UW Payroll General Records Schedule: Series Descriptions

425 Steenbock Library
550 Babcock Drive
Madison, WI 53706-1201
Phone: (608) 262-5629
FAX: (608) 262-8899
Email: Records Management 

© 1996-2007 by the Regents of the University of Wisconsin.

Last updated:
October 29, 2001

Originally published:
prior to 2001

RDA 9560: Time and Attendance Records

Series of records containing key source documents for time and attendance system collection
including types of leave, work start and stop times, default work schedules and related time and
attendance data. Copies of these forms are also provided for the supervisor and the employe. The employe's copy is the employe's personal property. Retention of the forms is based on FLSA requirements.

OFFICIAL COPY: Paper
Location: Institution Payroll (for UW-Madison: department)
Retention & Disposition: Creation + 5 years and destroy

UWPC PAYROLL: Electronic
No paper copy kept at UWPC; only electronic files after data is input.

WORKING COPY:
Location: Supervisor's copy
Retention & Disposition: Retain until completion of administrative need, not to exceed 1 year and destroy.

RDA 9561: Payroll History Database

This electronic file includes the results of personnel transactions affecting employe's payroll such as hires, transfers, terminations, reclassifications and reallocations.

Files contain data elements for each employee, including appointments, deductions, hours, payroll balances, deduction balances, retroactive adjustments to hours worked, lump-sum pay
adjustments, dollar and hour balance adjustments, refunds, wage assignments and check
cancellations. This electronic file functions as the source for federal and state tax reporting, W-2
production and other year end reports.

The payroll microfiche jacket will contain the following types of information: date of payroll, type of payroll, gross earnings, and deferred items. The jacket will be maintained with the Master Payroll Fiche for 50 years. REVISED: This paragraph was added by the Public Records Board 11/19/97.

OFFICIAL COPY:
Location: Master Fiche /Tape for all UW Institutions maintained by UWPC Payroll. File is
backed up daily, copied to electronic tape every 18 months and the archived data is produced on fiche since its creation in 1988-1989.
Retention & Disposition: Creation + 50 years and destroy.

INSTITUTION COPY: Retain until completion of administrative need, not to exceed 1 year and destroy.

WORKING COPY: Retain until completion of administrative need, not to exceed 1 year and destroy.

RDA 9562: Payroll Master File

This system calculates each employe's gross and net pay amounts and creates a file used to update payroll history records, produce employe paychecks, trailer checks, deduction remittance report to payees (insurance providers, charities, union locals, etc.) and is the basis for data to be vouchered to DETF for insurance deductions.

OFFICIAL COPY:
Location: UWPC Payroll. Electronic file is backed up daily.
Retention & Disposition: Retain until payroll history records are updated and destroy.

INSTITUTION COPY: Some Institutions receive copies of payroll reports tapes or payroll extract tapes that are specific to their respective institutions. Institutions use this information to update their own stand alone information systems. Once the payroll history database (RDA 9561) is updated it is no longer necessary for the information to be retained.

WORKING COPY: None.

RDA 9563: Leave Accounting Master File

Electronic file containing leave transaction data from the payroll data file during the processing of each pay period. The master file contains 12 months of leave transaction data by employe. The file is used to process transactions for current leave usage, sabbatical leave reporting and other long-term leave. Periodically processing programs are run that report annual leave usage, balances, and end-of-year carryover adjustment.

OFFICIAL COPY:
Location: UWPC Payroll. Master file is copied daily, annually the balances are zeroed out and copied to fiche.
Retention & Disposition: Master file - Retain 1 year and destroy. Fiche - Retain 3 years and destroy.

INSTITUTION COPY: Some Institutions receive copies of leave reports that are specific to their respective institutions.
Location: If available, in central file.
Retention & Disposition: Retain 3 years and destroy.

WORKING COPY: None.

RDA 9564: Leave Accounting Paper Output Reports

Paper reports related to time and attendance collection and leave accounting processing functions, including documents used to request and/or report leave by employe to request leave time and/or report leave taken.

This series documents employe report and management authorization for scheduling leave and accounting for type of leave taken. The employe, the supervisor and others may receive copies of this form. Examples of documents are as follows:

• Bi-Weekly Leave Maintenance Reports
• Monthly Departmental Leave Activity Reports
• Annual Departmental Leave Activity Reports
  

OFFICIAL COPY: Paper
Location: Institution Payroll (for UW-Madison: department)
Retention & Disposition: Creation + 5 years and destroy

UWPC PAYROLL: Electronic
No paper copy kept at UWPC; only electronic files after data is input.
Retention & Disposition: Retain 5 years and destroy.

WORKING COPIES:
Location: Supervisor's copy.
Retention & Disposition: Retain until completion of administrative need, not to exceed 1 year, and destroy.

RDA 9565: Wisconsin Retirement System File

Electronic data file is created after each payroll is processed that includes data for each employe, including the employment category, earnings, hours worked and data necessary for monthly and annual WRS reporting.

