Section 7: Grant Records

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Section 7 covers records associated with grant-funded activities. Grant-related records are maintained for a variety of reasons including the need for ongoing research/scholarly access, as well as to fulfill legal, financial, administrative and other requirements for grant awards received by Western and administered by the Office of Research and Sponsored Programs. Most official grant records are retained by the Office of Research and Sponsored Programs, while program-specific grant records are usually retained by grant directors or principal investigators. All grant-related records are subject to this section.

Schedule approved by the State Records Committee on December 7, 2016.

Disposition Authority# Records series title and description Retention and Disposition Instructions

14-09-68635

Grant Award Files

Includes proposal and notification of grant award, funds requested, in-kind contributions and plan of work. Statement of terms and conditions of funded grant project.

 

Official copy held by: Grant Program Director (if ORSP does not maintain official copies).

Retain for 6 years after end of grant period

then

Grant Program Director (if ORSP does not maintain official copies): Transfer to Archives for selection and historical preservation

 

GS 23004.008

Grant Award Financial Support Documents

Documents related to budget planning, control, and expenditure of project funds. (Field orders, time records, budget status reports, travel vouchers, correspondence.)

 

Official copy held by: Grant Program Directors (may retain some source documents for financial transactions.).

Retain for 6 years after end of funding period/grant cycle and completion of all grant requirements for that cycle (such as federal retention requirements, submission of financial status report, etc.)

then

Grant Program Directors (may retain some source documents for financial transactions): Destroy

 

14-09-68636

Grant Final Product and Program-Specific Records

May include some or all of the following: final record copy of booklets, manuals, resource guides, monographs, studies, audio and video tape and other final grant products in textual or machine-readable form prepared in compliance with “request for proposal” document. May also include grant program- specific records such as surveys and research data.

 

Official copy held by: Grant Program Directors (if ORSP does not maintain official copies).

Retain for 6 years after end of grant period

then

Grant Program Directors (if ORSP does not maintain official copies): Transfer to Archives for selection and historical preservation

 

14-09-68639

Grant Progress and Final Performance Reports

Statements on progress, problems and successes in completion of the grant project, including annual, periodic, and final performance reports.

 

Official copy held by: Grant Program Directors (if ORSP does not maintain official copies).

Retain for 6 years after end of grant period

then

Grant Program Directors (if ORSP does not maintain official copies): Transfer to Archives for selection and historical preservation

 

14-09-68640

Grant Proposal, Not Accepted

Includes proposal describing nature and purpose of project, amount of funds requested, in-kind contributions, plan of work and other documents pertaining to grant proposals not funded.

 

Official copy held by: Grant Directors.

Retain for 5 years after fiscal year

then

Grant Directors: Destroy

 

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