Standards & Practices: Ensuring Sound Transactions Standards 2 and 9: Compliance with Laws and Ensuring Sound Transactions Introduce myself Handouts Retention periods mostly recommended by legal counsel Follow along generally By department Location Retention period Brandywine Conservancy Environmental Management Center Melissa R. Burke, Assistant Planner Estelle Wynn Dolan, Easement Manager Teddy Price, Senior Planner

Practical Experiences with Recordkeeping in Light of LTA’s Standards and Practices and Accreditation Standards 2 and 9: Compliance with Laws and Ensuring Sound Transactions Introduce myself Handouts Retention periods mostly recommended by legal counsel Follow along generally By department Location Retention period Brandywine Conservancy Environmental Management Center Melissa R. Burke, Assistant Planner Estelle Wynn Dolan, Easement Manager Teddy Price, Senior Planner

The Importance of Recordkeeping Legal Defense Compliance with Land Trust Alliance (LTA) Standards and Practices Accreditation Brandywine Conservancy File Management Director’s Office Various files and correspondence 3 years to Permanent Administrator’s Office Budgets, timesheets 5-7 years GIS Office Maps Permanent Land Stewardship Program Return to Municipal Assistant Program Publications, correspondence, various files 7 years to permanent

The Importance of Recordkeeping Legal Defense Compliance with Land Trust Alliance (LTA) Standards and Practices Accreditation Brandywine Conservancy File Management Director’s Office Various files and correspondence 3 years to Permanent Administrator’s Office Budgets, timesheets 5-7 years GIS Office Maps Permanent Land Stewardship Program Return to Municipal Assistant Program Publications, correspondence, various files 7 years to permanent

Legal Defense Litigation/Defense of conservation easements Proof of authenticity of documents 2002 Sarbanes Oxley Act Federal Tax Provisions Director’s Office Various files and correspondence 3 years to Permanent Administrator’s Office Budgets, timesheets 5-7 years GIS Office Maps Permanent Land Stewardship Program Return to Municipal Assistant Program Publications, correspondence, various files 7 years to permanent

The Importance of Recordkeeping Legal Defense Compliance with Land Trust Alliance (LTA) Standards and Practices Accreditation Brandywine Conservancy File Management Director’s Office Various files and correspondence 3 years to Permanent Administrator’s Office Budgets, timesheets 5-7 years GIS Office Maps Permanent Land Stewardship Program Return to Municipal Assistant Program Publications, correspondence, various files 7 years to permanent

LTA Standards and Practices Practice 2 D Standard 9 Practice 9 G Director’s Office Various files and correspondence 3 years to Permanent Administrator’s Office Budgets, timesheets 5-7 years GIS Office Maps Permanent Land Stewardship Program Return to Municipal Assistant Program Publications, correspondence, various files 7 years to permanent

LTA Standards and Practices Practice 2 D Standard 9 Practice 9 G Director’s Office Various files and correspondence 3 years to Permanent Administrator’s Office Budgets, timesheets 5-7 years GIS Office Maps Permanent Land Stewardship Program Return to Municipal Assistant Program Publications, correspondence, various files 7 years to permanent

LTA Standards and Practices Practice 2 D “The land trust has adopted a written records policy that governs how organization and transaction records are created, collected, retained, stored and disposed.” - LTA Standards and Practices - Removed as an indicator practice for Accreditation Director’s Office Various files and correspondence 3 years to Permanent Administrator’s Office Budgets, timesheets 5-7 years GIS Office Maps Permanent Land Stewardship Program Return to Municipal Assistant Program Publications, correspondence, various files 7 years to permanent

LTA Standards and Practices Practice 2 D “The land trust has adopted a written records policy that governs how organization and transaction records are created, collected, retained, stored and disposed.” - LTA Standards and Practices - Removed as an indicator practice for Accreditation Director’s Office Various files and correspondence 3 years to Permanent Administrator’s Office Budgets, timesheets 5-7 years GIS Office Maps Permanent Land Stewardship Program Return to Municipal Assistant Program Publications, correspondence, various files 7 years to permanent

LTA Standards and Practices Reasons to have a records policy Allows for coordination among staff Ensures documents are not misplaced Helps meet reporting requirements Could strengthen potential litigation Director’s Office Various files and correspondence 3 years to Permanent Administrator’s Office Budgets, timesheets 5-7 years GIS Office Maps Permanent Land Stewardship Program Return to Municipal Assistant Program Publications, correspondence, various files 7 years to permanent

