RCA Resolution 2008-012 · Authorizations; Certifications; employment; commendations, terminations; Oaths of Office; may include: Release Reassignments; outside disciplinary actions;

RESOLUTION NO. 08-012

A RESOLUTION OF THE BOARD OF DIRECTORS OF THE WESTERN RIVERSIDE COUNTY REGIONAL CONSERVATION AUTHORITY UPDATING A

RECORDS RETENTION POLICY AND SCHEDULE

WHEREAS, the Western Riverside County Regional Conservation Authority ("RCA") is a public agency of the State of California formed by a Joint Exercise of Powers Agreement ("JPA''); and

WHEREAS, pursuant to Section 19 of the JPA, the RCA has the power to adopt such rules and regulations as the RCA's Board of Directors ("Board") may deem necessary for the conduct of the RCA's affairs; and

WHEREAS, pursuant to Section 17 of the JPA, the Board is required to observe the laws of the State of California applicable to a general law city in its exercise of joint powers; and

WHEREAS, California Government Code Section 34090 provides that, with the approval of the City Council and the written consent of the City Attorney, the head of a City department may destroy any City record, document, instrument, book or paper, under his or her charge, without making a copy thereof, after the same is no longer required , provided that certain records are exempt from such destruction; and

WHEREAS, in August of 2005, the Board approved the "RCA Records Retention Schedule" ("Schedule"), attached hereto as Exhibit "A" and incorporated herein by reference, to use as a guideline for the retention and destruction of RCA records; and

WHEREAS, the Schedule has been updated to reflect the changes necessary to transfer RCA to California statutes governing cities; and

NOW, THEREFORE, BE IT RESOLVED by the Western Riverside County Regional Conservation Authority Board of Directors as follows:

1.0 ADOPTION OF SCHEDULE. The Board hereby approves the "Records Retention Schedule,'' attached hereto as Exhibit "A."

2.0 ONGOING AUTHORITY FOR DESTRUCTION OF RECORDS. The Executive Director shall have ongoing authority, without further approval by the Board and with the consent of RCA's General Counsel provided herein, to authorize destruction of RCA's records in accordance with Exhibit "A."

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3.0 ONGOING AUTHORITY FOR MINOR AMENDMENTS TO SCHEDULE. The Executive Director and/or RCA's General Counsel shall have ongoing Authority, without further approval by the Board, to make minor amendments to the Schedule from time to time, in accordance with changes to State and federal law which may affect retention periods for RCA records.

4.0 RESOLUTION NO. 05-08: This Resolution rescinds, supersedes and replaces Resolution No. 05-08. Resolution No. 05-08 also contained Guidelines for Access to Public Records; however, the Board previously replaced these Guidelines in Resolution No. 06-13.

PASSED AND ADOPTED at the regular meeting of the Board of Directors at the Western Riverside County Regional Conservation Authority he this 7th day of July, 2008.

ATTEST:

~Board Western Riverside County Regional Conservation Authority

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EXHIBIT "A"

RECORDS RETENTION SCHEDULE

[ATTACHED BEHIND THIS PAGE]

Exhibit "A" to Resolution No. 08-012 RVPUB\DBALLIN\697199.2hb

RCA RECORDS RETENTION SCHEDULE

Destruction of any record must have the approval of the Board of Directors and written consent from the RCA General Counsel, unless otherwise provided by law. (Gov. Code§ 34090)

Category of Record

Accident/Illness Reports

Accidents/Damage to RCA Property

Accounts Payable

Description or Example of Record

Not a public record Employee Medical Records & Employee Exposure Records

--Includes Material Safety Data Sheets (MSDS)

Risk management administration

Original Journals, Ledgers, Statements, Inventories

Invoices, Checks, Reports, Investments, Purchase orders

Legal Authority

8 CCR 14307 8 CCR 3204 GC 6254(c)

CCP §337.15

IRS Reg. 1.60011(a)

IRC 6001 IRS Reg. 1.60011(e)

Legal/Recommended Retention Period

duration of employment plus 30 years

10 years

Permanent

3 years

Accounts Receivable Invoices, Checks, Reports, Investments, Receipt books

IRC 6001 IRS Reg. 1.6001-1(e)

