UNIVERSITY OF WISCONSIN River Falls

Capital Budget Related Record Series

RDA Number

Record Series Title

Description

Minimum Retention and Disposition

PII

Confidential

Use Case/Example

FAC00002
 
 

Agency Six Year
Facilities Plans 

Official and amended plans submitted by agencies to governing bodies, DOA and the State Building
Commission. State agency file would contain more detail on facility related issues that might not be included in the submitted plan.

Retain 12 years and then
destroy***

CR+12 years and destroy***.

PII-No

Confidential
No

Agency six year plans are published on the DOA Division of State Facilities Web site.

***Any such policy or procedure identified as a publication should be transferred to DPI ‘s
Wisconsin Document
Depository Program per Wis.Stat. 35.83

FAC00003

Master Facility Plans

Long range planning documents for major state facilities or groups of related facilities (i.e. campus master plans)

Retain current plan for the life of the structure (until razed or facility sold). Superseded master plans should be transferred to WHS or UW Archives EVT (Superseded by new plan and then-Transfer to WHS or UW Archives.

PII-No

Confidential
No

DVA 20 year Capital Projects
Master Plan for Veteran’s
Homes. UW Master Facility plans. Many agencies have master plans for large facilities.

FAC00004
 
 

Agency Biennial
Capital Budget
Request

Official capital budget request for those state agencies that operate facilities. 

Retain 6 years after date of submittal and then destroy

EVT+6 yearsdestroy.

PII-No

Confidential
No

 

FAC00005

DSF analysis of
Agency Capital
Budget Requests-
DOA only

Analysis on behalf of the State Building Commission of agency request.

Retain 4 years and then destroy.

CR+4 yearsdestroy

PII-No

Confidential
No

 

FAC00006

Sales of Facilities and
or Land (Case Files)
 
Includes appraisals and related valuations.

Projects where the state plans or actually sells either facilities and or land assets. SBC and Joint Finance Committee must approve the sale of state land and facilities.

Retain for 6 years after (event) the date of the completion of the transaction and
then destroy

EVT+6 yearsdestroy

PII-No

Confidential
No

Sale of Thornton Ave. DOA owned facility and land. 

FAC00007
 
 

Receipt by Gift of
Facilities and or Land 
(Case Files)
 

Projects where land and or buildings are being gifted to a state agency. SBC approval is required prior to acceptance of buildings and or land gifted to an agency

Retain for the life of the structure (until razed or facility sold) and then transfer to
WHS or UW
Archives
EVT (Life ofStructure)- and then transfer to WHS or UW Archives

PII-No

Confidential
No

 

FAC00008

Concept and Budget Reports 

An architect or engineering firm is typically retained to perform planning and design work associated with each building project. Both the agency(ies) occupying the facility being designed as well as DOA Facilities would have official copies of these completed reports along with the private sector A/E firm hired to perform the work.

Retain 10 years after (event) the date the project is completed or
project concept is abandoned and then destroy.

EVT +10 yearsdestroy

PII-No

Confidential
No

Exception: Prisons. Secure
facilities – destroy confidential

 

FAC00009
 
 

Environmental
Assessment &Impact
Statements

Official copies of environmental assessments, impact statements and related documentation related to state construction projects. May include: -Environmental Assessment reports and drafts
-Environmental impact statements
(draft and final)
-Legal notices
-Comments from the public , DNR and others
-Related correspondence and
supporting materials

The records are kept to document compliance with the Wis.
Environmental Policy Act of 1972 and also kept as reference material for interested /concerned agencies, agency staff and public citizens.

Retain for the life of state ownership of the land plus 6 years and then transfer to WHS or UW Archives.

EVT+6 years and then transfer to
WHS or UW
Archives.

PII-No

Confidential-
No

 

FAC00010

Cultural Resource
Review Records – Archaeological &
Historic Site Case File
 

Under s. 44.40, Wis. Stats., in the course of managing state owned lands, state agencies are required to identify known cultural resources that may be impacted by its actions. If a known archaeological site is present or if an archaeological survey has been conducted to check for archaeological remains this category would be used. Records in this series may include the following:   

(Archaeological survey reports  Information on documented archaeological sites Information on documented historic structures) 

NOTE: Other copies of results of cultural resource reviews may also be filed in other records series.

