5800 records retention - ohio department of transportation
TRANSCRIPT
OHIO DEPARTMENT OF TRANSPORTATION OFFICE OF REAL ESTATE
DATE: January 03, 2013 TO: Users of the Real Estate Manual FROM: Matthew Kouskouris, Manager, Administrative\LPA Section RE: Changes and Updates to the Real Estate Manual The only current and accurate source of ODOT’s Real Estate Manual is on the Office of Real Estate’s website. This site is located at: http://www.dot.state.oh.us/real. Desired information can be accessed by scrolling down the left column and selecting “Manuals and Booklets.” Specific information can be selected by clicking on the desired section. The Real Estate Manual is a “living document” as procedures will evolve and change. Individuals or firms providing various services to the Office of Real Estate (e.g. negotiations, titles, appraisal, appraisal review, relocation, relocation review, closing, property management, railroad coordination and utility relocation) must perform these services in compliance with current published policies and procedures. Individuals utilizing a hard copy version of the manual, without accessing the website for updates, risk providing non-compliant services to the Office of Real Estate. Therefore, all users must be aware of the changes as various sections of the manual are updated. ODOT will provide notice of manual changes on the Design Reference Resource Center (DRRC) web page. Users of the manual can access this page and subscribe to be made aware of manual changes via e-mail notification. Then, when changes to the manual occur, ODOT will provide direct notice to the subscriber. This page can be accessed at http://www.dot.state.oh.us/DRRC. Scroll down to “Real Estate Policies and Procedures Manual” and select the desired section for updates, or enter your e-mail address to subscribe for changes. It is the user’s responsibility to maintain their most current e-mail address on the DRRC notification system. The DRRC web site is updated four times a year. The Office of Real Estate may also provide additional guidance to its procedures by Inter-Office Communications (IOC’s). These communications will be made a part of the Real Estate Manual and will be found in the Addenda of each section of the manual. Individuals having questions pertaining specifically to the 5800 section may contact me at 614-995-3554.
5800 RECORDS RETENTION
58-0 11/30/2012
TABLE OF CONTENTS
5800 RECORDS RETENTION PAGE
5801 General ............................................................................................................................ 58-1
5802 Legal Mandates Governing Records Retention .......................................................... 58-1
5803 Real Estate Records To Be Retained ............................................................................ 58-2
5804 Duration That Records Are Retained .......................................................................... 58-8
5805 The Disposal of Records ................................................................................................ 58-8
5806 The Electronic Record Retention Procedure ............................................................... 58-9
5800 RECORDS RETENTION
58-1 11/30/2012
5801 General
The Ohio Department of Transportation is required to retain records of its real estate acquisition
activity and to maintain a records retention schedule with the Department of Administrative
Services, State of Ohio (DAS). The records retained by ODOT must document compliance to the
Real Estate Manual. This documentation will also demonstrate compliance to the numerous laws
and regulations that govern the real estate acquisition processes of ODOT.
These procedures establish the records retention process for Central Office Real Estate and the
district offices.
5802 Legal Mandates Governing Records Retention
A. The following state laws govern the records retention process for ODOT.
1. Ohio Revised Code 149.34 Records management procedures
The code requires ODOT to submit to the state records program the length of time for
retention of each record series and the disposal of records. The state records program is
controlled by the Department of Administrative Services, State of Ohio.
The Office of Real Estate, through DAS, maintains a records retention schedule which can
be viewed at any time at the following link:
http://apps.das.ohio.gov/rims/Search/SearchResult.asp?Order=s.ScheduleID&hPubSearchNav=SearchRespons
e&btnSearch=Search&optSchedDisp=Active&cboType=A&txtBeginDate=&txtEndDate=&txtSerAuthNo=&s
etSearch=0&cboAgency=DOT&cboDivision=0210&cboSection=4120&txtKeyword
DAS has issued Directive No. 06-16 that establishes guidelines on retention, transfer and
disposal of records.
2. Ohio Revised Code 149.331 State record administration program
This code governs the records retention process for DAS.
3. Ohio Revised Code 149.333 Applying for record disposal or transfer
This code requires all state agencies to submit to the state records program under DAS.
