Section 7: Grant Records

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Section 7: Grant Records

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Section 7 covers records associated with grant-funded activities. Grant-related records are maintained for a variety of reasons including the need for ongoing research/scholarly access, as well as to fulfill legal, financial, administrative and other requirements for grant awards received by Western and administered by the Office of Research and Sponsored Programs. Most official grant records are retained by the Office of Research and Sponsored Programs, while program-specific grant records are usually retained by grant directors or principal investigators. All grant-related records are subject to this section.

Disposition Authority# Records series title and description Retention and Disposition Instructions

01-08-60193

Animal Subjects Approval Records (Official Copy).

Includes Animal Subjects Approval form and supporting documents, certified by investigator that project accurately describes all aspects of proposed animal usage. Also includes official approval memo from Animal Care and Use Committee, renewal forms, and related notes and correspondence. Documents approval for the use of animals for both grant and non-grant research purposes.

Official copy held by: Office of Research and Sponsored Programs.

Retain for 6 years after completion of research activity

then

Office of Research and Sponsored Programs: Destroy

 

14-09-68635

Grant Award Files (Official Copy).

Includes proposal and notification of grant award, funds requested, in-kind contributions and plan of work. Statement of terms and conditions of funded grant project.

Official copy held by: Grant Program Director (if ORSP does not maintain official copies).

Retain for 6 years after end of grant period

then

Grant Program Director (if ORSP does not maintain official copies): Transfer to Archives for selection and historical preservation

 

GS 23004.007

Grant Award Files (Secondary Copies).

Includes proposal and notification of grant award, funds requested, in-kind contributions and plan of work. Statement of terms and conditions of funded grant project.

Applies to secondary copy held by any office.

Retain for 6 years after end of grant period

then

Grant Program Directors (when ORSP maintains official copies): Destroy

 

GS 23004.002

Grant Award Financial Support Documentation (Official Copy).

May include some or all of the following: university cost-sharing documentation; original summary time record in support of payroll charges to the grant; copy 1 of financial reports sent to granting agency; audit copy of billings to agency with worksheet back-up; audit copy of Payroll Appointments; Pay Authorizations; student employment forms. Documents necessary to fulfill audit requirements for grant awards and contracts received by WWU and administered by the RSP.

Official copy held by: Office of Research and Sponsored Programs.

Retain for 6 years after end of grant period

then

Office of Research and Sponsored Programs: Destroy

 

GS 23004.008

Grant Award Financial Support Documents (Official Copy).

Documents related to budget planning, control, and expenditure of project funds. (Field orders, time records, budget status reports, travel vouchers, correspondence.)

Official copy held by: Grant Program Directors (may retain some source documents for financial transactions.).

Retain for 6 years after end of grant period

then

Grant Program Directors (may retain some source documents for financial transactions.): Destroy

 

GS 23004.010

Grant Award Financial Support Documents (Secondary Copies).

Documents related to budget planning, control, and expenditure of project funds. (Field orders, time records, budget status reports, travel vouchers, correspondence.)

Applies to secondary copy held by any office.

Retain for 6 years after end of grant period

then

Grant Program Director: Destroy

 

GS 23004.003

Grant Award History File (Official Copy).

Includes some or all of the following: original grant award instrument, amendments, sub-contracts; final performance results; statements of patents or inventions, equipment inventory verifications. Documentation describing nature and purpose of funded project, amount of funds requested, in-kind contributions, plan of work, and statement of terms and conditions for all grant awards or contracts received by WWU and administered by the RSP.

Official copy held by: Office of Research and Sponsored Programs.

Retain for 6 years after end of grant period

then

Office of Research and Sponsored Programs: Transfer to Archives for selection and historical preservation

 

GS 23005.001

Grant Final Product and Program-Specific Records (Official Copy).

May include some or all of the following: final record copy of booklets, manuals, resource guides, monographs, studies, audio and video tape and other final grant products in textual or machine-readable form prepared in compliance with “request for proposal” document. May also include grant program- specific records such as surveys and research data.

Official copy held by: Grant Program Director.

Retain for 6 years after final termination of grant or agreement

then

Grant Program Director: Transfer to Archives for selection and historical preservation

 

14-09-68636

Grant Final Product and Program-Specific Records (Official Copy).

