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Retention and Disposal of Employee Record Process

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Retention and Disposal of Employee Record Process document sample

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									RECORDS RETENTION & DISPOSAL PROCESS
• http://www.ohiohistory.org/lgr
• Ohio Historical Society/Local Government
  Records
• About the LGR Program
• The OHS LGR Program provides records
  related advice and assistance to local
  governments in order to facilitate the
  identification and preservation of local
  government records with enduring
  historical value.
RECORDS RETENTION & DISPOSAL PROCESS

• Please be aware that the forms provided by
  and the procedures followed by the Ohio
  Historical Society’s Local Government
  Records Program have not changed. The
  established forms and procedures were
  designed to assist local governments in
  meeting the records management and
  archival requirements of the Ohio Revised
  Code while making every effort to
  thoroughly identify, evaluate, and select
  records with enduring historical value.
RECORDS RETENTION & DISPOSAL PROCESS
 •   http://www.ohiohistory.org/resource/lgr/webworkshops.html
 • Local Government Records: Just the Basics (HTML
   with Narration)
 • Introduction to the Local Government Records
   Program Rev. 2/20/01
 • Ohio Records Laws Rev. 2/20/01
 • Records Commissions Rev. 2/20/01
 • Records Inventory Rev. 2/20/01
 • Retention Schedules (RC-2) Rev. 2/20/01
 • One-Time Disposal (RC-1) Rev. 2/20/01
 • Records Disposal (RC-3) Rev. 2/20/01
 • Media Decisions Rev. 2/20/01
RECORDS RETENTION & DISPOSAL PROCESS
 • (What Is A Record) 149.011 ORC
 • Definition
 • According to the Ohio Revised Code a record is
   defined as:
   "…any document, device, or item, regardless of
   physical form or characteristic, created or received by
   or coming under the jurisdiction of any public office of
   the state or its political subdivisions, which serves to
   document the organization, functions, policies,
   decisions, procedures, operations, or other activities
   or the office." (ORC 149.011)
RECORDS RETENTION & DISPOSAL PROCESS

 • Electronic records: are records that contain
   machine readable information. The information
   may be text, numbers, graphs, line drawings,
   pictures, images, or sound. Examples of
   electronic records include word processing files,
   spreadsheet files, presentation graphics,
   electronic images, databases, audio or video
   recordings, and e-mail. Electronic records may
   occupy media such as magnetic disks or tapes;
   audio or video cassettes; and compact or optical
   disks.
RECORDS RETENTION & DISPOSAL PROCESS
•   149.41 SCHOOL DISTRICT RECORDS COMMISSION; PROCEDURES
    FOR REVIEW;
•   OHIO HISTORICAL SOCIETY ACCESS BEFORE DISPOSAL;
    EXCEPTIONS
•   There is hereby created in each city and exempted village school district
    a school district records commission and in each educational service
    center an educational service center records commission. Each records
    commission shall be composed of the president, the treasurer of the
    board of education or governing board of the educational service center,
    and the superintendent of schools in each such district or educational
    service center. The commission shall meet at least once every twelve
    months. The function of the commission shall be to review applications for
    one-time records disposal and schedules of records retention and
    disposition submitted by any employee of the school district or
    educational service center. Records may be disposed of by the
    commission pursuant to the procedure outlined in this section. The
    commission may at any time review any schedule it has previously
    approved, and for good cause shown mayrevise that schedule.
RECORDS RETENTION & DISPOSAL PROCESS
•   When school district or educational service center records have been
    approved for disposal, a list of such records shall be sent to the auditor
    of state. If he disapproves the action by the commission, in whole or in
    part, he shall so inform the commission within a period of sixty days and
    these records shall not be destroyed. Before public records are disposed
    of, the Ohio historical society shall be informed and given the opportunity
    for a period of sixty days to select for its custody such public records as it
    considers to be of continuing historical value. The society may not review
    or select for its custody either of the following:
•   (A) Records containing personally identifiable information concerning any
    pupil attending a public school other than directory information, as
    defined in section 3319.321 [3319.32.1] of the Revised Code, without the
    written consent of the parent, guardian, or custodian of each such pupil
    who is less than eighteen years of age, or without the written consent of
    each such pupil who is eighteen years of age or older;
•   (B) Records the release of which would, according to the "Family
    Educational Rights and Privacy Act of1974," 88 Stat. 571, 20 U.S.C.A.
    1232g, disqualify a school or other educational institution from receiving
    federal funds.
RECORDS RETENTION & DISPOSAL PROCESS