B. ODOT’s powers are regulated, in part, by Ohio Revised Code, Chapter 5501 Department of
Transportation. The regulation implementing these laws is Ohio Administrative Code, Section
5501:2-5. This OAC established record keeping mandates as follows:
1. OAC 5501:2-5-01 (I) Record keeping and reports
This code requires ODOT to maintain records to demonstrate that its acquisition and
relocation activities have complied with OAC regulations 5501:2 -5 -01 through 5501:02-5-
06.
C. ODOT uses Highway Trust Funds in its highway programs and is required to comply with the
Uniform Act and regulations that govern FHWA. These Federal regulations have records
5800 RECORDS RETENTION
58-2 11/30/2012
retention requirements which are:
1. 49 CFR Part 24 Subpart A Section 24.9 Recordkeeping and reports
This code requires ODOT to maintain records to demonstrate that its acquisition and
relocation activities have complied with the requirements of 49 CFR Part 24, the regulation
that implements the Uniform Act. The code requires records be maintained for at least 3
years.
2. 23 CFR Part 710 Section 201(f) Recordkeeping
This code requires ODOT to maintain records of its acquisition, relocation and property
management activities in sufficient detail to comply with 23 CFR Part 710 and with 49 CFR
Part 24.
5803 Real Estate Records to be Retained
The following information regarding projects and real estate acquisition activities is to be retained:
A. General Project Records
Can include project specific items such as:
Right of Way Plans (specify the revision date)
Construction Plans (specify the revision date)
Work plan information
Cost estimate information
Project certification notice
Pre-acquisition survey
Project specific correspondence
B. Contract Administration Records
Can include information that documents contracting, the encumbrance of funds and the scoping
of consultants hired by ODOT to perform right of way acquisition services such as:
Encumbrance authorization
Encumbrance request
Letter of authorization
Invoice log sheet
All invoices/RE24 R/W Bills
Invoice and project schedule
Invoice cover letter to consultant
Email correspondence to consultants and received from consultants
R/W Services Cost Proposal from consultant
R/W services scope task division sheet
Scope of work authorized to consultant
Cover transmittal of items sent to consultant
Work authorization letter
Consultant evaluation surveys
5800 RECORDS RETENTION
58-3 11/30/2012
C. Parcel Records
Can include information that documents compliance to the Real Estate Manual and the laws and
regulations governing the acquisition of rights of way such as:
1. Legal descriptions that are pre-approved by the county engineer
2. Titles:
RE 46
RE 46-1
All attachments
All updates of titles
3. Appraisal:
Value Analysis Report (VA)
Summary Appraisal Report in a Value Finding Format (RE 90); aka Value Finding
Summary R/W Appraisal Report (RE 25-17)
PIN’s (final and signed by all parties)
Limited scope letter from district if the Summary R/W Appraisal Report was authorized to
be a limited scope appraisal
Appraisal Problem Analysis if Summary R/W Appraisal Report used
4. Appraisal Review:
Review form RE 25-13 if the VA Report was used
Review form RE 25-14 of the Value Finding Report was used
Review form RE 25-16 if the Summary R/W Appraisal Report was used
Review Letter if appraisal or VA was not accepted
RE 22 if appraisal is recommended and/or if FMVE is established
District has authority up to $1,500,000
Administrator, Office of Real Estate establishes FMVE at higher amounts
RE 22-1 if FMVE is allocated between ownership interests
RE 22-2 Review Appraiser’s Statement if FMVE is established
5. Negotiation/Acquisition:
Introductory Letter – all acquisition files
RE 95 that is signed by all parties if improvements are take
Offers to Purchase:
- NIAGFO
- Revised GFO
- Updated GFO
- NIAGFO for an Early Acquisition – ODOT does not have eminent domain authority
- NIAGFO for an Uneconomic Remnant
- Summary Statement Offer Letter - used for government acquisition where ODOT does
not have eminent domain authority and mitigation purchases where ODOT does not
have eminent domain authority
Copies of colored-in R/W plans and any pertinent plans given to the property owner
Plan Letter
Contracts for Sale and Purchase:
5800 RECORDS RETENTION
58-4 11/30/2012
- RE 220-L or RE 220-B – must have if acquiring WD or WL
Improvements taken, need:
- RE 220-l or RE 220-B or RE 69 AC if owned be the fee owner
- RE 69 CC if owned by tenant
Negotiator’s Notes:
- RE 60
- RE 60-1
- RE 61
Administrative Settlements:
- If VA is used, document on the VA
- If appraisal used, document on RE 22
- Districts have authority to settle at $20,000 or 20% over FMVE, whichever is greater
- Administrator, Office of Real Estate settles amount higher, but limited to $1,000,000.
