HomeMy WebLinkAboutOCSD 03-06 (REPEALED)\ , ... •
RESOLUTION NO. OCSD 03-06
ADOPTING POLICIES AND PROCEDURES FOR DISTRICT'S
RECORDS MANAGEMENT PROGRAM. RECORDS RETENTION,
AND DESTRUCTION OF OBSOLETE RECORDS
A RESOLUTION OF THE BOARD OF DIRECTORS OF ORANGE
COUNTY SANITATION DISTRICT ADOPTING POLICIES AND
PROCEDURES FOR DISTRICT'S RECORDS MANAGEMENT
PROGRAM, RECORDS RETENTION, AND DESTRUCTION OF
OBSOLETE RECORDS, AND REPEALING RESOLUTION NO.
OCSD 02-02
WHEREAS, it is necessary to establish a policy to maintain a Records
Management Program ("Program") that provides for the identification, access,
and protection of all records generated or received by the District; and
WHEREAS, said Program ensures that all District records are created;
received, maintained, and destroyed in a cost-effective manner, in accordance
with operating requirements for District business and applicable statutes and
regulations; and
WHEREAS, the Board of Directors of District is authorized, by the
provisions of California Government Code Sections 60200 through 60204,
inclusive to destroy records under certain conditions; and
WHEREAS, it is desirable and appropriate to authorize the destruction of
records on a routine basis that have been retained for a certain period of time,
that are copies of originals on file with the District, or that have been preserved in
conformance with all applicable statutes.
NOW, THEREFORE, the Board of Directors of Orange County Sanitation
District,
DOES HEREBY RESOLVE, DETERMINE, AND ORDER:
Section 1: Adoption of Policy and Establishment of Program. The
Board of Directors of District hereby adopts an addition to Section 300 of the
' Records Management Procedure Manual, set forth on Exhibit "A", attached
hereto and incorporated herein by reference.
Section 2: Adoption of Records Retention Schedule. The Board of
Directors of District hereby adopts changes to the Records Retention Schedule,
set forth on Exhibit "B", attached hereto and incorporated herein by reference.
REPEALED BY
OCSD 04-07
Section 3: Authorization for Destruction of Records. The destruction of
certain records, papers, and documents is hereby authorized, pursuant to
California Government Code Sections 60200 et seq., after such records have
been retained for the minimum time set forth on the Records Retention Schedule.
Section 4: Destruction of Records After Preservation. Any record not
expressly required by law to be filed and preserved, may be destroyed at any
time after it is preserved in conformance with the requirements of California
Government Code Section 60203.
Section 5: Destruction of Duplicates. Pursuant to California
Government Code Section 60200, any duplicate record, paper, or document, the
original or a permanent photographic copy of which is in the files of any office or
Department of the District, may be destroyed after confirmation with the Records
Manager that such original or permanent photographic copy remains on file in the
District.
Section 6: Retention of Records Not Mentioned. All records, papers,
and documents not mentioned in this Resolution shall be retained indefinitely.
Section 7: Resolution No. OCSD 02-02 is hereby repealed.
PASSED AND ADOPTED at a regular meeting held March 26, 2003
1 ORANGE COUNiY SANITATION DISTRICT Procedure 3.0
Page 1of2
RECORDS MANAGEMENT
PROCEDURE MANUAL
Date Issued: 03/26/03
Revision: 1
Sub"ect: Staffin and Res onsibilities
3.1 INTRODUCTION
The Records M~magement Program is a decentralized administrative program. As such,
Program activities are carried out by the District Records Manager and by District staff in
each Division. The District Records Manager is responsible for coordinating and
managing the Program and Program procedures, and Division staff are responsible for
complying with the Program requirements for records in their respective Divisions. In
the procedures that follow, the individual responsible for running the daily operations of
the Program is identified as the "Records Manager".
3.2 PURPOSE:
The purpose of this procedure is to describe the roles and responsibilities of the Board
Secretary, Records Manager, and Division staff.
3.3 STAFFING AND RESPONSIBILITIES
Responsibility
Secretary to the Board •
Records Manager •
•
•
•
•
•
•
•
03-06.1.doc
Action
Oversee the Program and act as a liaison
between the Records Manager, the District's
Board, and General Counsel.
Oversee public requests for information .
Act as an advisor on all records and
information management issues and related
projects.
Maintain the Records Retention Schedule .
Develop and conduct training sessions on
appropriate Records Management -Program
activities.
Maintain the Program procedures manual.
Coordinate record destruction suspension
("holds'1 and destruction resumption
(''releases'1 with legal counsel, auditors and
the Office of Record to ensure that records are
available as required.
Manage the records retention, transfer and
destruction activities of the Program.
Conduct a periodic audit of the Program to
ensure compliance.