• The Board of Education establishes a district records
  commission to govern matters pertaining to districts
  records, their retention and disposal in accordance
  with ORC 149.41
• The records commission shall consist of the board
  president, treasurer, and superintendent. The
  treasurer shall serve as the chairman/secretary of the
  districts records commission. The members of this
  commission shall appoint necessary records officers
  through the district to carry out the necessary work
  associated with districts records.
RECORDS RETENTION & DISPOSAL PROCESS


 • The district records commission must create and adopt
   a general Schedule of Records Retention & Disposition
   (RC-2 Form)
 • Once your local Records Commission has approved
   the General Schedule they make and keep one copy of
   the schedule for the Records Commission file. Forward
   the general Schedule to the Local Records Specialist
   from the Ohio Historical Society.
RECORDS RETENTION & DISPOSAL PROCESS

 • The Ohio Historical Society Records Specialist will
   review and approve the schedule if acceptable, and
   then forward to the Auditor of State Records Officer in
   Columbus, Ohio.
 • The Auditor of State Records Officer will review and
   approve the Schedule and make two (2) copies. One
   (1) copy will be maintained in the Columbus office.
   Another copy will be sent to the Regional Auditor in
   the entity’s district. The original Schedule will be
   mailed back to the Ohio Historical Society Records
   Specialist in your county.
RECORDS RETENTION & DISPOSAL PROCESS

 • The Ohio Historical Society Records
   Specialist will make a copy and mail it to
   the district and will keep one (1) copy
   for its own files.
RECORDS RETENTION & DISPOSAL PROCESS
RECORDS RETENTION & DISPOSAL PROCESS
•   http://www.ohiohistory.org/resource/lgr/RecordsmanualSection1.doc
•   RECORD RETENTION AND DESTRUCTION
             Key To Schedule

•   1000- BOARD AND ADMINISTRATIVE RECORDS
•   5000- CENTRAL DEPARTMENT
•   20000- EMPLOYEE RECORDS
•   6000- FINANCIAL RECORDS
•   3000- STUDENT RECORDS
•   7000-PAYROLL RELATED RECORDS
•   4000- BUILDING RECORDS
•   8000- REPORTS
•   9000- OTHER
    *Symbols meanings:
    “After end of fiscal year” means the number of years specified plus the current
    year. “Provided Audited” means the record series has been audited by the
    Auditor of State and the audit report released.
RECORDS RETENTION & DISPOSAL PROCESS

 • Once the General Schedule has been
   approved by both the Ohio Historical Society
   and the State Auditor’s Office and is in place,
   the district will use the RC-3 Form to activate
   the disposal process. The district entity’s
   Record’s Officer must complete the RC-3
   Form when disposal is timely according to the
   pre-approved RC-2 General Schedule.
RECORDS RETENTION & DISPOSAL PROCESS
• District completes the RC-3 Form (Certificate of
  Disposal) and make one (1) copy for Records
  Commission files. Maintain one copy for one copy for
  Records Officer files.
• Mail Original RC-3 Form to the Ohio Historical Society
  or Records Specialist in your county.
• The Records Specialist will forward to the State
  Auditor’s Office on the districts behalf.
• The district will not receive the original RC-3 Form
  back. Its purpose is to serve notice to both the Ohio
  Historical Society and State Auditor’s Office that
  disposal of records is take place.
RECORDS RETENTION & DISPOSAL PROCESS

• Wait fifteen (15) business days after mailing the RC-3
  Form to the Ohio Historical Society and then dispose of
  records according to the approved Schedule.
• If for some reason, disposal is not appropriate, you will
  be informed within the fifteen (15) business day period
  established for such a situation.

								
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