TABLE
OF CONTENTS
1.
Introduction
2. Safe Storage and Destruction
3. Email
4. Client Notice
5. File Culling
6. Effect and Modification
Appendix
A
1.
Introduction
(a)
The material set forth in this document relates to, and covers issues
related to, worlddo.com Pty Ltd ("Worlddo"), its staff,
contractors, personnel and other related persons, and to information
developed by Worlddo. Under no circumstances does this material
relate to Worlddo as a whole.
(b)
Worlddo maintains these Guidelines for Records Retention (the "Guidelines")
to serve as a plan covering the maintenance, destruction, and storage
of staff, personnel and client property and files. Unless otherwise
noted, the records are retained on paper.
(c)
The obligation to establish a record retention plan for client and
Worlddo property derives from several ethical rules, requiring reasonable
efforts to ensure that client confidences and secrets are protected.
(d)
The retention period for a record depends on the content of the
record, not on whether the record is maintained on paper, tape or
computer disk; the same requirements apply regardless of the storage
format.
(e)
General categories of retention periods have been established, allowing
for independent judgment to change those periods as appropriate.
One retention period is not adequate for all files; it is the responsibility
of the responsible Worlddo Manager(s) or person(s) in charge of
Worlddo (the "Manager") to ensure that a retention period
is set as appropriate for the type of practice, the type of representation,
the individual client's needs, and the particular case.
(f)
In determining the length of time for retention or disposition of
a file, the Manager should exercise discretion. The information
and tables in Appendix A of these guidelines outline the time for
retention or disposition of a file and should be adhered to, unless
there is good reason to do otherwise.
top
2.
Safe Storage and Document Destruction
(a) Documents are only to be accessed by Worlddo staff and related
persons, including project coordinators, sales representatives,
support staff, and others as appropriate.
(b) Where a storage facility is located away from the main offices
of Worlddo, Worlddo's retention guidelines should require that any
contract involving that facility should clearly specify the persons
permitted access to the facility, the circumstances concerning such
access and the system for granting authorization for access to persons
other than Worlddo staff, personnel and members.
(c) Access to information stored in an off-site facility should
be treated at least as carefully as Worlddo treats access to its
trade secrets or other proprietary information. Comparable controls
should be in place for access to records maintained on tape or computer
disk.
(d) All files on disk should be backed up once a month at the end
of the day of each month, where information containing financial
and other personal data should be backed up daily.
(e) To the extent that the record includes material disclosing confidential,
secret or privileged information, the (paper) record must be disposed
of safely by shredding, tearage or incineration. Mere deposit in
a waste receptacle is insufficient. In identifying information that
should be destroyed, the retention guidelines should specify whether
the information is to be deleted from tapes and computer disks in
addition to disposal of paper copies.
Top
3.
Email
(a)
Email messages, both those stored in the computer and those printed
out, should not be considered private.
(b)
Email messages may be considered public records pursuant to Japanese
law and may be subject to disclosure.
(c)
Email messages shall be disposed of monthly, on the last day of
each month or the last working day before, unless there is good
reason to keep, store, or print an Email message and treat it as
a document falling within another category. "Good reason"
extends to assessing whether the information should be kept in another
category.
Top
4.
Client Notice
(a) Client property may not be destroyed without client consent.
Determining what papers the client is entitled to receive, and what
is the client's "property" are questions of law. If the material
includes client property, the client must be notified before the
material can be ethically destroyed.
(b) Clients are notified by provisions in the contract (if any),
and notice of the retention plan applicable to the particular matter
at the outset of representation. Alternatively, the client could
be notified of the applicable retention plan when the work is concluded.
If necessary, instructions should be asked of the client as to disposition
in the discretion of the Manager, project coordinator, or other
person most affected.
(c) A third option is the return of the property to the client.
Top
5.
File Culling
(a) Even when time periods have been carefully established, closed
files may not be destroyed indiscriminately by only checking the
closing date on the file and then disposing of all files closed
in excess of a particular number of years.
(b)
Files must be examined before they are destroyed.
Top
6.
Effect and Modification
(a)
These Guidelines shall be effective from 31 December 2002 and shall
remain in effect until modified or revoked. They shall have effect
on and relate to documents created by Worlddo after the Date of
Approval. Modifications to and revocation of this Policy can be
made by the President and CEO of Worlddo after consulting the Manager(s).
