HomeMy Public PortalAbout11 November 14, 2012 ExecutiveTIME:
DATE:
LOCATION:
RIVERSIDE COUNTY TRANSPORTATION COMMISSION
EXECUTIVE COMMITTEE MEETING AGENDA
9:00a.m.
Wednesday, November 14, 2012
CONFERENCE ROOM A
County of Riverside Administrative Center
4080 Lemon Street, Third Floor, Riverside
~ COMMITTEE MEMBERS ~
Greg Pettis, City of Cathedral City
Karen Spiegel, City of Corona
Terry Henderson, City of La Quinta
Darcy Kuenzi, City of Menifee
Rick Gibbs, City of Murrieta
Ron Roberts, City of Temecula
Bob Buster, County of Riverside, District I
John J. Tavaglione, County of Riverside, District II
Jeff Stone, County of Riverside, District Ill
John J. Benoit, County of Riverside, District IV
Marion Ashley, County of Riverside, District V
~ AREAS OF RESPONSIBILITY ~
Reviews and makes final decisions on personnel issues
and office operational matters.
Comments are welcomed by the Committee. If you wish to provide comments to the Committee, please
complete and submit a Speaker Card to the Clerk of the Board.
RIVERSIDE COUNTY TRANSPORTATION COMMISSION
EXECUTIVE COMMITTEE
9:00A.M.
WEDNESDAY, NOVEMBER 14, 2012
County of Riverside Administrative Center
Conference Room A
4080 Lemon Street, Third Floor, Riverside
In compliance with the Brown Act and Government Code Section 54957.5, agenda
materials distributed 72 hours prior to the meeting, which are public records relating to
open session agenda items, will be available for inspection by members of the public prior
to the meeting at the Commission office, 4080 Lemon Street, Third Floor, Riverside, CA,
and on the Commission's website, www.rctc.org.
In compliance with the Americans with Disabilities Act and Government Code Section
54954.2, if you need special assistance to participate in an Executive Committee meeting,
please contact the Clerk of the Board at (951) 787-7141. Notification of at least 48 hours
prior to meeting will assist staff in assuring that reasonable arrangements can be made to
provide accessibility at the meeting.
1 . CALL TO ORDER
2. PUBLIC COMMENTS
3. APPROVAL OF MINUTES -OCTOBER 10, 2012
4. ADDITIONS/REVISIONS-The Committee may add an item to the Agenda after
making a finding that there is a need to take immediate action on the item and
that the item came to the attention of the Committee subsequent to the
posting of the agenda. An action adding an item to the agenda requires 2/3
vote of the Committee. If there are less than 2/3 of the Committee members
present, adding an item to the agenda requires a unanimous vote. Added
items will be placed for discussion at the end of the agenda.
5. RECORDS RETENTION SCHEDULE
Overview
This item is for the Committee to adopt the revised Records Retention
Schedule for the Commission.
RCTC Executive Committee Agenda
November 14, 2012
Page 2
6. FLEXIBLE BENEFITS PLAN AMENDMENT
Overview
This item is for the Committee to:
1) Approve the revision to the Commission's Flexible Benefits Plan (Plan);
2) Approve the revision to the Plan's "Frequently Asked Questions" for
distribution to employees; and
3) Adopt Resolution No. 12-029, "Resolution of the Riverside County
Transportation Commission Amending the Flexible Benefits Plan".
1. ADMINISTRATIVE CODE AMENDMENT -COMMITTEE REMOVAL PROCESS
Overview
This item is for the Committee to adopt Ordinance No. 12-001, "An Ordinance
of the Riverside County Transportation Commission Amending the
Commission's Administrative Code", to include the addition of language
regarding the removal of Commissioners from committees.
8. ADJOURNMENT
RIVERSIDE COUNTY TRANSPORTATION COMMISSION
EXECUTIVE COMMITTEE
ROLL CALL
NOVEMBER 14, 2012
County of Riverside, District I
County of Riverside, District II
County of Riverside, District Ill
County of Riverside, District IV
County of Riverside, District V
City of Cathedral City
City of Corona
City of La Quinta
City of Menifee
City of Murrieta
City of Temecula
Present
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RIVERSIDE COUNTY TRANSPORTATION COMMISSION
EXECUTIVE COMMITTEE SIGN-IN SHEET
NOVEMBER 14, 2012
NAME AGENCY E MAIL ADDRESS
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AGENDA ITEM 3
MINUTES
RIVERSIDE COUNTY TRANSPORTATION COMMISSION
EXECUTIVE COMMITTEE
OCTOBER 10, 2012
Minutes
1 . CALL TO ORDER
The meeting of the Executive Committee was called to order by
Second Vice Chair Marion Ashley at 8:35 a.m. in Conference Room A at the
County of Riverside Administrative Center, 4080 Lemon Street, Third Floor,
Riverside, California, 92501.
Commissioners Present
Marion Ashley
Bob Buster
Rick Gibbs
Terry Henderson
Darcy Kuenzi
Greg Pettis
Ron Roberts
Karen Spiegel
Jeff Stone
2. PUBLIC COMMENTS
Commissioners Absent
John J. Benoit
John Tavaglione
There were no requests to speak from the public.
3. APPROVAL OF MINUTES
M/S/C (Kuenzi/Henderson) to approve the minutes of April 11, 2012
as submitted.
Abstain: Stone
4. ADDITIONS/REVISIONS
There were no additions or revisions to the agenda.