LTA Standards and Practices Elements of a records policy Creation Retention and storage Destruction Director’s Office Various files and correspondence 3 years to Permanent Administrator’s Office Budgets, timesheets 5-7 years GIS Office Maps Permanent Land Stewardship Program Return to Municipal Assistant Program Publications, correspondence, various files 7 years to permanent

LTA Standards and Practices Reasons to retain documents for longer than required by Standards and Practices Err on the side of caution Possibly clarify unresolved issues and assist with easement interpretation Staff education Director’s Office Various files and correspondence 3 years to Permanent Administrator’s Office Budgets, timesheets 5-7 years GIS Office Maps Permanent Land Stewardship Program Return to Municipal Assistant Program Publications, correspondence, various files 7 years to permanent

LTA Standards and Practices Practice 2 D Standard 9 Practice 9 G Director’s Office Various files and correspondence 3 years to Permanent Administrator’s Office Budgets, timesheets 5-7 years GIS Office Maps Permanent Land Stewardship Program Return to Municipal Assistant Program Publications, correspondence, various files 7 years to permanent

LTA Standards and Practices Practice 2 G Standard 9 Practice 9 G Director’s Office Various files and correspondence 3 years to Permanent Administrator’s Office Budgets, timesheets 5-7 years GIS Office Maps Permanent Land Stewardship Program Return to Municipal Assistant Program Publications, correspondence, various files 7 years to permanent Tip: Older land trusts may not have Baseline Documentation Reports (BDRs) for easements granted prior to February 13, 1986, as the IRS did not require them until that time. For accreditation purposes, until a BDR is created, Baseline Documentation itself should suffice in these instances (field maps, notes, photos from background files).

LTA Standards and Practices Practice 9 G “Pursuant to its records policy (see practice 2 D) the land trust keeps originals of all irreplaceable documents essential to the defense of each transaction (such as legal agreements, critical correspondence and appraisals) in one location, and copies in a separate location. Original documents are protected from daily use and are secure from fire, floods and other damage.” - LTA Standards and Practices Director’s Office Various files and correspondence 3 years to Permanent Administrator’s Office Budgets, timesheets 5-7 years GIS Office Maps Permanent Land Stewardship Program Return to Municipal Assistant Program Publications, correspondence, various files 7 years to permanent

LTA Standards and Practices Practice 9 G “Pursuant to its records policy (see practice 2 D) the land trust keeps originals of all irreplaceable documents essential to the defense of each transaction (such as legal agreements, critical correspondence and appraisals) in one location, and copies in a separate location. Original documents are protected from daily use and are secure from fire, floods and other damage.” - LTA Standards and Practices Director’s Office Various files and correspondence 3 years to Permanent Administrator’s Office Budgets, timesheets 5-7 years GIS Office Maps Permanent Land Stewardship Program Return to Municipal Assistant Program Publications, correspondence, various files 7 years to permanent

LTA Standards and Practices Permanent files Recorded conservation easements and amendments Recorded conservation easement plans Baseline Documentation Reports Appraisal IRS Form 8283 Title reports Settlement statements Director’s Office Various files and correspondence 3 years to Permanent Administrator’s Office Budgets, timesheets 5-7 years GIS Office Maps Permanent Land Stewardship Program Return to Municipal Assistant Program Publications, correspondence, various files 7 years to permanent

LTA Standards and Practices Working files Document summary checklist Copies of recorded conservation easements and amendments Copies of recorded conservation easement plans Copy of Baseline Documentation Reports Monitoring reports Site photos Director’s Office Various files and correspondence 3 years to Permanent Administrator’s Office Budgets, timesheets 5-7 years GIS Office Maps Permanent Land Stewardship Program Return to Municipal Assistant Program Publications, correspondence, various files 7 years to permanent

The Importance of Recordkeeping Legal Defense Compliance with Land Trust Alliance (LTA) Standards and Practices Accreditation Brandywine Conservancy File Management Director’s Office Various files and correspondence 3 years to Permanent Administrator’s Office Budgets, timesheets 5-7 years GIS Office Maps Permanent Land Stewardship Program Return to Municipal Assistant Program Publications, correspondence, various files 7 years to permanent