Modifications will take effect on a date specified.
(b)
Modifications to Appendix A can be made by the Manager after consulting
with Staff as necessary. All modifications will be documented, and
the President will be notified of all changes. Modifications will
take effect immediately or on a date specified by the Manager.
Top
Appendix
A
Document
Types
Accounting
Accounts
Payable
Admissions
(where applicable)
Audio Production Services
Board of Directors
Board of Trustees
Budget
Business Services
Customer Account
Services
Electronic
Documents
Electronic Project
Documents
General Counsel
Human Resources
Income/Expenditure
Information
Internal Audit
Worlddo Planning
Public Safety/Environmental
Reporting
Purchasing/Ordering
Telecommunications
Trade Secrets
top-top
Accounting
|
Document
Name
|
Retention
Period
In
years*
|
|
Accounting
& Operating Reports
|
3
|
|
Chart
of Accounts
|
3
|
|
Financial
Statements—End-of-year (Other Months Optional)
|
3
|
|
General
Ledgers
|
3
|
|
Journal
Entries
|
3 |
top
Accounts
Payable
|
Document
Name
|
Retention
Period
In
years*
|
|
Accounts
Payable Ledgers
|
5
|
|
Expense
Reports
|
5
|
|
Check
Registers
|
3
|
|
Correspondence
(routine) with Customers and Vendors
|
1
|
|
Insurance
Payments
|
4
|
|
Invoices
|
1
|
|
Payment
Disbursement Records
|
3
|
|
Petty
Cash Vouchers
|
3
|
|
Royalty
Payments
|
3
|
|
Independent
Contractor Contracts
|
3
|
top
Admissions
(where applicable)
|
Document
Name
|
Retention
Period
In
years*
|
|
Acceptance
Letters (students who do not enter)
|
2 years
after application term
|
|
Applications(students
who do not enter)
|
2 years
after application term
|
|
Applicant
Statistics(students who do not enter)
|
P
|
|
Correspondence(students
who do not enter)
|
2 years
after application term
|
|
Transcripts(students
who do not enter)
|
2 years
after application term
|
|
Exams
(ACT, SAT)(students who do not enter)
|
2
|
*Act
= while active, employed, or enrolled; Life= life of affected employee;
P= permanent
top
Audio
Production Services
|
Document
Name
|
Retention
Period
In
years*
|
|
Videotapes
|
3
|
*Act
= while active, employed, or enrolled; Life= life of affected employee;
P= permanent
top
Board
of Directors
|
Document
Name
|
Retention
Period
In
years*
|
|
Articles
of Incorporation
|
P
|
|
By-laws
|
P
|
|
Policy
Statements
|
P
|
*Act
= while active, employed, or enrolled; Life= life of affected employee;
P= permanent
top
Board
of Trustees
|
Document
Name
|
Retention
Period
In
years*
|
|
Articles
of Incorporation
|
P
|
|
By-laws
|
P
|
|
Policy
Statements
|
P
|
*Act
= while active, employed, or enrolled; Life= life of affected employee;
P= permanent
top
Budget
|
Document
Name
|
Retention
Period
In
years*
|
|
Budget
Adjustments - Permanent
|
P
|
|
Budget
Adjustments - One-time
|
2
|
|
Position
Authorizations - Contract Personnel and other related person
|
P
|
|
Position
Authorizations - Staff
|
P
|
|
Booking
Budgets/Personnel Listings (All Funds)
|
P
|
|
Payroll
Reimbursements—Grants and Contracts
|
4
|
|
Budget
Request
|
3
|
|
Cost-Study
Analysis
|
2
|
*Act
= while active, employed, or enrolled; Life= life of affected employee;
P= permanent
top
Business
Services
|
Document
Name
|
Retention
Period
In
years*
|
|
Client
Records and Files
|
3 year
after completion of project
|
|
Insurance
Policies and Records
|
P
|
|
Insurance
Claims
|
5 years
|
*Act
= while active, employed, or enrolled; Life= life of affected employee;