3 years

Affidavits of Publication I Posting

Legal Notices GC §34090 GC §34090.5

2 years

Agenda I Agenda Packets

Agendas and packets should be imaged immediately GC §34090 GC §34090.5

2 years

Agenda reports (staff reports)

Agreements Original contracts and agreements and back-up materials

GC §34090

CCP §337

2 years

4 years after termination/ completion

Legal Authority Abbreviations

CCP CCR CFR EC

Code ofCivil Procedure (California) California Code of Regulations Code ofFederal Regulations Elections Code (California)

GC IRC IRS LC

Government Code (California) Internal Revenue Code Internal Revenue Service Labor Code (California)

PC R&TC USC

Penal Code (California) Revenue & Taxation Code (California) United States Code

1



Category of Record Description or Example of Record Legal Authority Legal/Recommended Retention Period

Agreement (Joint Powers Agreement) Original Joint Powers Agreement GC §34090.5

Permanent, unless reproduced pursuant to GC §34090.5, as may be amended from time to time

Annexations I Reorganizations

Original Notices, Resolutions, Certificates of Completion GC §34090.5

Permanent, unless reproduced pursuant to GC §34090.5, as may be amended from time to time

Applications for Boards, Commissions Committees

Not selected GC §34090 2 years

Applications for Boards, Commissions, Committees

Selected GC 34090

Sec. of State Guidelines

Current term + 5 years

Appraisals

Annual Financial Report

Audit Reports

Not a public record until real estate transaction is complete

Financial services; internal and/or external reports; independent auditor analysis

GC §34090 GC ~6254(h) GC §34090

GC §34090

2 years

Until audited + 2 years

2 years

Audit Hearing or Review Documentation created and or received in connection with an audit hearing or review

GC §34090 2 years

Until audited + 4 years Bank Account Reconciliations Bank statements, canceled checks, certificates of deposit

26 CFR 31.60011 ( e )(2)

(Sec. of State Guidelines recommended retention: until audited + 5 years)


CCP CCR CFR EC

Code ofCivil Procedure (California) California Code of Regulations Code of Federal Regulations Elections Code (California)

GC IRC IRS LC


PC R&TC USC


2


Destruction of any record must have the approval of the Board of Directors and written consent from the RCA General Counsel , unless otherwise provided by law. (Gov. Code § 34090)


Bids, Accepted Includes plan and specifications; notices/affidavits. GC §34090

CCP §§337, 337.1

4 years after contract termination or 4 years after expiration of contract term

Bids, Unaccepted Unaccepted bid packages only GC §34090 2 years

Biological Data from 75 years (electronic or paper Monitoring Program format)

Bonds Authorization/public hearing records/prospectus/proposals/certificates/notices (transcripts )/registers/statements.

GC §34090

Permanent, unless reproduced pursuant to GC §34090, as may be amended from time to time

Bonds - Final Final bond documentation; monthly statement of transactions; supporting documents CCP §34090 10 years

Bonds - Paid Paid Bonds; warrant certificates; interest coupons GC §53921 2 years

Bonds - Unsold Unsold Bonds GC §34090 GC §§43900 et seq. 2 years

Brochures/ Publications Retain selected documents only for historic value. GC §34090 2 years

Budget, Annual Adjustments, journal entries, account transfers GC §34090 Current + 2 years

Cal-OSHA Personnel-Logs, Supplementary Record, Annual Summary (Federal & State-Cal OSHA)

LC§ 6410; 8 CCR 14300.33

5 years

California State Tax Records Forms filed annually; quarterly and year-end reports

R&TC §19530

R&TC §19704 6 years

Checks Includes payroll, canceled and voided checks GC §34090 CCP §337

Until audited +4 years


CCP CCR CFR EC

Code ofCivil Procedure (California) California Code of Regulations Code of Federal Regulations Elections Code (California)

GC IRC IRS LC


PC R&TC USC


3




Citizen Feedback General correspondence. GC §34090 2 years

Claims Against RCA Paid/Denied GC 34090 Until settled + 2 years

Collective Bargaining Agreements

29 CFR 516.5 3 years

Community Surveys Review final survey reports for historic significance GC §34090 2 years

Various files not related to specific lawsuits involving RCA Complaints/Requests and not otherwise specifically covered by the Retention GC §34090 2 years

Schedule.