Retain for 10 years after the property or site is transferred or sold and then transfer to the WHS or UW Archives. EVT+10 years and transfer to WHS or UW Archives.

PII-No

Confidential-
No

 

FAC00011

Construction Project
File-

All documents pertaining to project file including, design and construction contracts, proposed and approved amendments to all contracts, bidding plans and specifications, details on materials used on each project, status reports by state staff who supervise construction, concerns of future tenants of facility and all other related project materials.

Retain for 10 years after (event) the date the construction project is closed and then destroy. EVT+10 yearsdestroy
confidential

Construction projects are typically closed
several months after the project is completed.

PII-No

Confidential
Yes

Wis. Stat.
19.36(9)

DOA Facilities maintains a central construction file with a unique identification numbers for each construction project. This file contains both programmatic and financial information.

Note: Current DOA
RDA#0094 with the same retention/disposition covers these records in DOA.

FAC00012
 

Construction Project
File-Historically
Significant Facilities

Same description as above.

Note: The designated historic preservation officer may purge nonprogrammatic records in the construction project file per approved retention policies.

Retain for the life of the structure (until razed or facility sold) and
then transfer to
WHS or UW
Archives.

EVT (Life of Structure)Transfer to WHS or UW Archives

PII-No

Confidential
Yes

Wis. Stat.
19.36(9)

State Capital, Executive
Residence, 1 West Wilson Street, Madison; other state owned facilities on the National Register of Historic
Buildings

FAC00013
 
 

Asbestos and Hazardous Material and Environmental
Remediation Case
File

Project files on asbestos abatement and hazardous materials and environmental remediation projects at state owned buildings. 

OSHA 29CFR 1926.1101 governs asbestos abatement projects. The records include medical surveillance records for certain people who wear protective equipment performing asbestos abatement work.

Retain for 30 years after the completion of the project and then destroy confidential.

EVT+30 yearsdestroy

PII-
Yes

Confidential Yes for those portions of the files that contain medical
records

Wis. Stat. 146.82defines patient health care records as confidential

Note: Current DOA RDA #168 with the same retention/disposition covers these records in DOA.

FAC00014

Unsuccessful Bids and Unsolicited
Proposals

Bids and proposals from either developers or construction firms for building construction.

Retain 4 years after the (event) date the bid is awarded and then destroy.

EVT+4-years destroy.

PII-No

Confidential
No

Note. Currently DOA
Facilities keeps these records in the construction project file. For non-facility related bids follow the State Purchasing and Procurement General Records Schedule.  

FAC00015
 

As-Built Plans and
Original Building
Drawings  for
Completed
Construction Projects

Final as-built plans and original building drawings for state-owned facilities. 

Retain for the life of the structure (until razed or facility sold) and
then transfer to
WHS or UW
Archives.

EVT (Life of
Structure)Transfer to WHS or UW Archives.

PII-No

Confidential
Yes

Wis. Stat.
19.36(9)

DOA RDA#0096 with this retention covers these records for DOA. This category would also cover agency records if so maintained.

FAC00016

Land Titles,
Conveyances and
Easements
 
(Also restrictions related to use of specific parcels)

Documentation for state owned land. Also includes any legal rights granted to others that relate to state owned land. These records are maintained by DOA, various state agencies with delegated authority to hold title to state lands and or the Office of the Secretary of State. Because of potential liability for environmental damage even after ownership is transferred land ownership records may need to be retained even after property is sold. Administrative issue A question was raised as to how best to manage land records of property that has been sold. Should these records be managed by DOA, the state agency or both?

Retain
permanently


Permanent

PII-No

Confidential
No

UW Systems Administration,
DOT, DNR and the Board of
Commissioners of Public Lands each have program related authority related to land ownership. Each of these agencies may be able to Use this RDA.

FAC00017
 
 

State Building
Commission Meeting
Agendas and Minutes

All facility related decisions must be approved by the State Building Commission. The minutes include formal approval of each biennial capital budget. The DOA Division of State Facilities staffs the Commission. 

Retain for 30 years and then transfer to WHS.

CR+30 years-
Transfer to WHS.

PII-No

Confidential
No

These agendas and meeting minutes are published on the DOA Division of State Facilities Web site.

Note: DOA RDA#00231 with this retention covers these records for DOA.

