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HomeMy WebLinkAbout2024 -01 Resolution No. 24-01 Adopting New Governance PoliciesRESOLUTION NO. 24-01 2461053.1 14737.001 1 EXHIBIT A PROPER USE AND SAFEGUARDING OF UKIAH VALLEY BASIN GROUNDWATER SUSTAINABILITY AGENCY PROPERTY AND RESOURCES The California Constitution prohibits a Director from making a gift of public funds by utilizing or permitting the use of Ukiah Valley Basin Groundwater Sustainability Agency (“Agency”)-owned vehicles, equipment, telephones, materials, or property for his or her personal benefit or for the benefit of third parties without legal authorization. A Director will not ask or require an Agency employee to perform services for the personal benefit or profit of a Director. Each Director must protect and properly use any Agency asset within his or her control, including information recorded on paper or in electronic form. Directors will safeguard Agency property, equipment, money, and assets against unauthorized use or removal, as well as from loss due to a criminal act or breach of trust. Directors must not use Agency resources, including any property or asset owned by the Agency, for a campaign activity. Campaign activities include contributions and expenditures, as defined in the Political Reform Act of 1974 in California Government Code sections 82015 and 82025. Directors and staff must ensure compliance with the restrictions on mass mailings in the Political Reform Act of 1974 before sending any mailings, newsletters, announcements, communications, or other distributed materials to over 200 people or addresses. RESOLUTION NO. 24-01 2461053.1 14737.001 2 EXHIBIT B DOCUMENT RETENTION AND DESTRUCTION POLICY I. PURPOSE To ensure that the Ukiah Valley Basin Groundwater Sustainability Agency (“Agency”) adequately protects and maintains necessary records and documents and discards records that are no longer needed in an appropriate way and at the appropriate time. II. GENERAL Agency shall retain records for the period of their immediate or current use unless longer retention is necessary for historical reference or to comply with contractual or legal requirements. Records and documents outlined in this Document Retention and Destruction Policy (“Policy”) include, but are not limited to, paper, electronic files (including emails), and voicemail records regardless of where the documents are stored. This includes items stored on network servers, desktop or laptop computers, handheld devices, and/or any other wireless devices with text messaging capabilities. Any Agency employee, or any other person who is in possession of Agency records who is uncertain as to what records to retain or destroy, when to do so, or how to destroy them, may seek assistance from the Agency’s Administrator or his or her designee. 1. Except as otherwise expressly stated in this Policy, documents shall be retained for the number of years indicated in Section III, below. 2. Irrespective of the retention periods specified in Section III, upon (i) receiving notice of a lawsuit, government investigation, or other legal action against or involving the Agency, or (ii) learning of circumstances likely to give rise to such an action, proceeding or investigation, all documents in any way relating to such matter shall be preserved and safeguarded. Preservation of such records shall continue until such time as when notice is received that the legal action or investigation no longer requires the safeguarding of the records in question. Only after such notice may the records be destroyed according to Section III. 3. Agency employees, staff, and consultants are expected to utilize documentation practices as trained and are required to comply with the documentation standards outlined in this Policy. 4. Agency employees shall maintain complete, accurate, and high-quality records electronically or in damage-proof storage for the duration of the time periods provided for in this Policy. Once any such time period has lapsed, the records are to be destroyed. 