To: Board of Directors, Sonoma County Water Agency
Department or Agency Name(s): Sonoma County Water Agency
Staff Name and Phone Number: Jonathan Kajeckas 565-2456
Vote Requirement: 4/5th
Supervisorial District(s): Countywide
Title:
Title
Approval of the Common Accounting and Administrative Records Retention Schedule Version Number 9 and Retention Schedule for Sonoma County Water Agency.
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Recommended Action:
Recommended action
Adopt a Resolution approving the revised Common Accounting and Administrative Records (CAAR) Retention Schedule Version Number 9 and Retention Schedule for the Sonoma County Water Agency and authorizing the destruction of records in accordance with the approved retention schedules.
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Executive Summary:
This item requests Board consideration and approval of revised records retention schedules for the Sonoma County Water Agency. These revisions will streamline the recordkeeping process by consolidating items of a similar nature, removing obsolete items, updating items to reflect current regulations, and eliminating redundancies.
Discussion:
In compliance with Administrative Policy 6-1 (Policy for Records Retention, Storage and Destruction), records retention schedules are created jointly by agencies and County Records Management to establish how long records should be maintained based on their operational, legal, fiscal, and historical value. Retention schedules become the legal authority for the terms of destruction of County of Sonoma records.
Revised retention schedules have been prepared for the Sonoma County Water Agency (Sonoma Water). In addition, The Common Accounting and Administrative Records (CAAR) retention schedule provides guidance to Sonoma Water in the retention of such common series as Accounts Payable/Receivable, Construction Files, Contracts, etc. The revised CAAR retention schedule has been developed to provide continuing guidance and authority to agencies and departments for both retention and destruction of records. Retention schedules have been adjusted over the years for various reasons including: adding series for new programs, removing record types that have been discontinued due to changing business need, modifying retention periods to reflect new regulations, and based on operational value including continuity of operations in the event of a local disaster.
Notable changes on the revised schedules are as follows:
• Extending the retention period for email messages, and establishing retention periods for Microsoft Teams chat messages and posts, in alignment with the County CAAR 9.
• Creation of “big bucket” records series. This process consolidates record types related to the same business process or function into one comprehensive records series or “bucket”. This streamlines recordkeeping practices and mirrors operational functions. This is also expected to improve departmental abilities to appropriately identify retention periods for records.
• Removal of redundant media formats for records. Previously, schedules mandated a variety of media formats in which records must be held. These schedules allow the agency or department head to choose the appropriate media format for the records so long as they comply with the established records retention period and State and Federal regulations.
• Removal of those records series from the agency or department schedules which are redundant listings of series reflected in the CAAR retention schedule, an overarching retention schedule guiding County departments in the retention of such common series as Accounts Payable/Receivable, Construction Files, Contracts, etc.
• Aligning records under their current divisional or departmental structures.
• Omission of records noted as “Duplicate” records in the “Record Type” column. Duplicate records are redundant copies of the same record. Current records management practices do not support the mandatory retention of duplicate records.
Updated retention periods have been thoroughly reviewed by the County Records Manager, Sonoma Water General Manager, Auditor-Controller, County Counsel, and the County Historical Records Commission to ensure that administrative, legal, fiscal and archival requirements have been met. The attachment “Request for Approval of Records Retention Schedule” documents the review and approval by these entities.
Strategic Plan:
N/A
Racial Equity:
Was this item identified as an opportunity to apply the Racial Equity Toolkit?
No
Prior Board Actions:
4/2/2019: Resolution #19-0138 establishing authority for department heads to select appropriate media by which to maintain their records so long as they comply with State law and obtain Board approval for any revisions to the retention schedules.
10/5/2004: Resolution #04-0927 approving Sonoma County Water Agency Common Accounting and Administrative Retention Schedule #7
1/11/1994: Resolution #94-0061 approving retention schedule Sonoma County Water Agency #1.
Fiscal Summary
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FY23-24 Adopted |
FY24-25 Projected |
FY25-26 Projected |
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Narrative Explanation of Fiscal Impacts:
No fiscal impacts.
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Narrative Explanation of Staffing Impacts (If Required):
N/A
Attachments:
1. Resolution Approving Records Retention Schedule and Authorizing Destruction of Records (with Exhibit A: CAAR V.9 for Sonoma County Water Agency; and B: Records Retention Schedule for Sonoma County Water Agency)
2. County of Sonoma Request for Approval of Records Retention Schedules
Related Items “On File” with the Clerk of the Board:
N/A