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GRANT RECORDS ALL DEPARTMENTS AUTHORIZATION NO. 00-021

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  1. Grant Pre-Award Files
  2. Grant Financial Files
  3. Grant Project Director's Files and/or Administering Department Files

 

ITEM NUMBER

1. Grant Pre-Award Files

These files consist of applications, proposals, grant data forms, IRB and other approvals, letters of rejection or award, fiscal award summaries, budget create and account create documents, University request for contribution of facilities and administrative costs, subcontractor commitment, scope of work and budget, PeopleSoft signature routing sheet, letter of award, and other records of a similar nature.

Authorized Retention:

A. Not Awarded, Not Rejected

Retain for three (3) years after purged from pending file, then destroy.

B. Rejected Grant Files

Retain for three (3) years after rejection, then destroy.

C. Awarded Grant Files

Send all fiscal material related to the grant to Office of Sponsored Programs Administration.

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2. Grant Financial Files

For administrative and audit purposes, the "official copy of record" of all grant and contract files are maintained by the Office of Sponsored Programs Administration (OSPA). These files consist of the Pre-Award fiscal material transferred to OSPA and accounting and budgetary records, financial statements, original copies of effort verification reports (EVR's) and copies of grantor billing and reports.

Authorized Retention:

A. Research and Training Grants

Retain for the longest of:

  1. the end of any period specified by terms or conditions of the award
  2. or three (3) years after completion of any pending audits
  3. or three (3) years after the date of the final submitted invoice

 

B. Facilities Grants

Retain for the longest of:

  1. the end of any period specified by terms or conditions of the award
  2. or three (3) years after completion of any pending audits
  3. or three (3) years after the date of the final submitted invoice 

       provided a microfilm or accepted long-term electronic record has been made. 

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3. Grant Project Director's Files and/or Administering Department Files

These files may include convenience copies of application and proposal records as well as various fiscal records relating to expenditure of grant funds including memos, letters, special notes and other explanatory materials that frequently are useful during any audit of the grant. Also included would be the research data itself as well as various reports including a "final report" normally required by the granting agency.

Authorized Retention:

A. Awarded and Completed Grant Files

Retain for three (3) years after close of project and satisfactory audit report, then destroy after approval of OSPA.

B. Grant History

Place copy of grant proposal, final report and sample of data in Archives.

Supersedes authorization 82-12.

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Reviewed 2011-12-08.