If you are not identified as a responsible unit but you hold copies of the information described in these class codes, keep them for reference or working documents only, for a short period of time (such as two years), and then destroy them.
8000-Research and Innovation
Functions and supporting activities codes for classification of records related to research administration, grants, partnerships and intellectual property.
Supporting activities
Secondary Copies
8100 Research Development
8110 - Research Accreditation
Description
Records related to the establishment and management of formally-approved research organizations, centres, units, laboratories, field stations and networks, and the process of accreditation of these research units.
Can include criteria for accreditation, letters patent, documentation on the mission, mandate, composition, organizational structure, development of the research unit and internal management, and correspondence, studies, reports and supporting documentation.
| RESPONSIBLE UNIT(S) | RETENTION TRIGGER | RETENTION PERIOD | DISPOSITION ACTION | CROSS-REFERENCE |
|---|---|---|---|---|
| Vice-President, Research and Innovation | File closed date | 7 | Send to archives | n/a |
8120 - Research Partnerships and Cooperation
Description
Records related to the establishment and management of research-related partnerships, affiliations and co-operation with other institutes, hospitals, networks, and private and government organizations.
Can include agreements, memoranda of understanding, correspondence and communications.
| RESPONSIBLE UNIT(S) | RETENTION TRIGGER | RETENTION PERIOD | DISPOSITION ACTION | CROSS-REFERENCE |
|---|---|---|---|---|
| Vice-President, Research and Innovation | End of agreement date | 10 | Send to archives | n/a |
8130 - Research Chair Programs
Description
Records related to management and implementation of research chair programs at the University.
Can include program overviews, descriptions, criteria, agreements, guidelines and requirements, supporting documentation, lists and correspondence.
| RESPONSIBLE UNIT(S) | RETENTION TRIGGER | RETENTION PERIOD | DISPOSITION ACTION | CROSS-REFERENCE |
|---|---|---|---|---|
| Vice-President, Research and Innovation | Superseded or obsolete | 15 | Send to archives | See 6120: Governing Bodies for Research Chairs Evaluation Committee materials; 8140: Research Project Administration |
8140 - Research Project Administration
Description
Records related to the administration of individual research projects from startup to completion or abandonment. Does not include data created and collected as part of research projects.
Can include startup documentation, project descriptions, budgets and working papers, compliance with funding terms, research reports, account reconciliations, financial reports, account information, audit reports, correspondence, extensions, changes in status, certification requirements, fund information, forms, notes, staff timesheets, contracts, agreements, invoices, procedures, manuals and approvals.
| RESPONSIBLE UNIT(S) | RETENTION TRIGGER | RETENTION PERIOD | DISPOSITION ACTION | CROSS-REFERENCE |
|---|---|---|---|---|
| Vice-President, Research and Innovation Responsible faculty | Project completion date | 5 | Destroy | See 8141: Research Project Administration—Clinical Trials; 8321: Research Ethics Evaluations—Case Files; 5181: Regulatory Financial Reporting—Research |
8141 - Research Project Administration—Clinical Trials
Description
Records related to administration of individual research projects that involve clinical trials of drugs and natural health products regulated by Health Canada, from startup to completion. Does not include data created and collected as part of research projects.
Can include startup documentation, project descriptions, budgets and working papers, compliance with funding terms, research reports, account reconciliations, financial reports, account information, audit reports, correspondence, extensions, changes in status, certification requirements, fund information, enrolment information, forms, notes, staff timesheets, contracts, agreements, invoices, procedures, manuals, approvals, shipment information and drug destruction information.
| RESPONSIBLE UNIT(S) | RETENTION TRIGGER | RETENTION PERIOD | DISPOSITION ACTION | CROSS-REFERENCE |
|---|---|---|---|---|
| Vice-President, Research and Innovation Responsible Faculty | Project Completion Date | 15 | Destroy | See 8140: Research Project Administration for research projects not involving clinical trials; 8321: Research Ethics Evaluations—Case Files; 5181: Regulatory Financial Reporting— Research |
8142 - Research Project Administration- Course Based Research
Description
Records related to students’ course-based minimal risk research activities.
Can include applications and associated documents, project descriptions, ethics reviews, modifications to research, results of review, documentation regarding formal and informal appeals of decisions, incident reporting, reports, and associated correspondence.
| RESPONSIBLE UNIT(S) | RETENTION TRIGGER | RETENTION PERIOD | DISPOSITION ACTION | CROSS-REFERENCE |
|---|---|---|---|---|
| Responsible faculty | Academic year end date | 1 | Destroy (final theses and dissertations submitted to Theses Canada) | See 1410: Student Work for final student work submitted for evaluation |
8150 - Research Recognition Programs Management
Description
Records related to creation, development and management of internal and external research distinctions, prizes and awards highlighting the achievements and innovations of researchers and research projects.
