OAR 166-475-0060
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.
Commercial
Companies Records
OAR 166-475-0060(1)
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.
Retention: 5 years
Grant Direct Payment Records
OAR 166-475-0060(2)
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.
Retention: 5 years
Grant Indirect Cost/Returned Overhead Records
OAR 166-475-0060(3)
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.
Retention:
Retention: 5 years
Other copies: 2 years
Grant Projects Research Records
OAR 166-475-0060(4)
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.
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
Grant Proposal Funded Records
OAR 166-475-0060(5)
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.
Retention:
Record Copy: Permanent
Other copies: 3 years after final financial report is submitted
and the account is closed, unless specified otherwise by the terms of the contract
Grant Proposal Unfunded Records
OAR 166-475-0060(6)
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.
Retention:
Record Copy: 18 months after submission
Other copies: 18 months after submission
Grants and Contracts Accounting Records
OAR 166-475-0060(7)
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.
Retention:
Record Copy: 5 years after
annual or final financial report is submitted unless otherwise specified as longer by the terms of the contract
Other copies: 3 years after
annual or final financial report is submitted unless otherwise specified as longer by the terms of the contract, or 3 years after
audit, whichever is longer
Human
Subjects Records
OAR 166-475-0060(8)
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.
Retention: 3 years after completion of the project
Institutional Animal Care and Use Records
OAR 166-475-0060(9)
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.
Retention:
Record copy:
(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
Other copies: 1 year after end of research project
Institutionally Funded Research Records
OAR 166-475-0060(10)
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.
Retention:
Record Copy:
(a) Permanent for minutes and final research reports;
(b) 5 years for funding summaries and funded applications;
(c) 1 year for all other records
Other copies: 3 years
Laboratory
Notebooks
OAR 166-475-0060(11)
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.
Retention: 6 years after completion of project
Laboratory
Reports
OAR 166-475-0060(12)
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.
Retention:
Retention: 6 years
Other copies: 1 year
Other Payroll Expenses
(OPE) Reports
OAR 166-475-0060(13)
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.
Retention:
Record Copy: 6 years
Other copies: 1 year
Personnel Activity Report Forms (PAR)
OAR 166-475-0060(14)
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.
Retention:
Record Copy: 6 years
Other copies: 2 years
Scientific
Misconduct Records
OAR 166-475-0060(15)
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.
Retention:
(a) 6 years after the expiration of the grant: all
records not in litigation;
(b) 1 year after end of litigation: all records in litigation
Technology
Transfer Records
OAR 166-475-0060(16)
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.
Retention:
Record Copy:
(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
Other copies: 3 years
Maintained by OUS Records Management Services
ryan_hagemann@ous.edu
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