UW-GS 7 Research and Grant/Contract Records

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-A-


Accounts Receivable:  Documentation of charges and billing process for goods and/or services rendered.  Documents adjustments to accounts.  May include (determination of fees) documentation, work orders or service requests (may be in the form of field orders or invoice vouchers) logs of goods and/or services provided, receipts, billing statements and related documents.

Official Copy: Any Office
Retention: 6 years after date of document
Disposition Method: Shred or Delete

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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: 3 years after final disposition of equipment
Disposition Method: Recycle or Delete

Other Copy: College/School or Department
Retention: 3 years after final termination of grant/contract
Disposition Method: Shred or Delete

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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 or Delete

Other Copy: College/School or Department
Retention: 1 year after end of month in which denial letter is received
Disposition Method: Shred or Delete

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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 or Delete

Other Copy: College/School or Department
Retention: 2 years after submittal
Disposition Method: Shred or Delete

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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

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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 or Delete

Other Copy: Principal Investigator or Applicant
Retention: 1 year after notification of denial
Disposition Method: Shred or Delete

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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 submission of financial status report 
Disposition Method: Recycle or Delete

Other Copy: Any Receiving Office
Retention: 3 years after submission of financial status report
Disposition Method: Recycle or Delete

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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: Human Subjects Division
Retention: 6 years after end of calendar year
Disposition Method: Shred or Delete

Other Copy: Principal Investigator
Retention: 5 years after termination of grant
Disposition Method: Shred or Delete

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Certification Report: Forms documenting non-faculty salary expenses charged to federal grants and contracts.

Note: also called the Grant Certification Report (GCR) or the Grant and Contract Certification Report (GCCR)

Official Copy: College/School or Department
Retention: 6 years after end of fiscal year  *on litigation hold--do not destroy.*
Disposition Method: Shred or Delete

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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 or Delete

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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 

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Consent Forms for Registry: see Registry Consent Forms

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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 or Delete

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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 or Delete

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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 or Delete

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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: Grant and Contract Accounting
Retention: 2 years after fiscal year
Disposition Method: Recycle or Delete

Other Copy: College/School or Department
Retention: until superseded
Disposition Method: Recycle or Delete

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Corporate Travel Account Approvals:  Provides a record of Corporate Travel Account transaction approval and reconciliation. Includes reviewed and signed UW Transaction Detail with Notes & Account Codes Report, invoices and receipts.

Official Copy: Any Office
Retention: 6 years after submission of financial status report
Disposition Method: Shred or Delete

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Data Collection Form:  see Data Collection Form in Section 10 of the UW General Schedule, General Office Administration Records.

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Embryonic Stem Cell Research Oversight Application Files - Approved: Applications submitted to Embryonic Stem Cell Research Review Oversight (ESCRO) Committee and/or the Embryonic Stem Cell Research Chair for approval to use stem cells in research projects. Files may include, but are not limited to, the following: master copy of applications, Review Committee's disposition documents, investigator's responses to the Committee, consent forms, sponsor research protocols, correspondence and supporting papers, modifications to applications, annual status reports, copy of Environmental Health & Safety (EH&S) approvals, and other relevant Compliance Office approvals. 

Official Copy: Embryonic Stem Cell Research Oversight Office
Retention: 6 years after study termination
Disposition Method: Shred or Delete

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 or Delete

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Embryonic Stem Cell Research Oversight Research Application Files - Denied: Applications for research using stem cells that were denied by the ESCRO Committee and/or the ESCRO Chair. May include, but not limited to, the following: application, sample consent forms, ESCRO's disposition documentation, the investigator's responses to the Committee, sponsor protocols, copy of EH&S's approval, correspondence and supporting documentation, modifications to applications, application annual reviews, non-compliance documentation, records requests.

Official Copy: Embryonic Stem Cell Research Oversight Office
Retention: 6 years after end of academic year
Disposition Method: Shred or Delete

Other Copy: Principal Investigator
Retention: 3 years after denial
Disposition Method: Shred or Delete

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Embryonic Stem Cell Research Oversight Research Application Files - Withdrawn: Applications for research using stem cells that were withdrawn from consideration. May include, but not limited to: application, consent forms, ESCRO's disposition documentation, the investigator's responses to the Committee, sample sponsor protocols, copy of EH&S's approval, documentation of withdrawal.

Official Copy: Embryonic Stem Cell Research Oversight Office
Retention: 1 year after application withdrawn
Disposition Method: Shred or Delete

Other Copy: Principal Investigator
Retention: 1 year after application withdrawn
Disposition Method: Shred or Delete

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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 *on litigation hold--do not destroy.*
Disposition Method: Shred or Delete

Other Copy: College/School or Department
Retention: 3 years after submission of financial status report
Disposition Method: Shred or Delete

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Export Control Records for Grants/Contracts:  This series 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.

Official Copy: Any office
Retention: 5 years after termination of funding period
Disposition Method: Shred or Delete

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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 or Delete

Other Copy: College/School or Department
Retention: 1 year after end of fiscal year
Disposition Method: Recycle or Delete

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Field Advances: Provides a record of Field Advances, which provide a temporary source of funds that cannot be paid for using traditional methods (i.e. purchase orders, check requests, UW Travel/Procurement credit cards).  Issued to individuals conducting official UW business in remote areas where checks and credit cards are not accepted, or issued as per diem advances for individuals not on UW payroll, or may also be used as research subject and incentive payments when a revolving fund account is not applicable.  May include Field Advance Request Form, Budget Preparation Worksheet, Field Advance Banking Information, receipts, and reconciliation.

