40 CFR 31.42 - Retention and access requirements for records.

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There is 1 rule appearing in the Federal Register for 40 CFR 31. View below or at eCFR (GPOAccess)
§ 31.42 Retention and access requirements for records.
(a) Applicability.
(1) This section applies to all financial and programmatic records, supporting documents, statistical records, and other records of grantees or subgrantees which are:
(i) Required to be maintained by the terms of this part, program regulations or the grant agreement, or
(ii) Otherwise reasonably considered as pertinent to program regulations or the grant agreement.
(2) This section does not apply to records maintained by contractors or subcontractors. For a requirement to place a provision concerning records in certain kinds of contracts, see § 31.36(i)(10).
(b) Length of retention period.
(1) Except as otherwise provided, records must be retained for three years from the starting date specified in paragraph (c) of this section.
(2) If any litigation, claim, negotiation, audit or other action involving the records has been started before the expiration of the 3-year period, the records must be retained until completion of the action and resolution of all issues which arise from it, or until the end of the regular 3-year period, whichever is later.
(3) To avoid duplicate recordkeeping, awarding agencies may make special arrangements with grantees and subgrantees to retain any records which are continuously needed for joint use. The awarding agency will request transfer of records to its custody when it determines that the records possess long-term retention value. When the records are transferred to or maintained by the Federal agency, the 3-year retention requirement is not applicable to the grantee or subgrantee.
(c) Starting date of retention period—
(1) General. When grant support is continued or renewed at annual or other intervals, the retention period for the records of each funding period starts on the day the grantee or subgrantee submits to the awarding agency its single or last expenditure report for that period. However, if grant support is continued or renewed quarterly, the retention period for each year's records starts on the day the grantee submits its expenditure report for the last quarter of the Federal fiscal year. In all other cases, the retention period starts on the day the grantee submits its final expenditure report. If an expenditure report has been waived, the retention period starts on the day the report would have been due.
(2) Real property and equipment records. The retention period for real property and equipment records starts from the date of the disposition or replacement or transfer at the direction of the awarding agency.
(3) Records for income transactions after grant or subgrant support. In some cases grantees must report income after the period of grant support. Where there is such a requirement, the retention period for the records pertaining to the earning of the income starts from the end of the grantee's fiscal year in which the income is earned.
(4) Indirect cost rate proposals, cost allocations plans, etc. This paragraph applies to the following types of documents, and their supporting records: indirect cost rate computations or proposals, cost allocation plans, and any similar accounting computations of the rate at which a particular group of costs is chargeable (such as computer usage chargeback rates or composite fringe benefit rates).
(i) If submitted for negotiation. If the proposal, plan, or other computation is required to be submitted to the Federal Government (or to the grantee) to form the basis for negotiation of the rate, then the 3-year retention period for its supporting records starts from the date of such submission.
(ii) If not submitted for negotiation. If the proposal, plan, or other computation is not required to be submitted to the Federal Government (or to the grantee) for negotiation purposes, then the 3-year retention period for the proposal plan, or computation and its supporting records starts from end of the fiscal year (or other accounting period) covered by the proposal, plan, or other computation.
(d) Substitution of microfilm. Copies made by microfilming, photocopying, or similar methods may be substituted for the original records.
(e) Access to records—
(1) Records of grantees and subgrantees. The awarding agency and the Comptroller General of the United States, or any of their authorized representatives, shall have the right of access to any pertinent books, documents, papers, or other records of grantees and subgrantees which are pertinent to the grant, in order to make audits, examinations, excerpts, and transcripts.
(2) Expiration of right of access. The rights of access in this section must not be limited to the required retention period but shall last as long as the records are retained.
(f) Restrictions on public access. The Federal Freedom of Information Act (5 U.S.C. 552) does not apply to records Unless required by Federal, State, or local law, grantees and subgrantees are not required to permit public access to their records.

Title 40 published on 2013-07-01

The following are only the Rules published in the Federal Register after the published date of Title 40.

For a complete list of all Rules, Proposed Rules, and Notices view the Rulemaking tab.

  • 2014-01-28; vol. 79 # 18 - Tuesday, January 28, 2014
    1. 79 FR 4403 - Changes to Dispute Procedures
      GPO FDSys XML | Text
      ENVIRONMENTAL PROTECTION AGENCY
      Interim final rule with request for comments.
      Effective date: January 28, 2014. Comment date: Comments must be received on or before March 31, 2014. Applicability date: This interim final rule applies to disputes arising from agency decisions issued on or after January 28, 2014. Disputes arising from agency decisions issued prior to the effective date of this rule will remain subject to the procedures in the prior regulations.
      40 CFR Parts 30 and 31

This is a list of United States Code sections, Statutes at Large, Public Laws, and Presidential Documents, which provide rulemaking authority for this CFR Part.

This list is taken from the Parallel Table of Authorities and Rules provided by GPO [Government Printing Office].

It is not guaranteed to be accurate or up-to-date, though we do refresh the database weekly. More limitations on accuracy are described at the GPO site.