5. Documents maintained solely in electronic format shall be scanned and retained in organized electronic folders on the Agency’s network in accordance with this Policy. All records or directories shall be password protected and shall be stored on separate network servers from their original server, with access provided only to the appropriate employee(s). Backups of the Agency’s electronic records shall be made daily and stored off-site either at another Agency-owned facility from where the records are regularly maintained or through a RESOLUTION NO. 24-01 2461053.1 14737.001 3 cloud storage solution that satisfies any legal requirements for the handling of go vernment records. III. RECORD RETENTION GUIDELINES A. Accounting Documents Type of Document Retention Term 1 Annual financial statements Permanent 2 Subsidiary ledgers 10 years 3 General ledger Permanent 4 Annual audit reports and work papers Permanent 5 Journal entries 10 years 6 Internal financial reports 3 years 7 Check registers and cash receipts 10 years 8 Depreciation schedules 10 years 9 Accounts payable invoices and reports 10 years 10 Accounts receivable invoices and reports 10 years 11 Chart of accounts Permanent 12 Expense records 10 years 13 Bank statements and reconciliation 10 years 14 Budget Permanent B. Tax Records Type of Document Retention Term 1 Federal tax returns (excluding payroll) Permanent 2 State and local tax returns Permanent 3 Form 990 and supporting documentation Permanent 4 1099 forms Permanent 5 Payroll taxes (W2, W3) Permanent 6 Payroll taxes (Form 941, state withholding, unemployment) Permanent 7 City and State Sales and Excise Tax reports with supporting documentation 10 years C. Payroll Records Type of Document Retention Term 1 Payroll deductions 10 years 2 Time cards 10 years 3 4-4 forms 10 years RESOLUTION NO. 24-01 2461053.1 14737.001 4 4 Payroll records 10 years 5 State unemployment tax records Permanent 6 Deductions register 10 years 7 Earnings records 10 years D. Insurance Records Type of Document Retention Term 1 Policies (including expired) Permanent 2 Claims for loss/damages Permanent 3 Accident reports Permanent 4 Appraisals Permanent E. Institutional and Legal Records Type of Document Retention Term 1 Articles of Incorporation and amendments Permanent 2 Bylaws Permanent 3 Policies Permanent 4 Agendas, Agenda Packets, and Minutes of Board of Directors and Board Committee meetings Permanent 5 Documentation of compliance with public meeting notice requirements Completion + 2 years 6 Membership Ballots 3 years following applicable vote 7 Executed Resolutions of the Board of Directors Permanent 8 Associate Membership Agreements Permanent F. Personnel Records Type of Document Retention Term 1 Employment applications (persons not hired) 3 years 2 Employment applications (persons hired) 7 years after separation 3 Performance evaluations 7 years after separation 4 Promotions, raises, reclassifications 7 years after separation 5 Job descriptions & performance goals 7 years after separation 6 Disciplinary warnings, demotions, lay-off & discharges 7 years after separation 7 Retirement or pension plan records Permanent RESOLUTION NO. 24-01 2461053.1 14737.001 5 8 Employee Handbooks Permanent 9 1-9 Employment Eligibility Verification forms 3 years after separation 10 Worker’s Compensation, Unemployment Compensation, Long-Term Disability and COBRA Claims 6 years after separation or until resolution of the case G. Legal Records Type of Document Retention Term 1 Agreements, contracts, licenses, leases Until 10 years following expiration 2 General correspondence 4 years 3 Correspondence with corporate counsel Permanent H. Groundwater Sustainability Plan Documents Type of Document Retention Term 1 Groundwater Sustainability Plan (internal drafts) 3 years 2 Groundwater Sustainability Plan (drafts submitted to DWR) 20 years 3 Groundwater Sustainability Plan (adopted) Permanent 4 Consultant Reports 20 years 5 Public Meeting Records (agendas, minutes, speaker cards) 20 years 6 Audio and Video Recordings of Public Meetings 30 days 7 Correspondence 5 years I. Financing Records Type of Document Retention Term 1 Bond Files / Transcripts / Certificates of Participations (COPs) / Coupons Cancellation., Redemption or Maturity + 10 years a Borrower applications and financial documents Cancellation., Redemption or Maturity + 10 years b Bond Issuance and Closing Documents (including, but not limited to, CIDIAC Acknowledgement of Report of Proposed Debt Issuance) Cancellation., Redemption or Maturity + 10 years c Correspondence among deal team prior to issuance Cancellation., Redemption or Maturity + 10 years RESOLUTION NO. 24-01 2461053.1 14737.001 6 d Performance deposit release letter from CDLAC--part of borrower’s file Cancellation., Redemption or Maturity + 10 years e Department of the Treasury, Internal Revenue Service, Acknowledgement of Form 8038 Cancellation., Redemption or Maturity + 10 years f IRS documentation for bond issuances that are being audited (e.g., Form 4564, Form 2848, etc.) Cancellation., Redemption or Maturity + 10 years J. General Administrative Records (not addressed elsewhere) Type of Document Retention Term 1 General Correspondence 4 years 2 FPPC Form 700 7 years 3 Procurement Documents (RFPs, RFQs, bids, proposals, qualifications) 3 years following procurement date or project completion date, whichever is later 4 Document Destruction Inventories Permanently K. Digital Storage Media and Other Electronic Information Type of Document Retention Term 1 Employee Hard Drives & Other Storage Media 6 years after separation of employment or 6 years from cessation of use, whichever is later. 