General correspondence, including letters and e-mail ; Correspondence Various files, not related to specific cases and not otherwise GC §34090 2 years

specifically covered by the retention schedule.

Deeds, Real Property File with destroyed.

recorded documents; originals may not be GC §34090 Permanent

Deferred Compensation Reports

Finance - pension/retirement funds 29 CFR 516.5 3 years

Demographic/ Statistical Data

GC §34090 2 years

Deposits, Receipts Checks, coins, currency CCP §337 Until audited + 4 years

OMV Driver Information Reports Personnel--Not a public record. GC §6254(c) Until superseded

Easements, Real Property

File with destroyed.

recorded documents; originals may not be Permanent


CCP Code ofCivil Procedure (California) GC Government Code (California) PC Penal Code (California) CCR California Code of Regulations IRC Internal Revenue Code R&TC Revenue & Taxation Code (California) CFR Code of Federal Regulations IRS Internal Revenue Service USC United States Code EC Elections Code (California) LC Labor Code (California)

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Destruction of any record must have the approval of the Board of Directors and written consent from the RCA General Counsel, unless otherwise provided by law. (Gov. Code § 34090)


Economic Interest Statements - Form 700 (copies)

Copies of statements forwarded Commission.

to Fair Political Practices GC §81009(f), (g) 4 years (can image after 2 years)

Economic Interest Statements - Form 700 (originals) - elected

Originals of statements of designated employees GC §81009(e), (g) 7 years (can image after 2 years)

Economic Interest Statements - Not elected

FPPC filings GC §81009{b) 5 years

Employee Files Personnel--Not a public record. GC §12946 GC §6254(c)

Whi le current + 2 years

Employee Information, General

Name, address, date of birth, occupation, weekly compensation earned

rate of pay and GC §12946 29 CFR 1627.3 LC§1174

3 years

Employee Information Applicant Identification Records

Personnel--Data applicants

regarding race, sex, national origin of 2 CCR 7287(b ), (c)(2)

2 years

Part of Personnel file --not a public record. Includes medical 29 CFR 1910.1020

Employee, Medical Files records; exposure records, etc. (For employees of less than 1 year, no need to retain medical

8 CCR 3204 Length of employment + 30 years

records if they are returned to employee upon termination) GC §6254(c)

Employee, Non-safety

Non-safety employee records Authorizations; Certifications; employment; commendations, terminations; Oaths of Office;

may include: Release Reassignments; outside

disciplinary actions; evaluations-pre-employee

29 CFR 1627.3 GC §12946 GC §34090

Length of employment+ 3 years

medicals; fingerprints ; identification cards {ID's)


CCP Code of Civil Procedure (California) GC Government Code (California) PC Penal Code (California) CCR California Code of Regulations IRC Internal Revenue Code R&TC Revenue & Taxation Code (California) CFR Code ofFederal Regulations IRS Internal Revenue Service USC United States Code EC Elections Code (California) LC Labor Code (California)

5



Category of Record

Employee, Recruitment

Employee, Reports

Employee Safety •

Employee Rights General

Employment Applications - Not Hired


Description or Example of Record

Altern~te lists~log~, ethnicity disclosures, examination materials, examination answer sheets, job bulletins

Employee statistics, benefit activity, liability loss

Police (except for peace officers), fire, emergency employees-- records may include release authorizations· certifications; reassignments; outside employment~ commendations; disciplinary actions; terminations; oaths of office; pre-employment medical evaluations

Peace officer personnel records

Appli?ation~ su~mitted for existing or anticipated job openings, including any records pertaining to failure or refusal to hire applicant

