Sons of the Revolution in the State of New York, Inc. Records Management Policy

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1 Sons of the Revolution in the State of New York, Inc. Records Management Policy It is the policy of Sons of the Revolution in the State of New York, Inc. (hereafter SRNY ) to maintain complete, accurate and high-quality records. A records management policy such as the one set forth herein provides a systematic mechanism for identifying and classifying records created and/or filed by SRNY and for the orderly disposition of those records. Four major advantages of such a policy are: (1) the cost of file space is reduced, (2) the likelihood of compliance with federal, state and local agencies requirements is maximized, (3) operating efficiency is improved, and (4) records of archival significance are identified and preserved. The term records means all writings, in whatever form and by whatever means created or stored including, but not limited to, any handwritten form; any photographic form (such as microfilm, microfiche, prints, slides, negatives, videotapes, motion pictures, or photocopies); any mechanical or printed form (such as phonographic records, printing, typing, or computergenerated writing); sequential access devices; and any electrical, electronic or magnetic form (such as tape recorders, cassettes, compact disks, flash drives, or any information on an electronic or magnetic storage device, such as floppy diskettes, hard disks, back-up tapes, CD- ROMs, optical disks, printer buffers, smart cards, memory calculators, electronic dialers, Bernoulli drives, or electronic notebooks, as well as printouts or leadouts from any magnetic storage device). Notwithstanding the foregoing, the term records excludes any relics, art (in whatever form) or other writings of historical value (including those relating to the history and mission of the SRNY). The chart set forth below is meant to be general in nature, in an effort to cover the majority of records maintained by every SRNY employee. It is meant to help each employee organize his or her files, determine how long records must be kept, identify materials that can be destroyed, and identify and preserve permanent records. Records take many different forms: paper, audiovisual, electronic (e.g. ) or publications. Be aware that retention periods are not based on the medium of the record, but rather the content of the record; thus, the retention period for an electronic file would be the same as for its paper counterpart. This record retention chart will be reviewed regularly and updated or changed as necessary to reflect changes in legal requirements, staff uses or need for the materials. The contents of the chart are arranged by types of records. The retention period indicates how long SRNY should keep the relevant record. Draft documents should not be retained after the final document is completed. All documents should be saved on SRNY s network rather than on floppy disks, flash drives or the local desktop hard drives ( C drives) of individual desktop computers. It is a violation of this policy to save any work-related document in a storage location other than on SRNY s network. If there is any question about the retention of a particular record or a need for further clarification, please discuss the issue with the Secretary of SRNY. Never discard any records before the expiration of the given retention period. Likewise, do not retain the materials longer than the required length of time. In the event SRNY is in litigation, is audited, or is subpoenaed, SRNY s legal counsel may instruct you to preserve certain records. All destruction of hard copy files, s, electronic filings and attorney work-product must cease immediately when a litigation arbitration, governmental or self-regulatory organization investigation or audit is reasonably foreseeable, pending or in progress. Employees have an 1

2 affirmative obligation to notify the President of SRNY when they anticipate litigation, audit, arbitration or any legal proceeding regarding any matter. What is known as a litigation hold will be issued via and hard copy memorandum in the event that SRNY reasonably anticipates litigation that may be related to SRNY in any fashion whatsoever. In the event that a litigation hold is issued, all employees will be under strict orders to refrain from destroying or altering any record, as that term is defined herein, whether such record pre-dates the litigation hold or is subsequently created, and whether such record is stored electronically or in hard copy. Any automated electronic purging program must cease immediately upon receipt of a litigation hold. While the litigation hold is in place, backup tapes (which are discussed later) are to be preserved and not overwritten with new material. Any subsequent system-wide back up must be performed with new tapes, i.e., tapes other than those previously used to back up electronic material. Consequently, once a litigation hold is issued, all record destruction procedures must be suspended until otherwise notified. If a first litigation hold is issued, it will be followed shortly by a second litigation hold, which will reinstate SRNY s routine record management policy (as outlined herein), and specifically detail records and/or types of records that must be retained. Thus, the second litigation hold will lift the blanket suspension of this record management policy, and in its place identify the records and types of records that must be preserved (and reinstate the usual policy for all other records). The retention policies for paper records and electronic records are indicated in the following chart. Employees should not keep SRNY s files on personal computers. This chart refers to the final form of documents, not drafts (which, as noted above, should be discarded when the final documents have been completed). GENERAL RECORDS Board Records (which includes records of committees of Board members); appointment of Board members; Board books and handouts; Board minutes; Board resolutions and consents Copyright/Trademark certificates Contracts Tax Exemption Application (Form 1023) and IRS Exemption Letter Trust Agreements Opinions of Counsel Real Estate Leases Deeds Retain while contract in effect; Purge 6 years after expiration, termination or cancellation of contract Retain while lease is in effect; Purge 6 years after expiration ACCOUNTING AND FINANCIAL RECORDS 2

