Retention: 1 year after annual audit
Disposition Method: Shred
Other Copy: n/a
Retention: n/a
Disposition Method: n/a

NOTE: Timesheets are currently on records retention hold and must be kept permanently until further notice.

Time Records for Hourly Staff (UW Record Series: UW-GS 8 )
Departmental source data supporting the Positive Time Report (PTR) sent to Payroll for payment of hourly wages.

Official Copy: Any office Retention: 6 years after end of month
Disposition Method: Shred
Other Copy: n/a
Retention: n/a
Disposition Method: n/a

NOTE:Timesheets are currently on records retention hold and must be kept permanently until further notice.

Time Sheets for Work Study Students (On-Campus Time Sheets) – (UW Record Series: UW-GS 8 )
A signed record of hours worked by students employed under a state or federal work-study program.

Official Copy: Financial Aid OfficeRetention: 3 years after the academic year, and up to the following December 1 for reporting purposes
Disposition Method: Shred
Other Copy: Home Department
Retention: 1 year after end of quartera
Disposition Method: Shred


USEFUL WEB LINKS

Shredding Services: http://f2.washington.edu/fm/recmgt/FAQs/shredding
Vital Record: http://f2.washington.edu/fm/recmgt/managing/vitalrecords
Destruction Log: http://f2.washington.edu/fm/recmgt/sites/default/files/DestructionLog.pdf 
UW Records Retention Schedule: http://f2.washington.edu/fm/recmgt/retentionschedules/gs/general