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General Records Retention Schedule
Research and Grant/Contract Records
UW-GS 7
(Revised) August 2007 (Printer version
here)
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Administration Records for Grants/Contracts
-- Awarded: A
record of awarded grant or contract. May include Request for Approval
of Application for Grant or Contract, Proposal for Grant or
Contract, award letter/notice, agreements (including supplements or
amendments), Notice to Establish Account, correspondence, final
equipment inventory, project/planning files, etc.
Official Copy: Office of Sponsored Programs
Retention: 6 years after final termination of
grant/contract
Disposition Method: Transfer to Archives for review
Official Copy: Equipment Inventory Office -- final equipment
inventory
Retention: 6 years after life of equipment
Disposition Method: Recycle
Other Copy: College/School or Department
Retention: 3 years after final termination of grant/contract
Disposition Method: Transfer to Archives for review
Applications for Grants/Contracts -- Denied: A record of
proposals
that have been denied funding. May include Proposal for Grant or
Contract, Request for Approval of Application for Grant or Contract,
correspondence, notes, project/planning files, etc.
Official Copy: Office of Sponsored Programs
Retention: 1 year after end of month in which denial letter
is received
Disposition Method: Shred
Other Copy: College/School or Department
Retention: 1 year after end of month in which denial letter
is received
Disposition Method: Shred
Applications for Grants/Contracts -- Not Confirmed: A record of
grant and contract proposals for which no award decision has been made by
a funding agency. May include Proposal for Grant or Contract, Request
for Approval of Application for Grant or Contract, correspondence, notes,
etc.
Official Copy: Office of Sponsored Programs
Retention: 3 years after date of GC-1 receipt
Disposition Method: Shred
Other Copy: College/School or Department
Retention: 2 years after submittal
Disposition Method: Shred
Applications for Internal (UW) Research Support Funds -- Awarded:
A record of proposals for faculty and student research support awarded
from funds established within a School or department. May include
applications for funding from the Graduate School Research Fund, Royalty
Research Fund, departmental research funds, etc. Funds may support
research, interdisciplinary programs, honoraria, faculty and student
travel, equipment, recruitment of graduate students, co-sponsorship of
conferences, publication subsidies, etc. May include
applications, proposals, correspondence, project/planning files, etc.
Official Copy: College/School or Department Distributing Internal Research Funds
Retention: 6 years after termination of project funded by award
Disposition Method: Transfer to Archives for review
Other Copy: Principal Investigator or Applicant
Retention: 3 years after termination of project funded by award
Disposition Method: Transfer to Archives for review
Applications for Internal (UW) Research
Support Funds -- Denied: A
record of unawarded applications for faculty and student research support
funds established within a School or department. May include
applications for funding from the Graduate School Research Fund, Royalty
Research Fund, departmental research funds, etc. May include
applications, proposals, correspondence, project/planning files, etc.
Official Copy: College/School or Department Distributing Internal
Research Funds
Retention: 1 year after notification of denial
Disposition Method: Shred
Other Copy: Principal Investigator or Applicant
Retention: 1 year after notification of denial
Disposition Method: Shred
Billing Source Documents for Grants/Contracts: Documentation used
by UW Recharge/Cost/Service Centers to prepare Cost Transfer Invoices
(CTIs), Internal Sales Documents (ISDs), recharge documents, journal
vouchers, or invoices for the purpose of charging other budgets or non-UW
entities for services or supplies. May describe in greater detail than
billing document the service or supplies provided. May include work
orders, service requests, logs of goods/services provided, etc.
Official Copy: Any Issuing Office
Retention: 6 years after end of month
Disposition Method: Recycle
Other Copy: Any Receiving Office
Retention: 3 years after submission of final expenditure report
Disposition Method: Recycle
Certificate of Exemption for Human Subjects Research: Form
completed, in lieu of formal application, for low-risk research using
human subjects. Approved and signed by chair of department, forms
include information such as project title, grant title, category under
which research qualifies for exemption, abstract of project and human
subject information (checklist).
Official Copy: College/School or Department
Retention: 6 years after termination of grant
Disposition Method: Shred
Other Copy: Human Subjects Division
Retention: 5 years after end of calendar year
Disposition Method: Shred
Clinical Trials Phase I-IV Research Data -- Investigator:
Research data and documentation gathered or created in the course of
Phases I, II,
III, or IV of a clinical trial sponsored by an agency outside the
University or by the University, which is reviewed by the full IRB
(Institutional Review Board). May include case history records, case
reports, study protocol and amendments, patient care data, objectives and
purpose of the study, selection criteria, clinical procedures, FDA forms,
serious adverse events reports, study design and other documentation
relating to study protocols. Does not include material also maintained in
the official patient medical record.