OFFICIAL COPY:
Location: UWPC Payroll
The electronic file is backed up daily, copied to tape annually and reproduced on fiche at the end of each calendar year.
Retention & Disposition: Creation + 15 years and destroy.

INSTITUTION COPY: None.

WORKING COPY: None.

RDA 9566: PMIS File

The updated file contains certain data extracted from the payroll file and used specifically to update the following other state data systems. PMIS is Personnel Management Information System, a statewide position tracking system for monitoring the number of positions. The state budget office staff use data to monitor and report on positions and for related budgeting purposes.

OFFICIAL COPY:
Location: DOA
Retention & Disposition: Retain the data to provide a machine readable file of each classified pay period.

INSTITUTION COPY:
Location: UWPC Payroll
Retention & Disposition: Copies of data are retained for one payroll period.

WORKING COPY: None

RDA 9567: Routine Withholding Records

Electronic information entered from source documents into deduction files and permanently recorded in payroll history files which are backed up with electronic files and produced on fiche every 18 months. This series includes W 4 and TSA (Tax Sheltered Annuity) files.

OFFICIAL COPY: Electronic
Location: UWPC electronic files
Retention & Disposition: Maintained for 50 years.

INSTITUTION COPY: None.

WORKING COPY: None.

RDA 9568: Routine Withholding Authorizations

Includes copies of withholding authorizations that initiate deductions from an employe's pay amounts. Records in this series are the paper documents used to initiate payroll actions. Examples of documents in this series are:

• Contributions -- Charity/Institutional events
• Financial Institution Deduction Authorizations
• Garnishment Action Notice
• Parking Deduction Authorization
• Van Pool Deduction Authorization
• Wage Assignment Notice

OFFICIAL COPY: Electronic
Location: UWPC electronic file--See Series 9561.

INSTITUTION COPY: (for UW-Madison: department)
Retain until superseded, normally 1-6 pay periods, and destroy.

WORKING COPY: None

RDA 9569: Employe Payroll Case File

Records series includes various documents that are maintained in the institution Payroll office and regularly superseded by updated documents during the employe's term of employment in the institution. Also see Series 9572, covering the case file after the employe leaves the institution. Items in both series include the following items:

Withholding Agreements: Forms filed by employes authorizing withholding of income from paychecks. Records in this series include required withholding agreements, notifying the employer (State) of federal and State income tax withholding allowances; tax sheltered annuity, deferred compensation and savings bond authorizations; and various other voluntary authorizations. Records in this series are used to document withholding agreements and authorizations for each employe.

Institutions may maintain these item altogether in a Payroll Document file or separately for each type of authorization.

Series includes but is not limited to the following agreements:

• Tax Withholding Forms such as: IRS 1001, IRS 8233, W4, Earned Income Credit, WT-4 State Withholding Allowances
• Other Withholding (For a detailed list please consult index.)
• Accidental Death & Dismemberment Application
• Dental Insurance Application
• Direct Deposit Authorization
• Employe Reimbursement Account Enrollment Form
• Savings Bond Deduction Authorization
• Tax Sheltered Annuity Authorization
• Miscellaneous Dues and Deduction Authorization Cards
  

OFFICIAL COPY: Electronic
Location: UWPC electronic file, see record series 9561

INSTITUTION COPY: (for UW-Madison: department)
Retain until Event (Resolved, verified, superseded or between 1-6 pay periods) and destroy.

WORKING COPY: None

RDA 9570: Processing Center Administrative Reports

Series includes various reports generated for the UWPC Payroll to administer the Processing Center System, including but limited to the following:

• Payroll Audit Log
• Payroll Maintenance Control File
• Extract Report

OFFICIAL COPY:
Location: UWPC Payroll
Retention & Disposition: Creation + 2 years and destroy.

INSTITUTION COPY: If copy received, treat as working copy.

WORKING COPIES: Retain until administrative need has been completed, not to exceed 1 year and destroy.

RDA 9571: Processing Center Accounting Documents

Records series consists of reports and correspondence that have fiscal audit values related to transfers of payroll funds. Series documents issues and concerns related to transfer of funds to banks for state payroll, reports that total savings bond deduction totals and other summary accounting reports that provide backup documentation to support the WISMART system. Items in this series include but are not limited to the following:

• Electronic Deposit Correspondence: between Processing Center and banks that deposit employe paychecks through electronic deposit.
• ACH--Automatic Check Transfer--Cancellation Notice:
• Saving Bond Deduction Totals Report: generated bi-weekly from Processing Center system. Report is not distributed outside of Processing Center.
• Saving Bond Payment form used by Processing Center staff to identify the total bi-weekly savings bond payment amount.

OFFICIAL COPY:
Location: UWPC Payroll
Retention & Disposition: Retain 4 years and destroy.

INSTITUTION COPY: (for UW-Madison: department)
If copy received, retain 1 year after employe termination and destroy.