Can include program descriptions, recommendations, reports, correspondence, budgets and inventories of recipients.
| RESPONSIBLE UNIT(S) | RETENTION TRIGGER | RETENTION PERIOD | DISPOSITION ACTION | CROSS-REFERENCE |
|---|---|---|---|---|
| Vice-President, Research and Innovation | End of program | 5 | Send to archives | See 8151: Research Recognition—Candidate Files for prizes; 8210: Research Funding Program Management for grants |
8151 - Research Recognition—Candidate Files
Description
Records related to applications and nominations for internally administered and adjudicated prizes and awards highlighting the achievements and innovations of researchers and research projects.
Can include applications, award notices, reports, correspondence, supporting documentation, agreements, selection criteria, evaluations and decisions.
| RESPONSIBLE UNIT(S) | RETENTION TRIGGER | RETENTION PERIOD | DISPOSITION ACTION | CROSS-REFERENCE |
|---|---|---|---|---|
| Vice-President, Research and Innovation | Decision date | 7 | Destroy | See 8211: Research Grant Applications—Case Files for grant applications; 8210: Research Funding Program Management |
8200 Research Funding
8210 - Research Funding Program Management
Description
Records related to creation, development and management of internal and external research funding programs and awards, including relationships with funding institutes and agencies.
Can include program descriptions, recommendations, reports, correspondence, budgets and inventories of recipients.
| RESPONSIBLE UNIT(S) | RETENTION TRIGGER | RETENTION PERIOD | DISPOSITION ACTION | CROSS-REFERENCE |
|---|---|---|---|---|
| Vice-President, Research and Innovation | End of program | 5 | Send to archives | See 8211: Research Grant Applications—Case Files; 5181: Regulatory Financial Reporting—Research; 8150: Research Recognition Programs Management; 8151: Research Recognition—Candidate Files for prize packages |
8211 - Research Grant Applications—Case Files
Description
Records related to applications for internally administered and adjudicated grants and financial awards for research projects and initiatives.
Can include applications, award notices, reports, correspondence, supporting documentation, agreements, selection criteria, evaluations and decisions.
| RESPONSIBLE UNIT(S) | RETENTION TRIGGER | RETENTION PERIOD | DISPOSITION ACTION | CROSS-REFERENCE |
|---|---|---|---|---|
| Vice-President, Research and Innovation | Successful: project end date Unsuccessful: decision date | 7 | Destroy | See 8210: Research Funding Program Management; 8140: Research Project Administration |
8300 Research Services
8310 - Research Support Services
Description
Records related to development and management of support services available to faculty and researchers in pursuit of their research interests, including research management, research data management and grant development services.
Can include correspondence, lists, notes of interactions, client interaction files, recommendations, drafts of proposals, procedures, newsletters and reports.
| RESPONSIBLE UNIT(S) | RETENTION TRIGGER | RETENTION PERIOD | DISPOSITION ACTION | CROSS-REFERENCE |
|---|---|---|---|---|
| Assistant Vice-President, Research Services University of Ottawa Library | Superseded or obsolete | 5 | Destroy | See 2540: Reference Library Services; 8150: Research Recognition Programs Management; 8210: Research Funding Program Management; 8211: Research Grant Applications—Case Files; 8151: Research Recognition—Candidate Files |
8320 - Research Ethics and Integrity Program Management
Description
Records related to management of the research ethics and integrity program, including planning and implementation of research protocols, standards and guidelines, and auditing and monitoring of research integrity.
Can include protocols, procedures, lists, correspondence, and inspection and audit reports.
| RESPONSIBLE UNIT(S) | RETENTION TRIGGER | RETENTION PERIOD | DISPOSITION ACTION | CROSS-REFERENCE |
|---|---|---|---|---|
| Office of Research Ethics and Integrity | Superseded or obsolete | 5 | Send to archives | See 6120: Governing Bodies for Research Ethics Board (REB) Minutes; 6122: Governing Bodies—Co-ordination for REB co-ordination |
8321 - Research Ethics Evaluations—Case Files
Description
Records related to administration, review and evaluation of applications for research ethics approvals.