RCTC Executive Committee Minutes
October 10, 2012
Page 2
5. CALIFORNIA PUBLIC EMPLOYEES' PENSION REFORM ACT OF 2012
Anne Mayer, Executive Director, discussed the impacts affecting current and
new employees in response to the new California Public Employees' Pension
Reform Act of 2013. She then presented staff's recommendation to
implement the law related to the employer paid member contribution (EPMC).
At this time, Vice Chair Karen Spiegel assumed the Chair.
Commissioner Jeff Stone suggested a more immediate implementation for
employees to pay the EPMC.
Anne Mayer explained the importance of first conducting a compensation
and organization study and the adverse effects that could occur with a more
immediate implementation.
Commissioners Terry Henderson, Marion Ashley, Bob Buster, Darcy Kuenzi,
Rick Gibbs, and Ron Roberts discussed their support for the staff proposal.
Anne Mayer then discussed the retirement formula options for placement of
future employees who are already in the CaiPERS system.
The committee unanimously concurred to place future employees who are
already in the CaiPERS system into the current retirement formula.
M/S/C (Ashley/Stone) to:
1) Approve placement of future employees who are already in the
CaiPERS system into the current retirement formula in response
to the new California Public Employees' Pension Reform Act of
2013;
2) Reinstitute the biennial compensation review system; and
3) Approve a budget adjustment for $120,000 for a compensation
and organization study.
6. DISCUSSION OF ADMINISTRATIVE CODE RELATED TO APPOINTMENTS
AND REAPPOINTMENTS
Commission Gibbs discussed his concerns regarding the process or policy to
remove a Commissioner from a committee. He suggested the Administrative
Code be amended to authorize the Chair to remove a Commissioner from a
committee due to absence or any other infraction, and require a majority
vote of the Commission for any other reason.
RCTC Executive Committee Minutes
October 10, 2012
Page 3
At the request of Steve DeBaun, legal counsel, Commissioner Gibbs clarified
this process would only apply outside of the annual appointment process.
Commissioner Henderson expressed concern regarding taking a removal to
the Board.
Commissioner Ashley suggested recommendations for removal be heard by
the Executive Committee.
The committee concurred with Commissioner Ashley's suggestion.
The committee then discussed the merits of including absences as grounds
for removal. Based on Steve DeBaun's suggestion, the committee
determined to include absences as an element that will be considered as part
of a removal.
At Steve DeBaun's request, the committee clarified this policy applies to the
Budget and Implementation Committee, the Western Riverside County
Programs and Projects Committee, as well as the representative
appointments to external agencies.
MIS/C (Henderson/Stone) to direct staff to revise the Administrative
Code per the Executive Committee's direction and return with a
revised Administrative Code at the next meeting for Executive
Committee action.
7. ADJOURNMENT
There being no other items to be considered, the Executive Committee
meeting adjourned at 9:30 a.m.
Respectfully submitted,
o~~
Jennifer Harmon
Clerk of the Board
AGENDA ITEM 5
RIVERSIDE COUNTY TRANSPORTATION COMMISSION
DATE: November 14, 2012
TO: Executive Committee
FROM: Jennifer Harmon, Clerk of the Board
THROUGH: John Standiford, Deputy Executive Director
SUBJECT: Records Retention Schedule
STAFF RECOMMENDATION:
This item is for the Committee to adopt the revised Records Retention Schedule for
the Commission.
BACKGROUND INFORMATION:
In an effort to improve the efficiency and effectiveness of the Commission, there
has been an ongoing effort to modernize and improve a number of Commission
processes and policies. During the past few years, the Commission approved new
policies and guidelines for a number of activities including right of way,
procurement, committee composition, and in capital project delivery. The overall
professionalism and expertise in every department has seen remarkable
improvements.
One area that has yet to be improved -until now -is in terms of record retention.
The last time the Commission formally adopted a records retention schedule was in
1995. The schedule adopted at that time was similar to what was used by the
county of Riverside and lacked specifics.
Since 1995, a number of changes in state and federal law, along with court
decisions have added multiple layers of complexity to the records responsibilities of
all public agencies. Even a small agency such as the Commission, which has a
limited purview of overseeing only a single issue such as transportation can be
faced with the challenges of responding to public information requests and legal
claims that require prompt access to records that can involve personnel matters,
construction claims, accounting documents, and a myriad of actions involving the
Commission.
The best way of responding to this ongoing responsibility is to establish a
foundation with the adoption of a comprehensive records retention policy that
should be reviewed and updated on a regular basis. During the last two years, the
Clerk of the Board, records staff from Bechtel and legal counsel have worked
Agenda Item 5
cooperatively to develop a matrix that details the length to time that individual
documents should be retained. The matrix cites appropriate state or federal legal
law that governs each specific document type. In establishing this schedule, the
goal of staff is to ensure public transparency with the retention of important
records while balancing the need to accomplish that goal in a cost effective and
legally sound manner.
The adoption of this schedule by the Executive Committee can be considered an
important first step in ensuring that the Commission places a high priority on this
responsibility. The schedule will return to the Committee on a regular basis
whenever changes in state or federal law requires an update.
