All-University Records Retention Schedules
Research and Sponsored Project Records
Record Series Title—Function/Purpose | Location (*Official Copy) | Retention and Disposition Action | Disposition Authority No. | Remarks |
---|---|---|---|---|
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:
| 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 | |
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 |