Official Copy: Banking and Accounting Operations
Retention: 6 years after date of document
Disposition Method: Shred or Delete

Official Copy: Any Office who receives Field Advances
Retention: 6 years after submission of financial status report
Disposition Method: Shred or Delete

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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 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: Procurement Services -- Paper CTIs/ISDs, Cash Transmittals, eCommerce invoices Vendor Invoices, Invoice Vouchers, Per Diem Advance Requests, Travel Expense Vouchers, Purchasing records, ProCard
Retention: Variable, depending upon departmental retention schedule
Disposition Method: Recycle or Shred or Delete

Official Copy: Grant and Contract Accounting -- 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 or Delete

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 financial status report
Disposition Method: Recycle or Delete

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Grant and Contract Certification Report:Signed report which provides a means of payroll verification for Principal Investigator of a grant or contract.

Note: also called the Grant Certification Report (GCR) or Certification Report

Official Copy: College/School or Department
Retention: 6 years after end of fiscal year *on litigation hold--do not destroy.*
Disposition Method: Shred or Delete

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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 or Delete

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 or Delete

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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 or Delete

Other Copy: Principal Investigator
Retention: 3 years after denial
Disposition Method: Shred or Delete

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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 Division
Retention: 1 year after application withdrawn
Disposition Method: Shred or Delete

Other Copy: Principal Investigator
Retention: 1 year after application withdrawn
Disposition Method: Shred or Delete

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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: 10 years after last year of current rate
Disposition Method: Recycle or Delete

Other Copy: College/School or Department
Retention: 3 years after end of quarter
Disposition Method: Recycle or Delete

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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: 10 years after last year of current rate
Disposition Method: Recycle or Delete

Other Copy: College/School or Department
Retention: 3 years after end of quarter
Disposition Method: Recycle or Delete

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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 submission of financial status report 
Disposition Method: Recycle or Delete

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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, study subject compensation records, etc.

Official Copy: Any Office
Retention: 6 years after submission of financial status report 
Disposition Method: Shred or Delete

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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 *on litigation hold--do not destroy.*
Disposition Method: Shred or Delete

Other Copy: College/School or Department
Retention: 3 years after submission of financial status report
Disposition Method: Shred or Delete

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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 financial status report
Disposition Method: Shred or Delete

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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: Office of Animal Welfare
Retention: 6 years after calendar year of last approval
Disposition Method: Shred or Delete
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 or Delete

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Purchase Orders -- Blanket: Requests for repeat purchase of the same item or service over a specified period of time. 

Official Copy: Procurement Services 
Retention: 6 years after file closed
Disposition Method: Recycle or Delete

Other Copy: College/School or Department
Retention: 3 years after submission of financial status report
Disposition Method: Recycle or Delete

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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 financial status report 
Disposition Method: Recycle or Delete

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-R-


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
Disposition Method: Recycle or Delete

Other Copy: Any Receiving Office
Retention: 3 years after submission of final expenditure report
Disposition Method: Recycle or Delete

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Registry Consent Forms: This series provides a record of participants consenting to join a registry pool so they may be selected to participate in future research studies.
   
Official Copy: Principal Investigator
Retention: 6 years after termination or expiration of instrument
Disposition Method: Shred or Delete

Note:  If an individual is removed from the registry pool before the pool is terminated, begin counting the six year retention period at that time.

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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 

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Repository Consent Forms: This series provides a record of individuals who have consented to allow human subjects research data to be placed in a data repository.  This research data may then be used by researchers during the course of future studies. Collected research data may include blood, urine, saliva, survey data, x-rays, etc.  Once entered into a repository, collected research data is maintained without personal identifiers until the repository closes.

Official Copy: Principal Investigator
Retention: 6 years after repository closed
Disposition Method: Shred or Delete

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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 or Delete

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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 or Delete

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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 or Delete

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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 or Delete

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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 or Delete

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Retroactive Salary Transfer/Request to Transfer Expenditures:  Retroactive Salary Transfer is a form submitted to Payroll which requests the transfer of unallowable salary charges/credits to an appropriate budget.  Request to Transfer Expenditures is a form submitted to Grant and Contract Accounting which requests the transfer of unallowable charges/credits to an appropriate budget. Also includes Reverse Retroactive Salary Transfer forms.

Official Copy: Payroll
Retention: 6 years end of Month
Disposition Method: Shred or Delete

Other Copy: applies to SNAP Grants only.  For all other grants, see Electronic Records which do not need to be Retained. Specifically, RSTs.
Retention: 3 years after submission of financial status report
Disposition Method: Shred or Delete

 

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-T-


Time Records for Grants/Contracts: Provides record of hours worked by grant/contract funded employees. May include Retroactive Salary Transfer form.

Other Copy: College/School or Department
Retention: 6 years after submission of financial status report 
Disposition Method: Shred or Delete

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Visa Travel Records: This series documents the process of applying for and receiving Visas for foreign travel.  Records may contain Visa application, travel itinerary, Customs Letters, immunizations letters, and other correspondence between the receiving country and the University of Washington as needed.

Official Copy: College/School or Department
Retention:  6 years after return from trip
Disposition Method: Shred or Delete

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