All-University Records Retention Schedules

Research and Sponsored Project Records

Record Series Title—Function/PurposeLocation
(*Official Copy)		Retention and Disposition ActionDisposition 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:

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  • Studies (Major) – Final Reports (Unpublished) (DAN GS 10016; see Admin-Exec Lvl Recs table).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