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1 1/31/19 Document Retention Policy DOCUMENT RETENTION AND DISPOSAL POLICY NEXT for AUTISM recognizes the importance of maintaining good business records. A strong recordkeeping program provides the knowledge, infrastructure and rules to meet legal requirements, to preserve our history, to exercise good stewardship in use of resources, to minimize the cost of retaining records and to provide for the systematic disposition of outdated and useless records. NEXT’s records are retained in accordance with applicable laws and regulations as documented in the Record Retention Schedule. Applicability and Scope - This policy applies to all employees who create or collect records on behalf of NEXT, as well as volunteers, interns and consultants who create collect or handle records on NEXT premises. It is the supervising employee’s responsibility to ensure that all NEXT records created or collected by consultants and vendors are maintained according to this policy, either by obtaining copies of all relevant records and maintaining them at NEXT in accordance with this policy, or by requiring consultants and vendors to maintain relevant records at their own places of business in accordance with this policy. Records are defined as documents and files that are created and/or maintained in the course of doing business. Records may be in hard copy or electronic form and may be stored on a variety of media. This includes but is not limited to paper electronic files, e-mail and voicemail records on network servers, desktop and laptop computers, portable storage devices, handheld computers and tablets, smart phones and other devices. Only the final versions of Records should be maintained. Destruction of Records containing any proprietary or sensitive information must be completed in a secure manner, such as using shredding machines and/or outside service providers. Each employee, officer and director shall be obligated to return to the NEXT all records upon the end of his or her service with NEXT. This includes Records that may be maintained outside of NEXT’s property, at personal home residences or on home computers and other electronic devices. Record Retention Schedule – The schedule of minimum retention requirements provides the period of time that a specific type of record must be retained as well as the department that must retain the record. The president is authorized by the board to review and update the schedule as appropriate to ensure it accurately reflects NEXT’s recordkeeping requirements and applicable federal and state laws. NEXT may decide on a case-by-case basis to extend retention periods beyond the minimum to meet business needs. Legal Hold Exception - NEXT may be involved in lawsuits, audits or other investigations from time to time, and the ease of accessibility of documents will be an important consideration. In the event of one of these situations, NEXT’s legal counsel, in coordination NEXT leadership, will identify and contact all affected staff to instruct them about the retention of documents. Under such circumstances, staff should follow the instructions given to them by legal counsel and should not follow the Record Retention Schedule, as documents relating to these types of situations may need to be retained for longer periods. The legal counsel will inform employees about document retention/disposal practices related to an

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Page 1: DOCUMENT RETENTION AND DISPOSAL POLICY · 2020. 1. 24. · requirements, to preserve our history, to exercise good stewardship in use of resources, to minimize the cost of retaining

1 1/31/19 Document Retention Policy

DOCUMENTRETENTIONANDDISPOSALPOLICY

NEXTforAUTISMrecognizestheimportanceofmaintaininggoodbusinessrecords.Astrongrecordkeeping program provides the knowledge, infrastructure and rules to meet legalrequirements,topreserveourhistory,toexercisegoodstewardshipinuseofresources,tominimize the cost of retaining records and to provide for the systematic disposition ofoutdatedanduselessrecords. NEXT’srecordsareretainedinaccordancewithapplicablelawsandregulationsasdocumentedintheRecordRetentionSchedule.ApplicabilityandScope-ThispolicyappliestoallemployeeswhocreateorcollectrecordsonbehalfofNEXT,aswellasvolunteers,internsandconsultantswhocreatecollectorhandlerecordsonNEXTpremises.Itisthesupervisingemployee’sresponsibilitytoensurethatallNEXTrecordscreatedorcollectedbyconsultantsandvendorsaremaintainedaccordingtothispolicy,eitherbyobtainingcopiesofallrelevantrecordsandmaintainingthematNEXTinaccordancewiththispolicy,orbyrequiringconsultantsandvendorstomaintainrelevantrecordsattheirownplacesofbusinessinaccordancewiththispolicy.Recordsaredefinedasdocumentsandfilesthatarecreatedand/ormaintainedinthecourseofdoingbusiness.Recordsmaybeinhardcopyorelectronicformandmaybestoredonavarietyofmedia.This includesbut isnot limited topaperelectronic files,e-mailandvoicemail recordsonnetwork servers, desktop and laptop computers, portable storage devices, handheldcomputersandtablets,smartphonesandotherdevices.OnlythefinalversionsofRecordsshould be maintained. Destruction of Records containing any proprietary or sensitiveinformation must be completed in a secure manner, such as using shredding machinesand/oroutsideserviceproviders.Eachemployee,officeranddirectorshallbeobligatedtoreturntotheNEXTallrecordsupontheendofhisorherservicewithNEXT.ThisincludesRecordsthatmaybemaintainedoutsideofNEXT’sproperty,atpersonalhomeresidencesoronhomecomputersandotherelectronicdevices.RecordRetentionSchedule–Thescheduleofminimumretentionrequirementsprovidestheperiodoftimethataspecifictypeofrecordmustberetainedaswellasthedepartmentthatmustretaintherecord.Thepresidentisauthorizedbytheboardtoreviewandupdatethe schedule as appropriate to ensure it accurately reflects NEXT’s recordkeepingrequirementsandapplicable federalandstate laws. NEXTmaydecideonacase-by-casebasistoextendretentionperiodsbeyondtheminimumtomeetbusinessneeds.LegalHoldException -NEXTmaybeinvolvedinlawsuits,auditsorotherinvestigationsfrom time to time, and the ease of accessibility of documents will be an importantconsideration.Intheeventofoneofthesesituations,NEXT’slegalcounsel,incoordinationNEXT leadership, will identify and contact all affected staff to instruct them about theretentionofdocuments.Undersuchcircumstances,staffshouldfollowtheinstructionsgiventothembylegalcounselandshouldnotfollowtheRecordRetentionSchedule,asdocumentsrelatingtothesetypesofsituationsmayneedtoberetainedforlongerperiods.Thelegalcounselwill informemployeesaboutdocumentretention/disposalpracticesrelatedtoan