Accreditation Pilot Program—2007‏ Guided assessment Application Master checklist Project files Accreditation fee Commission decision Once standards were achieved, worked towards accreditation Accepted August 2007 Pilot Program Invitation Found out September 2008 at Rally

Accreditation—2009 Guided assessment Registration and fee due Pre-application Request for project documentation Application (with project documentation)‏ Master checklist Copy of records policy must be attached Accreditation fee Commission decision Once standards are achieved, work towards accreditation

The Importance of Recordkeeping Legal Defense Compliance with Land Trust Alliance (LTA) Standards and Practices Accreditation Brandywine Conservancy File Management Director’s Office Various files and correspondence 3 years to Permanent Administrator’s Office Budgets, timesheets 5-7 years GIS Office Maps Permanent Land Stewardship Program Return to Municipal Assistant Program Publications, correspondence, various files 7 years to permanent

Easement Files Permanent Files Project Files Assigned Easement Files Background Files Originals Files Project Files Working Files Assigned Easement Files Background Files Originals Files Working Files Assigned Easement Files

Easement Files Permanent Files Project Files Assigned Easement Files Background Files Originals Files Project Files Working Files Assigned Easement Files Background Files Originals Files Working Files Assigned Easement Files

1 file drawer

Stored in Land Stewardship Office until documents are recorded Moved to EMC File Room Kept at least until end of year documents are recorded Then Archives - 2nd floor of Maintenance Building

Background Files Project Proposals Field Notes Maps Correspondence Baseline Information Invoices Project Proposals Correspondence Baseline Information Invoices

Easement Files Permanent Files Project Files Assigned Easement Files Background Files Originals Files Project Files Working Files Assigned Easement Files Background Files Originals Files Working Files Assigned Easement Files

20 file drawers in Archives Used to be in File Room

West Bradford Township Easement

Originals Files Original Copies of Recorded Documents Maps Conservation Easements Easement Amendments Conservation Easement Plans Maps Baseline Documentation Report Appraisal IRS Form 8283 Proof of Title Insurance Copy of Endowment Check Envelope contents Original Recorded Documents and Maps Appraisals Copy of Endowment Check Form 8283 Baselines

Not all documents in all Originals Files Recorded Originals scanned and sent to Archives Easements Amendments Plans To be moved to Archives, not scanned Appraisals Copies of Endowment Checks Form 8283’s

Mylars scanned and soon to be moved to Archives

Baselines stored Originals Files Working copy stored on shelf

Property Description Conservation Purposes Botanical Survey Municipal Comprehensive Plans Baseline Photographs

Easement Files Permanent Files Project Files Assigned Easement Files Background Files Originals Files Project Files Working Files Assigned Easement Files Background Files Originals Files Working Files Assigned Easement Files

52+ drawers

Files 20 pages thick to 4 feet long

2 Files Main file Correspondence file

Working Files‏ Main File Copies of recorded easement documents Copies of maps Baseline Documentation Report Monitoring reports Photographs, including aerials Impervious coverage sketches Plans for exercised rights Main File Recorded Documents Inspection Reports Maps and Aerial Photos

Main File Info re: monitoring of the easement Also a correspondence file

Working Files Correspondence File Monitoring notification letters Monitoring visit follow-up letters Plan review approval letters Compliance letters Printed out email correspondence Correspondence File Inspection Letters Compliance Letters Plan Review Letters

Easement Files Permanent Files Project Files Assigned Easement Files Background Files Originals Files Project Files Working Files Assigned Easement Files Background Files Originals Files Working Files Assigned Easement Files

1 file drawer Land Stewardship Office

Assigned Easement Files‏ Copies of recorded documents Easements, amendments, maps Last 5 years’ monitoring reports and correspondence Photographs, including aerials Copy of the assignment document Recorded Documents Last 5 Year’s Reports Maps and Aerial Photos

Standards & Practices: Ensuring Sound Transactions Standards 2 and 9: Compliance with Laws and Ensuring Sound Transactions Introduce myself Handouts Retention periods mostly recommended by legal counsel Follow along generally By department Location Retention period Brandywine Conservancy Environmental Management Center Melissa R. Burke, Assistant Planner Estelle Wynn Dolan, Easement Manager Teddy Price, Senior Planner