CCP Code of Civil Procedure (California) GC Government Code (California) PC

Legal Authority

GC §34090 1294

GC § 6 29 CFR 1602 et. seq. 29 CFR 1627.3

GC §34090

29 CFR 1627.3

29 CFR 1602.31 29 CFR 516.6 et. seq. 45 CFR 1068.6(a) GC 34090 GC 12946

Op.Atty.Gen. No. 99-1111 [May 2, 2000]

GC § 12946 29 CFR 1602

12946GC 29 CFR 1627.3

Legal/RecommendedRetention Period

2 years

2 years

Length of employment + 3 years



2 years

Penal Code (California) CCR California Code ofRegulations IRC Internal Revenue Code R&TC Revenue & Taxation Code (California) CFR Code of Federal Regulations IRS Internal Revenue Service USC United States Code EC Elections Code (California) LC Labor Code (California)

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Destruction of any record must have the approval of the Board of Directors and written consent from the RCA General Counsel , unless otherwise provided by law. (Gov. Code§ 34090}


Employment Eligibility Verification (1-9 Forms)

Federal Immigration and Nationality Act; Immigration Reform/Control Act 1986

8 USC 1324a (b )(3) Pub. Law 99-603

3 years after date of hire, or 1 year after date of termination, whichever is later

Employment - Surveys and Studies

Includes classification, wage rates GC §12946 29 CFR 516.6

2 years

Employment - Training Records, Non-Safety

Volunteer program training - class training materials, internships

GC §12946

GC §34090 Length of employment + 2 years

Employment - Personnel (by name)

Paperwork documenting internal and external training GC §34090 Length of employment+ 2 years

Employment - Public Safety

Certification/designations GC §34090 Length of employment+ 2 years

Environmental Quality California Environmental Quality Act (CEQA)

Exemptions, Environmental Impact Report, Mitigation monitoring, negative declaration, notices of completion and determination, comments, statements of overriding considerations

CEQA Guidelines Permanent

Environmental Quality Documents Correspondence, consultants, issues, conservation, reports GC §34090 Completion + 2 years

ERISA Records Employee Retirement Income Security Act of 197 4 - plan reports, certified information filed 29 USC §1027 6 years

ERISA Records Employee Retirement Income Security Act of 197 4 - records of benefits due 29 USC §1059 Indefinitely


CCP Code ofCivil Procedure (California) GC Government Code (California} PC Penal Code (California) CCR California Code of Regulations IRC Internal Revenue Code R&TC Revenue & Taxation Code (California) CFR Code ofFederal Regulations IRS Internal Revenue Service USC United States Code EC Elections Code (California) LC Labor Code (California)

7



Category of Record

Family and Medical Leave Act (federal )

Federal Tax Records

Fixed Assets Inventory

Fixed Assets Surplus Property

Fixed Assets Vehicle Ownership &

Title

Forms

Grants

Grants - Unsuccessful

Description or Example of Record Legal Authority Legal/Recommended Retention Period 3 years (federal)

Records of leave taken, RCA policies relating to leave, 29 CFR 825.500 2 years (state)

notices, communications relating to taking leave

May include Forms 1096, 1099, W-4 and W-2

Reflects purchase date, cost, account number

Auction; disposal Listing of property; sealed bid sales of equipment

Title transfers when vehicle is sold.

Administrative - blank

Grants documents and all supporting documents:

Applications not entitled

GC 12946

29 USC 436

26 CFR 31 .6001.1-4

26 CFR 31 .6001 6 years 1(e)

29 CFR 516.5-51 6.6

GC §34090 Until audited + 2 years

GC §34090 CCP §337

Until audited+ 4 years

VC §§9900 et. seq. Until sold

GC §34090 Unti l Superseded

24 CFR 570.502 Unti l completed + 4 years

24 CFR 85.42

GC §34090 2 years


CCP CCR CFR EC

Code ofCivil Procedure (California) California Code ofRegulations Code of Federal Regulations Elections Code (California)

GC IRC IRS LC


PC R&TC USC


8




Hazardous Materials & Hazardous Waste Disposal Records

Examples of hazardous materials/hazardous waste: medical waste; used oil; pesticides

HSC 117945

HSC 118165

22 CCR 66279.91

3 CCR 6624(g)

3 years

Hazardous Materials Permits, Hazardous Materials Storage

[Permanent retention of environmentally sensitive materials is recommended]

GC 34090 While current + 2 years

Hazardous Materials Exposure Records,

etc.