3 Audit Records Banking Records Budgets Fundraising Records Accounts Payable Accounts Receivable Computerized Accounting Systems Disbursements and Receipts Financial Statements Investment Records Policies and Procedures Tax Returns and supporting documents (as Part of Board book) As long as necessary, as determined by the Secretary of SRNY Tax returns permanent; supporting documentation no less than 3 years after filing of tax return Program Directives PROGRAM RECORDS Discretionary Mission statement, policies, guidelines and program announcements Event/Conference Files Meetings, conferences and events run by SRNY e.g., announcement, agenda, conference book and resulting report Grant Files (awarded by SRNY) Individual or Organization Grant Files e.g., application and evaluation information, correspondence, board approval, grant letter, payment documentation, extension/renewal documentation, and all narrative and financial reports Rejected Applications and Letters of Inquiry No less than 3 years after the date tax return covering this event/conference was filed (may retain longer for historical purposes) 3 years after the date the grant was reported as fully expended on SRNY s tax return (Form 990) or, in the case of equipment, capital expenditure or endowment grants, 3 years after the date the final report was required to be delivered by the grantee Purge on current basis, at least annually e.g., proposal, the evaluation/recommendation not to fund, and rejection letter Grant Files (awarded SRNY) e.g., application, correspondence, grant letter, payment documentation, extension/renewal documentation, and all narrative and financial reports Articles written by SRNY or about SRNY 3 3 years from the termination of the grant period or agreed-upon length of contractual obligation if longer Discretionary

4 Articles on a topic of interest to SRNY Program Related Investment Files e.g., correspondence, final documents representing debt or equity investment or other PRI, and reports Administrative Records/Correspondence Discretionary 6 years after expiration, termination or cancellation of contract or investment period Purge on current basis, at least annually Letters requiring no acknowledgment or followup; changes of address or position notifications; unsolicited publications, brochures, newsletters, press releases, annual reports, or copies of papers or speeches; invitations to attend or participate in meetings, seminars, workshops; and routine responses to inquires PAYROLL AND PAY ADMINISTRATION RECORDS Annual payroll records, Bank Records, Payroll Correspondence and tax files (e.g., returns on income taxes withheld IRS Form W-2, Wage and Tax Statement; wage & tax register wage statements; statement of deposit W-3 annual wages; Form 941; and quarterly combined withholding & wage reporting returns Individual Earning Records, including W-4 s; hours worked; straight time earning; weekly overtime pay; deductions from and additions to wages; pay period covered and wages paid As long as necessary as determined by the Treasurer of SRNY, but in no event less than 7 years after termination of employment Computerized payroll system, including manuals PERSONNEL RECORDS Personnel Files, including employment application, resume or curriculum vitae and reference checks; insurance plan enrollment & change forms for medical, life & long-term disability insurance; acknowledgment letter for employee handbook; annual employee performance evaluations; documentation regarding promotions, changes of position, suspensions, and pay increases; documentation of leaves of absence; fringe benefits; attendance and leave sheets; after termination of employment 4

5 resignation or termination letter; signed contract or employment letter; and extensions of contract [as applicable] Employee Handbook Family Medical Leave (FMLA) files, including dates FMLA leave is taken by FMLA eligible employees and employee notices Employee Benefit Plan documents (e.g., health plans and pension plans), summary Plan Descriptions and any other document that is required to be filed under ERISA [as applicable] Records that can be used to determine a participant s right to benefit Records of participant and dependent health care coverage [as applicable] COBRA documents, including COBRA notifications (and proof of mailing), COBRA election forms, claims forms, any letters rejecting COBRA coverage, and postmarked envelopes Any documents describing employee benefits or employer policies and practices Employee injury report logs (OSHA 300 and 301 logs) [as applicable] Employee exposure records, including analyses using employee medical or exposure records and employee medical records [as applicable] Recruitment Files, including advertisement (internal & external); applications with resumes; notes on interviews and reference checks (also includes unsolicited resumes) Records from substantive training sessions (including outside trainings) Workers Compensation Files 3 years from date of termination of Plan Until it is no longer possible that the documents may become relevant to a benefit determination 2 years after the participant or dependent loses coverage from last date of benefit/policy/procedure 5 years following the end of the calendar year the log covers Length of employment plus 30 years If hired, after termination of employment. If not hired or no action taken, 3 years. 4 years after termination of employment (if there is no claim filed) and 18 years from the date of the claim (if there is a claim filed) I-9 Forms [as applicable] 3 years from date of hire, or 1 year after termination, whichever is longer SYSTEMS AND MIS RECORDS Web pages Policy and Procedures Information Contained on Backup Tapes retention and Deletion Policy Discretionary 7 months 5