Attachment: Revised Retention Schedule
Agenda Item 5
RIVERSIDE COUNTY TRANSPORTATION COMMISSION RECORDS RETENTION SCHEDULE Type of Record Description or Example of Record legal Authority Retention Period (Minimum Legal if Different) Accidents/Damage to Risk management administration GC 34090 1 0 years Commission Property CCP337.15 Accounting Records -General Ledger GC 340903 Until audited + 4 years General Ledger Accounting Records -Records showing items of gross income, 26 CFR 1 .6001-1 (c) & Permanent Books of receipts and disbursement (including (e) Permanent Accounts inventories, per IRS regulations) Journals, statements, asset inventories, CCP 337 account postings with supporting 26 CFR 31.6001-1 (e)(2); Accounts Payable documents, vouchers; investments, SOS Local Government Until audited + 4 years invoices and back-up documents, purchase orders, , petty cash, postage, PERS Records Management reports, check requests, etc. Guidelines Expense reimbursements to employees and 7 years after date of Accounts Payable officers; travel expense reimbursements or GC 60201 (d)(12) travel compensation payment Legal Authority Abbreviations CCP CCR CFR EC Code of Civil Procedure (California) California Code of Regulations Code of Federal Regulations Elections Code (California) GC H&S IRC IRS Government Code (California) Health & Safety Code LC PC R&TC sos usc Labor Code (California) Penal Code (California) Internal Revenue Code Internal Revenue Service 1 Revenue & Taxation Code (California) Secretary of State (California) United States Code i
Type of Record Accounts Receivable Affidavits of Publication I Posting Agendas/Minutes, Commission and Executive Committee Agendas/Minutes, All other Committees of the Commission Agreements I Contracts Legal Authority Abbreviations RIVERSIDE COUNTY TRANSPORTATION COMMISSION RECORDS RETENTION SCHEDULE Description or Example of Record Legal Authority Receipts for deposited checks, coins, CCP 337 currency; checks received, reports, 26 CFR 31.6001-1(e)(2); investments, receipt books, cash receipts, SOS Local Government cash register tapes, payments for fees, Records Management permits, etc. Guidelines Legal notices for public hearings, GC 34090 publication of ordinances, etc. Complete agenda package including GC 34090; SOS Local Government minutes and staff reports for Commission Records Management and Executive Committee. Guidelines Complete agenda package including GC 34090; SOS Local Government minutes and staff reports for all other Records Management committees of the Commission. Guidelines Original contracts and agreements and CCP 337 back-up materials, including leases, license CCP 337.2 agreements, service/maintenance CCP 343 contracts, etc. Retention Period (Minimum Legal if Different) Until audited + 4 years 2 years Permanent (2 years) 7 years (2 years) 4 years after termination/ completion CCP CCR CFR EC Code of Civil Procedure (California) California Code of Regulations Code of Federal Regulations Elections Code (California) GC H&S IRC IRS Government Code (California) Health & Safety Code LC PC R&TC sos usc Labor Code (California) Penal Code (California) Internal Revenue Code Internal Revenue Service 2 Revenue & Taxation Code (California) Secretary of State (California) United States Code --
Type of Record Agreements I Contracts Appraisals Articles of Incorporation Audit Reports Audit Hearing or Review Backflow Test Reports/ Meter Operations Bank Account Reconciliations Legal Authority Abbreviations RIVERSIDE COUNTY TRANSPORTATION COMMISSION RECORDS RETENTION SCHEDULE Description or Example of Record Legal Authority Original contracts/agreements regarding the development of real property, design, specifications, surveying, planning, supervision, testing, or observation of CCP 337.15 construction or improvement to real property; may include records of retention releases, retention withheld, change orders, etc. For real property owned by Commission -GC 34090 Not a public record until real estate GC 6254(h) transaction is complete GC 34090 GC 60201 GC 34090 Financial services; internal and/or external SOS Local Government reports Records Management Guidelines Documentation created and or received in GC 34090 connection with an audit hearing or review Reports of testing and maintenance 17 CCR § 7605 26 CFR 31.6001-1 (e)(2) Bank statements, receipts, certificates of SOS Local Government deposit, etc. Records Management Guidelines Retention Period (Minimum Legal if Different) 1 0 years after termination/completion 2 years Permanent Permanent (Current + 4 years) 2 years 3 years Until audited + 5 years (4 years) CCP CCR CFR EC Code of Civil Procedure (California) California Code of Regulations Code of Federal Regulations Elections Code (California) GC H&S IRC IRS Government Code (California) Health & Safety Code Internal Revenue Code Internal Revenue Service LC PC R&TC sos usc Labor Code (California) Penal Code (California) Revenue & Taxation Code (California) Secretary of State (California) United States Code 3 I I I I i