FAC00018

State Capital and
Executive Residence
Board Meeting
Minutes and Agendas

All facility related decisions impacting the State Capital and Executive Residence must be approved by this Committee. This series contains the agendas, meeting minutes and related documents for this board. The DOA Division of State Facilities staffs the Commission.

Retain for 30 years and then transfer to WHS.

CR+30 years-
Transfer to WHS.

PII-No

Confidential
No

Note: This would replace Current RDA’s#383 and 383A for this Board.

FAC00019

DOA Lease FileApproval of Major
Agency Leases-
 
See below for agency leases

DOA maintains a lease file for each state agency lease. SBC approval is required for leases if any of the following apply:
-the leased space equals or exceeds
10,000 GSF
-the lease has a term that exceeds 5 years, excluding renewal options-if the proposed lease space requires construction of a new building. Source: Introduction to State Building
Commission DOA DSF
January 2003

Retain 6 years after (event) expiration of the
lease or final payment, whichever is later and then destroy.

EVT+6 yearsdestroy

PII-No

Confidential
No

 

FAC00020

Approval of State
Rental Rates ( For 
DOA owned and managed Facilities)

File contains calculations, DSF recommendation and SBC approval of rental rates. File also includes
communications between DOA and tenant agencies.

SBC approval is required for rates charged internally to state agencies for various classes of office, laboratory and storage space. A space rental account manages the amount of space allocated to each agency and the related billings. 

Retain for the current fiscal year and 6 back fiscal years and then destroy 

FIS+6 yearsdestroy

PII-No

Confidential
No

 

FAC00021

Bond Sales /Legal
Documents (Case
Files)

This is a single depository of all state general and revenue obligation debt. Includes original debt contracts and working files. Documents include but are not limited to:
Operating notes; master lease certificate of participations; public offering documents; veterans and transportation bonds; and working files.

IRS rules require that these records be retained for 4 years after each bond maturity. Text from existing DOA RDA 24.  

Retain for 4 years after the date of maturity of each bond .and then destroy

EVT+4 yearsdestroy

PII-No

Confidential
No

.

FAC00022

Master Leases case Files-Agency requests and DOA approvals

A type of long term obligation that does not involve the issuance of bonds and is not considered GO debt. The state maintains various financing options for items that are master leased. State agencies submit requests to DOA for approval. DOA’s review addresses lease financing as an alternative for acquiring the equipment and that the state agency has identified the resources to make the required lease payments.

Retain 6 years after (event) expiration of the
lease or final payment, whichever is later and then destroy.

EVT+6 yearsdestroy

PII-No

Confidential
No

From a Capital Finance perspective this series would only be used by agencies. The files from DOA that relate to requests and approvals are filed with master lease schedule files.

 FAC00023

Master Lease Schedules-DOA 

Files and documents relating to master lease schedules that are added to the master lease for the state's master lease program. This includes, but is not limited to, approvals acceptance certificates, lease schedules, legal opinion, copies of invoices and other items related to assignment of security interest. 

Retain 15 years after (event)  final payment, and then destroy   EVT+15 yearsdestroy

PII-No

Confidential No


FAC00024

Strategic/Business/O perational PlansRelated to State Facilities

Consultant or state prepared plans related to state facilities.

Retain master copy and essential background documentation for 6 years after the plan is completed, superseded or revised and then transfer to WHS or UW Archives.   EVT+6 yearstransfer to WHS or UW Archives

PII-No

Confidential No

Example: Arthur Anderson study Note: DSF would establish a project case file for work associated with any such plan and the records classified as if they were a construction project. 

FAC00025

Inventories of State
Facilities and Land
Assets

Inventories of state facilities and land assets developed and maintained for valuation and planning purposes. 

Retain completed inventory for the current fiscal year and 4 complete back fiscal years and then destroy.

FIS+4 years and then destroy

PII-No

Confidential
No

This RDA complements the existing RDA for Capital
Equipment inventoriesRDA900000110 in the Fiscal and Accounting GRS.

FAC00026

Appraisals-Land and or Structures not
Obtained 

Appraisals either performed by or on behalf of state agencies.

Appraisals of land and or structures purchased would be retained in one of the above categories.

Retain 3 years after date of appraisal acceptance and then destroy.

EVT+3 yearsdestroy

PII-No

Confidential
No