UNIVERSITY OF WISCONSIN River Falls

Biennial Budget Development and Implementation

RDA Number: BUD00002 Both DOA and State Agencies

Previous RDA Number : BUDG001

Record Series Title: Budget Director File

Description:These documents pertain to the Budget Director's records including memoranda, reports, directives, etc. documenting all activities of the State Budget Office and/or Agency Central Budget Office. This series also includes the correspondence files and annual reports within the Director's possession.

Minimum Retention and Disposition: FIS + 6 years and then transfer to the Wisconsin Historical Society or applicable UW Archives.obsolete

PLL: No

Confidential: No

Use Case/Example:The Budget Director File is the main file within the State Budget Office and in state agencies in which many official materials are maintained. It represents the location of the bulk of the policy documents and further information pertaining to the Biennial Budget process.

RDA Number: BUD00003 Department of Revenue (DOR) only

Previous RDA Number : New

Record Series Title:Biennial Revenue Estimates

Discription:Report prepared by DOR on actual and estimated revenues for the current and forthcoming biennium required by Wis. Stat. 16.43.

Minimum Retention and Disposition: FIS + 6 years and then transfer to the Wisconsin Historical Society

PLL: No

Confidential: No

Use Case/Example:This is part of the subject files for the DOR Division of Research and Analysis. The LFB also does biennial revenue estimates which are published on their website.

RDA Number: BUD00004 Both State Budget Office within DOA (SBO) and State Agencies

Previous RDA Number : BUDG002

Record Series Title: Program Revenue Supplements and Positions

Description:Records include requests under s. 16.515, Wisconsin Statutes, for supplements to existing program revenue and certain appropriations and requests under s. 16.505(2) for program revenue requests.This series also contains agency requests and justifications, as well as the analysis of Department of Administration budget analysts, along with recommendations.

Minimum Retention and Disposition: FIS + 6 years and then transfer to the Wisconsin Historical Society or applicable UW Archives.

PLL: No

Confidential: No

Use Case/Example: N/A

RDA Number: BUD00005 SBO only

Previous RDA Number : BUDG003

Record Series Title: Federal Funds Reports

Description:Records include reports by the Department of Administration as required under s. 16.54(8) on federal funds allotted in excess of those approved in the biennial budget process. These reports contain the specific agency name, alpha appropriation, dollar increase over authorized amount and also an explanation of the increase.

Minimum Retention and Disposition: FIS + 2 years and then destroy

PLL: No

Confidential: No

Use Case/Example:N/A

RDA Number: BUD00006 Both SBO and State Agencies

Previous RDA Number :BUDG004

Record Series Title:Budget Documents/Developments

Description:Records include budget papers used in the preparation of the biennial budget documents under s. 16.46, Wisconsin Statutes.

Records also include:

  • final agency requests (forms or their equivalents)
  • justifications/analyseso policy papers (from the Department of Administration and the Legislative Fiscal Bureau)
  • statutory language proposal drafted by the Legislative Reference Bureau
  • related correspondence
  • requests for information and final agency responses for policy clarifications and/or
  • requests for information to and from agency staff and/SBO and LFB analystsSee

Division Biennial Requests for those Decision Items (DINs) that were requested but did not make it into the final agency biennial budget submittal.

Minimum Retention and Disposition: FIS + 6 years and then destroy

PLL: No

Confidential: No

Use Case/Example: May include comments from public hearings if Governor does these hearings as part of the biennial budget development. Also includes agency head presentation to Joint Finance Committee on the agency budget request. Intent is for this category to have policy-related documents and not the actual numbers which are maintained in other record series.

RDA Number: BUD00007 SBO only

Previous RDA Number : BUDG005

Record Series Title: Employee/Position Report File -Quarterly DOA Report to JFC on the Total Authorized Positions for Each State Agency

Description:Records include reports generated as a spin-off of running central payroll in the Department of Administration. Each pay period reflects the number of employees by type, amount of hours paid and total payroll.Series also contains monthly reports to the Governor on the number of full-time equivalent positions by source and the number of all state employees by types (i.e. unclassified, classified, limited-term employee, project, etc.)