RIVERSIDE COUNTY TRANSPORTATION COMMISSION RECORDS RETENTION SCHEDULE Type of Record Description or Example of Record Legal Authority Retention Period (Minimum Legal if Different) Bids, Successful Capital -Includes plan and specifications; GC 34090 notices/affidavits. CCP 337, 337.1 Bids, Successful Non-capital -Includes plan and GC 34090 specifications; notices/affidavits. CCP 337, 337.1 Bids, Unsuccessful Unsuccessful bid packages only GC 34090 GC 60201 Authorization; public hearing records; prospectus; proposals; certificates; notices; transcripts; registers; statements; Bonds paid or cancelled bonds; warrant CCP 337.5 certificates; interest coupons; final bond documentation; monthly statement of transactions; supporting documents Bonds, Employee Form of insurance that covers employer for losses resulting from fraudulent acts of GC 34090 (Fidelity Bonds) specified employees GC 34090 Bonds, Unsold/Unused Unsold/unused bonds GC 43900 et seq. Documentation created and/or received in Bonds, Surety connection with the performance of CCP 337 work/services for the Commission Brochures/ Publications Retain selected documents only for GC 34090 historic value .. Legal Authority Abbreviations CCP CCR CFR EC Code of Civil Procedure (California) California Code of Regulations Code of Federal Regulations Elections Code (California) GC H&S IRC IRS Government Code (California) Health & Safety Code LC PC R&TC sos usc Internal Revenue Code Internal Revenue Service 4 Permanent 4 years 2 years Upon cancellation, redemption, or maturity + 10 years Current + 2 years 2 years (specific requirements for disposal of unused bonds) 4 years 2 years Labor Code (California) Penal Code (California) Revenue & Taxation Code (California) Secretary of State (California) United States Code i
RIVERSIDE COUNTY TRANSPORTATION COMMISSION RECORDS RETENTION SCHEDULE Type of Record Description or Example of Record Legal Authority Retention Period (Minimum Legal if Different) GC 34090 Budget, Annual Annual operating budget approved by SOS Local Government Permanent legislative body Records Management Guidelines Personnel logs, Supplementary Record, Cal-OSHA Annual Summary (Federal & State-Cal LC 641 0; 8 CCR 14307 5 years OSHA) California State Tax Forms filed annually; quarterly and year-R&TC 19530 6 years Records end reports R&TC 19704 GC34090 Planning, design, construction, H&S19850 Capital Improvements modification of local government-owned SOS Local Government Permanent facilities, structures, and systems Records Management Guidelines Checks paid -expense reimbursement to GC 60201 (d)(12) CCP 337 Checks -employees; payments to independent 26 CFR 31.6001-1 (e)(2) Commission-issued contractors; vendors; other payments; etc. SOS Local Government Until audited + 7 years Includes check copies; canceled or voided Records Management checks; electronic versions of checks Guidelines Citizen Feedback General correspondence GC 34090 2 years Claims Filed Against the Paid/Denied GC 60201 (d)(4); Until settled + 2 years Commission GC 34090 ------------Legal Authority Abbreviations CCP CCR CFR EC Code of Civil Procedure (California) California Code of Regulations Code of Federal Regulations Elections Code (California) GC H&S IRC IRS Government Code (California) Health & Safety Code LC PC R&TC sos usc Labor Code (California) Penal Code (California) Internal Revenue Code Internal Revenue Service 5 Revenue & Taxation Code (California) Secretary of State (California) United States Code
RIVERSIDE COUNTY TRANSPORTATION COMMISSION RECORDS RETENTION SCHEDULE Type of Record Description or Example of Record Legal Authority Retention Period (Minimum Legal if Different) Miscellaneous complaints, not related to Complaints -specific lawsuits involving the Commission GC 34090 Miscellaneous and not otherwise specifically covered by the retention schedule. Comprehensive Annual Finance GC 34090; Financial Reports (CAFR) CCP 337 Conflict of Interest Code -required under Conflict of Interest Code Political Reform Act; must be reviewed by GC 87300 et seq. July 1st of every even-numbered year and amended if necessary General correspondence, including letters Correspondence and e-mail; Various files, not otherwise GC 34090 specifically covered by the retention schedule. Credit Cards, Credit card bills or statements, and other records related to use of Commission-GC 60201 (d)( 12) Commission-owned owned credit cards Deeds, Real Property File with recorded documents; originals GC 34090 (Grant Deeds) may not be destroyed. GC 60201 (d) Deferred Compensation Finance, pension/retirement funds 29CFR516.5 Reports 29 CFR 1627.3 Legal Authority Abbreviations CCP CCR CFR EC Code of Civil Procedure (California) California Code of Regulations Code of Federal Regulations Elections Code (California) GC H&S IRC IRS Government Code (California) Health & Safety Code Internal Revenue Code Internal Revenue Service LC PC R&TC sos usc 6 2 years Until audited + 4 years Permanent 2 years 7 years after date of payment Permanent Termination + 4 years (3 years) Labor Code (California) Penal Code (California) Revenue & Taxation Code (California) Secretary of State (California) United States Code
RIVERSIDE COUNTY TRANSPORTATION COMMISSION RECORDS RETENTION SCHEDULE Type of Record Description or Example of Record Legal Authority Retention Period (Minimum Legal if Different) GC 34090 GC 6254(c) DMV Driver's Records Motor vehicle pulls -Personnel record--GC 12946 Separation + 7 years Reports (DMV Pull-Notice VC 1808.1 (c) System) Not a public record. SOS Local Government (until superseded) Records Management Guidelines; Easements, Real Property File with recorded documents; originals GC 34090 Permanent may not be destroyed. EEOC Records Records, reports showing compliance with (Equal Employment federal equal employment requirements 29 CFR 1602.30 3 years Opportunity Commission) (EE0-4 Reports, etc.) Benefit plans (including "cafeteria" and other plans); health insurance programs; 29 usc 1027 Employee Benefits records regarding COBRA -extension of 28 CCR 1300.85.1 Life of plan/policy benefits for separated employees, 11 CCR 560 + 6 years insurance policies (health, vision, dental, 29 CFR 1627 .3(b)(2) deferred compensation, etc.) Employee Files Personnel files --Not a public record. GC 12946 Separation + 2 years GC 6254(c) Employee Information, GC 12946 Name, address, date of birth, occupation 29 CFR 1627.3 Separation + 3 years General LC 1174 Employee Information, Rate of pay and weekly compensation GC 60201 Separation + 7 years Payment earned Legal Authority Abbreviations CCP CCR CFR EC Code of Civil Procedure (California) California Code of Regulations Code of Federal Regulations Elections Code (California) GC H&S IRC IRS Government Code (California) Health & Safety Code LC PC R&TC sos usc Labor Code (California) Penal Code (California) Internal Revenue Code Internal Revenue Service 7 Revenue & Taxation Code (California) Secretary of State (California) United States Code I I