Districts request settlement using RE 65.
- High Dollar Review Panel authorized settlement at any amount equal to or greater than
$1,000,000.
All correspondence from ODOT to the owner
All correspondence from the owner to ODOT
RE 76 if the owner request a plan change
Acquisitions of Tenant-Owned Improvements Classified as Real Property
- RE 95 signed by fee owner and tenant-owner
- RE 56 signed by fee owner
- RE 68 – Salvage Value of tenant-owned improvement
- NIAGFO to tenant that is the greater of salvage value or contributory value
- NIAGFO to fee owner that is FMVE less contributory value
- Instrument signed by fee owner
- RE 69 CC signed by tenant-owner
Uneconomic Remnant
- NIAGFO for an Uneconomic Remnant
- Concurrence from CO if value of uneconomic remnant is $50,000 or more
- Instrument is RX 310
Right of Entry
- RE 222 + Exhibit A + Exhibit B
- Owner must be paid money if contract to be valid
Damage Claims – need RE 64
Donations – Need Donation Letter
Owner Retention
- Documentation that district approved of retention
- Salvage Value/RE 68 of the item to be retained
- Contract or bill of sale form modified with retention language inserted into the form
5800 RECORDS RETENTION
58-5 11/30/2012
- Amount paid to owner at closing is reduced by the salvage value of the retained
improvement
- Owner signs the RE 66/Agreement for Removal
Boundary Surveys
- Contract amended with boundary survey language inserted into the form
Offsetting Acquisition by Value of Excess Land
- Excess land must be along the same corridor
- There needs to be an appraisal of the excess land
- Contract amended having land swap language inserted
- Amount paid to owner at closing is reduced by value of excess land
- Excess land conveyed to owner by Governor’s Deed
6. Closing:
Recorded mortgage release for all acquisitions, except:
- When FMVE is $5,000 or less
- T-only acquisitions where the T does not adversely affect the residue
R/W Bill/RE 24
Instrument signed by fee owner
- Owner’s name must be same as on Title Report
Bill of Sale/RE 69 CC when improvement is acquired from a tenant
For fee-acquired parcels
- RE 57
- RE 30
- RE 44
- RE 45
For easement-acquired parcels
- RE 31
Title Report updated immediately before closing
All instruments are recorded within one business day from date of closing
Documentation that owner received payment
7. Appropriation:
Appropriation Letter
Warrant for the FMVE amount
New appraisals, if needed
Settlement documentation
Recorded judgment entry – when the case settles
8. Relocation:
Residential Displacements:
- Copy of warrants with receipt signed by displacee
5800 RECORDS RETENTION
58-6 11/30/2012
- RE 617
- RE 24/RW Bill
- Letters of assignment
- Counselor Notes
- RE 610
- RE 611
- Site description
- Site pictures
- Comp descriptions
- Comp pictures
- RE 612
- One comp/last resort request
- Utility verification – HUD schedule
- DS&S – dwelling inspection (RE 616)
- Estimated increased interest
- Replacement site purchase agreement
- Replacement site signed deed
- Replacement site signed lease
- Old mortgagee
- New mortgage
- Actual increased interest calculation
- RE 611-2
- Settlement statement
- RE 613
- Move bids
- Income/Rent verification
- Correspondence
- Move authorization letter
- Offer letter
- Site occupant interview form
- Relocation brochure receipt
- RE 95
- RE 22
- RE 46
- Appraisal information
Non Residential Displacements:
- Copy of warrants with receipt signed by displacee
- RE 617
- RE 24
- Letters of assignment
- Counselor Notes
- RE 610-1
- RE 613-1
- Pictures of inventory
- Move specifications
- Move bids
- RE 614 (Agreement for Bidder Services)
5800 RECORDS RETENTION
58-7 11/30/2012
- Reestablishment documentation
- RE 618 (Search documentation)
- Correspondence
- Move authorization letter
- Offer letter
- Site occupant interview form
- Relocation brochure receipt
- RE 95
- RE 619-1
- RE 621-1
Non-Residential (Payment In Lieu Of) Files:
- Copy of warrant with receipt signed by displacee
- RE 617
- RE 24
- Counselor Notes
- RE 610-1
- RE 613-1
- Pictures of inventory
- Request for payment in lieu of
