4808          GRANTS COMPLIANCE

4808-01         GRANT RECORDS

Records document the application, evaluation, awarding, administration, monitoring, and status of grants in which the City is the recipient. Grants may come from federal or state governments or foundations and other private funding sources. Records may include, but are not limited to, applications including project proposals, summaries, objectives, activities, budgets, exhibits, and award notifications; grant evaluation records and recommendations concerning grant applications; grant administration records including progress reports, budgets, project objectives, proposals, and summaries; records documenting allocation of funds; contracts; records monitoring project plans and measuring achievement; equipment inventories; financial reports, accounting records, audit reports, expenditure reports, and related correspondence and documentation. Records include those used to determine allocation of central service cost to bureaus; allocation amounts, methodology and base data of services charged; and dollar amounts charged to each bureau for cost centers.

Confidential?        No

Vital Record?        Yes

Record Copy?       Yes

RETENTION:       

(A) Records and final reports from grants that are deemed by the office to be significant because of either fiscal, administrative or historical value are to be retained permanently.

(B) Records and reports from grants that are not deemed by the office to be significant are to be retained 10 years after close-out, or as specified in agreement, whichever is longer.   Closeout means: the grant is no longer active; any required expenditure or other reports have been submitted and approved; and any other terms of agreement have been met.

AUTHORITY:      OAR 166-200-0050(17)

4808-02         GRANT ACCOUNTING SCHEDULES AND AUDIT REPORTS

Series is used to meet state and federal regulations for status reports on federal grant projects and is created to document audit requirements. Report summarizes, on a yearly basis, grant financial activity. Records include back-up documentation used to create the audit report.

Confidential?        No

Vital Record?        Yes

Record Copy?       Yes

RETENTION:       10 years after closeout.  Closeout means: the grant is no longer active; any required expenditure or other reports have been submitted and approved; and any other terms of agreement have been met.

AUTHORITY:      OAR 166-200-0050(17); 166-200-0010(10)

4808-04         INDIRECT COST ALLOCATION PLAN AND SUPPORTING RECORDS

Annual report is created to show rates charged to granting agencies for allowable direct bureau costs. Records include sources and work papers accumulated in process of preparing accounting worksheets and reports.

Confidential?        No

Vital Record?        No

Record Copy?       Yes

RETENTION:        (A) Annual report: retain one copy permanently;

                                 (B) Retain workpapers 10 years after closeout.  Closeout means: the grant is no longer active; any required expenditure or other reports have been submitted and approved; and any other terms of agreement have been met. 

AUTHORITY:      OAR 166-200-0010(3); 166-200-0050(17)

4808-05         UNSUCCESSFUL GRANT APPLICATIONS

Series is a record of unsuccessful applications. Record includes application forms, required attachments, pertinent correspondence, and grant opportunity announcement/guidelines.

Confidential?        No

Vital Record?        No

Record Copy?       Yes

RETENTION:       3 years after rejection or withdrawal

AUTHORITY:      OAR 166-200-0050(17)