Document Retention and Destruction Policy
I. Purpose
This Document Retention and Destruction Policy (Policy) provides for the systematic review, retention and destruction of documents received or created by the Iowa Campus Compact (IACC) in connection with the transaction of the Iowa College AmeriCorps Program (Program). This Policy covers all records and documents, regardless of physical form (including electronic documents), contains guidelines for how long certain documents should be kept and how Program records should be destroyed. The Policy is designed to ensure compliance with federal and state laws and regulations, to eliminate accidental or innocent destruction of records and to facilitate IACC’s operations by promoting efficiency and freeing up valuable storage space.
II. Document Retention
IACC follows the document retention procedures outlined by the Corporation for National and Community Service. Documents are retained for five years after the grant year has ended. Documents that are not listed, but are substantially similar to those listed in the schedule will be retained for the appropriate length of time.
III. Program Records
Member Enrollment Records
Background Check Records
Term Amendment Records
Term Completion Records
Other related reports
Program Performance Measure and Evaluation Reports
Host Site Documents
Financial Documents
IV. Electronic Documents and Records
Electronic documents will be retained as if they were paper documents. Therefore, any electronic files that fall into one of the document types on the above schedule will be maintained for the appropriate amount of time. If a user has sufficient reason to keep an email message, the message should be printed in hard copy and kept in the appropriate file or moved to an “archive” computer file folder. Backup and recovery methods will be tested on a regular basis.
Program documents will be stored in a portable document format (PDF) unless otherwise noted.
V. Electronic Document Labeling
Records will be labeled using the following file and folder naming conventions. The file naming convention follows best practices to ensure efficient and effective retrieval of records. All files will be reviewed prior to being labeled by IACC staff.
Folder Naming Convention
Program Year
Member Files
Individual member folder names
EXAMPLE
File Naming Convention
Documents located within each member folder will use the following naming convention. The agreement ID is generated by IACC document records.
EXAMPLES:
V. Emergency Planning The Organization’s records will be stored in a safe, secure and accessible manner. Documents and financial files that are essential to keeping the Organization operating in an emergency will be duplicated or backed up at least every week and maintained off site.
VI. Document Destruction
The Organization’s program staff is responsible for the ongoing process of identifying its records, which have met the required retention period and overseeing their destruction.
Document destruction will be suspended immediately, upon any indication of an official investigation or when a lawsuit is filed or appears imminent. Destruction will be reinstated upon conclusion of the investigation.
VII. Compliance
Failure on the part of employees or contract staff to follow this policy can result in possible civil and criminal sanctions against the Organization and its employees or contract staff and possible disciplinary action against responsible individuals. Program staff will periodically review these procedures with legal counsel or the organization’s certified public accountant to ensure that they are in compliance with new or revised regulations.
VIII. Valid Document Signature
Signatures will be considered valid by program staff if they meet all criteria listed in this document. Signatures which do not meet the criteria will be considered invalid and documents containing the signature will not be accepted by program staff.
IX. Access to Records
Immediate program staff (IACC staff) are the only individuals allowed access to Program records. Program support staffs such as host sites, host site supervisors, or the like are strictly prohibited from accessing Program records.
This Document Retention and Destruction Policy (Policy) provides for the systematic review, retention and destruction of documents received or created by the Iowa Campus Compact (IACC) in connection with the transaction of the Iowa College AmeriCorps Program (Program). This Policy covers all records and documents, regardless of physical form (including electronic documents), contains guidelines for how long certain documents should be kept and how Program records should be destroyed. The Policy is designed to ensure compliance with federal and state laws and regulations, to eliminate accidental or innocent destruction of records and to facilitate IACC’s operations by promoting efficiency and freeing up valuable storage space.
II. Document Retention
IACC follows the document retention procedures outlined by the Corporation for National and Community Service. Documents are retained for five years after the grant year has ended. Documents that are not listed, but are substantially similar to those listed in the schedule will be retained for the appropriate length of time.
