Records Retention and Destruction

Transcription

1 s and Destruction This policy is in effect for all directors, officers, and employees of the National Council of Juvenile and Family Court Judges aand its related entities, which are designated as the National Council of Juvenile and Family Court Judges Fund, Inc. and the National Juvenile Court Foundation. The NCJFCJ shall retain records to comply with Federal and state laws and regulations, contractual obligations, and as necessary for historical reference. s and documents outlined in this policy include paper and electronic files. The Administration Department is responsible for oversight of the policy. The NCJFCJ s s Schedule may be found at This document establishes a retention and destruction schedule for specific categories of records in order to ensure legal compliance, efficiency, space management, and also to accomplish other objectives, such as preserving intellectual property and cost management. This schedule may be updated from time to time. Both retention and destruction information for the records must be documented. The NCJFCJ expects all employees to comply fully with any published records retention or destruction policy and schedule, provided that all supervisors and employees should note the following general exception to any stated destruction schedule: If an employee believes, or the NCJFCJ informs the employee, that NCJFCJ records are relevant to litigation or potential litigation (i.e., a dispute that could result in litigation), then those records must be preserved until employees are notified in writing that the records are no longer needed. This exception supersedes any previously or subsequently established destruction schedule for those If an employee believes this exception may apply, or has any question regarding the possible applicability of this exception, the employee should contact the Chief Executive Officer. Page 1 of 11

2 Please note: s required in connection with a lawsuit or potential legal action must be retained until litigation is Corporate / Governance s Board of Trustees, Governance Committee, Finance Committee and Audit Committee meeting minutes, agendas, notes and reports. Governing and incorporation records articles of incorporation, bylaws, charters, resolutions, Board policies, annual business license filing, tax exemption determination, and other incorporation records and related documents. Corporate/Governance records in Administration. Administration Department Corporate/Governance records in Finance or Administration. Compile and file records on an annual basis. minutes - meeting - delete 30 days following approval of minutes; see NCJFCJ policy on Meeting Minutes. Corporate/Governan ce records in Finance or Administration Department files. minutes - Not applicable. meeting - archive with Administration Department Governance records and shred or delete at the end of the retention Membership official business and meeting minutes, agendas, notes and reports. Membership records in Administration. Administration Department minutes - meeting - delete 30 days following approval of minutes; see NCJFCJ policy on Meeting Minutes. minutes - Not applicable. meeting - archive with Administration Department Membership records and shred or delete at the end of the retention Copyright, trademark, patent registrations. Administration Administration Department compile and file records with corporate records on an annual basis. Administration Inventory records products, materials and supplies. Page 2 of 11

3 Please note: s required in connection with a lawsuit or potential legal action must be retained until litigation is Fiscal General/private ledgers/accounting System records (includes year-end trial balances, journals, chart of accounts, etc.). Checks for important payments and purchases. Depreciation schedules. Year-end financial statements (others are optional), includes single organizational audit reports. Annual tax return, worksheets and revenue agents reports. Investment records, cancelled stock and bond certificates. Contracts, agreements, MOUs, loan documents, deeds, mortgages, bills of sale, and leases. Federal law requires that copies of the three most recent years returns be kept in the organization s headquarters office and be made available for public inspection. Departments - Since Finance receives and files original contract/agreement records, departments must shred the copies of these records housed in the departments two years following expiration. Page 3 of 11

4 Please note: s required in connection with a lawsuit or potential legal action must be retained until litigation is Fiscal cont. Hotel contracts. CTM to compile and forward to Finance on an ongoing basis. Company insurance policy Expense and sales records - purchase orders (PO form); cost estimates/bids; petty cash vouchers; event registrations; invoices for payment to organization and invoices from vendors and employees, including allowances and reimbursements of employees, officers and consultants for travel (travel requests and expense vouchers) and entertainment expenses; credit card receipts, etc. Accounts payable, accounts receivable and notes receivable ledgers and schedules. Finance Department compile and file records on As defined by grant deliverables or if unrelated to a grant, three years. records and shred at the end of the retention Departments - Since Finance receives and files original hotel contract records, departments must shred the copies of these records housed in the departments two years following contracted dates. Departments - Since Finance receives and files original expense and sales records, departments must shred the copies of these records no longer referred to or necessary to keep on file in the departments every two years. Bank statements, electronic funds transfer evidence, reconciliations, deposit records, and duplicate deposit slips. Page 4 of 11

5 Please note: s required in connection with a lawsuit or potential legal action must be retained until litigation is Fiscal cont. Cash books. Cancelled checks. Expense analyses and distribution schedules. Payroll records and summaries. Donation For important payments, i.e., taxes, purchases of property, special contracts, etc., checks should be filed with the papers pertaining to the underlying transaction. Otherwise, Finance Department compile and file records on Departments - Since Finance receives and files original donation records, departments must shred the copies of these records no longer referred to or necessary to keep on file in the departments every two years.. Page 5 of 11

