| Title of Document |
Retains Record Copy and Type |
Dean’s Office Copy and Type |
Department Copy and Type |
Retention Time |
Description of Document |
| (2) Research Grant Proposal Development Records |
Research Office |
Dean’s Office (Research) paper & digital |
Yes Paper & digital |
Retain until no longer required for reference or administrative use |
Explanation: This series includes the administrative activities involved in the formulation and deliberations leading to application for funding and approval or commencement of research. Examples of records include: correspondence and working papers. |
| (3) Research Grant Proposal Application Records |
Research Office |
Dean’s Office (Research) |
Yes Paper |
Project of major national or international significance, interest or controversy or where the principal investigator has a widely acknowledged influence on the area of scholarship: Permanent if preferred. Projects that are not of major significance: Retain 7 years after the conditions relating to the proposal have been satisfied. |
Explanation: These records relate to funded research grant proposals. Examples of records include: supporting statistics, demographic data, draft proposals, suggested revisions, final proposals, forms, protocols, applications, and reports. |
| (4) Unfunded Research Grant Proposal Applications Records |
Research Office |
Dean’s Office (Research) |
Yes Paper |
Retain 2 year after submission |
Explanation: This series documents grant proposals developed by institutional units which have not been funded. This series may include but is not limited to: supporting statistics; demographic data; draft proposals; suggested revisions; final proposals; and related documentation and correspondence. |
| (5) Institutional Review Board (IRB) Records |
IRB Secretary/Research Office |
Dean’s Office (Research) |
Yes Paper |
Minutes: 5 years. Records relating to research: Retain 3 years after completion of research. All other records: Retain 3 years Citation or Reference: 45 CFR 46.115(b) |
Explanation: This series documents the review of research proposals that involve any type of use of human subjects. Records may include: applications for approval by the review board; Protection of Human Subjects forms (OMB-0531-0009); Protection of Human Subject C Assurance/ Certification/Declaration forms (OMB-0925-0637); descriptions of protocol; signed consent forms; sample questionnaires or surveys; copies of grant proposals; review summaries; and minutes of IRB meetings. |
| (8) Institutionally Funded Research Project Review Records |
Research Office |
Dean’s Office (Research) |
Yes Paper |
Permanent for minutes and final research reports; 5 years for funding summaries and funded applications; 1 year for all other records |
Explanation: This series documents the activities of the institutional councils and boards, which review proposals and make recommendations for awards to faculty (especially new faculty) for research that is not otherwise supported by organized or directed programs but is designed to lead to other funding sources. Examples of projects funded are pilot research, emergency funding, emerging research opportunities, new research field or new research field for investigator, developing research laboratories, and centrally shared research resources. This series may include but is not limited to: applicant case files; agendas; minutes; reports; notes; working papers; funding summaries; award letters; applications for research support; and, final research reports. |
| (9) Grant Projects Research Reports |
Principal investigators/Departments |
Dean’s Office (Research & Business Office) Paper, Digital & web |
Yes Paper |
Permanent for final research report; All other reports: 5 years after final financial report is submitted and account is closed, unless otherwise specified as longer by terms of contract.Citation or Reference: 9 CFR 2.35; 45 CFR 46.115(b); NIH Guidelines; OMB Circular A: 110-.53 |
Explanation: This series documents the research activity associated with grant-funded projects. This series may include but is not limited to: research/activity reports; progress reports, summary reports; and related documentation and correspondence. |
| (11) Research Data (Human Subjects) |
Principal investigator, Laboratory |
Dean’s Office -archive |
Yes Paper |
Projects are not of major significance but there are potential long-term affects to human subjects: Retain 70 years after completion of project. Projects of major national or international significance, interest or controversy, or where the principal investigator has a widely acknowledged influence on the area of scholarship |
Explanation: This series documents the routine research activities of non-grant funded research projects. This series may include but is not limited to: detail of tests, client names, procedures performed, test results, evaluations, notebooks; binders; spreadsheets, or any other type of journal format. |
| (14) Pay Administration Records |
Research Accounting |
Dean’s Office (Research) |
Yes Paper |
4 years Citation or Reference: 26 C.F.R. 31 |
Explanation: This series is used to substantiate payroll overhead costs. Information in this series may include but is not limited to: employee names; social security numbers; institutions; classifications of positions; units of employment; pay periods; gross pay amounts; various withholdings; overhead amounts; and the accounts used to pay employees. |
| (17) Grants and Contracts Accounting Records |
Research Accounting |
Dean’s Office (Research) paper & digital |
Yes Paper & Yes Digital |
Contracts, patents, and agreements for use of research outcomes: Permanent. All other accounting records: 7 years after final financial report is submitted and the account is closed, unless otherwise specified as longer by the terms of the contract Citation or Reference: OMB Circular A: 110-.53 |
Explanation: This series provides a record of the establishment and administration of individually sponsored grant and contract restricted funds accounts, documents compliance with fiscal reporting requirements, and includes billing information for accounts receivable from sponsoring agencies and from departments for gift account fees. Grants may be federal, state, corporate, or private. This series may include but is not limited to: project summaries; grant authorizations; contract documents; project budget change and adjustment forms; invoices; receipts; cashier’s receipts; equipment purchase orders; prior approval request forms; account request forms; vendor telephone contact logs; subcontracts; grants and contracts monthly budget summary statements; institution billings balance sheets; reports for grants and contracts that are operating on direct payments; final financial reports; property reports; patent/invention reports; contractor’s release report; assignment of refunds and rebates documents; equipment disposition reports; and related documentation and correspondence. |
