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Record Retention and Reporting

Effective: September 2018
Revised: September 2018

Policy Objective

It is the policy of Cal State East Bay that the campus shall have policies and/or procedures in place to ensure compliance with sponsor reporting and record retention requirements

 

Policy Statement

The successful administration of awards is a shared responsibility between the Principal Investigator (PI) and the Office of Research and Sponsored Programs. This policy requires that the campus ensures that there are guidelines established to comply with sponsor reporting requirements and met in accordance with all applicable laws, regulations, and funder guidelines which may include technical, financial, compliance reporting and document/record retention.

 

Record Retention

For Federal awards, - for a period of three years from the date of submission of the final expenditure report or, for Federal awards that are renewed quarterly or annually, from the date of the submission of the quarterly or annual financial report, respectively, as reported to the Federal awarding agency or pass-through entity in the case of a subrecipient. Federal awarding agencies and pass-through entities must not impose any other record retention requirements upon non-Federal entities. The only exceptions are those indicated in 2 CFR 200.333.

 

Non-Federal awards – for a period of three years after completion of project and award has been closed out.  Additional guidance from Chancellors Office Executive Order 1031 is applicable along with available disposition schedule.

Disposition

Each campus must ensure that appropriate campus department(s) implements the records/information retention and disposition schedules for that area, including designating official campus custodian(s) for each type of record. Records/information custodians are responsible for controlling the administration of records/information in all media forms and for valuing such records/information in accordance with retention authority requirements. The retention and disposition of records/information are to conform to standards set forth within retention and disposition schedules issued in conjunction with this executive order.

 Roles and Responsibilities

ORSP will maintain records of disposition schedules for all sponsored projects and work with the appropriate campus departments to dispose of records in accordance with this policy.

 

Reporting Policy

The PI is responsible for the production and delivery of all reports and deliverables required by the award. It is the PI’s responsibility to review the award for all requirements related to reports and deliverables ensure that all reports and deliverables are completed, and deliver such reports and deliverables to the sponsor prior to applicable award deadlines. The Project Coordinator may help prepare all the required reports and deliverables, but it is the responsibility of the Principal Investigator to review and approve all reports and deliverables prior to delivery to the sponsor. Any signatures required by the Institution/Organization/Company official should be directed to ORSP.

Notwithstanding the foregoing, the PI may request the ORSP’s assistance in preparing any official financial reports specified in the award. All other reports remain the responsibility of the Principal Investigator. Copies of all annual and final reports along with proof of delivery should be forwarded to OSRP (electronic copies and PDFs are acceptable) for the official grant file

  

Departments Impacted

  • Academic Affairs
  • ORSP
  • Accounting and Finance
  • Risk Management

Regulations

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