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 close of study
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: 6 years after close of study
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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Audits - Sponsored Programs:  Documentation of findings reported as a result of an audit by either UW Internal Audit, the State Auditor, a Federal Agency, or independent auditing firm. Audits include site visits, program reviews, etc. 

Official Copy: UW Internal Audit (for financial audits)
Retention: 6 years after resolution of audit issues
Disposition Method: Transfer to Archives

Official Copy: Any Audited Office (for site visits and program reviews)
Retention: 6 years after resolution of audit issues
Disposition Method: Transfer to Archives for review

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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 a financial status report 
Disposition Method: Recycle or Delete

Other Copy: Any Receiving Office
Retention: 3 years after submission of a 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 calendar year  *on litigation hold--do not destroy.*
Disposition Method: Shred or Delete

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Clinical Trials Phase I-IV Research Data -- Investigator: see Research Records and Data.


Conference, Seminar, Workshop Files -- Sponsored: see Human Subject Research: Deliverables.


Consent Forms for Registry: see Registry Consent Forms


Consent Forms for Research -- Adults: see Human Subject Research: Consent Forms (Adults).


Consent Forms for Research -- Minors: see Human Subject Research: Consent Forms (Minors)(Human Subject and/or Clinical Study/Trials).

 

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Corporate Travel Account Approvals:  see Financial Records for Grants/Contracts

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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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Delegations of Authority: see Financial Records for Grants/Contracts

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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: 6 years after close of study, 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: 6 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 a 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 a 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 Cash Transmittals (CTs);  Cost Transfer Invoices (CTIs);  Memo to Request an Advance Notice; Credit Card Receipts;  ProCard transaction approval and reconciliation including reviewed and signed Transaction Detail Report, invoices, and receipts;  CTA approvals and reconciliations including reviewed and signed UW Transaction Detail with Notes & Account Codes Report, invoices and receipts; Packing Slips; Petty Cash (Revolving Fund) Records including Application for Revolving Fund; Petty Cash Vouchers with supporting documents such as sales slips, cash register receipts, paid invoices; Receipt for Petty Cash Advance and study subject compensation records; Internal Purchase Approvals; Banking Records including deposit slips, canceled checks, reconcilliations and monthly statements; Delegations of Authority.

Official Copy: Procurement Services 
Retention: Variable, depending upon departmental retention schedule
Disposition Method: Recycle or Shred or Delete

Official Copy: Grant and Contract Accounting 
Retention: 6 years plus 90 days after submission of final expenditure report
Disposition Method: Recycle or Delete

Other Copy: College/School or Department
Retention: All other records; 6 years after submission of a 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 Subject Research: Consent Forms (Adults): Records relating to the permission granted by adult subjects to participate in  a human subject research program, or clinical studies/trials. 

Official Copy: Principal Investigator
Retention: 6 years after close of study
Disposition Method: Shred of Delete

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Human Subject Research: Consent Forms (Minors) (Human Subject and/or Clinical Study/Trials): Records relating to the permission granted by parent,  legal guardian or other adult, for children under the age of 18  to participate in a human subject research, as well as records of assent by children for participation in human subject research.  

Note: Minors are defined for specific studies by applicable state, national, and international laws.

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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Human Subject Research: Deliverables: Records or products developed or produced as the result of a research grant or grant agreement. May include: reports, studies, surveys, educational materials, prototypes, publications, videos, recordings, and multi-media materials, etc

Official Copy: Principal Investigator
Retention: 6 years after close of study
Disposition Method: Transfer to Archives for review

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Human Subject Research: HIPAA Authorization Forms: Records relating to the permission granted for access to or use of protected health information.

Official Copy: Principal Investigator
Retention: 6 years after close of study or the date the authorization was last in effect, whichever is longer.
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: 6 years after close of study, or 6 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: 6 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: see Financial Records for Grants/Contracts.

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Petty Cash (Revolving Fund) Records: see Financial Records for Grants/Contracts.

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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 a financial status report
Disposition Method: Shred or Delete

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ProCard Approvals: see Financial Records for Grants/Contracts.

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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: 6 years after final termination of grant/contract or 6 years after study termination if research is not grant/contract funded
Disposition Method: Shred or Delete

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Purchase Records -- Internal: see Financial Records for Grants/Contracts.

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Recharge Documents for Grants/Contracts: see Billing Source Documents for Grants/Contracts

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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: see Research Records and Data.


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): see Research Records and Data.


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): see Research Records and Data.


Research Data-- Sponsor Required Contractual Obligation: see Research Records and Data.


Research Data -- Exempt from Human Subjects Review: see Research Records and Data.


Research Records and Data: Records and documentation that is associated with grant/contract sponsored research activities.  Includes records relating to research and data collection methods for human subjects research, human subject research that has "exempt" status, clinical trials or studies (all phases), and animal research.

May include: research protocols and instruction documentation; case report forms;  subject recruitment;  screening, selection and eligibility documentation;  correspondence with subjects and organizations providing subjects; computer software for administering tests to research participants; abstracted information from medical records; assay results;  data gathering, responses, (e.g., interviews, notes, questionnaires, abstracted or summarized information);  evaluations and research analysis;  notes, interviews, summary sheets, data analysis;  summary documentation;  reports;  logs;  forms;  PI notes; lab manuals and notebooks;  non-study-specific guidelines, protocols, checklists; contracts and other agreements;  pre-site documentation;  study close out documentation; and all correspondence.

Also includes records, correspondence and reports relating to non-financial compliance activity as well as industry, federal, state, non-profit, or international regulatory requirements regarding research activities. May include IRB or IRB subcommittee applications (including all attachments and all correspondence with the IRB and the IRB office); delegation documentation, required training documentation; drug and device logs; safety documentation; confidentiality documentation;  data and safety monitoring reports; records related to adverse events, data breaches, non-compliance issues, and any unanticipated problems; records related to external monitoring or auditing of research activity; records associated with specialized compliance requirements such as Radiation Safety, Institutional Biosafety, FERPA, CLIA laboratory certification, and use of embryonic stem cells (ESCRO). 

May also include any records created or gathered during the course of anticipating research activity, but due to lack of funds or termination by sponsor, the trial or study did not open, and in the case of human subject research, human subjects were not enrolled.

Note:  Longer retention periods may be required for international or multi-site research or trials, which may be determined by the location of the primary PI.  Longer retention periods may also be required by corporate sponsors or certain agencies (e.g., federal Department of Justice).
Note:  This does not include research requiring FDA approval or involvement.
Note:  Does not include consent forms, assent forms or HIPAA authorizations.
Note:  Identifiers collected as part of the research (such as name and birth date) must be retained for the full retention period.  However, the format, storage medium, location, and accessibility of identifiers and any master key or list that links coded data to identifiers must comply with the approval conditions of the reviewing Institutional Review Board (IRB).

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 a financial status report
Disposition Method: Shred or Delete

 

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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 a 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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