RECORDS 90.01
Revised 9-20

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   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/Purpose	Location (*Official Copy)	Retention and Disposition Action	Disposition 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Publications (DAN GS 15008; see Public Affairs and Public Disclosure Recs table); Studies (Major) – Final Reports (Unpublished) (DAN GS 10016; see Admin-Exec Lvl Recs table).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