P= permanent
top
Customer
Account Services
|
Document
Name
|
Retention
Period
In
years*
|
|
Accounts
Receivable
|
3
|
|
Accounts
Receivable Ledgers
|
3
|
|
Collection
Records
|
3
|
|
Correspondence
(routine) with Customers and Vendors
|
1 year
hard copy; see Electronic Documents for Email
|
|
Duplicate
Deposit Slips, Cashiering Receipts
|
3
|
|
Invoices
|
3
|
|
Uncollected
Accounts
|
4
|
*Act
= while active, employed, or enrolled; Life= life of affected employee;
P= permanent
top
Electronic
Documents
The
contents of this section override other inconsistent provision in
these guidelines to the extent related. The files kept, their storage
places, their media for storage, and their times for retention/disposal
are as follows:
|
Document
Name
|
| Document
Description |
Storage
Place |
Media
for Storage |
Destruction
times |
Back
up schedule
|
| Confidential
Online Purchasing Information |
Server
Provider |
Electronic
|
P |
Daily
|
| Customer
Account Information |
Server
Provider |
Electronic
|
P |
Daily
|
| Customer
Email |
Project
Coordinator computers; Support staff computers; Worlddo staff
computers |
Electronic
|
Once
a month at the end of each month, or the last working day before;
important files are printed out and kept on file and treated
accordingly. |
Backed
up on copy until destroyed
|
| Personal
Email of Staff and Personnel |
Personal
computers |
Electronic
|
Once
a month at the end of each month, or the last working day before;
important files are printed out and kept on file and treated
accordingly. |
N/A
|
| Other
documents |
Server
Provider |
Electronic |
Once
a month at the end of each month, or the last working day before;
deleted three times |
|
top
Electronic
Project Documents
The
contents of this section override other inconsistent provision in
these guidelines to the extent related. The files kept, their storage
places, their media for storage, and their times for retention/disposal
are as follows:
|
Document
Name
|
| Document
Description |
Storage
Place |
Media
for Storage |
Destruction
times |
Back
up schedule
|
| Confidential
Payment Information |
Server
Provider |
Electronic
|
P |
Daily
|
| Customer
Account Information |
Server
Provider |
Electronic
|
P |
Daily
|
| Customer
Payment Information |
Server
Provider |
Electronic
|
P |
Daily
|
| Customer
Email |
Personal
computers |
Electronic
|
Once
a month at the end of each month, or the last working day before;
important files are printed out and kept on file and treated
accordingly. |
Backed
up on copy until destroyed
|
| Personal
Email of Staff and Personnel |
Personal
computers |
Electronic
|
Once
a month at the end of each month, or the last working day before;
important files are printed out and kept on file and treated
accordingly. |
Backed
up on copy until destroyed
|
| Work
Schedule and other confidential information |
Server
Provider (secure server, SSL) |
Electronic |
P |
Daily
|
| Project
File |
Server
Provider, Project Coordinator computer, Project File with Project
Coordinator, to be passed on to Worlddo |
Electronic
and hard copy |
1
year after project completion |
Daily
on server; Paper copy sent to Worlddo; Copy held by Project
Coordinator
|
| Client
Documents |
Server
Provider; Project Coordinator; Worlddo |
Electronic;
paper |
1
year after project completion |
Daily
on server; Paper copy held by Worlddo and Project Coordinator.
Notice given to client before destruction.