Can include completed applications, supporting documentation, ethics reviews, modifications to research, results of review, appeal documentation, decisions, reports and correspondence.
| RESPONSIBLE UNIT(S) | RETENTION TRIGGER | RETENTION PERIOD | DISPOSITION ACTION | CROSS-REFERENCE |
|---|---|---|---|---|
| Office of Research Ethics and Integrity | Research conclusion | 10 | Destroy | See 6120: Governing Bodies for Research Ethics Board minutes |
8322- Research Integrity Investigations—Case Files
Description
Records related to investigations, reviews and assessments of breaches of responsible conduct of research.
Can include formal and informal complaints, evidence, review or assessment files, investigations, correspondence, notes, supporting documentation, decisions, summaries and reports.
| RESPONSIBLE UNIT(S) | RETENTION TRIGGER | RETENTION PERIOD | DISPOSITION ACTION | CROSS-REFERENCE |
|---|---|---|---|---|
| Office of Research Ethics and Integrity | File closed date | 50 | Destroy | See 8321: Research Ethics Evaluations—Case Files |
8330 - Animal Care Management
Description
Records related to management of the animal care program ensuring the ethical use of animals in research, compliance with regulatory requirements, and care and safeguarding of animals used for research.
Can include assessments, reports, memos, visits from regulatory bodies, quality assurance reviews, certification renewal and maintenance records, inspections, lists, inventories, registers, correspondence, guidelines, policies, procedures and training.
| RESPONSIBLE UNIT(S) | RETENTION TRIGGER | RETENTION PERIOD | DISPOSITION ACTION | CROSS-REFERENCE |
|---|---|---|---|---|
| Associate Vice-President, Research Support and Infrastructure Animal Care and Veterinary Services | File closed date | 10 | Destroy | See 6120: Governing Bodies for Animal Care Committee minutes; 8331: Animal Use Protocols—Case Files |
8331 - Animal Use Protocols— Case Files
Description
Records related to review and approval of individual proposals for the use of animals in research through animal use protocols.
Can include forms, correspondence, supporting documentation, reviews, notes, amendments and decisions.
| RESPONSIBLE UNIT(S) | RETENTION TRIGGER | RETENTION PERIOD | DISPOSITION ACTION | CROSS-REFERENCE |
|---|---|---|---|---|
| Associate Vice-President, Research Support and Infrastructure Office of Animal Ethics and Compliance | Expiration of protocol | 7 | Destroy | See 6120: Governing Bodies for Animal Care Committee minutes |
8340 - Intellectual Property Management
Description
Records related to ownership and protection of intellectual property other than patents and inventions, including copyright and trademarks.
Can include correspondence, IP strategy, applications for protection, decisions and certificates of ownership.
| RESPONSIBLE UNIT(S) | RETENTION TRIGGER | RETENTION PERIOD | DISPOSITION ACTION | CROSS-REFERENCE |
|---|---|---|---|---|
| Assistant Vice-President, Research and Innovation All responsible units | End date of legal document / expiration of copyright | 20 | Send to archives | See 8341: Reports of patents, invention and licences; 8342: Intellectual Property Permissions and Use |
8341 - Reports of Patents, Inventions and Licences
Description
Records related to reporting inventions, application for patents, registration of industrial designs, licences and permits related to the invention.
Can include IP strategy, assignment documents, correspondence with IP lawyers, patent applications, major changes to patents, copies of documentation from the Patent Office, patents and final decisions, applications for registration, certificates of ownership, reports of invention, patent applications, statistics, memorandums, agreements, descriptions of inventions and technologies, original patents with attached seals, original drawings and mechanics, applications for licences and permits, and correspondence.
| RESPONSIBLE UNIT(S) | RETENTION TRIGGER | RETENTION PERIOD | DISPOSITION ACTION | CROSS-REFERENCE |
|---|---|---|---|---|
| Assistant Vice-President, Research and Innovation All responsible units | Expiration of patent or licence | 7 | Send to archives | See 8340: Intellectual Property Management; 8342: Intellectual Property Permissions and Use |
8342 - Intellectual Property Permissions and Use
Description
Records related to requests and permissions to use or reproduce uOttawa intellectual property, as well as requests by uOttawa to other organizations to use or reproduce non-uOttawa materials.
Can include requests, permissions, agreements, correspondence, assignments of rights, licences, authorizations, forms, waivers and supporting documentation.
| RESPONSIBLE UNIT(S) | RETENTION TRIGGER | RETENTION PERIOD | DISPOSITION ACTION | CROSS-REFERENCE |
|---|---|---|---|---|
| Assistant Vice-President, Research and Innovation All responsible units | Permission expiration | 20 | Destroy | See 8340: Intellectual Property Management; 8341: Reports of Patents, Inventions and Licences |
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