Page 2: DOCUMENT RETENTION AND DISPOSAL POLICY · 2020. 1. 24. · requirements, to preserve our history, to exercise good stewardship in use of resources, to minimize the cost of retaining

2 1/31/19 Document Retention Policy

investigation.Underthesecircumstances,thedestructionofpotentiallyrelevantdocumentsincontraventionoftheinstructionsoftheLegalCounselisexpresslyprohibitedandaseriousbreach of policy, which is subject to disciplinary action that can include employmenttermination.Education-TheRecordRetentionPolicyistobedistributedtoallemployeesandtonon-employeeswhocreate,collectorhandlerecordsonNEXT’spremises,anditisprovidedtoconsultants andvendors as appropriate. NEXT leadershipwill conductperiodic trainingsessions,asnecessary,toensurethatallemployeesareawareofandunderstandtheRecordRetentionPolicyandRecordRetentionSchedule.ByworkingfororonbehalfoftheOrganization,youareagreeingtoupholdourcommitmenttodowhatisrightandtofollowtheCodeofConductandrelatedpolicies.Thosewhofailtoupholdthiscommitmentputthemselves,theircolleaguesandtheOrganizationatriskandmayultimatelybesubjecttodisciplinaryaction.Should you have any questions about this Policy, please contact the PolicyAdministrator/AmyWallace.

RetentionSchedule

No. CategoryofRecord RetentionPeriod

Corporate/OrganizationRecords

1. Boardrecords,includingagendas,resolutions,andminutes

Permanent

2. Businesslicensesandsellerspermits(state,county,city)

3yearsafterexpiration

3. Corporatemapsorhierarchycharts 5yearsaftersuperseded4. Employeedirectories 5yearsaftersuperseded5. Incorporation records, including articles of

incorporationandbylaws,andcharterPermanent

6. Policystatements 7years

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3 1/31/19 Document Retention Policy

AccountingRecords

7. A/Pinvoices(paidandunpaid) 7years8. A/Rinvoices 7years9. Accountspayable 7years10. Accountsreceivable 7years11. Annualauditrecords 7years12. Annualfinancialstatements Permanent13. Auditreports 7years14. Bankreconciliations 7years15. Businessexpensereports 7years16. Canceledchecks 7years18. Cashreceipts 7years19. Creditcardreceipts 7years20. Donationrecords 7years21. Expenserecords 7years22. Fundraisingrecords 7years23. Generalledger 10years25. Journalentries 10years26. Loanrecords 7yearsafterfinalpayment27. Monthlyfinancialstatements 3years28. Purchaseorders 7years29. Salesrecords 7years30. Specialreports 7years31. Stoppaymentorders 3years32. Treasurer’sreports,periodic 3years

PayrollRecords

33. Canceledpayrollchecks 7years34. Changesoradjustmentstosalary 7years36. Deductionsregister 7years37. Earningsrecords 7years38. Garnishments 7yearsfollowingtermination39. Payrolldeductions 7years40. Payrollregisters 7years41. Salary 7years42. Stateunemploymentforms 7years43. Stateunemploymenttaxrecords 7years44. Timecardsortimesheets 7years45. W-2forms 7years46. W-4forms 7years47. Wage 7years