6 The retention and deletion requirements stated above apply to electronic communications with parties outside the office and to internal s. To facilitate desktop access to current s for a reasonable period of time while promoting good record-keeping practices we have adopted the following specific retention policy for s. 1. General Deletion Policy. messages in Inbox, Sent Items and all subfolders that are older than one year from the date they were received or sent will be permanently deleted. 2. Deleted Items. Messages that are in the Deleted Items folder that are more than 90 days old will be purged. 3. Notice of Pending Deletions. Each week, you will receive a warning message advising you about the upcoming automatic deletion of s. Please be sure to clean out your mailbox on a regular basis. We recommend that you keep the number of messages in your Inbox to a minimum. Server Backup All correspondence through SRNY s systems is stored on SRNY s network. As detailed above, all electronic documents created or maintained by employees should be saved to SRNY s network and not to another storage location including, but not limited to, employees local desktop hard drives ( C drives ). The network is backed up using backup tapes created for the purpose of disaster recovery. The protocol for backing up the main server of the network is as follows: the main server is backed up offsite, in real time (with 20 gigabytes of capacity). The backup tape is not overwritten until the 20 gigabyte capacity is reached (as of 6/21/10, this has not occurred). Electronic Information and Communication Policy SRNY has provided electronic information and communications systems to facilitate SRNY s business needs and interests. These systems include individual computers, the computer network, electronic mail ( ) and access to the Internet and Intranet (collectively, the Systems ). Personal or non-business use of the Systems, as well as telephone and voice mail, should be kept to a minimum. The Systems and all information contained in them (including computer files, messages, Internet and Intranet access logs, etc.) are SRNY s property. This information is not private or confidential, and authorized SRNY personnel have unrestricted access to all electronic data stored on the Systems. At any time, with or without notice, this information may be monitored, searched, reviewed, disclosed or intercepted by SRNY for any legitimate purpose, including the following: to monitor performance, to assure compliance with SRNY policies, to prevent misuse of the Systems, to troubleshoot hardware and software problems, to investigate disclosure of confidential business or proprietary information or conduct that may be illegal or adversely affect SRNY or its employees, and to comply with legal and regulatory requests for information. SRNY may also gain access to communications that have been deleted from , the Internet [or the Intranet]. The existence of passwords and message delete functions do not restrict SRNY s ability to conduct such monitoring. 6

7 Extreme care should be taken to accurately represent SRNY s missions, goals and practices when addressing and drafting messages, and to avoid including any copyrighted material. Messages sent to recipients outside SRNY, if not encrypted, are not secure. Therefore, employees should be careful with proprietary information sent via . Further, to ensure security, employees are asked neither to provide their access to unauthorized users nor to post, display or make easily available any access information. Employees should not access another user s without authorization. Employees are prohibited from using SRNY s premises, its.org domain, computer equipment or phone lines to send messages or view or transmit Internet materials that are inconsistent with SRNY s Personnel Policies/Personnel Manual. Obviously, the Systems must not be used to communicate statements or images containing ethnic slurs, racial epithets or anything that may be construed as harassing, offensive or insulting to others based on an individual s sex, race, religion, national origin, color, marital status, sexual orientation, age, disability, or other protected classification. Received messages that violate the above-mentioned policies should be deleted. Additionally, SRNY s Systems should not be used to transmit or receive statements that contain any material that would be offensive, defamatory or threatening to others. Good judgment, good taste, common sense and respect for SRNY, its employees, associates, and others should be your guide. Messages sent via the Internet should be treated as non-confidential. Because postings placed on the internet may display SRNY s address, make certain that the information reflects the standards and policies of SRNY. Under no circumstances should information of a confidential, sensitive or otherwise proprietary nature be placed on the Internet. Under no circumstances should anyone use SRNY s Internet and Web access for any of the following: 1. to disseminate or print any copyrighted or protected materials in violation of copyright laws; 2. to engage in any activity that violates federal, state, and local laws; 3. to download or distribute software that might damage the function or operation of SRNY s computers or computer network; or 4. to cause network congestion or significantly hamper the ability of others to access and use the Systems. Unless the prior approval of management has been obtained, users may not establish Internet or other external network connections that could allow unauthorized persons to gain access to SRNY s systems and information. These connections include the establishment of hosts with public modem dial-ins, World Wide Web home pages and File Transfer Protocol (FTP). Staff is reminded to check all files downloaded from the Internet for possible computer viruses. Users should also be aware that authorized SRNY personnel can, through the network, remotely access individual workstations at any time, view all activity on a particular workstation and take control of a workstation. Under normal circumstances a user will be advised in advance when his or her workstation will be viewed or controlled, and such steps will normally be taken to correct problems arising in any individual system. However, SRNY may for any reason, and at any time, view all current activity on a particular workstation. Users should also 7

8 be aware that SRNY s: Information Technology consultants may be instructed, as needed, to delete and remove any unauthorized programs, services or files that individual users install on SRNY s systems. By using SRNY s Systems and as a term and condition of employment, all SRNY personnel acknowledge and consent to SRNY s right to access, search, audit, intercept, or review individual computer or network files, messages, Internet and Intranet activity at any time with or without specific notice. If you have any questions on this policy, please speak to the Secretary of SRNY. Any employee who violates the Policy shall be subject to discipline, up to and including discharge. Adopted by the Board of Managers at its meeting in May 24, 2010, and revised on June 28,

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