Washington State University
BUSINESS POLICIES AND PROCEDURES MANUAL

RECORDS
90.01
Revised 7-17
Procedures, Records, and Forms
509-335-2005

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

PDF link

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

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 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

Department
(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*
(formerly OGRD)
OR
Department*

Retain until
no longer needed for
University business,
then destroy.

GS 23006

 

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

 

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

 

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