2 Network Hard Drives 2 years from cessation of use; 5 years if programs contained thereon are no longer used 3 Network Information Backup Storage Media 1 month 4 Website (archive versions) 3 years 5 Website User Records 1 year 6 Voicemail Messages (stored electronically) 90 days 7 Databases 2 years from cessation of use RESOLUTION NO. 24-01 2461053.1 14737.001 7 The retention periods described above are guidelines. There are circumstances under which a record or document may have to be maintained longer than the guidelines. IV. DOCUMENT PROTECTION All documents shall be stored in a protected environment that minimizes their deterioration for the duration of the schedule above. V. DESTRUCTION The Administrator or his or her designee shall review Agency documents on an on-going basis to determine whether they are subject to destruction under this Policy. Documents found to be due for destruction shall be inventoried by the Administrator or his or her designee on the form attached to this Policy as Exhibit A. Document destruction inventories shall be reviewed by Agency’s legal counsel prior to record destruction. Records m ay be destroyed by the Administrator or his or her designee or a vendor specializing in document destruction in the presence of a witness who is an employee of the Agency. A. Paper documents shall be destroyed by shredding. B. Electronic copies shall be destroyed by deletion software. C. Physical media shall be destroyed by crushing, drilling, or shredding. 2461053.1 14737.001 UKIAH VALLEY BASIN GROUNDWATER SUSTAINABILITY AGENCY DOCUMENT DESTRUCTION INVENTORY Administrator (print): Administrator (signature): Legal Counsel (print): Legal Counsel (signature): Witness (print) Witness (signature) Date and Method of Destruction: Retention Code Description Date Range Retention Period Format 2461053.1 14737.001 EXHIBIT C SOCIAL MEDIA USE POLICY The Ukiah Valley Basin Groundwater Sustainability Agency (“Agency”) recognizes the importance of internet-based social media platforms that are open and accessible to the public to disseminate information about the Agency’s activities. With the proliferation of internet-based social media platforms, the California legislature has amended the Ralph M. Brown Act to proscribe the behavior of members of legislative bodies to prevent improper “meetings” from occurring on internet-based social media platforms. Upon election or appointment to the Agency Board of Directors, each director must ensure they are familiar with current state laws regarding the use of internet-based social media platforms, including Assembly Bill No. 992 (2020), codified in California Government Code section 54952.2. The directors of the Agency must not use an internet-based social media platform to discuss among a majority of the directors business within the subject matter jurisdiction of the Agency. This includes public communications between two directors that could be viewed by a third director. If a director creates a communication on an internet-based social media platform that relates to the subject matter jurisdiction of the Agency, no other director may respond directly to or interact with the communication. To “respond directly to or interact with” includes actions such as liking, sharing, reposting, and commenting on the communication. 2461053.1 14737.001 EXHIBIT D AGENCY TRANSPARENCY & LOCAL APPOINTMENTS LIST The Ukiah Valley Basin Groundwater Sustainability Agency (“Agency”) commits to the following measures to ensure transparency and compliance with applicable laws: I. LOCAL APPOINTMENTS LIST The Agency will comply with laws requiring the preparation of a Local Appointments List. At th e time of adoption of this policy, the Board of Directors is required to prepare a Local Appointments List that identifies all regular and ongoing boards, commissions, and committees appointed by the Board of Directors. The Local Appointments List must include a list of all appointive terms which will expire during the next calendar year, with the name of the incumbent appointee, the date of appointment, the date the term expires, and the necessary qualifications for the position. It must also include a list of all boards, commissions, and committees whose members serve at the pleasure of the legislative body, and the necessary qualifications for each position. The Agency must post the Local Appointments List on the Agency website. The Agency is responsible for regularly checking for any changes to the requirements for the Local Appointments List. II. CONTACT INFORMATION