WWU08 - Grant Records

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WWU08 - Grant Records

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Section WWU08 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.

Records Series Title and Statement of Function/Purpose

Location and Retention of Official Copy

Retention of One Other Copy

Animal Subjects Research Approval Records. 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.

Research & Sponsored Programs: 6 years after end of research activity

 

 

Grant Award Files. 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.

Research & Sponsored Programs: 6 years after end of grant period; transfer to University Archives at end of retention period for historical preservation

Or, if RSP does not maintain official copies:

Grant Program Directors: 6 years after end of grant period; transfer to University Archives at end of retention period for historical preservation

Grant Directors: 3 years after end of grant period

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

Research & Sponsored Programs: 6 years after end of grant period Grant Program Directors may retain some source documents for financial transactions: retain 6 years after end of grant period

Grant Directors: 3 years after end of grant period

Grant Final Product and Program-Specific Records. 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 format prepared in compliance with "request for proposal" document. May also include grant program-specific records such as surveys and research data.

 

Research & Sponsored Programs: 6 years after end of grant period; transfer to University Archives at end of retention period for historical preservation

Or, if RSP does not maintain official copies:

Grant Program Directors: 6 years after end of grant period; transfer to University Archives at end of retention period for historical preservation

Grant Directors: 3 years after end of grant period

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

Research & Sponsored Programs: 6 years after end of grant period; transfer final report to University Archives at end of retention period for historical preservation

Or, if RSP does not maintain official copies:

Grant Program Directors: 6 years after end of grant period; transfer final report to University Archives at end of retention period for historical preservation

Grant Directors: 3 years after end of grant period

Grant Proposal, Not Accepted.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.

Grant Directors: 5 years after end of fiscal year

 

 

Human Subjects Research Records. (Approved Research).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.

Research & Sponsored Programs: 6 years after completion of research activity

 

Human Subjects Activity Review Form (Research Proposals Withdrawn/Denied). Includes Human Subjects Activity Review form and attachments describing proposed research. Provides a record of withdrawn or denied requests for use of human subjectsresearch.

Research & Sponsored Programs:  6 years after project withdrawn/denied

 

Human Subjects Research Exemption Form. 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.

Research & Sponsored Programs:  6 years after completion of research activity

 

Internal Research Support Funds (Awarded). 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.

Research & Sponsored Programs:  6 years after termination of project

 

Internal Research Support Funds (Not Awarded).  Includes application for faculty and student funding stating type of research, letters of acceptance, and related correspondence. Documents denial of funding for various research projects, such as summer research grants, faculty development, project development, undergraduate and graduate research for both grant and non-grant research purposes.

Research & Sponsored Programs: 3 years after notification of non-support

 

Main Index  |  Alphabetical Index  |  Records Retention Schedule