RIVERSIDE COUNTY TRANSPORTATION COMMISSION RECORDS RETENTION SCHEDULE Legal Authority Retention Period Type of Record Description or Example of Record (Minimum Legal if Different) Personnel--Data regarding race, sex, Employee Information and national origin of non-hired applicants & 2 CCR 7287.0(b), (c)(2), Current + 3 years Non-Hired Applicant employees (c)(3) (Current + 2 years) Identification Records [Employee data must be kept separate from their personnel files] Non-safety employee records may include: Release Authorizations; Certifications; Reassignments; outside employment; 29 CFR 1627.3 Separation + 3 years Employee, Non-safety commendations, disciplinary actions; GC 12946 terminations; Oaths of Office; evaluations-pre-employee medicals; fingerprints; identification cards (ID's) GC 34090 Until terminated or Employee Programs Includes EAP and Recognition GC 12946 superseded + 2 years GC 12946 Alternate lists/logs, ethnicity disclosures, GC 34090 Current+ 3 years Employee, Recruitment examination materials, examination answer 29 CFR 1602.31 (Current + 2 years) sheets, job bulletins 29 CFR 1627.3 Employee, Reports Employee statistics, benefit activity, GC 34090 Current + 2 years liability loss GC 12946 Length of employment + 2 Employee Rights -General 29 CFR 1602.14 years Legal Authority Abbreviations CCP CCR CFR EC Code of Civil Procedure (California) California Code of Regulations Code of Federal Regulations Elections Code (California) GC H&S IRC IRS Government Code (California) Health & Safety Code LC PC R&TC sos usc Labor Code (California) Penal Code (California) Internal Revenue Code Internal Revenue Service 8 Revenue & Taxation Code (California) Secretary of State (California) United States Code
RIVERSIDE COUNTY TRANSPORTATION COMMISSION RECORDS RETENTION SCHEDULE Type of Record Description or Example of Record Legal Authority Retention Period (Minimum Legal if Different) Applications submitted for existing or GC 34090 Employment Applications anticipated job openings, including any GC 12946 3 years -Not Hired records pertaining to failure or refusal to 29 CFR 1627.3(b)(1 )(i) (2 years) hire applicant Separation + 3 years Employment Eligibility Federal Immigration and Nationality Act; 8 USC 1324a (b)(3) (3 years after date of hire, or 1 year after date of Verification {1-9 Forms) Immigration Reform/Control Act 1986 Pub. Law 99-603 termination, whichever is later) Paperwork documenting internal and Length of employment + 7 Employment, Personnel GC 34090 years Training external training, and volunteer program GC 12946 (length of employment + training 2 years) Employment, Surveys and GC 12946 Includes classification, wage rates GC 34090 Current + 2 years Studies 29 CFR 516.6 Employment, Vehicle Mileage Reimbursement Annual mileage reimbursement rates GC 34090 Until superseded Rates Environmental Quality Documents, abatement projects, public GC 34090 . Permanent Asbestos buildings Legal Authority Abbreviations CCP CCR CFR EC Code of Civil Procedure (California) California Code of Regulations Code of Federal Regulations Elections Code (California) GC H&S IRC IRS Government Code (California) Health & Safety Code LC PC R&TC sos usc Labor Code (California) Penal Code (California) Internal Revenue Code Internal Revenue Service 9 Revenue & Taxation Code (California) Secretary of State (California) United States Code
Type of Record Environmental Quality California Environmental Quality Act (CEQA) ERISA Records (Employee Retirement Income Security Act) Ethics Training Records (AB 1234; effective 1 /1 /06) Family and Medical Leave Act (Federal) Federal Tax Records Fixed Assets, Inventory Legal Authority Abbreviations RIVERSIDE COUNTY TRANSPORTATION COMMISSION RECORDS RETENTION SCHEDULE Description or Example of Record Legal Authority Exemptions, Environmental Impact Report, Mitigation monitoring, negative GC 34090 declaration, notices of completion and CEQA Guidelines determination, comments, statements of overriding considerations Employee Retirement Income Security Act of 1974 29 usc 1027 -plan reports, certified information filed; 29 usc 1059 records of benefits due Records required to be kept under Gov. Code section 53235.2 (effective 1/1 /06). Records must show dates that local GC 53235.2 officials satisfied the training requirements and the entity that provided the training Records of leave taken, Commission 29 CFR 825.500 policies relating to leave, notices, GC 12946 communications relating to taking leave May include Forms 1096, 1099, W-4 and 26 CFR 31.6001.1-4 26 CFR 31 .6001-1 (e)(2) W-2 29 CFR 516.5-516.6 Reflects purchase date, cost, account GC 34090 number Retention Period (Minimum Legal if Different) Permanent 6 years 5 years after receipt of training Separation + 30 years (Current + 3 years (Federal) or 2 years (State)) Until audited + 4 years Until audited + 2 years CCP CCR CFR EC Code of Civil Procedure (California) California Code of Regulations Code of Federal Regulations Elections Code (California) GC H&S IRC IRS Government Code (California) He.alth & Safety Code LC PC R&TC sos usc Labor Code (California) Penal Code (California) Internal Revenue Code Internal Revenue Service 10 Revenue & Taxation Code (California) Secretary of State (California) United States Code i