Official Copy:
Principal
Investigator
Retention: 30 years after close of study
Disposition Method: Shred
Conference, Seminar, Workshop Files -- Sponsored: Documentation of
the planning for, and products of, conferences, seminars or workshops
conducted with grant or contract funding. Includes Administrative
Service Fee (ASF) courses.
Official Copy: Principal Investigator or Department
Retention: 6 years after final termination of grant/contract
Disposition Method: Transfer to Archives for review
Consent Forms for Research -- Adults: A
record of
permission supplied by adult subjects to participate in a research
program which falls under the category of Non-Biomedical Treatment or
Intervention.
Official Copy: Principal Investigator
Retention: 6 years after the close of study
Disposition Method: Shred
Consent Forms for Research-- Biomedical Treatment or Intervention
A record of permission
supplied by adult subjects or by the parent or guardian of minor subjects
to participate in a research program which includes Biomedical
Treatment or Intervention.
Official Copy: Principal Investigator
Retention: 30 years after close of study
Disposition Method: Shred
Consent Forms for Research -- Minors: A record of permission
granted by
parent or guardian for children to participate in a research program
which falls under the category of Non-Biomedical Treatment or
Intervention.
Official Copy: Principal Investigator
Retention: 10 years after last contact with subject, or 3 years
after subject reaches age 18; whichever is longer
Disposition Method: Shred
Consolidated Budget Status Report: Monthly report which
consolidates department grant/contract funded budget information.
Provides a cumulative summary of financial status. Includes budget name,
budget number, funding agency, budget period, etc. Generated for
reference purposes from Financial Accounting System database.
Official Copy: Research Accounting and Analysis
Retention: 2 years after fiscal year
Disposition Method: Recycle
Other Copy: College/School or Department
Retention: until superseded
Disposition Method: Recycle
Exception Time Reports (ETR) for Grants/Contracts: A record
certifying changes from
the normal number of hours worked by each permanent employee paid on
a particular budget for a particular pay period. Includes leave
without pay, overtime, shift differentials, etc.
Official Copy: Payroll
Retention: 6 years after end of month
Disposition Method: Shred
Other Copy: College/School or Department
Retention: 3 years after end of month
Disposition Method: Shred
Faculty Effort Certification (FEC):
Forms documenting faculty
salary expenses charged to federal grants and contracts, and cost-sharing
activities related to federally sponsored projects.
Official Copy: Management Accounting and Analysis
Retention: 6 years after end of fiscal year
Disposition Method: Recycle
Other Copy: College/School or Department
Retention: 1 year after end of fiscal year
Disposition Method: Recycle
Financial Records for Grants/Contracts: Records of financial
transactions on grants and contracts including non-FEC (Faculty Effort
Certification) cost share documentation. May include Budget
Activity Reports (BARs), Budget Status Reports (BSRs), Cash
Transmittals, Cost Transfer
Invoices (CTIs), Journal Vouchers (JVs), vendor invoices, Purchase
Requisitions, travel records, packing slips from UW stores/Corporate
Express, financial
statements and reports of
expenditures to sponsoring agencies, Requests for Authorized Recharges,
Requests to Transfer Expenditures, Requests for Reverse Expenditures,
TRANSPASU form, Memo to Request an Advance Notice, non-ProCard credit
card slips, eProcurement invoices, or ProCard credit card statements.
Official Copy:
Payables Administration -- Paper CTIs/ISDs,
Cash Transmittals, Vendor Invoices, Invoice Vouchers, Per Diem Advance
Requests, Travel Expense Vouchers
Retention: 6 years after end of month
Disposition Method: Recycle
Official Copy: Purchasing: UW Stores/eProcurement-- eProcurement
invoices
Retention: 6 years after end of month
Disposition Method: Recycle
Official Copy: Research Accounting and Analysis -- Journal
Vouchers,
Expenditure Reports to sponsoring agencies,
Requests for Authorized Recharges,
Requests for Reverse Expenditures, Requests to Transfer Expenditures,
BARs/BSRs, Cash Transmittals, Memo to Request Advance
Notice
Retention: 6 years plus 90 days after
submission of final expenditure report
Disposition Method: Recycle
Official Copy: Purchasing -- Purchasing records
Retention: 6 years after file closed
Disposition Method: Recycle
Official Copy: Procurement Card Services-- ProCard
Retention: 6 years after end of month
Disposition Method: Shred
Other Copy: College/School or Department
Retention: BAR/BSR/BSSR considered a duplicate; may be disposed of
once they have served their reference purpose if not used for
oversight or reconciliation activity
Retention: All other records; 3 years after submission of final
expenditure report
Disposition Method: Recycle
Human Subjects Review Committee
Applications -- Approved: A record
of requests for the use of human subjects in research. May include
application, sample consent forms for subjects, Review Committee's
disposition documentation, investigator's responses to the committee,
application modifications, application annual reviews, final report,
sponsor protocols, Adverse Event Reports, non-compliance documents, subject complaints, records requests, copies of Radiation Safety
Committee Review, Certification of Review or documentation that
certification was sent to funding agency, other supporting
documentation, etc.
