Washington State University
BUSINESS POLICIES AND PROCEDURES MANUAL

RECORDS
90.01
Revised 9-13
Procedures, Records, and Forms
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)

Cutoff

Retention
Period

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*

data entered and verified

0

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*

final termination of grant or agreement

6 yrs

GS 23005

Potentially Archival

GRANTS RECEIVED BY STATE AGENCIES
Documentation of grant projects and funds received and expended by state agencies. 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 modifications requests, progress reports and final reports.
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*

Department*

end of grant period


end of grant period

6 yrs**



6 yrs**

GS 23004



GS 23004

Possibly Essential


Possibly Essential

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*

Department

patent issued

patent issued

23 yrs


23 yrs

10-02-62201


10-02-62201

 

RESEARCH/CONFERENCE ACCOUNT REQUEST (WSU 1283)
Requests a conference or self-sponsored account.

Sponsored Programs Services*

Dean/Department

termination of contract


termination of contract

6 yrs



2 yrs

11-12-63433



11-12-63434

 
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.

Principal Investigator*

Department

Project Completion

Project Completion

3 yrs


3 yrs

11-12-63435


secondary copy under
11-12-63435

 
RESEARCH DATA--POTENTIAL PROTECTABLE INTELLECTUAL PROPERTY (PATENT APPLICATION DENIED)
Provides a records 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*


Department

patent application denied

patent application denied

6 yrs



6 yrs

10-02-62202



10-02-62202

 
RESEARCH DATA--PROTECTABLE INTELLECTUAL PROPERTY (PATENT ISSUED)
Provides a records 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*

Department

patent issued

patent issued

6 yrs


6 yrs

10-02-62200


10-02-62200

 
SPONSORED PROJECT ACTIVITY REQUEST (WSU 1326)
Requests University approval for actions such as re-budgeting, extending and approving pre-award expenditures regarding sponsored accounts.

Sponsored Programs Services*

Dean/Department

termination of contract


termination of contract

6 yrs



2 yrs

11-12-63436



11-12-63437

 
SPONSORED PROJECT ALLOCATION NOTICE
Informs investigators and departments of object allocations and other accounting information regarding grants and contracts.

Dean/Department*

Receipt of notice

0

11-12-63438

 
TIME KEEPING / TIME AND EFFORT
Documentation of federal requirements for periodic reports of employee time when federal dollars are expended.
NOTE: Includes documentation supporting employee time and effort reports, including the Effort Certification Report.

Controller* (OPR)

Department

fiscal year

fiscal year

10 yrs

2 yrs

GS 03035

Secondary copy under GS 03035

Essential

UNFUNDED PROPOSAL FILE
Provides a record of research proposals sent to sponsors and currently unfunded.

Department*

fiscal year

2 yrs

11-12-63439