Minimum Retention and Disposition:FIS + 6 years and then transfer to the Wisconsin Historical Society

PLL: No

Confidential: No

Use Case/Example: N/A

RDA Number: BUD00008 SBO only

Previous RDA Number : BUDG007

Record Series Title: Chapter 20 History (Interim and Final)

Description:Records include interim and final Chapter 20 schedule of the Wisconsin Statutes reflecting updates at various times of the legislative session as required by s. 20.004(2). The History starts with agency requests at the appropriation level with subsequent entries for the Governor's recommendations and individual decision item entries through all miscellaneous legislation.

Minimum Retention and Disposition: FIS + 20 years and then destroy

PLL: No

Confidential: No

Use Case/Example:N/A

RDA Number: BUD00009 SBO only

Previous RDA Number : BUDG008-A

Record Series Title: Input and Documentation for Position Control (PMIS) per Wis. Stat. 16.004(7)See overview of PMIS attached to this document

Description:Records include forms used by agencies when requesting new positions under s. 16.505(1)(c) and (2), Wisconsin Statutes, and completed by the State Budget Office to inform agencies of new positions approved by the Joint Committee on Finance through the budget process or through miscellaneous legislation. Series also includes forms used to change the information on positions on the file and to delete positions.

Minimum Retention and Disposition: FIS + 10 years and then destroy

PLL: No

Confidential: No

Use Case/Example: N/A

RDA Number: BUD00010 Both SBO and State Agencies

Previous RDA Number : BUDG008-B

Record Series Title:Position Listings (B-1's)

Description:The purpose of this record series is to provide detailed position reports that do the full salary funding calculation under standard budget adjustments.Records also include position by position listing of all authorized permanent and project positions on PMIS, the position number and classification of each position, the B-2 numeric appropriation under which each position is authorized, the program sub-unit of the agency in which the position is authorized, and the subtotal information.

Minimum Retention and Disposition:FIS + 6 years and then destroy

PLL: No

Confidential: No

Use Case/Example:N/A

RDA Number: BUD00011 Both SBO and State Agencies

Previous RDA Number : BUDG010

Record Series Title: Original Source Documents used for Budget-Related Research

Description Records include original source documents developed by budget analysts for studies, reports, surveys to compare Wisconsin with other peer states.Files contain data created for issues which are ongoing and, therefore will be used again in the future to update the studies, reports, surveys, etc.

Minimum Retention and Disposition: FIS + 6 years and then transfer to the Wisconsin Historical Society or applicable UW Archives.

PLL: No

Confidential: No

Use Case/Example:Research materials obtained from external sources are reference materials and not subject to Wisconsin Records Laws.

RDA Number: BUD00012 SBO only

Previous RDA Number : BUDG011

Record Series Title: Executive Biennial Budget

Description:Per Wis. Stat. 16.45, the Governor is required to deliver the biennial budget message to the legislature on or before the last Tuesday in January of the odd numbered year. Later submittal dates may be allowed by the Legislature.These materials are created each biennium to provide reference and supporting material to those reviewing the Biennial Budget.Record series includes Budget Message, Summary of Tax Exempt Devices, Executive Budgets, Budget in Brief, Budget in Very Brief.

Minimum Retention and Disposition:FIS + 6 years and then transfer to the Wisconsin Historical Society

PLL: No

Confidential: No

Use Case/Example:Agency copies are for reference only.Legislative Fiscal Bureau documents are reference.

RDA Number: BUD00013 SBO only

Previous RDA Number : BUDG013

Record Series Title: Executive Budget Veto Messages

Description:Records include various provision vetoes pertaining to budgets by the Governor and brief messages as to why they were being vetoed. These records also include specific language detailing the reasons for vetoing certain issues and supporting analysis and conclusions.