- Tax returns or proof of income
- Correspondence
- Move authorization
- Offer letter
- Site occupant interview form
- Relocation brochure receipt
- RE 95
- RE 619-1
Personal Property Move File:
- Copy of warrant with receipt signed by displacee
- RE 617
- RE 24
- Counselor Notes
- RE 610-1
- RE 613-1
- Pictures of inventory
- Move specifications
- Finding (if necessary)
- Move bids (if necessary)
- Schedule move documentation (if necessary)
- Correspondence
- Move authorization letter
- Offer letter
- Site occupant interview form
- Relocation brochure receipt
- RE 95
5800 RECORDS RETENTION
58-8 11/30/2012
9. Property Management:
Lease Agreement
RE 22
R/W Bills (RE 24)
Correspondence
Misc. support documentation
Contracts/Agreements
RE 95
10. Excess Land:
Appraisal
Correspondence
Misc. support documentation
11. Quality Assurance Reviews (QAR’s)
5804 Duration That Records Are Retained
The records retention schedule posted on the DAS website details the duration of time that records
are to be retained. This schedule is amended from time to time and readers need to reference this
schedule for the most recent mandate for the duration of time records are to be retained. The link for
this schedule is http://apps.das.ohio.gov/rims/Search/SearchResult.asp?Order=s.ScheduleID&hPubSearchNav=SearchResponse&btnSe
arch=Search&optSchedDisp=Active&cboType=A&txtBeginDate=&txtEndDate=&txtSerAuthNo=&setSearch=0&cbo
Agency=DOT&cboDivision=0210&cboSection=4120&txtKeyword
5805 The Disposal of Records
The disposal of paper records is either by shredding or by recycling.
A. Disposal by Shredding
1. The following documents shall be shredded:
a. All acquisition and relocation parcel files.
b. Any documents having any confidential information such as social security number,
medical information, investigative information, a person’s name, address and/or phone
number.
2. Documents to be shredded will be sent to Office Services, Central Office at 1612 West
Broad Street, Columbus, Ohio 43223 along with the form entitled Certificate of Record
Disposal; form ADM 3504.
B. All paper records are ready for shredding when all information has been transferred into the
5800 RECORDS RETENTION
58-9 11/30/2012
“Closed File”. See sections 5806(B)(4) and (5) for more detail on close out.
5806 The Electronic Record Retention Procedure
A. General
Parcel files are built upon forms and documentation. The aggregate of all completed forms and
documentation is the completed parcel file. The aggregate of all completed parcel files is the
completed project file.
These documents, once completed, are to be saved electronically in the shared real estate
acquisition drive. Paper documents that are finalized are saved as a pdf. The paper copies are
retained in the parcel/project files until the project or parcel file is closed out. During the
closeout process, district staff is to compare the original paper copies to the saved electronic
copy stored in the shared drive to assure all necessary information is legible and has been input
into the shared drive system. Once this occurs, the paper project files can be disposed of and are
sent to Office Services for shredding.
Any file documentation having any confidential information but needed for the business
purpose of records retention shall be scanned into the shared real estate acquisition drive.
Should this information be subject to a public records request, the district shall follow ODOT
Policy Number 28-017 – Logging Access to Confidential Personal Information (CPI), notify the
Office of Chief Legal and, shall redact all confidential information. Documents such as the W9
and the Vender Information Form are not scanned into the shared drive as this
information has already been provided to the ODOT Division of Finance.
The procedure for entering information into the shared real estate acquisition drive is established
in the following procedures.
B. Saving Documents in the Shared Real Estate Acquisition Drive System
1. All real estate acquisition files will be entered into a “shared real estate acquisition drive”,
a.k.a. shared drive.
