Texas Even Start Administrative Manual

June 2004, (Revised January 2008, September 2008)

Policy

Record Retention Guidance

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Section O of The General Provisions and Assurances in the Even Start application states:

“Records Retention: Contractor shall maintain its records and accounts in a manner which shall assure a full accounting for all funds received and expended by Contractor in connection with the contract project. These records and accounts shall be retained by Contractor and made available for programmatic or financial audit by Agency and by others authorized by law or regulation to make such an audit for a period of not less than five years from the date of completion of the contract project or the date of the receipt by Agency of Contractor's final claim for payment or final expenditure report in connection with this contract, whichever is later. If an audit has been announced, the records shall be retained until such audit has been completed.

Contractor understands that acceptance of funds under this contract acts as acceptance of the authority of the State Auditor’s office, or any successor agency, to conduct an audit or investigation in connection with those funds. Contractor further agrees to cooperate fully with the State Auditor’s Office or its successor in the conduct of the audit or investigation, including providing all records requested. Contractor will ensure that this clause concerning the authority to audit funds received indirectly by subcontractors through Contractor and the requirements to cooperate is included in any subcontract it awards.”

To be more specific, all records must be kept a minimum of five years. For the purposes of records retention, a record is a document used to make determinations that affect services. Examples include enrollment and registration papers, assessment information, answers and scores pertaining to accommodations offered, referral information (for TANF clients), cost share documentation and memorandums of understanding. Individual grantees may adopt a retention policy that is more stringent than that stated above.

Texas LEARNS searches for the following student documents during Technical Assistance Visits:

• proof of eligibility, including court order forms
• enrollment information
• selection criteria form
• baseline and progress assessments.

The following program documents are required during Technical Assistance Visits:

• Sign-in sheets for every component
• Lesson Plans for every component
• Home Visit Records
• Agendas and minutes from meetings of the Even Start partnership
• Documentation for cost share
• Certificate of completion for the coordinator’s participation in Program Administration in Even Start training.

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