Official Copy: Human Subjects Division
Retention: 10 years after study termination
Disposition Method: Shred
Other Copy: Principal Investigator
Retention: 3 years after final termination of grant/contract, or 3
years after study termination if research is not
grant/contract funded
Disposition Method: Shred
Human Subjects Review Committee Applications -- Denied: A record of
denied requests for the use of human
subjects in research. May include application, sample consent forms,
Review Committee's disposition documentation, investigator's responses to
the Committee, sponsor protocols, copies of Radiation Safety Committee
Review, supporting documentation, modifications of applications,
Adverse Event Reports, correspondence and non-compliance
documentation, record requests, safety reports, complaints, etc.
Official Copy: Human Subjects Division
Retention: 10 years after end of academic year
Disposition Method: Shred
Other Copy: Principal Investigator
Retention: 3 years after denial
Disposition Method: Shred
Human Subjects Review Committee Applications- Withdrawn:
Applications for research, using human subjects, that were withdrawn from
consideration. Includes application, consent forms, investigator's
response to the Committee, sample sponsor protocols, copy of Radiation
Safety Committee review, and documentation of withdrawal.
Official Copy: Human Subjects Review Committee
Retention: 1 year after application withdrawn
Disposition Method: Shred
Other Copy: Principal Investigator
Retention: 1 year after application withdrawn
Disposition Method: Shred
Indirect Cost -- Allowable Expense Reports: Data gathered from
departments regarding expenses from a particular budget that cannot be
included on an indirect cost proposal. Used to develop the UW's indirect
cost study.
Official Copy: Management Accounting and Analysis
Retention: 12 years after last year of current rate
Disposition Method: Recycle
Other Copy: College/School or Department
Retention: 3 years after end of quarter
Disposition Method: Recycle
Indirect Cost -- Staff Activity Surveys: Data gathered from
departments about the allocation of staff time for various
activities --
research, instruction, administration, etc. Used to develop the UW's
annual indirect cost study.
Official Copy: Management Accounting and Analysis
Retention: 12 years after last year of current rate
Disposition Method: Recycle
Other Copy: College/School or Department
Retention: 3 years after end of quarter
Disposition Method: Recycle
Packing Slips from Outside Vendors for Grants/Contracts: A record
of departmental
receipt of goods or equipment.
NOTE: Audit procedures require that packing slips be
initialed and dated upon receipt by the person receiving the
goods
Official Copy: Any Receiving Department
Retention: 6 years after receipt of merchandise/equipment
Disposition Method: Recycle
Payroll Certification Reports for Grants/Contracts: Signed report
which provides a means of payroll verification for Principal Investigator
of a grant or contract.
Official Copy: College/School or Department
Retention: 6 years after submission of final expenditure report
Disposition Method: Shred
Payroll Records for Grants/Contracts: Provides record of hours
worked by grant/contract funded employees. May include Retroactive
Salary Transfer form.
Official Copy: Payroll- Retroactive Salary Transfer Forms
Retention: 10 years after end of month
Disposition Method: Shred
Other Copy: College/School or Department
Retention: 6 years after end of calendar year
Disposition Method: Shred
Petty Cash (Revolving Fund) Records: Records of expenditure from a
grant or contract revolving fund. May include Application for Revolving
Fund; Petty Cash Vouchers with supporting documents such as sales slips,
cash register receipts, paid invoices; Receipt for Petty Cash Advance; bank
records such as deposit tickets, cancelled checks, statements,
reconciliations, etc.
Official Copy: Any Office
Retention: 6 years after submission of final expenditure report
Disposition Method: Shred
Positive Time Reports (PTR) for Grants/Contracts: A record
certifying the number of hours
worked by each hourly and student employee on a particular budget during
a particular pay period.