RDA 9572: Terminated Employe Payroll Case File

This records series includes the Institution copy of documents listed in Series 9568 and 9569, that are current at the time of employe termination. After the employe terminates from the particular Institution, the case file is maintained to determine the employe's rights to various benefits. These records are the responsibility of the employing institution. Employes will complete new withholding authorization forms when they move to another Institution. However, records in this series may be used to provide backup documentation of the employe's payroll activities.

OFFICIAL COPY: Paper
Location: Institution Payroll (for UW-Madison: department)
Retention & Disposition: Retain 5 years from date of employee termination and destroy.

WORKING COPIES: Retain until completion of administrative need, not to exceed 1 year and destroy.

RDA 9573: Tax Withholding Reporting Files

Records series includes forms and reports related to employes' federal and state income tax withholding activities and documentation of withholding. Series includes but is not limited to the following forms and reports:.

• Certificate Of Exemption Prepayment Of Taxes
• Employer's Quarterly Federal Tax Return
• Employers Annual Reconciliation Of Wisconsin Income Tax Withheld From Wages
• Federal Bi-Weekly Tax Deposit Coupon
• Federal Income Tax, Social Security, Medicare Bi-Weekly Report
• Form 941 Payment Voucher
• Statement To Correct Information
• Transmittal Of Corrected Income & Tax Amounts
• Undeliverable W-2, W-2C, 1042-S and W-200 forms.
• Wisconsin Tax Deposit Report Coupon

Each Institution is responsible for maintaining records of its employes' tax withholding records. The microfiche in Series 9561 also provides documentation of tax withholding for each employe.

This series also includes MILITARY PAY VOUCHERS that are created for employes.

OFFICIAL COPY: Paper
Location: UWPC Paper
Retention & Disposition: Retain for 7 fiscal years after creation and destroy.
REVISED: Changed from 4 years to 7 years by Public Records Board 11/19/97.

INSTITUTION COPY: None.

WORKING COPIES: None.

RDA 9574: DETF Active Participant Case File Records

Records series covers various application, enrollment and maintenance records that State employes use to participate in various benefit programs administered by the State Department of Employe Trust Funds (DETF). The DETF maintains the official copy of records in this series in the DETF Participant files of the Department, for the duration of an individual's term of employment with the State and for the following periods of time thereafter:

• Event (Death) + 25 years or
• Event (Separation benefit or single sum annuity) + 40 years.

Records in this series document the employe's participation in the Wisconsin Retirement System (WRS), Health insurance, benefits, life insurance, income continuation insurance (ICI) and certain benefit continuation programs. Series includes but is not limited to the following:

• Accumulated Leave Certification
• Approval Notice of Benefits
• Beneficiary Designation
• Benefit Claim
• Continuation Notice
• Death Benefit Information Request
• Election to Reduce Life Insurance Amount
• Employment Application and Statement
• Evidence of Insurability
• Group Life Insurance Coverage
• Health Insurance Application
• Health Insurance Change
• Income Continuance Insurance Application
• Life Insurance Application/Cancellation
• Life Insurance Disability Premium Waiver
• Medical Report - Disability Retirement
• Notice of Death
• Sick Leave Certification
• Sick Leave Escrow Application

The employe also receives copies of many items above for his or her own record.

OFFICIAL COPY:
Location: Department of Employe Trust Funds (DETF) Participant Records
Retention & Disposition: Retain for Event (death) + 25 years or Event (separation benefit or single sum annuity) + 40 years and destroy.

INSTITUTION COPY:
Location: Institution Payroll. (for UW-Madison: department)
Retention & Disposition: Retain most recent benefit forms until superseded and destroy while the individual is employed with the institution. After the employe terminates, the case file is transferred to records Series 9572, Terminated Employee Case File.

WORKING COPIES: Retain until completion of administrative need, not to exceed 1 year and destroy.

RDA 9575: DETF Benefits Reports

Records series includes various benefits reports that list benefits accrued in DETF-administered programs, including the WRS, health, life and ICI Insurances. Series includes but is not limited to the following reports:

• Annuitant Health Insurance Monthly Coverage Report
• Employe Transaction Report
• ERA Adjustment Report
• Group Health Insurance Monthly Additions Report
• Group Health Insurance Monthly Change Report
• Group Health Insurance Monthly Deletions Report
• Group ICI Monthly Premium Report
• Group Life Insurance Collection Report
• Health Insurance Summary Report
• ICI Summary Report
• Monthly Health Insurance Coverage Report
• Monthly Retirement Remittance Report
• Rehired Annuitant Election to Participate in the WRS
• WRS Coverage Detail Report
• WRS Over/Under Payment/Interest Due Report

Institutions receive copies of reports if applicable to employes in their institution.

OFFICIAL COPY:
Location: Department of Employe Trust Funds (DETF)
Retention & Disposition: Creation + 7 years and destroy.

INSTITUTION COPY:
Location: Institution Payroll
Retention & Disposition: Creation + 3 years and destroy.

WORKING COPY: Retain until completion of administrative need, not to exceed 1 year and destroy.

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