RIVERSIDE COUNTY TRANSPORTATION COMMISSION RECORDS RETENTION SCHEDULE Type of Record Description or Example of Record Legal Authority Retention Period (Minimum Legal if Different) Auction; disposal -Fixed Assets, Surplus Listing of property; sealed bid sales of GC 34090 Until audited + 4 years Property equipment CCP 337 Fixed Assets, Vehicle Title transfers when vehicle is sold. VC 9900 et. seq. Until sold Ownership and Title Forms Administrative -blank Until superseded Fund Transfers Internal; bank transfers & wires GC 34090 Until audited + 2 years Grant documents and all supporting documents: applications, reports, GC 34090 Grants, Federal and State contracts, project files, proposals, 24 CFR 570.502 Until completed + 4 years statements, sub-recipient dockets, environmental review, inventory, 24 CFR 85.42 consolidated plan, etc. Improvements (lighting, GC 34090 Supporting documents -bonds, taxes, SOS Local Government underground utility) -construction Records Management Permanent supporting documents Guidelines Personnel related, MOU, agreements liability, performance bonds, employee Insurance bonds, property, certificates filed GC 34090 Current + 2 years separately from contracts, includes insurance filed by licensees. May include liability, property, deferred, use of facilities Legal Authority Abbreviations CCP CCR CFR EC Code of Civil Procedure (California) California Code of Regulations Code of Federal Regulations Elections Code (California) GC H&S IRC IRS Government Code (California) Health & Safety Code LC PC R&TC sos usc Labor Code (California) Penal Code (California) Internal Revenue Code Internal Revenue Service 11 Revenue & Taxation Code (California) Secretary of State (California) United States Code !
Type of Record Insurance, Risk Management Reports Investment Reports, Transactions Invoices Job Descriptions Lease Agreement Legal Notices/ Affidavits of Publication Legal Opinions Litigation Maintenance Manuals Maintenance Plans Maintenance/Repair L_ Records Legal Authority Abbreviations RIVERSIDE COUNTY TRANSPORTATION COMMISSION RECORDS RETENTION SCHEDULE Description or Example of Record Legal Authority Federal OSHA Forms; Loss Analysis 29 CFR 1904.44 Report; Safety Reports; Actuarial Studies GC 34090 GC 34090 Summary of transactions, inventory and CCP 337 SOS Local Government earnings report Records Management Guidelines Copies sent for fees owed, billing, related GC 34090 documents Descriptions of duties, qualifications, responsibilities for each 29 CFR 1627.3 position/classification/job title CCP 337 Property or equipment CCP 337.2 CCP 343 Notices of public hearings, proof of GC 34090 publication of notices Confidential -not for public disclosure GC 34090 (attorney-client privilege) Case files GC 34090 Equipment service/ maintenance GC 34090 Capital Assets -Rail Stations GC 34090 Equipment GC 34090 ----------Retention Period (Minimum Legal if Different) 5 years (Federal) 2 years (State) Permanent Until audited + 2 years While current + 3 years Until terminated + 4 years 2 years Until superseded + 2 years Until settled or adjudicated + 2 years Current + 2 years Until superseded + 3 years 3 years (2 years) CCP CCR CFR EC Code of Civil Procedure (California) California Code of Regulations Code of Federal Regulations Elections Code (California) GC H&S IRC IRS Government Code (California) Health & Safety Code LC PC R&TC sos usc Labor Code (California) Penal Code (California) Internal Revenue Code Internal Revenue Service 12 Revenue & Taxation Code (California) Secretary of State (California) United States Code
RIVERSIDE COUNTY TRANSPORTATION COMMISSION RECORDS RETENTION SCHEDULE Type of Record Description or Example of Record Legal Authority Retention Period (Minimum Legal if Different) Newsletter Historic reference GC 34090 Permanent (2 years) Notices, public meetings Special Meetings GC 34090 2 years OSHA Log 200, Supplementary Record, Annual Summary (Federal & State-Cal-LC 641 0; 8 CCR 14307 OSHA OSHA) ); OSHA 300 Log, privacy case list, 29 CFR 1904.2 -5 years annual summary, OSHA 301 incident 1904.6, 1904.33 report forms Personnel -Employee Exposure Records & LC 641 0; 8 CCR 14307; OSHA (Accident/Illness Employee Medical Records regarding 8 CCR. 3204; GC Duration of employment Reports) exposure to toxic substances 6254(c) plus 30 years Not a public record Payroll, Federal/State Annual W-2's, W-4's, Form 1 099s, etc.; GC 60201 Separation + 3 years Reports quarterly and year-end reports (7 years) Payroll Deduction/ Finance 29 CFR 516.6(c) Separation + 7 years Authorizations GC 60201 Payroll records Records that specify compensation paid to GC 60201 (d)(12) 7 years after date of employees, officers payment Payroll records, employee Records showing employee 29 CFR 516.5 3 years from date of last LC 1174(d) information information/data -names, addresses, etc. entry Payroll records, Finance files 29 CFR 516.5 7 years from date of last terminated employees GC 60201 entry -------------Legal Authority Abbreviations CCP CCR CFR EC Code of Civil Procedure (California) California Code of Regulations Code of Federal Regulations Elections Code (California) GC H&S IRC IRS Government Code (California) Health & Safety Code LC PC R&TC sos usc Labor Code (California) Penal Code (California) Internal Revenue Code Internal Revenue Service 13 Revenue & Taxation Code (California) Secretary of State (California) United States Code