Minimum Retention and Disposition: FIS + 6 years and then transfer to the Wisconsin Historical Society

PLL: No

Confidential: No

Use Case/Example:Agency copies are for reference only.Legislative Fiscal Bureau documents are reference.

RDA Number: BUD00014 SBO only

Previous RDA Number : BUDG016

Record Series Title: Executive Budget and Veto Briefing Documents

Description:Records include documents used by analysts to prepare the Biennial Budget including statistics, background documents, and spreadsheets.For veto briefings, these records allow analysts to make recommendations to the Governor on vetoing a certain item within the budget based on facts and statistics.

Minimum Retention and Disposition: FIS + 6 years and then destroy

PLL: No

Confidential: Yes, Confidential until budget is publically released (DOA Legal Counsel opinion)

Use Case/Example: N/A

RDA Number: BUD00015 State Agencies only

Previous RDA Number : BUDG032

Record Series Title: Agency Proposed Vetoes

Description:FIS + 6 years and then destroy

Minimum Retention and Disposition: Event + 7 years and then destroy Event is the date the policy or procedure is superseded or made obsolete

PLL: No

Confidential: No

Use Case/Example:N/A

RDA Number: BUD00016 SBO only

Previous RDA Number : BUDG020

Record Series Title: Critical Payroll(Bi-Weekly Payroll Detail)

Description:Records include bi-weekly listings of payrolls and salaries of employees for determining amounts of expenditures allotted to payrolls.These records constitute an important component in determining the amount of funds requested for payrolls.

Minimum Retention and Disposition: FIS + 2 years and then destroy

PLL: NoDue to use in budget-ing; other-wise would be Yes

Confidential: Yes

Use Case/Example:Used for research purposes. Series is maintained by the Central Payroll Unit for Creation + 15 years per PAY00016, Payroll/Leave History reports.

RDA Number: BUD00017 SBO only

Previous RDA Number : BUDG021

Record Series Title: November 20 Report

Description:The DOA Secretary is required per Wis. Stat. 16.43 to provide to the Governor or Governor Elect and to each member of the next Legislature by November 20 of each even numbered year a compilation of each agency's biennial budget request, as well as information on the actual and estimated revenues for the current and forthcoming biennium.See record series titled DOR Biennial Revenue Estimates for the revenue component of the November 20th report.

Minimum Retention and Disposition: FIS + 6 years and then transfer to the Wisconsin Historical Society

PLL: No

Confidential: No

Use Case/Example: N/A

RDA Number: BUD00018 Both SBO and State Agencies

Previous RDA Number : BUDG024

Record Series Title: Decision Item Narrative Background Documents

Description: Records contain final briefing papers, spreadsheets with statistics and calculations, research materials and supporting documents relating to DINs. DINs are also developed for proposed statutory language changes without fiscal consequences.

Minimum Retention and Disposition: FIS + 6 years and then destroy

PLL: No

Confidential: No

Use Case/Example:

RDA Number: BUD00019 Both SBO and State Agencies

Previous RDA Number : BUDG025

Record Series Title: Decision Item Narratives - (DINs) All Types

Description:These records present succinct summaries of the need, options, and proposed solution beginning with a brief one or two sentence summary.These records are designed to give a description of the decision item such as building operations, additional financial positions, increased LTE funds, ongoing capital equipment needs and technical position consolidation.DINs are also developed for proposed statutory language changes without fiscal consequences.Records include worksheets, spreadsheets, schedules, and any other information pertaining to the reconciliation process of the biennial budget.

Minimum Retention and Disposition: FIS + 6 years and then destroy

PLL: No

Confidential: No

Use Case/Example:DINs for proposals added by the Governor and not proposed by an agency are developed by SBO analysts. DINs proposed by the agency that are not included in the agency request are maintained as part of the Division Budget Request series.