Employee substance used

exposure records; name/identity of chemical used; when & where chemical substance was

8 CCR 3204(d) et. seq.


Information Services, Internet/World Wide Web

Management policies and supporting documentation GC §34090 Until superseded + 2 years

Information Systems, Inventory

Hardware/software inventory logs; systems manuals GC §34090 Until superseded + 2 years

Insurance Personnel related GC §34090 Until Superseded + 2 years

Insurance, Joint Powers Agreement

Accreditation, MOU, agreements and agendas GC §34090 Current + 2 years

Insurance Certificates, RCA

Liability, performance bonds, employee bonds, property; Insurance certificates filed separately from contracts

GC §34090 Until superseded + 2 years

Insurance, Liability/Property

May include liability, property, Certificates of Participation, deferred, use of facilities


Insurance, Risk Management Reports

Federal OSHA Forms; Loss Analysis Report; Safety Reports; Actuarial Studies

29 CFR 1904.4 GC §34090

5 years (Federal)

2 years (State)


CCP Code ofCivil Procedure (California) GC Government Code (California) PC Penal Code (California) CCR California Code of Regulations IRC Internal Revenue Code R&TC Revenue & Taxation Code (California) CFR Code ofFederal Regulations IRS Internal Revenue Service USC United States Code EC Elections Code (California) LC Labor Code (California)

9


Destruction of any record must have the approval of the Board of Directors and written consent from the RCA General Counsel. unless otherwise provided by law. (Gov. Code § 34090)


Investment Reports, Transactions

Summary of transactions, inventory and earnings report GC §34090 CCP §337

Until audited + 4 years

Legal Notices/Affidavits of Publication

GC §34090 2 years

Legal Opinions Confidential - not for public disclosure (attorney-client privilege)


Litigation Case files GC §34090 Until settled + 2 years

Maintenance Manuals Equipment service/maintenance GC §34090 Until Superseded + 2 years

Maintenance/Repair Records

Equipment GC §34090 2 years

Minutes Meetings of Board of Directors: Documents are to be imaged immediately. GC §34090

Permanent unless reproduced pursuant to GC §34090, as may be amended from time to time

Notices - Public Meetings

GC §34090 2 years

OSHA OSHA Log 200, Supplementary Record, Annual Summary (Federal & State-Cal-OSHA)

LC 6410; 8 CCR 14307 29 CFR 1904.2 1904.6

5 years

OSHA (Accident/Illness Reports)

Personnel - Employee Exposure Records & Employee Medical Records Not a public record

LC 6410; 8 CCR 14307; 8 CCR. 3204; GC 6254( c)

Duration of employment plus 30 years


CCP CCR CFR EC

Code of Civil Procedure (California) California Code ofRegulations Code of Federal Regulations Elections Code (California)

GC IRC IRS LC


PC R&TC USC


10




Payroll - Federal/State Reports

Annual W-2's, W-4's, Form 1099s, etc.; quarterly and year-end reports

29 USC 436 26 CFR 31.6001 -4 R&TC 19530 R&TC 19704 IRC 6001 IRS Reg. 301.6501 (a)-1

26 CFR 31.6001 -1(e)

29 CFR 516.5516.5

6 years

Payroll Deduction/ Authorizations

Finance 29 CFR 516.6(c) While Current

Payroll, registers Finance 29 CFR 516.5(a) LC 1174(d)

3 years

Payroll records, terminated employees

Finance files 29 CFR 516.5 3 years from date of last entry

Payroll, time cards/sheets Employee 29 CFR 516.6(a)(1)

LC1174(d)

2 years

(Sec. of State guidelines recommended retention: until audited + 6 years)


CCP CCR CFR EC

Code ofCivil Procedure (California) California Code ofRegulations Code ofFederal Regulations Elections Code (California)

GC IRC IRS LC


PC R&TC USC


11


Destruction of any record must have the approval of the Board of Directors and written consent from the RCA General Counsel , unless otherwise provided by law. (Gov. Code § 34090)