Type of Record Payroll, registers Payroll, time sheets Payroll, Wage Rates/ Job Classifications PERS -Employee Benefits Personnel Policies --Rules and Regulations Personnel Records ·Petitions Legal Authority Abbreviations RIVERSIDE COUNTY TRANSPORTATION COMMISSION RECORDS RETENTION SCHEDULE Description or Example of Record Legal Authority 29 CFR 516.5(a) Payroll registers, payroll reports, registers LC 1174(d) GC 60201 that show labor costs by employee and SOS Local Government program Records Management Guidelines 29 CFR 516.6 LC 1174 Employee time sheets SOS Local Government Records Management Guidelines Employee records GC 60201 Retirement Plan -annual reports required 29 usc 1027 to be filed under ERISA, PERS Employee 29 CFR 1627 .3(b)(2) Benefit Plan -original document, or copies GC 34090 Including employee handbooks, employee 29 CFR 516.6 manuals, and other policies/procedures 29 CFR 1627 .3(a) Other records (not payroll) containing name, address, date of birth, occupation, etc., including records relating to 29 CFR 1627.3 promotion, demotion, transfer, lay-off, termination Submitted to legislative bodies GC 34090 Retention Period (Minimum Legal if Different) Permanent (7 years from date of last payment) Until audited + 6 years Separation + 7 years Current + 4 years (Current + 2 years) Current + 3 years Separation + 3 years Current + 2 years CCP CCR CFR EC Code of Civil Procedure (California) California Code of Regulations Code of Federal Regulations Elections Code (California) GC H&S IRC IRS Government Code (California) Health & Safety Code LC PC R&TC sos usc Labor Code (California) Penal Code (California) Internal Revenue Code Internal Revenue Service 14 Revenue & Taxation Code (California) Secretary of State (California) United States Code
Type of Record Policies, Administrative Policies, Commission Board Political Support/ Opposition, Requests and Responses Press Releases Procedure Manuals Property, Abandonment Property Acquisition/ Disposition Public Records Request Purchasing, RFQ's, RFP's Purchasing, Requisitions, Purchase Orders Recordings -audio (for preparation of meeting minutes) ----·-··-Legal Authority Abbreviations RIVERSIDE COUNTY TRANSPORTATION COMMISSION RECORDS RETENTION SCHEDULE Description or Example of Record Legal Authority All policies and procedures, directives rendered by the Commission not assigned GC 34090 a resolution number Original policies adopted by the GC 34090 Commission Board Related to legislation GC 34090 Related to Commission actions/activities. GC 34090 Administrative GC 34090 Buildings, condemnation, demolition GC 34090 Commission owned. Supporting documents regarding sale, purchase, CCP 337.15 exchange, lease or rental of property by Commission Requests from the public to inspect or GC 34090 copy public documents Requests for Qualifications; Requests for GC 34090 Proposals regarding goods and services Original Documents GC 34090 CCP 337 Audio recordings of Board meetings -GC 34090 solely for preparation of Board meeting 64 Ops.Atty.Gen 317 minutes The Brown Act Retention Period (Minimum Legal if Different) Current + 2 years Current + 2 years 2 years 2 years Current + 2 years Permanent 1 0 years 2 years Current + 2 years Until audited + 4 years Until no longer required for preparation of minutes and after minutes are approved or 30 days, which is longer CCP CCR CFR EC Code of Civil Procedure (California) California Code of Regulations Code of Federal Regulations Elections Code (California) GC H&S IRC IRS Government Code (California) Health & Safety Code LC PC R&TC sos usc Labor Code (California) Penal Code (California) Internal Revenue Code Internal Revenue Service 15 Revenue & Taxation Code (California) Secretary of State (California) United States Code I
RIVERSIDE COUNTY TRANSPORTATION COMMISSION RECORDS RETENTION SCHEDULE Type of Record Description or Example of Record Legal Authority Retention Period (Minimum Legal if Different) Routine daily recording of telephone Recordings -routine video communications & radio communications; GC 34090 monitoring, telephone, recordings of routine video monitoring, and radio communications monitoring systems, or building security GC 34090.6 systems Recordings, video Recordings of public meetings made by or recordings -meetings of at the direction of the Commission (e.g., GC 54953.5 legislative bodies Board meetings) Other than video recordings of public Recordings, video -other meetings; Considered duplicate records if GC 34090 events another record of the same event is kept GC 34090.7 (i.e., written minutes) · Records Management Documentation of final Disposition/Destruction disposition/destruction of records GC 34090 Certification Records Retention Schedule for records retention GC 34090 Schedules Recruitments and Records relating to hiring, promotion, 29 CFR 1627.3 Selection selection for training Legal Authority Abbreviations CCP CCR CFR EC Code of Civil Procedure (California) California Code of Regulations Code of Federal Regulations Elections Code (California) GC H&S IRC IRS Government Code (California) Health & Safety Code LC PC R&TC sos usc Internal Revenue Code Internal Revenue Service 16 Videos -1 year; Phone & Radio communications -1 00 days (destruction must be approved by legislative body and with written consent of agency attorney). If recordings relate to a claim or pending litigation, must be preserved until the matter is resolved 30 days 90 days after event is recorded Permanent Until superseded + 2 years 3 years Labor Code (California) Penal Code (California) Revenue & Taxation Code (California) Secretary of State (California) United States Code I I '
