Grant records are maintained 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.
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Records Series Title
and Statement of Function/Purpose
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Location and Retention
of Official Copy
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Retention of One Other
Copy
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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.
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Research & Sponsored Programs: 6 years after end of
research activity
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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.
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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
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Grant Directors: 3 years after end of grant period
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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.)
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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
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Grant Directors: 3 years after end of grant period
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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.
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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
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Grant Directors: 3 years after end of grant period
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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.
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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
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Grant Directors: 3 years after end of grant period
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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.
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Grant Directors: 5 years after end of fiscal year
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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.
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Research & Sponsored Programs: 6 years after
completion of research activity
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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 subjects research.
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Research & Sponsored Programs: 6 years after project
withdrawn/denied
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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.
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Research & Sponsored Programs: 6 years after
completion of research activity
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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.
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Research & Sponsored Programs: 6 years after
termination of project
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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.
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Research & Sponsored Programs: 3 years after
notification of non-support
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