If a research study is being transferred to the ownership of another university, is it all right to transfer the research data to the other university?

Yes it is. However, please review Grants Information Memorandum 37 to ensure the principal investigator is aware of the compliance issues regarding the transfer of research data.

The retention for research records starts with “Close of Study”. Our grant is renewed many times and we don’t know when it will end. What do I use as the trigger date? When can I send boxes for storage to the University Records Center?

You can send boxes for storage at any time. On receipt of the boxes we would use the current anticipated study end date as the first trigger. This is the date the current renewal is projected to end. As your stored boxes near the end of their retention period, you will receive an automatic notification email from our database asking for the most current award renewal date. Each time we receive a new projected end date we will revise the study end trigger date in our database.

My grant is considered a clinical study and I am not finding this type of study under the "Research Data" series. Which series do I use?

For studies that are considered clinical studies, use either the "Research Data – Non-Biomedical Treatment or Intervention" or "Research Data – Biomedical Treatment or Intervention" series in the Research and Grant/Contract Records section of the UW General Records Retention Schedule. Choose the series description that best fits your study.

How do I manage receipts from foreign stations?

Original receipts should be forwarded to the UW except in the following circumstances:

  • Locally based staff who are reimbursed from an established UW office in country (e.g. UW Kenya, I-TECH local offices), with the agreement of UW Banking Operations.
  • Local laws require original receipts to be retained in country

In the above cases scanned copies of receipts can be forwarded to the UW.

I have a grant that started in 1962. Don't I have to keep the financial reports from the beginning of the grant?

The University retention requirements are established to ensure the availability of financial records that may be required for audit purposes. These retention periods either meet or exceed federal and state requirements. State and federal auditors have a 6 year window of opportunity to audit financial records that begins either when the FSR is submitted, the date the Final Invoice was submitted to the sponsor where no additional FSR is required, or the date the final budget reconciliation was completed where the sponsor does not require a FSR or Final Invoice.

I have a SNAP grant. How does the retention for financial records apply to my award?

Financial records for SNAP grants follow the same retention requirements as any other awards. We use the trigger date of submission of the Financial Status Report (FSR) to begin the retention count-down. The retention period is 6 years after submission of the FSR.

For most other types of awards an FSR is submitted annually or sometimes quarterly through the life of the grant. As a result a department will rarely have accumulated more than 1 year of financial records before the retention period begins.