University of Oregon

EFFECTIVE FEBRUARY 3, 2016: The UO is transferring responsibility for records management oversight, policy, and training from the Libraries to the Office of the Vice President/General Counsel. While the transition is underway, UO offices may continue to submit records management questions though this form or via e-mail to spcarref@uoregon.edu. Library staff will consult with the Office of the General Counsel as needed to address your inquiry. We anticipate the transition to be completed by Summer 2016.

University Archives: Records Retention Schedule

Functional Sections: Grants and Research Records

166-475-0060

This General Schedule is applicable to the Grants and Research records of the Oregon University System. Retention periods apply to the record copy of all public records, regardless of medium or physical format, created or stored by the above specified agencies. Please note the exceptions to this General Schedule listed in OAR 166-030-0026 before disposing of records. See webpage about federal recordkeeping requirements for more information.

List of Series

1. Commercial Companies Records

Records document cooperative relationships with commercial companies in sharing research materials and data. This series may include but is not limited to cash receipt acknowledgments; requests for sample products; acceptances of products; and related correspondence.

Record Copy: Research Services and Administration, Technology Transfer Office
Retention: 5 years, destroy.

CONFIDENTIAL DESTRUCTION: Records in this series containing confidential information should be destroyed by pulping, shredding, or incineration. See the Confidential Recycling Procedure for more information.

2. Conflict of Interest Forms

Records document potential conflicts of interest involving state employees. This series may include but is not limited to Conflict of Interest and Commitment Disclosure Forms and related documentation and correspondence (at UO, known as "Financial Conflict of Interest Disclosure Form")

Record Copy: Office for Responsible Conduct of Research

Retention: 3 years, destroy.

3. Grant Direct Payment Records

Records document requests and justification for transfers of direct payment funds from federal grantors. This series may include but is not limited to federal cash position reports; spreadsheets of various federal sources and cash needs; requests for cash; credit advice from the U. S. Treasury; and related documentation and correspondence.

Record Copy: Research Services and Administration
Retention: 5 years, destroy.

4. Grant Indirect Cost/Returned Overhead Records

Controller's Division Reports, Indirect Costs Folder Records document the analysis of grant indirect costs in order to prepare returned overhead figures for institutional departments and is used to submit notification for the budget to be adjusted. The returned overhead report is prepared twice during the year. Estimates are prepared and reviewed by departments and used in budget preparation. A final report is used for budget adjustment. This series may include but is not limited to spreadsheets; work sheets; and related documentation and correspondence.

Record Copy: Research Services and Administration
Retention: 5 years after final financial report is submitted and account is closed, unless otherwise specified as longer by terms of contract for all other records, destroy.

Other Copies: Units
Retention: 2 years, destroy.

5. Grant Funded Projects Research Records

Records document the research activity associated with grant-funded projects. This series may include but is not limited to research data; working papers; research/activity reports; summary reports; and related documentation and correspondence.

Record Copy: Research Services and Administration, Principal Investigators
Retention: (a) Permanent for final research report; (b) 5 years after final financial report is submitted and account is closed, unless otherwise specified as longer by terms of contract for all other records, destroy.

Principal Investigators must submit a copy of the final report to ORSA. ORSA will transfer all permanent records, including the final reports, to the University Archives 5 years after the final financial report is submitted and the account is closed, unless specified otherwise by terms of the contrac

CONFIDENTIAL DESTRUCTION: Records in this series containing confidential information should be destroyed by pulping, shredding, or incineration. See the Confidential Recycling Procedure for more information.

6. Grant Proposal Funded Records

Records document grant proposals developed and prepared by the institutional units that were 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.

Record Copy: Research Services and Administration
Retention: (a) Permanent for proposal, attachments, correspondence, final reports; (b) 5 years after final financial report is submitted and account is closed for all other records, unless otherwise specified as longer by terms of contract for all other records, destroy.