|
Top
General
Counsel
|
Document
Name
|
Retention
Period
In
years*
|
|
Attorney
Opinion Letters (Property)
|
5
|
|
Charter
|
P
|
|
Claims
|
3
|
|
Court
Documents and Records
|
Act
|
|
Deposition
Transcripts
|
Act
|
|
Discovery
Materials
|
Act
|
|
Litigation
Files
|
Act +
2
|
*Act
= while active, employed, or enrolled; Life= life of affected employee;
P= permanent
top
Human
Resources
|
Document
Name
|
Retention
Period
In
years*
|
|
Advertisements
|
2
|
|
Monthly
Activity Report
|
2
|
|
Seasonal
Layoff Data
|
1 year
(plus
current year)
|
|
Seniority
Reports
|
1 year
(plus
current year)
|
|
Annual
Report
|
2
|
|
Applicant
Flow Log
|
1
|
|
Intern
Documents (duration of apprenticeship)
|
4
|
|
Testing
Results
|
2 |
|
Background
Investigations
|
Act +
1
|
|
Job Announcements
and Advertisements
|
1
|
|
Individual
Applicants Who are not Hired
|
1
|
|
Background
Investigation Results
|
2
|
|
Employment
Applications/Résumés
|
2
|
|
Employee
File After Termination
|
P
|
|
Exit Interview
Report
|
2
|
|
Employee
Files
|
3 |
|
Appointment
& Transaction Forms
|
P
|
|
Beneficiary
Designation
|
P
|
|
Benefit
& Retirement Plan Elective Forms
|
P
|
|
Benefit
Documents
|
P
|
|
Court
Ordered Service Documents
|
P
|
|
Disciplinary
Warnings & Actions
|
P
|
|
Emergency
Contacts
|
P
|
|
Employee
Accident & Injury Report
|
P
|
|
Employee
Evaluations/Performance Appraisals
|
P
|
|
Employee
Personal Information Forms
|
P
|
|
Garnishment,
Wages, Assignments, & Tax Levies
|
P
|
|
Layoff
or Termination Notice
|
P
|
|
Letters
of Appointment
|
P
|
|
Letters
of Promotion
|
P
|
|
Letters
of Recommendation
|
P
|
|
Orientation
Checklist/ Office Systems
|
P
|
|
Pay Notices
|
P
|
|
Written
Verification of Employment
|
P
|
|
General
Files
|
3 |
|
Superseded
Employee Manuals
|
5
|
|
Superseded
Job Descriptions
|
1
|
|
Position
Activity Records
|
2 years
(plus
current year)
|
*Act
= while active, employed, or enrolled; Life= life of affected employee;
P= permanent
top
Income/Expenditure
Information
|
Document
Name
|
Retention
Period
In
years*
|
|
Income
Reports
|
5
|
|
Expenditure
Reports
|
5
|
|
Transactions
|
5
|
*Act
= while active, employed, or enrolled; Life= life of affected employee;
P= permanent
top
Internal
Audit
|
Document
Name
|
Retention
Period
In
years*
|
|
Audit
Reports of Public Accountants
|
P
|
|
Internal
Audit Reports
|
P
|
|
Internal
Audit Working Papers
|
5
|
*Act
= while active, employed, or enrolled; Life= life of affected employee;
P= permanent
top
Worlddo
Planning
|
Document
Name
|
Retention
Period
In
years*
|
|
Project
Planning Records
|
3
|
*Act
= while active, employed, or enrolled; Life= life of affected employee;
P= permanent
top
Public
Safety/Environmental Reporting
|
Document
Name
|
Retention
Period
In
years*
|
|
Accident
Reports
|
5
|
|
Air or
Water Waste Emissions
|
3
|
|
Crime
Reports (Annual)
|
P
|
|
Crime
Reports (Interim)
|
2
|
|
Environmental
Reporting Reports
|
Act
|
|
Medical
Reports/ Claims
|
3
|
|
Traffic
Accident Reports
|
P
|
*Act
= while active, employed, or enrolled; Life= life of affected employee;
P= permanent
top
Purchasing/Ordering
|
Document
Name
|
Retention
Period
In
years*
|
|
Correspondence
(routine) with Customers and Vendors
|
1 year
hard copy; see Electronic Documents for Email
|
|
Purchase
Orders (Purchasing/Receiving/University Stores)
|
4
|
|
Purchase
Requisitions
|
2
|
|
Receiving
Documents
|
3
|
|
Vendor
Bidding Documents
|
3
|
|
Postal
Records
|
3
|
|
Delivery
Unit Records
|
2
|
|
Requisitions
(customer supply orders)
|
4
|
*Act
= while active, employed, or enrolled; Life= life of affected employee;
P= permanent
top
Telecommunications
|
Document
Name
|
Retention
Period
In
years*
|
|
Financial
Reports
|
4
|
|
Student
Billing Totals
|
4
|
|
Transactions
|
4
|
*Act
= while active, employed, or enrolled; Life= life of affected employee;
P= permanent
top
Trade
Secrets
|
Document
Name
|
| Document
Description |
Storage
Place |
Media
for Storage |
Destruction
times |
Back
up schedule
|
Trade
Secrets
Confidential Online Purchasing Information |
Worlddo
|
Electronic
|
P |
As needed
|
top