Official Copy: Payroll
Retention: 6 years after end of month
Disposition Method: Shred
Other Copy: College/School or Department
Retention: 3 years after end of month
Disposition Method: Shred
ProCard Approvals: Provides a record of Procurement Card (ProCard)
transaction approval, reconciliation, and receipt of goods or equipment.
Includes reviewed and signed Transaction Detail Report, invoices received,
and packing slips.
Official Copy: College/School or Department
Retention: 6 years after submission of final expenditure report
Disposition Method: Shred
Project Review Forms (for Use of Animals in Research): Requests by
researchers to use animals in their research. Requests, including
descriptions of project and procedures which will be performed on
animals, are reviewed by the Animal Care Committee. May include "Project
Review Forms for New Projects" (PRF) and "Project Review Forms --
Renewal/Update/Change of Animal Use or Protocols" (PRF-Renewal/Change).
Official Copy: Comparative Medicine -- Animal Care Committee
Retention: 6 years after project completion
Disposition Method: Shred
Other Copy: Principal Investigator
Retention: 3 years after final termination of grant/contract
or 3 years after study termination if research is not
grant/contract funded
Disposition Method: Shred
Purchase Orders -- Blanket: Requests for repeat purchase of the
same item or service over a specified period of time.
Official Copy: Purchasing
Retention: 6 years after file closed
Disposition Method: Recycle
Other Copy: College/School or Department
Retention: 3 years after submission of final expenditure report
Disposition Method: Recycle
Purchase Records -- Internal: Documents departmental approval and
receipt of purchases. Includes memos or forms routed within a department
for approval of purchases prior to generation of a Purchase Requisition.
Applies to ProCard transactions. Includes Delegation of Authority.
Official Copy: College/School or Department
Retention: 6 years after submission of final expenditure report
Disposition Method: Recycle
Recharge Documents for Grants/Contracts: Internal
records documenting the recharging of an expense to another
budget within the same department.
Official Copy: Any Issuing Office
Retention: 6 years after end of month
Dispositon Method: Recycle
Other Copy: Any Receiving Office
Retention: 3 years after submission of final expenditure report
Disposition Method: Recycle
Report of Project Status: A record of project summaries or
evaluations prepared during the course of a study or at the end of a
funding period.
Official Copy: Principal Investigator
Retention: 6 years after final termination of grant/contract
or 3 years after study termination if research is not
grant/contract funded
Disposition Method: Transfer to Archives for review
Research Data -- Biomedical Treatment or Intervention (Drug, Device or
Surgical Procedure/Intervention):
Research documentation and data obtained on human subjects during the
course of study which includes biomedical treatment or intervention.
Reviewed by the full IRB (Institutional Review Board).
Official Copy: Principal Investigator
Retention: 30 years after close of study
Disposition Method: Shred
Research Data -- Drug Development:
Research documentation
and raw data obtained in the course of a study to develop a drug. May
include Investigators' Notebooks for New Drugs (laboratory notes
documenting the results of experiments involving new drugs), patient
files, case files, consent forms, and other records of the dates, quantity
and use of
a
new drug on subjects.
Official Copy: Principal Investigator
Retention: 30 years after close of study
Disposition Method: Shred
Research Data -- Non-Biomedical Treatment or Intervention (Non
Drug, Device or Surgical Procedure/Intervention):
Regardless of funding source, comprised of research data generated from
studies which do not include biomedical treatment or intervention.
Includes surveys, blood draws, interviews, records review. May be
reviewed by the full IRB (Institutional Review Board) or subcommittee.
Official Copy: Principal
Investigator
Retention: 6 years after close of study
Disposition Method: Shred
Research Data-- Sponsor Required Contractual Obligation: Regardless
of funding source, comprised of research data generated through studies
which have NOT been reviewed by the full IRB (Institutional Review Board),
but where the sponsor requires a signed contract which obligates a 15 year
retention period. Includes consent forms.
Official Copy: Principal Investigator
Retention: 15 years after close of study
Disposition Method: Shred
Research Data -- Exempt from Human Subjects
Review: Research documentation and data obtained during the
course of a study, which either does not use humans as study subjects,
or which is exempt from review by the Human Subjects Review
Committee. May include anonymous surveys or questionnaires, research
data from research using animal subjects, etc.
Official Copy: Principal Investigator
Retention: 6 years after close of study
Disposition Method: Shred
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