Transfer the record copy to the University Archives 5 years after the final financial report is submitted and the account is closed, unless specified otherwise by terms of the contract.

Other Copies: Principal Investigators, Units
Retention: 3 years after the final financial report is submitted and the account is closed, unless specified otherwise by the terms of the contract, destroy.

CONFIDENTIAL DESTRUCTION: Records in this series containing confidential information should be destroyed by pulping, shredding, or incineration. See the Confidential Recycling Procedure for more information.

7. Grant Proposal Unfunded Records

Records document 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.

Record Copy: Research Services and Administration
Retention: 18 months after submission, destroy.

Other Copies: Principal Investigators, Units
Retention: 18 months after submission, destroy.

CONFIDENTIAL DESTRUCTION: Records in this series containing confidential information should be destroyed by pulping, shredding, or incineration. See the Confidential Recycling Procedure for more information.

8. Grants and Contracts Accounting Records

Records document 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; SF272 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.

Record Copy: Research Services and Administration
Retention: 5 years after annual or final financial report is submitted unless otherwise specified as longer by the terms of the contract, destroy.

Other Copies: Principal Investigators, Units
Retention: 3 years after annual or final financial report is submitted, unless otherwise specified as longer by the terms of the contract, destroy.

CONFIDENTIAL DESTRUCTION: Records in this series containing confidential information should be destroyed by pulping, shredding, or incineration. See the Confidential Recycling Procedure for more information.

9. Human Subjects Records

Records document the review of research proposals that involve any type of use of human subjects. Reviews may be made by the entire review board, selected members, or the board’s chair. Records may include applications for approval by the review board; Protection of Human Subjects forms (OMB-0531-0009); Protection of Human Subject — Assurance/Certification/Declaration forms (OMB-0925-0637); descriptions of protocol; signed consent forms; sample questionnaires or surveys; copies of grant proposals; review summaries; and related memoranda and correspondence.

Record Copy: Office for Protection of Human Subjects, Principal Investigators
Retention:(a) 5 years after completion of the project/contract or funded projects, destroy
(b) 3 years for unfunded/withdrawn/denied project applications and documentation, destroy.

CONFIDENTIAL DESTRUCTION: Records in this series containing confidential information should be destroyed by pulping, shredding, or incineration. See the Confidential Recycling Procedure for more information.

10. Institutional Animal Care and Use Records

Records document the care and proposed use of animals by the university for research purposes. Records include institutional animal care and use forms; research proposal check-off forms; and related correspondence.

Record Copy: Institutional Animal Care and Use Committee
Retention: (a) Records that relate directly to proposed activities and proposed significant changes in ongoing activities reviewed and approved by the IACUC 3 years after completion of the activity; (b) All other records 3 years, destroy.

Other Copies:
Retention: 1 year after start of research project, destroy.

11. Institutionally Funded Research Records

Records document 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; personal data; final research reports; and related documentation and correspondence.

Record Copy: Research Services and Administration
Retention: (a) Permanent for minutes and final research reports; (b) 5 years for funding summaries and funded applications, destroy; one year for all other records, destroy.

Other Copies: Principal Investigators
Retention: 3 years, destroy.

CONFIDENTIAL DESTRUCTION: Records in this series containing confidential information should be destroyed by pulping, shredding, or incineration. See the Confidential Recycling Procedure for more information.

12. Laboratory Notebooks

Records document the routine research activities of non-grant funded research projects. This series may include but is not limited to notebooks; binders; notes; or any other type of journal format.

Record Copy: Principal Investigator
Retention: 6 years after completion of project, destroy.

CONFIDENTIAL DESTRUCTION: Records in this series containing confidential information should be destroyed by pulping, shredding, or incineration. See the Confidential Recycling Procedure for more information.

13. Laboratory Reports

Records document the results of laboratory testing performed for clients. The reports may include but are not limited to case numbers; client names; details of tests and procedures performed; test results; evaluations; and related data.