The Agency will post on the Agency website and regularly update contact information for Agency staff and members of the Board of Directors, including telephone number, office location, and email address. III. OFFICER TERMS The Agency will post on the Agency website and regularly update the Directors’ terms of office and the next election date. IV. AGENCY REPORT OF APPOINTMENTS (FORM 806) The Agency will post on the Agency website and regularly update the Agency Report of Public Official Appointments (Form 806). V. STATEMENT OF FACTS OF PUBLIC AGENCIES Following formation, the Agency filed a statement with the Mendocino County Clerk and the Secretary of State listing the Agency’s full, legal name; the Agency’s official mailing address; the name and address of each member of the Board of Directors; and the name, title, and address of the presiding officer and the secretary of the Board of Directors. When any of the above-listed information changes, the Agency must send an amended statement on a Registry of Public Agencies form (SF-405) to the Secretary of State within ten (10) days of the change. 2461053.1 14737.001 EXHIBIT E CONFLICT OF INTEREST CODE The Political Reform Act of 1974 requires local government agencies to adopt and promulgate a conflict of interest code. The Fair Political Practices Commission (“FPPC”) has adopted a regulation, 2 California Code of Regulations section 18730, which contains the terms of a standard Conflict of Interest Code, which can be incorporated by reference, and which may be amended by the FPPC to conform to amendments in the Political Reform Act after public notice and hearings (“Standard Code”). Therefore, the terms of the Standard Code and any amendments to it duly adopted by the FPPC are hereby incorporated by reference and, along with the attached Exhibit A in which officials and employees are designated and disclosure categories are set forth, constitutes the Agency’s Conflict of Interest Code. Pursuant to Section 4 of the Standard Code, each Board member shall file a Statement of Economic Interest with the Agency Secretary, who shall retain a copy and forward the original for filing with the Clerk of the Mendocino County Board of Supervisors. Designated employees shall file statements with the Agency Secretary who shall retain them on behalf of the Agency. Any Agency Board member or other designated employee already required to submit a Statement of Economic Interest (Form 700) pursuant to California Government Code section 87203 may submit a copy of that statement in lieu of any filing required by this code provided that no additional disclosure would be required by this code. CONFLICT OF INTEREST CODE: EXHIBIT A I. DESIGNATED POSITIONS The following are designated positions within the Agency which involve or may involve the making of or participating in the making of decisions that may foreseeably have a material effect on any economic interest and the specific types of investments, business positions in business entities, and income from sources which manufacture, sell, or provide supplies, materials, books, machinery, services, or equipment of the type utilized by the agency; interest in real property; and sources of income which are reportable. Each Designated Position must disclose on appropriate FPPC forms filed with the Secretary of the Agency Board the disclosure information required by their assigned Disclosure Category within 30 days after the effective date of this code and annually thereafter, and within 30 days of leaving office. Designated Position Disclosure Category Board Member (including Alternates) 1 Administrator 1 General Counsel 1 Board Secretary 2 Consultant * 2461053.1 14737.001 II. DISCLOSURE CATEGORIES A. Disclosure Category 1 All investments and business positions; sources of income, including gifts, loans, and travel payments received within the last 12 months; all interests in real property, except the reporting party’s principal residence. B. Disclosure Category 2 All investments and business positions; sources of income, including gifts, loans, and travel payments received within the last 12 months from sources that provide goods, equipment, vehicles, machinery, or services, including training or consulting services of the type utilized by the Agency. * Consultants shall be required to make all necessary disclosures under this Code prior to the award of any contract by the Agency. The Administrator’s written determination granting a Consultant a variance from the assigned Disclosure Category is a public record and shall be retained for public inspection in the same manner and location as this Conflict of Interest Code. III. VARIANCE FROM DISCLOSURE CATEGORY Consultants shall be included in the list of designated