Mary,

A lot of what you ask depends on how each institution has its "system" set
up, and separate pre- and post-award offices need some coordination in this
area, but here's some things to remember.

If you look at A-110 (sometimes I think I need more of a life if I can sit
and rattle off A-110 requirements), it says that your institution isn't
supposed to submit the final financial report until the final technical
report has been submitted.  So while your post-award section doesn't need a
copy of the report, it sure does need to know when it's okay to submit the
financial report.  You in the pre-award side need to know when the financial
status report has been submitted so that your "file retention clock" can
start ticking.  You should have either copies of your final technical
reports, transmittal letters, or that e-mail notification you get from
FastLane showing submission of a report, in your pre-award office files so
that (a) there's evidence of submission and (b) you can show that you've met
the conditions of the award (we got asked about this on our A-133 audit last
year).

I don't think you need to keep a copy of the financial reports in your file,
and I don't think the post-award side needs a copy of the technical reports,
but both of you need to know that the other office has them (this is where
"checklists" come in handy).  And actually, if you're like most institutions
(even though we're an integrated pre- and post-award office), your
"official" file is probably comprised of what's in the PI's file as well as
what's in your pre- and post-award office files.  PIs quite often have
correspondence, payment documents, travel approvals, etc. that are part of
the entire official file.

So have I helped any?

Pat

Patricia A. Hawk
Sponsored Projects Administrator
5219 University of Oregon
Eugene, OR  97403-5219
tel: 541/346-2504
fax: 541/346-5138
e-mail:  xxxxxx@orsa.uoregon.edu

-----Original Message-----
From: Mary Farnham
[mailto:Mary_Laura_Farnham/OAA/UNO/xxxxxx@UNOMAIL.UNOMAHA.EDU]
Sent: Tuesday, October 03, 2000 11:03 AM
To: xxxxxx@HRINET.ORG
Subject: retention of final financial and techincal reports

Dear Resadm-lers,
Please help to clarify something for me.  At our institution, we have both a
pre
award and post award office.  The pre award office handles all pre award and
non
financial post award responsibilities.  In the past we (in the pre award
office)
have not included copies of the final financial and technical reports in our
"official" award file.  The post award office obviously keeps copies of the
financial reports, but no one (that I can find) is responsible for keeping
copies of the final technical reports, and we do not include a copy of the
final
financial in our files.  Would you share with me how your institutions
handle
this situation?  Are you required to keep copies of the final technical
reports?
If so, is this an agency or an institutional requirement?  Do you maintain
one
"official" file where all information (from birth to death) is kept?  Also,
who
at your institution is charged with this responsibility?
As always, thanks for sharing!
Mary Laura

Mary Laura Farnham, Director
Office of Sponsored Programs & Research
University of Nebraska at Omaha
6001 Dodge Street
Omaha, Nebraska 68182-0210
(402) 554-2286 (voice)
(402) 554-3698 (fax)
xxxxxx@unomaha.edu
http://www.unomaha.edu/~wwwspr/osp.html

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