RDA Number: BUD00020 Both SBO and State Agencies

Previous RDA Number : BUDG026

Record Series Title: Base Reconciliation (B-9's)

Description:This is the starting point of the biennial budget process. Records contain summaries of expenditure items including permanent and project position salaries, fringe benefits, supplies and services, permanent properties, non-allotted reserves, as well as the adjusted base year level of funds associated with each item.

Minimum Retention and Disposition: FIS + 6 years and then destroy

PLL: No

Confidential: No

Use Case/Example:N/A

RDA Number: BUD00021 Both SBO and State Agencies

Previous RDA Number : BUDG028

Record Series Title:Department Biennial Budget Submission including all DINs Approved by the Agency Head

Description:Wis. Stat. 16.42 specifies that agency budget requests are to be submitted to the State Budget Office no later than September 15th of each even numbered year. This document represents many forms or their equivalents within the agency budget office and effectively details the Biennial Budget process.This record also encompasses a large group of important components such as the Agency Budget Request (B-2), Revenue Projections/Balance Statement (B-3), Title Final Details Listing and Department Appropriation Structure File Maintenance (B-5/B-6), Department Summaries Form (B-7), Program Summaries Form (B-8), and the Position Changes and Salary Documentation Worksheet (B-10), which are used by budget analysts to submit their

Minimum Retention and Disposition: FIS + 6 years and then destroy

PLL: No

Confidential: No

Use Case/Example: N/A

RDA Number: BUD00022 State Agencies only

Previous RDA Number : BUDG029

Record Series Title: External Briefing Documents

Description:Records include materials prepared by budget staff to brief decision-makers outside the agency on initiatives contained in the biennial budget. May include issue papers, summaries, correspondence, briefings and other information.

Minimum Retention and Disposition: FIS + 6 years and then destroy

PLL: No

Confidential: No

Use Case/Example:N/A

RDA Number: BUD00023 State Agencies only

Previous RDA Number : BUDG037

Record Series Title: Policies and Procedures Related to Budgeting Revenue Re-Estimates for Reconciliation of Program Revenue Appropriationsd policies and high-level procedures associated with budget functions (both bi-annual and annual operating budgets) issued by the State Budget Office and Agency Central Budget Office.

Description: The agency central budget office is in charge of reconciling the budget to ensure that expenditures do not exceed revenues. During this reconciliation process, certain records are used to form the base on which the Biennial Budget is built. Revenue Re-Estimates are those background papers which further detail the amount of revenues flowing into the agency to ensure correctness.These records include correspondence, general purpose revenue earned estimates, and analysis of revenues collected by the agency.

Minimum Retention and Disposition: FIS + 6 years and then destroy

PLL: No

Confidential: No

Use Case/Example: N/A

RDA Number: BUD00024 State Agencies only

Previous RDA Number : BUDG040

Record Series Title: Agency Final Budget Submittal to Oversight Board

Description:This record represents the submission of the budget to the Oversight Policy Board. Series includes summaries of all divisions that exist within the agency and also details what amounts of funds should be allocated to each of the divisions in the upcoming Biennial Budget.

Minimum Retention and Disposition:FIS + 6 years and then destroy

PLL: No

Confidential: No

Use Case/Example:Applies only to those agencies with policy boards which review and approve biennial budget requests before submittal to the SBO.

Note: This type of record will not be common to all state agencies. The Natural Resources Board and the UW System Board of Regents will have these types of records.

RDA Number: BUD00025 State Agencies only

Previous RDA Number : BUDG041

Record Series Title:Division Biennial Budget Requests

Description:This series includes the final division biennial budget request and related final DINs by divisions for consideration by the agency head for inclusion in the agency budget submittal to DOA.Completed final analysis by the agency budget staff would be part of Budget/Documents Development RDA, BUD006.

Minimum Retention and Disposition: FIS + 5 years and then destroy

PLL: No

Confidential: No

Use Case/Example:Includes DINs proposed by divisions that did not make it into the agency submitted biennial budget request.