employees and shall disclose pursuant to the broadest disclosure category in the Code subject to the following limitation:1 The Administrator may determine in writing that a particular Consultant is hired to perform a range of duties that is limited in scope and thus not required to fully comply with the disclosure requirements applicable to Disclosure Category 1. The Administrator’s written determination shall include a description of the Consultant’s duties and a statement describing the extent of disclosures required of the Consultant that is based on the Consultant’s duties. The Administrator’s written determination must be presented to the Board of Directors for approval. IV. TRANSPARENCY Pursuant to Government Code section 81008, the statements of economic interest shall be made available for public inspection and reproduction during the Agency’s regular business hours. The statements of economic interest may be secured by contacting the Administrator. 1 While the Agency’s Conflict of Interest Code groups together consultants and employees in places, the grouping is only for the designated purpose, and does not create or imply an employee relationship between the consultant and the Agency. 2461053.1 14737.001 EXHIBIT F CODE OF ETHICS I. INTEGRITY A Director must make every reasonable effort to avoid placing themselves under any financial or other obligation to any individual or organization that might reasonably be thought to influence the Director’s performance of his or her duties related to his or her role as a Director of the Ukiah Valley Basin Groundwater Sustainability Agency (“Agency”). II. LEADERSHIP A Director has a duty to promote and support the key principles by leadership and example and to maintain and strengthen the public’s trust and confidence in the integrity of the Agency. III. SELFLESSNESS A Director has a duty both ethically and legally to make decisions solely in the public’s interest. A Director must not act in order to gain financial or other benefits for themselves, their family, friends, or business interests. This means making decisions because they benefit the Agency and the public it serves, not because they benefit the decision maker. IV. OBJECTIVITY A Director shall endeavor to make decisions solely on merit, free from bias, and in accordance with the Director’s statutory and ethical obligations when carrying out public business. V. ACCOUNTABILITY A Director is accountable to the public for their decisions and actions, preparing and researching as necessary to understand matters before the Board, and must consider issues on their merits, taking into account the views of others. VI. OPENNESS A Director has a duty to be as open as possible about their decisions and actions and give reasons for decisions. VII. HONESTY A Director has a duty to act honestly. As required by law, a Director must disclose any private interests relating to his or her public duties and take steps to resolve any conflicts arising in such a way that protects the public’s interest and/or recuse/disqualify himself or herself from taking any action which would constitute a conflict of interest. 2461053.1 14737.001 VIII. RESPECT A Director must treat others with respect at all times, regardless of policy or personal disagreements, and observe the rights of other people. A Director must treat fellow Directors, officials, staff, customers, and the public with courtesy and civility. IX. TRAINING Directors are required by law to take ethics training every two (2) years. No-cost ethics training is available on the FPPC website. Note that there is a minimum two (2) hour training requirement before taking the accompanying FPPC website test. If Directors choose to complete the ethics training through the FPPC website and test, Directors must complete the test, print out and sign the “Online Proof of Participation Certificate,” and return the certificate to the Board Secretary. Directors are also required by law to take sexual harassment training every two (2) years, and must provide evidence of participation to the Board Secretary. X. VIOLATION OF CODE OF ETHICS OR CONDUCT An actual or perceived violation of this policy by a Director should be referred to the Chair of the Board or the full Board of Directors for investigation and consideration of any appropriate action. Appropriate action depends on the circumstances of the actual or perceived violation. Depending on the nature of the alleged violation, the Board may, as appropriate, determine a specific remedy or report the alleged violation to an appropriate authority. In all cases, the Board will pursue a course consistent with applicable legal requirements, the public’s interest, and the best interests of the Board and the Agency.