2009-015
Contracts
University/Industry Liaison Office
| Records | Active retention (in office) | Semi-active (records centre) | Total retention | Final disposition |
|---|---|---|---|---|
| University/Industry Liaison Office | CY researcher/ corporate entity file closes + 1 year | 5 years | CY researcher/ corporate entity file closes + 6 years | Destruction |
CY = Current calendar year; CFY = Current fiscal year; CS = Current semester; S/O = Superseded or obsolete; OPR = Office of Primary Responsibility; Non-OPR = All other departments.
Contracts and agreements between SFU and researchers licensees, other research institutions, individuals, and corporate entities. Records document commercialization activities carried out between the UILO, associated researchers, patent holders, and corporate entities interested in licensing the patents held by the UILO.
Records include technology assignment and revenue sharing agreements (TARSA), collaboration agreements, mutual confidentiality agreements, mutual non-disclosure agreements, copyright assignments, revenue sharing agreements, and correspondence.
This series is a Personal Information Bank; click here for PIB description.
These records are created, used, retained and managed in accordance with the following authorities:
A total recommended retention period of "CY researcher/corporate entity file closes + 1 year" addresses the legal records retention obligations of the University under Section 3(5) of the Limitation Act (RSBC 1996, c. 266).
FILING GUIDELINES
Contracts are arranged by researcher name or corporate entity (which can be a group of researchers or a company created to facilitate the research) and each file (i.e., integrated aggregation of records that relate to a researcher or corporate entity) may contain numerous contracts (e.g., TARSA, licensing agreements, etc.). Once the last contract (i.e., contract with the latest expiration date) in a file expires, the file should be closed at which point the retention periods recommended in this RRSDA can begin to run.
ELECTRONIC RECORDS
Duplicate copies of records may exist in electronic form on a departmental shared drive and/or departmental database. Best practice dictates that these electronic duplicates are subject to the same retention periods and final disposition as file "originals" (i.e., CY researcher/corporate entity file closes + 6 years). Responsibility to dispose of electronic "copies" of records in accordance with the recommendations in this RRSDA fall to UILO staff.
TRANSFERRING RECORDS TO THE URC
At the end of the active retention period (CY researcher/corporate entity file closes + 1 year) box the files and transfer to the University Records Centre (URC). Prepare and retain a file list of records transferred. For each box prepare a box contents listing, itemizing all files. Always include ONE copy of the file list inside the box sent to the URC taped to the underside of the lid; keep ONE copy for your own records; and send ONE copy (paper or electronic) to the Archives (see Procedures for Transferring Records to the University Records Centre).
INDEXES The status of contracts and agreements (along with patents and other documents associated with a technology) through their various stages, as well as correspondence with researchers regarding these technologies, is tracked in a departmental database.
RRSDA is in force.
Approved by the University Archivist: 8 Jul 2010