Record Retention: Project Administration Records

Purpose

This detail table identifies the minimum legal and corporate requirements for the retention of person-related paper and/or data records applicable to sponsored project administration. Campus can copy this table for administrative purposes only (e.g., add action item column) to assist with their implementation of the requirements.

Contact

Carol H. Berdar, Sponsored Program Services

Detail Table

Administrative

Justification

Required Retention Period

Record

Office of Record

Legally Required Period (Skupsky Typical Period) (1)

Legal Authority for Selected Retention Period

Business Practice

For Paper and/or Data (3)

Award Billing Files

Decentralized operating locations, and central office on behalf of centralized locations

NA (2)

OMB Circular A-110, Section .53(b) - grants

NYS Archives & Records Act, 8 NYCRR Part 188 - contracts

10 fiscal years

6 years after award closed date

Award Correspondence Files (includes financial reports)

Decentralized operating locations, and central office on behalf of centralized locations

NA (2)

OMB Circular A-110, Section .53(b) - grants

NYS Archives & Records Act, 8 NYCRR Part 188 - contracts

10 fiscal years

6 years after award closed date

Grant Agreements, Prime Contract Files, Subcontracts, Lease Agreements, Consultant Agreements

Decentralized operating locations, and central office on behalf of centralized locations

NA (2)

OMB Circular A-110, Section .53(b) - grants

NYS Archives & Records Act, 8 NYCRR Part 188 - contracts

10 fiscal years

6 years after award closed date

Patent Records, includes patents, applications, agreements

The Research Foundation’s five technology transfer offices each retain their respective original patent applications and agreements, with notification of issued patents provided to central office.

Central office retains original issued patents and all technology transfer documents for all other locations.

Patents: active + 6 years

Applications: Active

Agreements: active + 6 years

NY Statute of Limitations

Permanent

Letters Patent: Life of patent

Applications and Correspondence:
6 years after case file is closed

Agreements:
6 years after license closed date

Paper records are not supported by system data.

Technology Transfer Documents

The Research Foundation’s five technology transfer offices each retain their respective original license/option, confidentiality, material transfer, and software agreements, memoranda of understanding, and new technology disclosure forms.

Central office retains original issued patents and all technology transfer documents for all other locations.

Patents: active + 6 years

Applications: Active

Agreements: active + 6 years

26 USC 6501

10 fiscal years

Applications and Correspondence:
6 years after case file is closed

Agreements:
6 years after license closed date

Paper records are not supported by system data.

Cost Sharing by Grant Report

Legacy - RPADD301

NA

NA (2)

OMB Circular A-110, Section .53(b) - grants

NYS Archives & Records Act, 8 NYCRR Part 188 - contracts

10 fiscal years

6 years after award closed date

Based on the books Record Retention Procedures and Recordkeeping Requirements, authored by Donald S. Skupsky, J.D., President and General Counsel of Information Requirements Clearinghouse, Denver, Colorado. The typical legal retention period satisfies all requirements of federal law and the requirements of the laws of most states. It may not satisfy requirements of law in some states that are clearly exceptional.

The 2 Skupsky legal reference books (see footnote 1) do not identify "typical" periods for project administration records - other than for patent and technology transfer records.

Operating locations should retain for two calendar years copies of any records that the central office retains permanently for them.

Change History

 

 

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