This General Schedule is applicable to the Grant & 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.
(1) Commercial Companies Records
(2) Grant Direct Payment Records
(3) Grant Indirect Cost/Returned Overhead Records
(4) Grant Projects Research Records
(5) Grant Proposal Funded Records
(6) Grant Proposal Unfunded Records
(7) Grants and Contracts Accounting Records
(8) Human Subjects Records
(9) Institutional Animal Care and Use Records
(10) Institutionally Funded Research Records
(11) Laboratory Notebooks
(12) Laboratory Reports
(13) Other Payroll Expenses (OPE) Reports
(14) Personnel Activity Report Forms (PAR)
(15) Scientific Misconduct Records
(16) Technology Transfer Records
(1) Commercial Companies
Records
This series documents 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: Units
Retention: 5 years
 CONFIDENTIAL DESTRUCTION:
Records in this series containing confidential information
should be destroyed by pulping, shredding, or incineration. See
the OSU Archives
and Records Management Handbook for more
information. |
(2) Grant Direct Payment
Records
This series documents 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 Accounting
Retention: 5 years
(3) Grant Indirect Cost/Returned
Overhead Records
This series provides a record of 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: Budgets & Planning
Retention: 5 years
Other copies: Units
Retention: 2 years
(4) Grant Projects Research
Records
This series documents 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: Principal investigators
Retention: Permanent for final research report; 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.
Transfer a copy of the final research report to the University
Archives when it is submitted to the granting agency.
|
CONFIDENTIAL DESTRUCTION:
Records in this series containing confidential information
should be destroyed by pulping, shredding, or incineration. See
the OSU Archives and Records Management Handbook for more information. |
 NOTE: Vice Provost
for Research must have access to research records at OSU and
research records which accompany principal investigators who
permanently leave the University. |
(5) Grant Proposal Funded
Records
This series documents 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 Accounting
Retention: Permanent
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 final financial report is submitted
and the account is closed, unless specified otherwise by the terms
of the contract
|
CONFIDENTIAL DESTRUCTION:
Records in this series containing confidential information
should be destroyed by pulping, shredding, or incineration. See
the OSU Archives
and Records Management Handbook for more
information. |
(6) Grant Proposal Unfunded
Records
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.
Record Copy: Contract Administration
Retention: 18 months after submission
Other copies: Principal investigators, Units
Retention: 18 months after submission
|
CONFIDENTIAL DESTRUCTION:
Records in this series containing confidential information
should be destroyed by pulping, shredding, or incineration. See
the OSU Archives
and Records Management Handbook for more
information. |
(7) Grants and Contracts
Accounting Records
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; 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 Accounting
Retention: 5 years after annual or final financial report is submitted
unless otherwise specified as longer by the terms of the contract
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
|
CONFIDENTIAL DESTRUCTION:
Records in this series containing confidential information
should be destroyed by pulping, shredding, or incineration. See
the OSU Archives
and Records Management Handbook for more
information. |
(8) Human Subjects Records
This series documents 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: Research Office
Retention: 3 years after completion of the project
|
CONFIDENTIAL DESTRUCTION:
Records in this series containing confidential information
should be destroyed by pulping, shredding, or incineration. See
the OSU Archives
and Records Management Handbook for more
information. |
(9) Institutional Animal
Care and Use Records
This series documents 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: Laboratory Animal Resources
Retention: 3 years after end of research project for records that relate
directly to proposed activities and proposed significant changes in ongoing
activities reviewed and approved by the IACUC; 3 years for all other records
Other copies: Research Office
Retention: 1 year after end of research project
(10) Institutionally Funded
Research Records
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; personal
data; final research reports; and related documentation and correspondence.
Record Copy: Research Office
Retention: Permanent for minutes and final research reports;
5 years for funding summaries and funded applications; 1 year
for all other records
Transfer the record copy of minutes and final research reports
to the University Archives after 5 years.
Other copies: Research Council members, Principal investigators
Retention: 3 years
|
CONFIDENTIAL DESTRUCTION:
Records in this series containing confidential information
should be destroyed by pulping, shredding, or incineration. See
the OSU Archives
and Records Management Handbook for more
information. |
(11) Laboratory Notebooks
This series documents the routine research activities of non-grant
funded research projects. This series may include but is not limited
to: notebooks; binders; or any other type of journal format.
Record Copy: Units
Retention: 6 years after completion of project
|
CONFIDENTIAL DESTRUCTION:
Records in this series containing confidential information
should be destroyed by pulping, shredding, or incineration. See
the OSU Archives
and Records Management Handbook for more
information. |
|
NOTES: Vice Provost
for Research must have access to research records at OSU and
research records which accompany principal investigators who
permanently leave the University. This series does not include
research data from classroom instructional programs. |
(12) Laboratory Reports
This series documents 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: Laboratory performing tests
Retention: 6 years
Other copies: Units
Retention: 1 year
|
CONFIDENTIAL DESTRUCTION:
Records in this series containing confidential information
should be destroyed by pulping, shredding, or incineration. See
the OSU Archives
and Records Management Handbook for more
information. |
(13) Other Payroll Expenses
(OPE) Reports
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.
Record Copy: Research Accounting
Retention: 6 years
Other copies: Payroll, Units
Retention: 1 year
|
CONFIDENTIAL DESTRUCTION:
Records in this series containing confidential information
should be destroyed by pulping, shredding, or incineration. See
the OSU Archives
and Records Management Handbook for more
information. |
|
NOTE: This series closed
with the implementation of Banner HRIS on January 1, 1999. |
(14) Personnel Activity
Report Forms (PAR)
This series provides a record of 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 Accounting
Retention: 6 years
Other copies: Units
Retention: 2 years
|
CONFIDENTIAL DESTRUCTION:
Records in this series containing confidential information
should be destroyed by pulping, shredding, or incineration. See
the OSU Archives
and Records Management Handbook for more
information. |
(15) Scientific Misconduct
Records
This series is used to provide a record of 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: Research Office
Retention: 6 years after the expiration of the grant: all
records not in litigation; 1 year after end of litigation: all
records in litigation
|
CONFIDENTIAL DESTRUCTION:
Records in this series containing confidential information
should be destroyed by pulping, shredding, or incineration. See
the OSU Archives
and Records Management Handbook for more
information. |
(16) Technology Transfer
Records
This series documents 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: Research Office
Retention: Permanent for original patents, formal invention
assignment forms, license agreements, patent legal transactions,
and invention disclosure forms; 6 years for all other records
Transfer the record copy of of original patents, formal invention
assignment forms, license agreements, patent legal transactions,
and Invention Disclosure formds to the University Archives after
6 years.
Other copies: Units
Retention: 3 years
