Washington State University
BUSINESS POLICIES AND PROCEDURES MANUAL

RECORDS
90.01
Revised 7-16
Procedures, Records, and Forms
509-335-2005

All-University Records Retention Schedules:
Research and Sponsored Projects Records

PDF link

Title
Sponsored Project Records

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





Department
(reference copy)
Retain until
admin. purpose served,
then destroy.
Secondary copy under
11-12-63429
DELIVERABLES
File copies, including but not limited to reports, studies, surveys, educational materials and promotional materials, regardless of media, that have been developed or produced as part of a grant or grant agreement.
Department* Retain for 6 years after
final termination of grant or agreement,
then
Transfer to Archives for appraisal and selective retention.
GS 23005 Archival
(appraisal required)
GRANTS APPLICATIONS, DENIED
Documentation of grants in which the application has been denied. May include applications, grant evaluation summaries, working papers, letters of denial, and other related documentation.
NOTE for WSU purposes: If proposal/award request is funded, the records are retained under GS 23004 (Grants Received by State Agencies).
OGRD*



Retain for 1 year after
grant application denied,
then destroy.

GS 23002




Principal Investigator (PI);
Dept.; Area Dean/Dir.;
Chancellor
(reference copies)
Retain until
admin. purpose served,
then destroy.
Secondary copy under GS 23002
GRANTS RECEIVED BY STATE AGENCIES
Documentation of grant projects and funds received and expended by state agencies (e.g., WSU). May include copies of Requests for Proposals (RFPs), applications, notifications of grant awards, fiscal reports and supporting documentation, reports and correspondence related to grant monitoring, audit reports, status reports, compliance reports, grants modification requests, progress reports and final reports. For WSU purposes, this series also includes sponsored poject activity requests and allocation notices, cash advance requests, and other related reports and documentation.
NOTE: 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.
Sponsored Programs Services*
OR
Department*
Retain for 6 years after
end of grant period,
then destroy, except as noted.

GS 23004




Essential
Department
(reference copy)
Retain until
admin. purpose served,
then destroy
Secondary copy under GS 23004
LABORATORY NOTEBOOKS (OR EQUIVALENT RECORDS) PATENT ISSUED
Provides a record of laboratory notebooks or equivalent records which support patents in which the University has an ownership interest.
Principal Investigator*



Retain for 23 years after
patent issued,
then destroy.

10-02-62201




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




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




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




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
TIME KEEPING/TIME AND EFFORT
Documentation of federal requirements for quarterly/semi monthly reports of employee time when federal dollars are expended.
For WSU purposes, this series includes Effort Certification Report, Cost Sharing Effort Inquiry Request, and Effort Certification System.

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)
Bus Svcs--
Sponsored Programs Services*
Retain for 10 years after
admin. purpose served,
then destroy.

GS 03035



Essential
Department
(reference copy)
Retain until
admin. purpose served,
then destroy.
Secondary copy under GS 03035
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