WIOA Title I-A & I-B Policy & Procedure Manual
Ch. 1) Administration and Governance

1.6 Maintenance and Retention of Records



1.6.4 Retention of Records

Effective date: July 1, 2020

Revised date: September 4, 2020

All records pertinent to grants and agreements funded by DWD-DET must be retained for a minimum of three years.1

This includes, but is not limited to:

Type of Record Three-Year Retention Period Begins
All financial records, supporting documents, statistical records, and property records.2 Date of submission of the final expenditure report or quarterly or annual financial report
All records of real property and/or equipment acquired with DWD-DET administered funds3 Date of the item's disposition
All records pertinent to each grant agreement Date of submission of the settlement or closeout reports
All records for program income transactions after the period of performance End-date of the entity's fiscal year in which the program income is earned4
Indirect cost rate proposals and cost allocation plans including 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 Date of submission to DWD-DET for negotiation5 or End-date of the entity's fiscal year (or other accounting period) covered by the proposal, plan, or other computation6
All records pertinent to each participant's enrollment in programs funded under the agreement, including the dates of entry and termination in each activity Participant's common exit date, as determined in ASSET
All records pertinent to applicants that have been determined eligible, but not served Date of the eligibility determination
All pertinent records of each applicant who is determined ineligible Date of the ineligibility/refusal determination; the records must indicate the reason for ineligibility/refusal
All records pertinent to complaints/grievances, appeals, and resolutions Date the complaint/grievance is closed following final settlement of the case.

In any case where a litigation, claim, or audit is started before the expiration of the three-year period, the records must be retained until all litigation, claims, or audit findings involving the records have been resolved and final action taken.7 In these cases, a new three-year retention period will begin on the day the litigation, claim, or audit finding is deemed to be resolved.

In cases where the federal awarding agency (USDOL) requires an extended retention period, DWD-DET may require an extended retention period of its grantees and/or subrecipients.8

The local WDB and/or its subrecipient(s) are responsible for entering required data in the appropriate electronic systems of record, as outlined in Section 1.6.2. Information contained in DWD-DET's electronic systems of record, including participant-specific documents uploaded to ASSET using the document upload functionality, is considered part of DWD-DET's records and will be retained in accordance with ADM00013 – Grant Documentation.

Costs related to records retention are allowable costs and may be charged to the DWD-DET grant.