5800 Records Retention - Ohio Department of Transportation

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

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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


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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

http://apps.das.ohio.gov/rims/Search/SearchResult.asp?Order=s.ScheduleID&hPubSearchNav=SearchResponse&btnSearch=Search&optSchedDisp=Active&cboType=A&txtBeginDate=&txtEndDate=&txtSerAuthNo=&setSearch=0&cboAgency=DOT&cboDivision=0210&cboSection=4120&txtKeyword




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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


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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:


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- 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


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- 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


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- 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)


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- Reestablishment documentation

- RE 618 (Search documentation)

- Correspondence


- Offer letter



- 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


- Request for payment in lieu of

- Tax returns or proof of income

- Correspondence

- Move authorization

- Offer letter



- 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


- Move specifications

- Finding (if necessary)

- Move bids (if necessary)

- Schedule move documentation (if necessary)

- Correspondence


- Offer letter



- RE 95


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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





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“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


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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.


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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


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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.


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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


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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:


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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.


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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


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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.)

5800 Records Retention - Ohio Department of Transportation

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