RIVERSIDE COUNTY TRANSPORTATION COMMISSION RECORDS RETENTION SCHEDULE Type of Record Description or Example of Record Legal Authority Retention Period (Minimum Legal if Different) Resolutions Vital records -may be imaged GC 60201 Permanent immediately GC 34090 GC 34090 Returned Checks Adjustments-NSF, etc. (not Commission SOS Local Government Until audited + 5 years checks) Records Management (Until audited + 4 years) Guidelines Salary /Compensation Studies or surveys of other agencies Studies, Surveys regarding wages, salaries and other GC 34090 Current + 2 years compensation or benefits State Controller Annual reports. GC 34090 Permanent (2 years) State Tax Records Filed annually; quarterly Refer to Federal Tax Until audited + 4 years Records (5 years after file date) Statements of Economic Copies of original statements of elected Interest (SEI) -Form 700 officials forwarded to Fair Political GC 81009(f), (g) 4 years (copies) (elected officials) Practices Commission. Statements of Economic Interest Statements (SEI) Originals of statements of designated GC 81009(e), (g) 7 years -Form 700 (originals) -employees non-elected Stop Payments Finance -bank statements GC 34090 Until audited + 2 years (2 years) Taxes, Special Special tax levied by a local agency on a CCP 338 Until audited + 3 years L_ ------···-per parcel basis --Legal Authority Abbreviations CCP CCR CFR EC Code of Civil Procedure (California) California Code of Regulations Code of Federal Regulations Elections Code (California) GC H&S IRC IRS Government Code (California) Health & Safety Code LC PC R&TC sos usc Labor Code (California) Penal Code (California) Internal Revenue Code Internal Revenue Service 17 Revenue & Taxation Code (California) Secretary of State (California) United States Code
RIVERSIDE COUNTY TRANSPORTATION COMMISSION RECORDS RETENTION SCHEDULE Type of Record Description or Example of Record Legal Authority Retention Period (Minimum Legal if Different) Unemployment Insurance Records related to unemployment IRC 3301-3311 Records insurance Vouchers -Payments Account postings with supporting GC 34090 documents CCP 337 Wage Garnishment Wage or salary garnishment CCP 337 Warrant Register/Check Record of checks issued; approved by Register legislative body (copy is normally retained GC 34090 as part of agenda packet information) Workers Compensation Work-injury claims (including denied 8 CCR 10102 Files claims); claim files, reports, etc. 8 CCR 15400.2 Legal Authority Abbreviations CCP CCR CFR EC Code of Civil Procedure (California) California Code of Regulations Code of Federal Regulations Elections Code (California) GC H&S IRC IRS Government Code (California) Health & Safety Code LC PC R&TC sos usc Internal Revenue Code Internal Revenue Service 18 4 years Until audited + 4 years Active until garnishment is satisfied; then retain until audited + 4 years Until audited + 2 years Until settled + 5 years Labor Code (California) Penal Code (California) Revenue & Taxation Code (California) Secretary of State (California) United States Code
AGENDA ITEM 6
RIVERSIDE COUNTY TRANSPORTATION COMMISSION
DATE: November 14, 2012
TO: Executive Committee
FROM: Michele Cisneros, Accounting and Human Resources Manager
THROUGH: Anne Mayer, Executive Director
SUBJECT: Flexible Benefits Plan Amendment
STAFF RECOMMENDATION:
This item is for the Committee to:
1) Approve the revision to the Commission's Flexible Benefits Plan (Plan);
2) Approve the revision to the Plan's "Frequently Asked Questions" for
distribution to employees; and
3) Adopt Resolution No. 12-029, "Resolution of the Riverside County
Transportation Commission Amending the Flexible Benefits Plan".
BACKGROUND INFORMATION:
At its September 11, 2002 meeting, the Executive Committee approved the
establishment of a Section 125 Premium Conversion Plan or Flexible Benefits Plan
to provide eligible Commission employees with a means of purchasing certain
health benefits in a tax-effective manner. The Plan would also qualify as a
cafeteria plan under Section 125 of the Internal Revenue Code (IRC) whereby
benefits that the employee elects to receive under the Plan are eligible for exclusion
from the employee's income for federal tax income purposes. As a result of this
Plan, employees were allowed to make premium payments for health coverage with
pre-tax deductions.
On June 14, 2006 a restatement of the Plan was required in order to be in
compliance with the Internal Revenue Service (IRS), Employee Retirement Income
Security Act of 1974, and Health Insurance Portability and Accountability Act of
1996. On September 10, 2008, the Plan was amended to include new regulations
imposed by the IRS related to health coverage for non-dependent individuals,
participant elections, substantiation of expenses, and period of coverage.
Staff requested that legal counsel review the current Plan and determine what
revisions were necessary to bring the Plan in compliance with recent changes in the
federal health care laws applicable to health plans. Legal counsel identified the
following necessary changes and recommended amendments to the Plan:
Agenda Item 6
" T h e d e f i n i t i o n o f d e p e n d e n t h a s b e e n u p d a t e d t o r e q u i r e h e a l t h c a r e
c o v e r a g e f o r c h i l d r e n u p t o a g e 2 7 y e a r s f o r p u r p o s e s o f c o m p l y i n g w i t h t h e
n e w h e a l t h c a r e l a w . T h e d e f i n i t i o n o f 1 1 S t u d e n t "