Record and Retention Policy

OVRDC Record and Retention Policy

  • adopted by the Executive Committee on September 11, 1997
  • revised by the Executive Committee on October 21, 2004

 

  1. Introduction

OVRDC shall retain or destroy records held by it according to this policy for record retention.  This policy will be effective when officially adopted by OVRDC’s Executive Committee and shall apply to all records or documents held by OVRDC currently or coming into the possession of OVRDC after its effective date.  These guidelines for record retention are organized according to (i) functional area; or (ii) type of information or file.  When files are established, they will be assigned a designation for purposes of this record retention and disposal policy.  All existing records shall be categorized according to this policy from the effective date of this policy.

After the effective date of this policy, existing files and records at the OVRDC offices on September 1997, which no longer need to be retained according to this policy, shall be destroyed.  All files in the possession of OVRDC are the property of OVRDC, and OVRDC is entitled to establish this policy regarding them.

I. Policy

OVRDC shall retain or destroy records categorized below according to the following policy:

  1. Federal Grant Files (OVRDC)  Grant documents, attachments, reports, correspondence, audits and anything directly related must be retained for a period of three years from the date the grantee or subgrantee submitted its final expenditure report, or, in some cases, final close-out.
  1. Clearinghouse Files  Copies of preapplications and applications, amendments and related documentation, environmental statements, and assessments will be retained for three years from receipt date of document, provided, however, that ARC and EDA files related to projects funded within the OVRDC district will be retained permanently.
  1. OVRDC Reports  Those progress and final performance reports created by OVRDC and subgrantee and contractor reports related to state and federal grants will be retained for five years after completion of the report.
  1. OVRDC General Files  General files, including correspondence, information on program meetings, county caucus files, strategic task force files, and project packages, will be retained for three years from the date on the material.
  1. Personnel Files
    1. a) Material from applicants, including applications, resumes, and related materials will be retained for two years from the date on the material or two years from the date of the decision, whichever is later.
    2. b) Current employee’s personnel files, including medical files, will include only the minimum required materials itemized on Attachment I and shall be retained during the period of each person’s employment with OVRDC and for an additional three years after the date of termination.
    3. c) Former employee’s personnel files, including medical files, shall be retained for three years from the date of separation of employment with OVRDC.
    4. d) Pay, time, attendance, deductions, and related pay records will be retained for seven years from the date of the record for all current and former employees.
    5. e) OVRDC shall maintain permanently a record of former employees, including name, social security number, date of hire, date of separation, starting salary, ending salary, sick leave balance, and position held.
  1. Agency Corporate Records  Minutes, charter, incorporation documents, legal documents, Executive Committee, and Full Commission minutes shall be retained permanently and shall constitute the permanent record of action taken by the agency or such committee.
  1. District 15 Public Works Integrating Committee and Natural Resource Assistance Council Material  All documents, including successful project applications, rejected applications, District minutes, and any other documents related to a particular Program Year’ slate of projects shall be retained for a period of two years after the recommendations are forwarded to the Ohio Public Works Commission.
  1.  State Grant Files  Applications, grants, contracts, reports and supporting material, and subcontracts shall be retained for a period of three years from the later of (i) the date the final report is submitted; or (ii) the date of grant close-out; unless otherwise required by state grant contract.
  1. Agency Contracts  Agency general service and vendor contracts, lease agreements, janitorial service agreements, maintenance agreements, equipment leases, etc. will be retained for six years from the expiration date on the contract/agreement. 
  1. Inventory of Agency Equipment  An inventory of agency equipment currently in service shall be retained permanently with annual deletions for equipment removed from service and annual additions for equipment placed into service noted thereon. 
  1. Technical Reports and Studies  Original plans or technical reports and studies prepared by OVRDC, including, but not limited to, OEDP/CEDS, land use studies, transportation corridor studies, maps, analyses of population trends, government services, and development studies will be retained permanently.
  1. Loan Review Committee Records  Loan documents (note, guaranty, collateral documents, authorization, application, certifications, etc.) shall be retained permanently (e.g. transcripts of loan proceedings).

 

II.       Loan Review

  1.   Loan Review Committee resolutions and/or minutes shall be retained permanently.
  2.   Other documentation (e.g. correspondence, notes, etc.) for active loans shall be retained, in the sole discretion of the Executive Director, during the term of the loan.
  3.   Applications for loans that have been denied or tabled by the Loan Review Committee shall be retained for one year from the date of Loan Review Committee action.
  4.   ARC and EDA audit reports on Loan Review Committee action shall be maintained for three years from the date of the report.

 

III.       Miscellaneous

  1. OVRDC reserves the right to amend or modify this policy at any time by Executive Committee action.
  1. The Executive Committee shall appoint a Records Retention Officer to review this policy at least annually and to enforce compliance with this policy.  The Records Retention Officer shall make recommendations to the Executive Committee for amendments or modifications to this policy.
  1. OVRDC may retain the records according to this policy in hard copy, electronic format, or on microfilm/microfiche.
  1. Records may be maintained only at the offices of OVRDC or in storage areas approved by the Executive Director.
  1. OVRDC shall maintain a list of records or files which have been destroyed in compliance with this policy.
  1. Any records deemed the property of OVRDC that are outside the scope of this policy have been or shall be scheduled for immediate disposal upon Executive Director’s review and approval.

 

Attachment I

Personnel Files – minimum forms needed for current employees

(adopted with the provision that the Executive Director will be permitted to make changes to Attachment I)

MEDICAL/INSURANCE

Medical Insurance Enrollment Forms

Emergency Medical Forms

Group Life Insurance Enrollment Forms

Documentation related to FMLA requests

Note:   Medical/Insurance information shall be maintained separately from other personnel files.

 

BOOKKEEPING/PAYROLL

I-9 Forms (Employment Eligibility Verification)

Employees Withholding Certificates (W-4) and Medicare Tax W/H

Ohio Employees Withholding Certificates (IT-4)

Ohio New Hire Reporting Form (Form 7048)-proof of submission will be documented

Flower fund payroll deduction authorizations

OPERS Personal Work History Forms and other OPERS forms

Other payroll deduction authorizations

Note:   Fair Labor Standards Act (FLSA) required records kept by Finance Director and Bookkeeper and are not maintained in employee’s main personnel file.

 

MAIN PERSONNEL FILE

Drug-free Workplace Certifications

Code of Ethics (Conflict of Interest) signature

Operations and Personnel Policies Manual signature

OVRDC New Employee Orientation packet

Ohio Public Employees Retirement System Personnel History Record

Sexual Harassment Policy Acknowledgment Form

Employment offer letter

Acceptance letter

Resignation letter and termination notices

Resume

Agreements related to off-site classes/schedules for employees (maintain for three years)

Evaluation forms

A copy of the employee’s current job description

A copy of any prior OVRDC job descriptions under which the employee has served

Memos related to COLA/raises

OVRDC-issued disciplinary notices