Record Copy: Principal Investigator, Laboratory performing tests
Retention: 6 years, destroy.

Other Copies: Units
Retention: 1 year, destroy.

CONFIDENTIAL DESTRUCTION: Records in this series containing confidential information should be destroyed by pulping, shredding, or incineration. See the Confidential Recycling Procedure for more information.

14. Non-Grant Funded Research Project Records

Records document the research activity associated with non-grant funded projects. This series may include but is not limited to research data; working papers; research/activity reports; summary reports; and related documentation and correspondence.

Record Copy: Principal Investigators
Retention: (a) Permanent for final research report; (b) 5 years for financial records, destroy; (c) 1 year after close of project for all other records, destroy.

CONFIDENTIAL DESTRUCTION: Records in this series containing confidential information should be destroyed by pulping, shredding, or incineration. See the Confidential Recycling Procedure for more information.

15. Other Payroll Expenses (OPE) Reports

Payroll Expenses (OPE) Reports Records document 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.

Record Copy: Business Affairs
Retention: 6 years, destroy.

Other Copies: Payroll, Units
Retention: 1 year, destroy.

CONFIDENTIAL DESTRUCTION: Records in this series containing confidential information should be destroyed by pulping, shredding, or incineration. See the Confidential Recycling Procedure for more information.

16. Personnel Activity Report Forms (PAR)

Records document Classified and Academic employees’ efforts involving indirect activities such as instruction and departmental research, and direct activities toward externally funded projects. The series is maintained in compliance with regulations of the Federal Office of Management and Budget (OMB) as set forth in OMB Circular A21 and in agreement with the U.S. Department of Health and Human Services. The PAR system is used to produce an equitable distribution and/or substantiation report of charges for employees’ activities and to distinguish the employees’ direct activities from their indirect activities. Information on the individual forms includes institution name; employee name; social security number; monthly salary rate; department code; account name and number; transaction codes; pay amounts for each account number; PAR codes; comments; authorizing signatures; and dates of authorization.

Record Copy: Research Services and Administration
Retention: 6 years, destroy.

Other Copies: Units
Retention: 2 years, destroy.

CONFIDENTIAL DESTRUCTION: Records in this series containing confidential information should be destroyed by pulping, shredding, or incineration. See the Confidential Recycling Procedure for more information.

17. Scientific Misconduct Records

Misconduct Records Records document accusations of misconduct brought forward by or against faculty or students and relating to research projects. These records include accusation statements; inquiry committee findings; and related correspondence.

Record Copy: Office for Responsible Conduct of Research

Retention: (a) 6 years after the expiration of the grant: all records not in litigation, destroy (b) 1 year after end of litigation: all records in litigation, destroy.

CONFIDENTIAL DESTRUCTION: Records in this series containing confidential information should be destroyed by pulping, shredding, or incineration. See the Confidential Recycling Procedure for more information.

18. Technology Transfer Records

Records document the transfer of technology from this institution to outside agencies as the result of research projects and grants carried out at the institution. This series may include but is not limited to: original patents; patent applications; international licensing agreements; agreements giving permission for institutional researchers to use other patented inventions in their research; and related documentation and correspondence. The series may also include invention disclosure forms that list the names of the inventors; descriptions and titles of inventions; sources of funding to create the inventions; details of the provenance of the inventions and their documentation; to whom the inventions have been disclosed; suggested manufacturers; reports issued concerning the inventions; and signatures of inventors and technically qualified witnesses.

Record Copy: Technology Transfer Office
(a) Permanent for original patents, formal invention assignment forms, license agreements, patent legal transactions, and invention disclosure forms; (b) 6 years for all other records, destroy.

Transfer the record copy of of original patents, formal invention assignment forms, license agreements, patent legal transactions, and Invention Disclosure forms to the University Archives after 6 years.

Other Copies: Units
Retention: 3 years, destroy.

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