III. Program Records
Member Enrollment Records
- Member Service Agreement
- Position Description
- Enrollment Application (through eGrants)
- Program Orientation Agenda
Background Check Records
- Program Background Check Waiver
- Copy of member Government Issued ID
- Citizenship Documentation
- NSOPW Check Results
- State of Iowa Check Results
- State of Iowa Waiver Form
- Federal Background Check Results
- Federal Background Check Waiver Form
Term Amendment Records
- Agreement Amendment Form
- Position Description Amendment Form
Term Completion Records
- Records relating to Discharge
- Early Exit Form
- Compelling Circumstance Documentation
- AmeriCorps Exit Application (through eGrants)
- Member Evaluation
- Supervisor Evaluation
- Program Evaluation
Other related reports
- Accident Reports and Worker’s Compensation Records
- Time Cards/Sheets (through IowaGrants)
- Site Visit Reports
Program Performance Measure and Evaluation Reports
- Midterm Performance Measure Report
- End of term Performance Measure Report
- Final Performance Measure Report
- Service Site Capacity Survey (Pre-Service)
- Service Site Impact Survey (Post-Service)
Host Site Documents
- Host Site Application
- Host Site Agreement
Financial Documents
- GAX/IET Accounting Form
- Member Roster Report
IV. Electronic Documents and Records
Electronic documents will be retained as if they were paper documents. Therefore, any electronic files that fall into one of the document types on the above schedule will be maintained for the appropriate amount of time. If a user has sufficient reason to keep an email message, the message should be printed in hard copy and kept in the appropriate file or moved to an “archive” computer file folder. Backup and recovery methods will be tested on a regular basis.
Program documents will be stored in a portable document format (PDF) unless otherwise noted.
V. Electronic Document Labeling
Records will be labeled using the following file and folder naming conventions. The file naming convention follows best practices to ensure efficient and effective retrieval of records. All files will be reviewed prior to being labeled by IACC staff.
Folder Naming Convention
Program Year
Member Files
Individual member folder names
- Convention: Last name – First Name
EXAMPLE
- 2014-15/MemberFiles/Ellis-Justin/
File Naming Convention
Documents located within each member folder will use the following naming convention. The agreement ID is generated by IACC document records.
- Convention: Last name – First name _ agreementID _ document type .pdf
EXAMPLES:
- Ellis-Justin_12345_Agreement.pdf
- Ellis-Justin_12345_PositionDescription.pdf
- Ellis-Justin_12345_MemberTrainingCertification.pdf
- Ellis-Justin_12345_BackgroundCheckWaiver.pdf
- Ellis-Justin_12345_Agreement_And_PositionDescription.pdf
V. Emergency Planning The Organization’s records will be stored in a safe, secure and accessible manner. Documents and financial files that are essential to keeping the Organization operating in an emergency will be duplicated or backed up at least every week and maintained off site.
VI. Document Destruction
The Organization’s program staff is responsible for the ongoing process of identifying its records, which have met the required retention period and overseeing their destruction.
Document destruction will be suspended immediately, upon any indication of an official investigation or when a lawsuit is filed or appears imminent. Destruction will be reinstated upon conclusion of the investigation.
VII. Compliance
Failure on the part of employees or contract staff to follow this policy can result in possible civil and criminal sanctions against the Organization and its employees or contract staff and possible disciplinary action against responsible individuals. Program staff will periodically review these procedures with legal counsel or the organization’s certified public accountant to ensure that they are in compliance with new or revised regulations.
VIII. Valid Document Signature
Signatures will be considered valid by program staff if they meet all criteria listed in this document. Signatures which do not meet the criteria will be considered invalid and documents containing the signature will not be accepted by program staff.
- Signatures are handwritten or stamped
- Signatures are legible
- Full names of signees are located on the document and are legible
- Handwritten signatures are made in blue or black ink
- Documentation must contain enough information to determine the date on which the agreement was signed. If the entry immediately above or below the entry is dated, IACC staff may reasonably assume the date of the entry in question.
IX. Access to Records
Immediate program staff (IACC staff) are the only individuals allowed access to Program records. Program support staffs such as host sites, host site supervisors, or the like are strictly prohibited from accessing Program records.