2. The shared drive is arranged in this order:
Real Estate Acquisition\District\County\Active\Project File
\Closed\Project File
5800 RECORDS RETENTION
58-10 11/30/2012
Example screen shot of a file tree with sub folders
3. Active Files
a. An “Active File” is defined as a parcel not yet closed, instruments are not yet signed or
recorded and funds have yet to be disbursed. If the parcel is to be acquired in fee, it has not
yet been submitted for tax exemption.
b. Active Files for a project will identify the PID and CRS.
c. Each PID will have a General folder, a Contract Administration folder and individual Parcel
folders. All information that is saved will be categorized into one of these three folders.
i. General Project Folder
The General Project Folder will contain project specific items such as any
miscellaneous project correspondence, Encumbrance Request for R/W acquisition,
R/W plans, construction plans and cost estimates. The General Folder will have a
subfolder for Plans. Any file that is saved must be identified by a description
followed by a date. For more information about records that are saved under this
category, reference section 5803 of these procedures. The following screen shots
illustrate an example of a General Project Folder followed by an example of a
subfolder for Plans.
5800 RECORDS RETENTION
58-11 11/30/2012
Example screen shot of a General Project Folder having a subfolder for Plans
Example screen shot of the subfolder for Plans
ii. Contract Administration Folder
The Contract Administration Folder will contain all information relating to
consultants hired by the district office. There will be subfolders for each consultant
retained by the district for the project. Reference section 5803 of these procedures
for more detailed information. The following screen shot illustrates an example of a
Contract Administration Folder.
Example screen shot of a Contract Administration Folder
5800 RECORDS RETENTION
58-12 11/30/2012
iii. Parcel Folders
There will be a parcel folder for each parcel in the project. Parcel Folders will
contain any correspondence or documents specific to the parcel such as title,
appraisal, appraisal review, negotiation, relocation, closing, appropriation and tax
remittance. Subfolders will be set up in each parcel file ONLY FOR relocation
parcels, bill of sale parcels and property management parcels. The following screen
shot illustrates an example of a Parcel Folder. In this example, the parcel is identified
as Parcel 003.
Example screen shot of a Parcel Folder
d. Parcel Folders
i. A Parcel Folder is created for each parcel in the project. The parcel folder is
identified with a 3-digit number, i.e. Parcel 001, Parcel 012.
ii. All standardized documents utilized from the ODOT website shall be saved exactly
as it is labeled on the document by inserting the 3-digit parcel number in front of it.
For example:
012 RE 46 Title Report
012 Notice of Intent to Acquire and Good Faith Offer
012 Introductory Letter
012 RE 60 Negotiator Summary Report
iii. There may be subfolders within each parcel folder for relocation parcels, bill of sale
parcels or property management parcels. The subfolders will be identified with a 3-
digit parcel number followed by a space followed by its designation, i.e. 009 OP, 009
BS, 009 PM. All pertinent information to be retained will be under the subfolder.
The following screen shots illustrate an example of a Parcel Folder having
subfolders.
5800 RECORDS RETENTION
58-13 11/30/2012
Screen shot showing the Parcel 009 Folder having three subfolders (009 OP, 009 BS, 009 PM)
Screen shot of the subfolder of Parcel 009-OP:
e. Abbreviations
Documents such as letters, memo’s to file and emails are not standardized forms posted
on the Office of Real Estate web page, but need to be retained in the shared drive. These
documents shall be entered into the shared drive using the following standardized
abbreviations.
i. The parcel number is entered first; followed by a space; followed by the document
name identified as Letter, or, Memo, or, Email; followed by a space; followed by the
date of origination of the document; followed by a space; and, followed by a short
description of the document.
A Example
151 Letter 071112 To John Doe Explaining the Administrative Settlement Offer
5800 RECORDS RETENTION
58-14 11/30/2012
B Example
112 Memo 051512 Owner’s Request to Retain a Fence
C Example
056 Email 110812 Explanation of the Owner’s Counteroffer
ii. Other non-standardized documentation may also be entered in to the shared drive
system. Any documents entered into the system must be identified in a manner as
detailed in (d)(i) above.
A Once WORD documents are signed, completed, scanned and entered into the
shared drive, the WORD document can be deleted.
B Upon project closeout, all parcel folders are transferred to the Closed Files. See
section 5806(B)(4) of these procedures for more information about closed files.
