Office of Procedures, Records, and Forms Business Policies and Procedures Manual

RECORDS 90.01
Revised 9-20

For more information contact:
   Procedures, Records, and Forms
   509-335-2005

All-University Records Retention Schedules

Research and Sponsored Projects Records

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Record Series Title—Function/PurposeLocation
(*Official Copy)
Retention and Disposition ActionDisposition Authority No.Remarks
COST SHARING EFFORT INQUIRY REQUEST (WSU 1288)
Provides information concerning employees who are anticipated to contribute effort toward cost-sharing obligations of sponsored projects. Used for data collection and entry into the effort certification system.
Sponsored Programs Services*Retain until
data entered and verified,
then destroy.
11-12-63429
COST SHARING EFFORT INQUIRY REQUEST (WSU 1288)
(secondary copy)
Department
(reference copy)
Retain until
admin. purpose served,
then destroy.
Secondary copy under
11-12-63429
EXPORT CONTROL RECORDS
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.
Office of Research Assurances*
OR
Department*
Retain for 5 years after termination of funding period,
then destroy.
20-08-69552
GRANTS RECEIVED BY THE UNIVERSITY
Records relating to grant projects and funds received and expended by the University, including any continuous grants. Includes, but is not limited to:
  • Requests for Proposals (RFPs), University application;

  • Notifications of grant awards, fiscal reports and supporting documentation;

  • Grant monitoring, audit reports, status reports, compliance reports;

  • Time keeping/time and effort reports and supporting documentation (if required);

  • Modification requests, progress and status reports;

  • Related correspondence/communications.


Excludes final deliverables/reports covered by:
  • State Publications (DAN GS 15008; see Public Affairs and Public Disclosure Recs table);

  • Studies (Major) – Final Reports (Unpublished) (DAN GS 10016; see Admin-Exec Lvl Recs table).

  • State Note: If federal retention requirements are shorter than 6 years, the records must still be retained for the minimum 6 years after end of grant period/cycle to satisfy state requirements.


WSU NOTES:
  • When the department retains an original of an expenditure document; e.g., purchasing card receipt, time or leave report; the department is responsible for ensuring that the document is retained for either the stated cutoff and retention period for the records series (e.g., fiscal year plus 6 yrs.; termination of employment plus 6 yrs.), OR the end of the grant period plus 6 yrs., OR the end of the grant period plus the retention period required by the grant agreement, whichever is longer.

  • ** Retain all grant documentation for end of grant period plus 6 yrs. OR end of the grant period plus the retention period required by the grant agreement, whichever is longer.

  • Regarding time/effort records: For federal awards issued prior to Dec. 26 2014, refer to Office of Management and Budget (OMB) Circular A-21. For federal awards issued on or after Dec. 26, 2014, refer to the Code of Federal Regulations, Title 2, Part 200 (2 CFR 200).

Sponsored Programs Services*
OR
Department*
Retain for 6 years after
end of funding period/
grant cycle
AND
completion of all grant requirements for that cycle (such as federal retention requirements, submission of financial status report, etc.),then destroy, except as noted.
GS 23004
Rev. 1
Essential
GRANTS RECEIVED BY THE UNIVERSITY
(secondary copy)
Department or ORSO
(reference copy)
Retain until
admin. purpose served,
then destroy
Secondary copy under GS 23004
Rev. 1
GRANTS RECEIVED BY THE UNIVERSITY -- UNSUCCESSFUL APPLICATIONS
Records relating to unsuccessful grant applications made by the University to grant-issuing entities.
ORSO*
OR
Department*
Retain until
no longer needed for
University business,
then destroy.
GS 23006
GRANTS RECEIVED BY THE UNIVERSITY -- UNSUCCESSFUL APPLICATIONS
(secondary copy)
Principal Investigator;
Department
(reference copy)
Retain until admin. purpose served,
then destroy.
Secondary copy
under GS 23006
LABORATORY NOTEBOOKS (OR EQUIVALENT RECORDS)–PATENT ISSUED
Provides a record of laboratory notebooks or equivalent records that support patents in which the University has an ownership interest.
Principal Investigator*Retain for 23 years after
patent issued,
then destroy.
10-02-62201
LABORATORY NOTEBOOKS (OR EQUIVALENT RECORDS)–PATENT ISSUED
(secondary copy)
Department
(secondary copy)
Retain for 23 years after
patent issued,
then destroy.
Secondary copy under
10-02-62201
RESEARCH DATA
Provides a record of compiled research data gathered during the course of a research project, regardless of whether or not funded by a grant or contract. May include data collection and evaluation, instruments, statistics, questionnaires and similar materials.

NOTE: This records series does not cover records of research that results in protectable intellectual property to which the University may have an ownership interest. (See DAN 10-02-62202, DAN 10-02-62201, and DAN 10-02-62200.)
Principal Investigator*Retain for 3 years after
project completion,
then destroy.
11-12-63435
RESEARCH DATA
(secondary copy)
Department
(secondary copy)
Retain for 3 years after
project completion,
then destroy.
Secondary copy under
11-12-63435
RESEARCH DATA–POTENTIAL PROTECTABLE INTELLECTUAL PROPERTY (PATENT APPLICATION DENIED)
Provides a record of compiled research data gathered during the course of a research project that may result in protectable intellectual property to which the University may have an ownership interest, regardless of whether or not the project is funded by a grant or contract, and for which the patent application was denied. May include data collection and evaluation, instruments, statistics, questionnaires and similar materials.

NOTE: If a patent application is reviewed again prior to the end of the retention period and a patent is then issued, retention of the research data moves to "Research Data–Protectable Intellectual Property (Patent Issued)" [DAN 10-02-62200) and retention of the laboratory notebooks (or equivalent records) is moved to "Laboratory Notebooks–Patent Issued" [DAN 10-02-62201].
Principal Investigator*Retain for 6 years after
patent application denied,
then destroy.
10-02-62202
RESEARCH DATA–POTENTIAL PROTECTABLE INTELLECTUAL PROPERTY (PATENT APPLICATION DENIED)
(secondary copy)
Department
(secondary copy)
Retain for 6 years after
patent application denied,
then destroy.
Secondary copy under
10-02-62202
RESEARCH DATA–PROTECTABLE INTELLECTUAL PROPERTY (PATENT ISSUED)
Provides a record of compiled research data gathered during the course of a research project that results in protectable intellectual property to which the University may have an ownership interest, regardless of whether or not the project is funded by a grant or contract. May include data collection and evaluation, instruments, statistics, questionnaires and similar materials.

NOTE: If a patent is issued, retention of the laboratory notebooks (or equivalent records) is moved to the records series titled "Laboratory Notebooks–Patent Issued" [DAN 10-02-62201].
Principal Investigator*Retain for 6 years after
patent issued,
then destroy.
10-02-62200
RESEARCH DATA–PROTECTABLE INTELLECTUAL PROPERTY (PATENT ISSUED)
(secondary copy)
Department
(secondary copy)
Retain for 6 years after
patent issued,
then destroy.
Secondary copy under
10-02-62200
SPONSORED PROJECT ALLOCATION NOTICE
Informs investigators and departments of object allocations and other accounting information regarding grants and contracts.
Dean/Department*Retain until
receipt of notice,
then destroy.
11-12-63438
UNFUNDED PROPOSAL FILE
Provides a record of research proposals sent to sponsors and currently unfunded.
Department*Retain for 2 years after
end of fiscal year,
then destroy.
11-12-63439