Page 4: DOCUMENT RETENTION AND DISPOSAL POLICY · 2020. 1. 24. · requirements, to preserve our history, to exercise good stewardship in use of resources, to minimize the cost of retaining

4 1/31/19 Document Retention Policy

TaxRecords

48. 1099forms Permanent49. City and state excise tax reports and supporting

documentation10years

50. Federaltaxreturns(notpayroll) Permanent51. Payroll taxes(Form941,statewithholding forms,

stateunemploymentreturns)10years

52. Payrolltaxes(W2,W3forms) 10years53. Stateandlocaltaxreturns Permanent54. Supportingworksheetsandrecordsfortaxreturns Permanent55. Unclaimed property filings and supporting

documentation10years

56. Tax-exemption records, including application fortaxexemptionandIRSdeterminationletter

Permanentrecordsmustberetainedatheadquartersandmadeavailableforpublic

inspectionuponrequest

InsuranceRecords

57. Claimforms,includingsupportingdocumentationandevidence

10yearsfromresolutionofclaim

58. Policies Permanent

IntellectualPropertyRecords

59. Copyrightregistrations,applications,renewals,amendments,andrelatedfilings

Permanent

60. Patents,patentapplications,andrelatedfilings Permanent61. Trademark registrations, applications, renewals,

andrelatedfilingsPermanent

LegalRecords

62. Attorneyopinionletters RetentionPerioddependsonthetopicoftheopinionletter.ContactLegalDepartmentpriorto

destroyinganyAttorneyOpinionLetter.63. AcquisitionAgreementsandrelated

documentationPermanent

64. CharitableSolicitationRegistrations Permanent65. ContractswithProfessionalFundraisers 10yearsaftertermination66. Contracts 10yearsaftertermination68. Leases 7yearsaftertermination69. Litigationrecords(claims,courtrecords,

transcripts,discoverymaterials)7yearsfollowingcloseofcase

70. Publicfilings(SEC,etc.) Permanent71. Realestatecontractsandrecords Permanent73. Equityplansandagreements Permanent74. Tradesecretdocumentation Lifeoftradesecret

Page 5: DOCUMENT RETENTION AND DISPOSAL POLICY · 2020. 1. 24. · requirements, to preserve our history, to exercise good stewardship in use of resources, to minimize the cost of retaining

5 1/31/19 Document Retention Policy

MarketingRecords

75. Advertisements 7years76. Marketingplans 7years77. Pressreleases 7years

PersonnelRecords

78. Accident reports (also see OSHA requirementsbelow)

7yearsaftersettlement

79. Attendancerecords 3yearsfollowingcompletionofemployment80. Backgroundinvestigationresults–personshired 3yearsfollowingcompletionofemployment81. Background investigation results – persons not

hired1year

82. Beneficiaryinformation 3yearsfollowingcompletionofemployment83. Benefitplandocuments Permanent84. Disciplinary warnings, demotions, layoffs, and

discharges5yearsfollowingcompletionofemployment

85. Educationassistance Whileemployed86. Employeeresumesandemploymenthistory 3yearsfollowingcompletionofemployment87. Employmentandterminationagreements Permanent88. Employmentapplications–personshired 3yearsfollowingcompletionofemployment89. Employmentapplications–personsnothired 1year90. Evaluations 3yearsfollowingcompletionofemployment91. Incentiveplans 3years(afterexpiration)92. Jobannouncementsandadvertisements 1year93. Lettersofrecommendation–personshired 3yearsfollowingcompletionofemployment94. Lettersofrecommendation–personsnothired 1year95. Medicalandsafetyrecords 6years96. OSHArecords Recordsofoccupationalillness&injuries–5yrs

Recordsofemployeemedicalandexposuretohazardoussubstancesandinformationabouthazardoussubstancesused–durationof

employmentplus30years97. Payrolldeductions 7years98. Pensionplans 7years(afterexpiration)99. Promotionsandraises 7yearsfollowingemployment100. Promotions,raises,reclassifications,&job

descriptions7yearsfollowingcompletionofemployment

101. Resumes–personshired 3yearsfollowingcompletionofemployment102. Resumes–personsnothired 1year103. Retirementplans 6years(afterexpiration)104. Salaryorcurrentrateofpay 7years105. SickleaveandVacationbenefits 7years106. Timesheets 2years107. Wageorsalaryhistory 7years


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