4. Closed Files
a. Parcels stored in the “Active File” are transferred to the “Closed File” by district staff
when the project has been certified and all parcels have closed (instruments signed,
recorded and funds disbursed); and if the parcel is fee acquired, it has been submitted to
the county auditor for tax remittance.
b. The General Project Folder and the Contract Administration Folder are transferred to the
“Closed File” once all parcels in a project have been entered in the “Closed File”. When
this occurs, the district originates a Transmittal Notice to the Records Section, Office of
Real Estate and to the Office of Accounting, Division of Finance. The Notice informs
these offices that all data has been entered into the “Closed File”. The Notice is saved
into the General Project Folder. The district is also required to copy all project files
to a compact disc that is attached to the Transmittal Notice and is sent to the
Records Section, Office of Real Estate.
Screen shot of the Closed General Folder:
5800 RECORDS RETENTION
58-15 11/30/2012
Screen shot of the Closed Contract Administration Folder:
c. Prior to entering all information into the closed file, district staff is required to compare
information in the “Active File” to the paper documents to:
i. Assure all necessary documents are properly executed and recorded, if needed,
ii. Assure all documents are legible,
iii. Assure all necessary information has been entered into the shared drive,
iv. Emails are to be saved in pdf format so they cannot be altered or forwarded once
they are entered into the shared drive,
v. WORD documents are to be deleted once they are completed, scanned and entered
into the shared drive.
Screen shot of the Closed Parcel Folder:
5. The Project Close Out Process
All paper records can be sent to Office Services for shredding when all information has been
transferred into the “Closed File”. The close out process should not be time consuming if the
districts have been entering information into the shared drive during the acquisition process.
5800 RECORDS RETENTION
58-16 11/30/2012
C. Parcels owned by railroad corporations, and parcels owned by the federal or state government
(where ODOT does not have eminent domain authority), are negotiated and closed by Central
Office Real Estate staff. However, districts perform some of the acquisition functions such as
titles, appraisal, appraisal review, establishment of FMVE and recording of the instrument. The
following procedure is established as a single office is not responsible for all functions and to
avoid confusion regarding responsibilities for entering information into the shared drive.
1. Districts are responsible to enter all information regarding titles, appraisals, appraisal
reviews and the establishment of FMVE. Districts are also responsible for all general project
information and contract information.
2. Central Office Real Estate staff is responsible to enter all information regarding
negotiations, instruments, closings and recordings. Central Office staff is responsible to
enter this information into the “Active File”.
3. Once Central Office staff closes the parcel and enters the information into the shared drive,
they will forward the paper file to the originating district office. The district is responsible
for the Memo to the Records Section and for sending the documents to Office Services for
shredding.
4. The district will move the electronic file from “Active” to “Closed”.
D. Frequently Asked Questions
1. What if a title report, appraisal, or any other document is too large to scan and save as one
electronic document?
Answer
The document should be scanned and saved in separate parts naming it: “000 RE 46 Title
Report Part1.pdf”, “000 RE 46 Title Report Part2.pdf” etc.
2. Can the appraisal, RE 22, RE 22-1(blue sheet), RE 22-2, appraisal checklist, and any
updated appraisal reports be scanned together and saved as one electronic document?
Answer
Preferably no. However, when a project was acquired prior to the electronic records process
and is now ready to be closed out, the file can be scanned in its entirety and saved as one
electronic document. If the parcel file is too large to scan as one electronic document, the
file shall be saved in “parts” as shown in item 1 above.
3. Can all executed and recorded instruments be scanned together and saved as one electronic
document?
Answer
Yes. Save as 001 Recorded Intruments.pdf
5800 RECORDS RETENTION
58-17 11/30/2012
4. How should the judgment entry on a settled and closed appropriation parcel that has been
recorded with the County Recorder be electronically named/saved?
Answer
Save as “001 Recorded JE.pdf”. If the judgment entry includes multiple ODOT parcels it
shall be saved under each ODOT Parcel file.
5. Who exports e-mails to the shared drive?
Answer
All e-mails pertaining to the project or parcel should be exported by the sender of the e-mail
unless it comes in from the outside of ODOT. Then the person to whom the e-mail is written
to will export the e-mail to the correct project or parcel folder.
6. Are pictures files required to be converted to a pdf at project closeout?
Answer
No – it can remain in its original file type a (.JPEG, .TIF, etc.)