VG 400.1 Record Retention Procedures

VG 400 Record Retention

Adopted Date:

12/17

Revised Date(s):

03/19

Tags:

Published: 03/2019

Procedures

Records Custodian
Each department head or facility manager within the Library System shall designate someone within their area who shall be responsible for ensuring that records generated by or kept by that department or facility are stored and, when or if required, destroyed in accordance with this procedure. This person shall be referred to as a departmental or facility records coordinator.
Records Inventory and Retention Schedule
The departmental or facility records coordinator will maintain records according to the Retention Schedule included in these procedures. Any questions concerning the initial designation of or subsequent change to a retention schedule must be directed to the Executive Director or his/her designee.
Records Storage
Any records that are moved from the active files and placed into storage will be placed in suitable storage boxes or other appropriate containers for the particular media. An index will be maintained of all records placed into storage and a label must be permanently affixed to each box or container which identifies the contents of the box, the range of dates covered by the records, the originating department or facility, a position title for an individual knowledgeable of the records, and a scheduled destruction date if applicable. In lieu of a label, this information should be clearly marked with permanent marker on the box before it is placed into storage. To avoid the unintended destruction of permanent records they must not be stored in the same location as non-permanent records.
Records Destruction
Records must be destroyed in accordance with their retention schedule. Any records that have met their retention schedule during the preceding calendar year and have not yet been destroyed will be destroyed during the months of July or August. The records coordinator will keep track of those records that are destroyed. No later than October 1 of each year the records coordinator for each department or facility will submit a written report to the Executive Director or his/her designee certifying compliance with this procedure including the destruction in accordance with the retention schedule of all records that were destroyed during the preceding fiscal year.
Electronically Stored Records
For records that are stored electronically on computer storage maintained centrally by the IT department, a records coordinator within the IT department will be responsible for maintaining an inventory of such records, and in conjunction with the records coordinator for the department which generated such records, will certify to the Executive Director or his/her designee that such electronic records that reach their destruction date have in fact been destroyed. Records stored electronically on desktop or laptop computers within the department or facility must be destroyed in accordance with the record retention schedule that applies to such records. The records coordinator will ensure that records stored on computers within the department or facility are being destroyed in accordance with the applicable retention schedule. Special attention will be given to email.
Methods of Destruction
Confidential or sensitive records that are scheduled for destruction in accordance with the retention schedule must be shredded or securely destroyed if on paper or other non-electronic media. Confidential or sensitive records stored electronically on computers must be permanently deleted as instructed by the IT department’s record coordinator. All other records scheduled for destruction in accordance with the retention schedule can be destroyed in the most cost-effective method available including disposal in the regular garbage collection service.
Legal Hold
In the event of pending or imminent litigation, government investigation or audit, it may become necessary to put a hold on the destruction of certain records in accordance with their regular retention schedule. The department or facility manager, together with the Director of Human Resources, will determine which records will be placed under such a hold and will provide notification to the records coordinator(s) and appropriate employees to suspend destruction of such records until the hold is lifted.

Retention Schedule

File Category	Item	Retention Period
Commission
	Commission Bylaws	Permanent
	Commission Resolutions	Permanent
	Commission and Commission Committee meeting agendas and minutes	Permanent
	Conflict-of-interest statements and Oath of Office documents	4 years
Finance and Administration
	Accounts Payable records	7 years
	Annual budget and amendments	Permanent
	Auditor management letters	7 years
	Bank deposits and statements	7 years
	Chart of accounts	7 years
	Check registers and checks	7 years
	Financial statements (audited)	7 years
	Fixed Asset Records	7 years after disposition
	General ledgers and journals, including bank reconciliations	7 years
	Investment performance reports	7 years
	Monthly and annual financial statements	Permanent
	Payroll records	7 years after the end of employment
	Pension eligibility records	Permanent
	Retirement plan benefits (plan descriptions, plan documents)	Permanent
	Retirement fund actuarial reports	Permanent
Human Resources
	Employee personnel files	6 years after the end of employment
	Employee orientation and training materials	7 years after use ends
	EEO-4 survey	3 years after creation
	IRS Form I-9	Greater of 1 year after end of service, or three years
	Medical records related to on-the-job injuries or hazardous exposures in the workplace.	30 years after the end of employment
	Military Leave Records	Permanent
	Pre-employment documents (applications, resumes, advertisements, screening tools/tests, interview notes and other records related to no-hire decisions)	3 years
	Workers’ compensation claims	7 years after settlement
Insurance
	Policies — occurrence type	Permanent
	Policies — claims-made type	Permanent
	Accident reports	7 years
	Safety (PEOSH) reports	7 years
	Claims (after settlement)	7 years
	Toxic and bloodborne pathogens records	30 years after the end of employment
	Group health and benefits records	7 years after end of benefits
Other
	Correspondence — general	3 years
	Contracts and agreements	7 years after all obligations end
	Equipment files and maintenance records	7 years after disposition
Real Estate
	Deeds	Permanent
	Leases (expired)	7 years after all obligations end
	Mortgages, security agreements	7 years after all obligations end
Tax
	IRS exemption determination and related correspondence	Permanent
	Sales tax reports	7 years
	Withholding tax statements	7 years
Technology
	Software licenses and support agreements	7 years after all obligations end

Previous Versions & Supporting Files:

application/vnd.openxmlformats-officedocument.wordprocessingml.document

VG 400.1 Record Retention Procedures (2017) [3]

VG 400.1 Record Retention Procedures (2017) [4]

Review Schedule

In Effect Date:

March 2019