May include some or all of the following: final record copy of booklets, manuals, resource guides, monographs, studies, audio and video tape and other final grant products in textual or machine-readable form prepared in compliance with “request for proposal” document. May also include grant program- specific records such as surveys and research data.

Official copy held by: Grant Program Directors (if ORSP does not maintain official copies).

Retain for 6 years after end of grant period

then

Grant Program Directors (if ORSP does not maintain official copies): Transfer to Archives for selection and historical preservation

 

14-09-68639

Grant Progress and Final Performance Reports (Official Copy).

Statements on progress, problems and successes in completion of the grant project, including annual, periodic, and final performance reports.

Official copy held by: Grant Program Directors (if ORSP does not maintain official copies).

Retain for 6 years after end of grant period

then

Grant Program Directors (if ORSP does not maintain official copies): Transfer to Archives for selection and historical preservation

 

GS 23004.012

Grant Progress and Final Performance Reports (Secondary Copies).

Statements on progress, problems and successes in completion of the grant project, including annual, periodic, and final performance reports.

Applies to secondary copy held by any office.

Retain for 6 years after end of grant period

then

Grant Program Director: Transfer to Archives for selection and historical preservation

 

GS 23004.004

Grant Progress Reports (Official Copy).

Statements on progress, problems and successes toward completion of the grant project, including periodic, annual, special activity/event and documentation/evaluation reports.

Official copy held by: Office of Research and Sponsored Programs.

Retain for 6 years after end of grant period

then

Office of Research and Sponsored Programs: Destroy

 

14-09-68640

Grant Proposal, Not Accepted (Official Copy).

Includes proposal describing nature and purpose of project, amount of funds requested, in-kind contributions, plan of work and other documents pertaining to grant proposals not funded.

Official copy held by: Grant Directors.

Retain for 5 years after fiscal year

then

Grant Directors: Destroy

 

01-08-60192

Human Subjects Activity Review Form (Research Proposals Withdrawn/Denied) (Official Copy).

Includes Human Subjects Activity Review form and attachments describing proposed research. Provides a record of withdrawn or denied requests for use of human subjects in research.

Official copy held by: Office of Research and Sponsored Programs.

Retain for 6 years after project withdrawn/denied

then

Office of Research and Sponsored Programs: Destroy

 

01-08-60191

Human Subjects Research Exemption Form (Official Copy).

Completed, in lieu of formal application, for low-risk research using human subjects. Signed by principal investigator, department chair, and faculty advisor if student. Includes category under which research qualifies for exemption, project title and related information; and official memo from Human Subjects Review Committee stating project is exempt from full review.

Official copy held by: Office of Research and Sponsored Programs.

Retain for 6 years after completion of research activity

then

Office of Research and Sponsored Programs: Destroy

 

01-08-60190

Human Subjects Research Records (Approved Research) (Official Copy).

Includes Human Subjects Activity Review form and attachments describing proposed research; bibliography; copy of sample informed consent form; survey instrument questionnaire; vita; official approval memo from Human Subjects Review Committee; renewal forms; and related correspondence. Documents the review and approval of research proposals involving human subjects.

Official copy held by: Office of Research and Sponsored Programs.

Retain for 6 years after completion of research activity

then

Office of Research and Sponsored Programs: Destroy

 

01-08-60194

Internal Research Support Funds (Awarded) (Official Copy).

Includes application for faculty and student funding stating type of research, letters of acceptance, and related correspondence. Used to award, allocate and monitor funds for various research projects, such as summer research grants, faculty development, project development, undergraduate and graduate research, and others.

Official copy held by: Office of Research and Sponsored Programs.

Retain for 6 years after termination of project

then

Office of Research and Sponsored Programs: Destroy

 

01-08-60195

Internal Research Support Funds (Not Awarded) (Official Copy).

Includes application for faculty and student funding stating type of research, statement of denial, and related correspondence. Documents denial of funding for various research projects, such as summer research grants, faculty development, project development, undergraduate and graduate research, and others.

Official copy held by: Office of Research and Sponsored Programs.

Retain for 3 years after notification of non-support

then

Office of Research and Sponsored Programs: Destroy

 

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