United States Code
U.S. Code: Title 7 - AGRICULTURE
U.S. Code: Title 15 - COMMERCE AND TRADE
U.S. Code: Title 20 - EDUCATION
U.S. Code: Title 33 - NAVIGATION AND NAVIGABLE WATERS

§ 1251 - Congressional declaration of goals and policy

§ 1252 - Comprehensive programs for water pollution control

§ 1252a - Reservoir projects, water storage; modification; storage for other than for water quality, opinion of Federal agency, committee...certain prescribed water quality benefits in relation to total project benefits

§ 1253 - Interstate cooperation and uniform laws

§ 1254 - Research, investigations, training, and information

§ 1254a - Research on effects of pollutants

§ 1255 - Grants for research and development

§ 1256 - Grants for pollution control programs

§ 1257 - Mine water pollution control demonstrations

§ 1257a - State demonstration programs for cleanup of abandoned mines for use as waste disposal sites; authorization of appropriations

§ 1258 - Pollution control in the Great Lakes

§ 1259 - Training grants and contracts

§ 1260 - Applications; allocation

§ 1261 - Scholarships

§ 1262 - Definitions and authorizations

§ 1263 - Alaska village demonstration projects

§ 1263a - Grants to Alaska to improve sanitation in rural and Native villages

§ 1264 - Omitted

§ 1265 - In-place toxic pollutants

§ 1266 - Hudson River reclamation demonstration project

§ 1267 - Chesapeake Bay

§ 1268 - Great Lakes

§ 1269 - Long Island Sound

§ 1270 - Lake Champlain Basin Program

§ 1271 - Sediment survey and monitoring

§ 1271a - Research and development program

§ 1272 - Environmental dredging

§ 1273 - Lake Pontchartrain Basin

§ 1274 - Watershed pilot projects

§ 1401 - Congressional finding, policy, and declaration of purpose

§ 1402 - Definitions

U.S. Code: Title 42 - THE PUBLIC HEALTH AND WELFARE

§ 300f - Definitions

§ 6901 - Congressional findings

§ 6901a - Congressional findings: used oil recycling

§ 6902 - Objectives and national policy

§ 6903 - Definitions

§ 6904 - Governmental cooperation

§ 6905 - Application of chapter and integration with other Acts

§ 6906 - Financial disclosure

§ 6907 - Solid waste management information and guidelines

§ 6908 - Small town environmental planning

§ 6908a - Agreements with Indian tribes

§ 7401 - Congressional findings and declaration of purpose

§ 7402 - Cooperative activities

§ 7403 - Research, investigation, training, and other activities

§ 7404 - Research relating to fuels and vehicles

§ 7405 - Grants for support of air pollution planning and control programs

§ 7406 - Interstate air quality agencies; program cost limitations

§ 7407 - Air quality control regions

§ 7408 - Air quality criteria and control techniques

§ 7409 - National primary and secondary ambient air quality standards

§ 7410 - State implementation plans for national primary and secondary ambient air quality standards

§ 7411 - Standards of performance for new stationary sources

§ 7412 - Hazardous air pollutants

§ 7413 - Federal enforcement

§ 7414 - Recordkeeping, inspections, monitoring, and entry

§ 7415 - International air pollution

§ 7416 - Retention of State authority

§ 7417 - Advisory committees

§ 7418 - Control of pollution from Federal facilities

§ 7419 - Primary nonferrous smelter orders

§ 7420 - Noncompliance penalty

§ 7421 - Consultation

§ 7422 - Listing of certain unregulated pollutants

§ 7423 - Stack heights

§ 7424 - Assurance of adequacy of State plans

§ 7425 - Measures to prevent economic disruption or unemployment

§ 7426 - Interstate pollution abatement

§ 7427 - Public notification

§ 7428 - State boards

§ 7429 - Solid waste combustion

§ 7430 - Emission factors

§ 7431 - Land use authority

§ 9601 - Definitions

§ 9602 - Designation of additional hazardous substances and establishment of reportable released quantities; regulations

§ 9603 - Notification requirements respecting released substances

§ 9604 - Response authorities

§ 9605 - National contingency plan

§ 9606 - Abatement actions

§ 9607 - Liability

§ 9608 - Financial responsibility

§ 9609 - Civil penalties and awards

§ 9610 - Employee protection

§ 9611 - Uses of Fund

§ 9612 - Claims procedure

§ 9613 - Civil proceedings

§ 9614 - Relationship to other law

§ 9615 - Presidential delegation and assignment of duties or powers and promulgation of regulations

§ 9616 - Schedules

§ 9617 - Public participation

§ 9618 - High priority for drinking water supplies

§ 9619 - Response action contractors

§ 9620 - Federal facilities

§ 9621 - Cleanup standards

§ 9622 - Settlements

§ 9623 - Reimbursement to local governments

§ 9624 - Methane recovery

§ 9625 -

§ 9626 - Indian tribes

§ 9627 - Recycling transactions

§ 9628 - State response programs

Title 40 published on 2013-07-01

The following are ALL rules, proposed rules, and notices (chronologically) published in the Federal Register relating to 40 CFR 31 after this date.

  • 2014-01-28; vol. 79 # 18 - Tuesday, January 28, 2014
    1. 79 FR 4403 - Changes to Dispute Procedures
      GPO FDSys XML | Text
      ENVIRONMENTAL PROTECTION AGENCY
      Interim final rule with request for comments.
      Effective date: January 28, 2014. Comment date: Comments must be received on or before March 31, 2014. Applicability date: This interim final rule applies to disputes arising from agency decisions issued on or after January 28, 2014. Disputes arising from agency decisions issued prior to the effective date of this rule will remain subject to the procedures in the prior regulations.
      40 CFR Parts 30 and 31