6 Please note: s required in connection with a lawsuit or potential legal action must be retained until litigation is Fiscal cont. Internal audit reports. Grants Awarded grant records - proposals, original contract agreements, supporting data, accounting documents, financials, subrecipient policy reports, time cards, invoices for payments to subawardees, subaward agreements, procurement documents, A-133 audits and related correspondence. Human Resources Retirement and pension records, records of pension paid to employees or beneficiaries (after final payment). Employment and Organizational Policy Manual, employee training on on Seven years after grant closure. Human Resources Human Resources Departments - Since Finance receives and files original grant records, departments must shred the copies of these records housed in the departments two years following the grant closure. Workers compensation records, such as OSHA documentation related to medical exams, etc. on Organizational Chart Structure. on Human Resources Employee personnel on Human Resources Page 6 of 11

7 Please note: s required in connection with a lawsuit or potential legal action must be retained until litigation is Human Resources cont. Supervisors Employee Convenience File. Only current information re. recent actions last performance appraisal, current work schedule, current year vacation/leave schedule, etc. See Employee Personnel s for appropriate handling of all other personnel Pre-employment s - open position Store all original records (including any hand-written notes, etc.) in secure location with Human Resources. HR compile and file records on an annual basis. Supervisors store their copies of these records in secure location with employee files. on Three years from date position is filled. Departments Since HR houses all original supervisor employee convenience records, departments should shred their copies of these records or turn them into HR immediately following an employee termination date. retention Departments Since HR houses all preemployment records, departments should provide to HR all documentation on potential and successful candidates immediately following hire candidate interview forms and notes, test results, etc. Employee personnel files (terminations). on Seven years following date of termination. retention Employee compliance reports (EEOC, ADA, etc.). Employee demographics on Five years. Departments All employee personnel records for terminated employees must be provided to HR for filing immediately following a termination. retention Page 7 of 11

8 Please note: s required in connection with a lawsuit or potential legal action must be retained until litigation is Human Resources cont. Whistle-Blower Conflict of Interest Litigation s Affirmative Action Plan. Employee benefit plans, plan documents, including vouchers, worksheets, receipts, and applicable resolutions Workers compensation accident reports and claims records (settled cases). Log and summary of occupational injuries and illnesses, OSHA reporting s relating to employee complaints or concerns pursuant to the organization s whistleblower policy. Conflict of Interest records: annual acknowledgement forms and annual or interim disclosure forms. Settlement documents. on on on on on other whistleblower records in Human Resources. HR compile and file records on an annual basis. Store in Human Resources. on Store records pertaining to employment matters with Human Resources. Store non-employment litigation records with the office of the Executive Director. Compile and file records upon closure of claim/case. Two years after closure of AAP year. Duration of injured employee s employment + five years. Human Resources or Executive Director Office litigation retention retention retention retention retention Unless otherwise provided above for the particular category of document, archive with Human retention retention Page 8 of 11

9 Please note: s required in connection with a lawsuit or potential legal action must be retained until litigation is Litigation s cont. Claims, court documents and records, discovery materials. Store records pertaining to employment matters with Human Resources. Store non-employment litigation records with the office of the Executive Director. Compile and file records upon closure of claim/case. While active + nine years. Resources or Executive Director Office litigation records and shred at the end of the retention Sr. Management Research Senior Management meeting minutes, agendas, notes. s needed for the purpose of a research study; may include technical data, computer software, laboratory worksheets, memoranda, notes that are the result of original observation and activities of a study, and any records that are necessary for the reconstruction and evaluation of reported results of the research and the events and processes leading to those results. Research protocols and related Research article Store in Executive Director Office. Executive Director Office compile and file records on minutes - meeting - delete 30 days following approval of minutes; see NCJFCJ policy on Meeting Minutes. Submission of final report and close-out procedures on research project plus 7 years, unless a longer retention period is specified by the sponsor, funding source, or other regulation. appropriate Refer to retention period guidelines of publisher. minutes - Not applicable. meeting - archive with Executive Director office records and shred or delete at the end Archive with Archive with period if applicable. Page 9 of 11

10 Please note: s required in connection with a lawsuit or potential legal action must be retained until litigation is Program/Project Files Training agendas, correspondence, participant lists and other training program/project records; technical assistance records; publications; curricula; articles; and reports, etc. Indefinite appropriate Subject Files (unrelated to other record categories) Correspondence Messages Subject matter files. Correspondence, legal and important matters. Correspondence, administrative pertaining to formulations, planning, implementation, interpretation, modification, redefinition of programs, services, projects and the regulations, policies and procedures that govern them. Correspondence, general nonadministrative - incoming/outgoing and internal correspondence pertaining to or arising from the routine operations of the policies, programs, services or projects. All incoming and outgoing messages. Store records pertaining to employment matters with Human Resources. Store non-employment legal correspondence records with the office of the Executive Director. Compile and file records upon closure of claim/case. messages and attachments applicable to the categories listed in the Schedule are to be printed (physically or One year. Subject files related to important business activities or that are of historical necessity, should be retained indefinitely. Human Resources or Executive Director Office litigation Five years. Correspondence related to important business activities or that is of historical necessity, should be retained indefinitely. Two years. Correspondence related to important business activities or that is of historical necessity, should be retained indefinitely. messages and attachments are deleted after two years. Archive with Archive with Archive with messages and attachments are deleted after two years. Page 10 of 11

11 Please note: s required in connection with a lawsuit or potential legal action must be retained until litigation is electronically) and saved with file records and retained/destroyed as noted in this Schedule. Page 11 of 11