Legal/RecommendedLegal Authority Category of Record Description or Example of Record Retention Period GC §34090 LC 1197.5(d) LC 1174(d)

Payroll - Wage Rates I Employee records GC 12946 While current + 3 years Job Classifications 29 CFR 516.6

29 CFR 1602.4

29 CFR 1627.3

PERS - Employee 29 USC 1027 Retirement Plan 6 years Benefits

Payroll or other records containing name, address, date of Personnel Records birth, occupation, rate of pay, etc., including records relating 29 CFR 1627.3 3 years

to promotion, demotion, transfer, lay-off, termination

Personnel Rules and Until superseded + 2 years GC §34090 Including employee handbook Regulations

All policies and procedures, directives rendered by the Board Until Superseded + 2 years GC §34090 Policies, Administrative of Directors not assigned a resolution or ordinance number

Policies, Non- GC §34090 Until Superseded + 2 years Original policies adopted by the Board of Directorsadministrative Press Releases RCA related. GC §34090 2 years

Procedure Manuals Administrative. GC §34090 Until superseded+ 2 years

Property Acquisition/ RCA owned. Supporting documents regarding sale, CCP §337.15 10 years Disposition purchase, exchange, lease or rental of property by RCA

Public Records Request Requests from the public to inspect or copy public documents GC §34090 2 years


CCP Code ofCivil Procedure (California) GC Government Code (California) PC Penal Code (California) CCR California Code ofRegulations IRC Internal Revenue Code R&TC Revenue & Taxation Code (California) CFR Code ofFederal Regulations IRS Internal Revenue Service USC United States Code EC Elections Code (California) LC Labor Code (California)

12



Legal/RecommendedCategory of Record Description or Example of Record Legal Authority Retention Period

Requests for Qualifications; Requests for ProposalsPurchasing

Current + 2 years regarding goods and services GC §34090RFQ's, RFP's

Purchasing, CCP §337 Original Documents Until audited + 4 years Requisitions, Purchase

GC §34090Orders Recordings - audiotaped GC 34090 Until no longer required for (for preparation of Meetings of Board of Directors 64 Ops.Atty. Gen preparation of minutes (after meeting minutes) 317 minutes are approved).

Videos - 1 year; Phone &Recordings - routine Routine daily taping/recording of telephone communications

Radio communications - 100video monitoring, & radio communications; routine video monitoring including GC §26202.6 days (destruction must havetelephone, and radio in-car video systems, jail observation/monitoring systems,

be approved by legislativecommunications building security systems body)

Recordings, videotaped - meetings of legislative Tapes of public meetings GC §54953.5 30 daysbodies

Permanent unless Records Management reproduced pursuant to GC

Documentation of final disposition of records GC §26202Disposition Certification §26205.1, as may be amended from time to time

Records Retention GC §26202 Until Superceded + 2 years Schedules

Recruitments and Records relating to hiring, promotion, selection for training 29 CFR 1627.3 3 years Selection


CCP CCR CFR EC

Code ofCivil Procedure (California) California Code ofRegulations Code ofFederal Regulations Elections Code (California)

GC IRC IRS LC


PC R&TC USC


13




Reserve Management Data and Information, including adaptive management plan

75 years in electronic format

Resolutions Vital records - originals may never be destroyed. Image immediately.

GC §34090

Permanent unless reproduced pursuant to GC §34090, as may be amended from time to time

Studies, Various RCA GC §34090 Current + 2 years

Unemployment Insurance Records

IRC 3301-3311 4 years

Warrant Register/Check Register

Record of checks issued; approved by legislative body (copy is normally retained as part of agenda packet information)

GC §34090 Until audited + 2 years

Workers Compensation Files

Work-injury claims (including denied claims); claim files, reports, etc.

8 CCR 10102 8 CCR 15400.2

Until settled + 5 years

RVPUB\DBALLI N\697142 .2


CCP CCR CFR EC

Code ofCivil Procedure (California) California Code ofRegulations Code of Federal Regulations Elections Code (California)

GC IRC IRS LC


PC R&TC USC


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