20RANGE COUN1Y SANITATION DISTRICT Procedure 3.0
Page 2 of 2
RECORDS MANAGEMENT
PROCEDURE MANUAL
Date Issued: 03/26/03
Revision: 1
Sub· ect: Staffin and Res onsibilities
Responsibility
Records Manager •
•
Records Coordinator •
•
•
•
•
•
District Staff •
03-06.1.doc
Action
Coordinate vital records protection and ensure
that the Vital Records Program supports the
Integrated Emergency Response Plan.
Manage the Program database and content for
the Intranet site.
Review the Division records and the Records
Retention Schedule periodically to ensure that
the Division is in compliance with the Program.
Forward any required changes to the Retention
Schedule to the Records Manager.
Ensure that records are maintained and
protected in compliance with the Program.
Coordinate preparation of records for transfer
to offsite storage.
Coordinate managing pertinent records after
receipt of a Records Hold or Records Release.
Coordinate records disposition activities,
including preparing records destruction
authorization notices and obtaining approvals.
Maintain records in compliance with the
Program requirements.
POLICY ON RELEASE AND REPRODUCTION
OF DISTRICT RECORDS
I. STATEMENT OF POLICY AND LAW
The California Public Records Act (Government Code §6250 et seq.) (the
"CPRA" or "Act") declares that access to information concerning the
conduct of the people's business is a fundamental and necessary right of
every person. In furtherance of that policy, the Act mandates, with
specified exceptions, that public records are open to inspection at all times
during the office hours of state and local agencies. The Act, however,
recognizes a number of specific statutory exemptions to the general rule
of public disclosure. The Act also authorizes local agencies to adopt
procedures for making records available and for recovering the direct
costs of duplicating those records.
The spirit of the Act, and the policy of the Orange County Sanitation
District, is to permit access to disclosable public records in the possession
of the District, unless doing so would constitute an unwarranted invasion
of personal privacy or the request calls for the production of records that
are exempt from disclosure under the Act. Other records may be kept
confidential on a case-by-case basis only after a District determination that
the public interest served by non-disclosure clearly outweighs the public
interest served by disclosure. An example of that type of record would be
preliminary d rafts of agreements prepared to facilitate discussion and/or
negotiations, if disclosure prior to final agreement would have an adverse
effect on the negotiation process. However, such analysis will usually
involve the assistance of General Counsel.
In addition, California courts have also recognized that certain records
need not be disclosed if disclosure would reveal the public agency's
decision-making process in such a way as to discourage candid
discussion within the agency, which would thereby undermine the
agency's ability to perform its functions.
1
• ..
. II. PROCEDURE
A. Release of Requested Documents.
Except for routine requests made to the Board Secretary (e.g.,
agendas and agenda-related materials), all requests for inspection
or copies of District records shall be submitted by the employee
receiving the request to the Records Manager, who shall then
review the request and refer it to the appropriate Department Head
for action. The "Public Records Act Request Form" (Attachment
B 1) is to be completed and returned by the end of the next
business day, if possible, otherwise no later than the third business
day, unless a longer time is approved by the Records Manager.
(See, Section 11.C.)
B. Review by General Counsel.
If the Records Manager and Department Head believe that
employee rights or significant interests of the District could be
compromised by the requested disclosure, the Records Manager
and Department Head shall discuss the request with General
Counsel prior to making such disclosure.
C. Timeliness.
Although District policy encourages a quicker response, the CPRA
requires that the person requesting copies of District records be
notified within ten (10) calendar days of the District's determination
as to whether the request, in whole or in part, calls for the
production of disclosable, non-privileged records that are in the
possession of the District. Occasionally, where assistance of
General Counsel is appropriate, for example, the full ten (10)
calendar days may be required in order to make the requisite
determination. Under the Act, the District may also be entitled to an
additional fourteen ( 14) calendar days in which to make-its initial
determination under the following three (3) circumstances:
1. There is a need to search for and collect the requested
documents from other offices, separate from the office
processing the request;
2. There is a need to search for, collect, and examine a
voluminous amount of separate and distinct records which
are demanded in a single request; or
2
3. There is a need to consult with another Agency or
Department having a substantial interest in the determination
of the request.
If the additional fourteen (14) calendar days are needed, either the
General Counsel or Records Manager ·must notify the Requestor, in
writing, of the reason or reasons for the fourteen (14) day extension
and the date on which the determination is expected. A copy of the
District's initial notice of determination and/or extension notification
shall be provided to the Requestor and to the Board Secretary.
If the final determination is to deny a request to inspect or copy
District records, the General Counsel and the Records Manager
shall notify the Requestor, in writing, of the reasons for the denial.
A copy of said letter shall be provided to the Board Secretary.
In every instance where the Records Manager determines: ( 1) to
not comply with the request; or (2) to take the additional fourteen
(14) calendar days to make the initial determination, prior written
approval of the District's General Counsel must be obtained at least
two (2) working days prior to the date of providing the required
notice to the Requester.
D. Partial Disclosure.
If portions of the requested record(s) are determined to be exempt
from disclosure and those portions are reasonably segregable from
the rest of the record(s) by deletion or other means, the non-
exempt portion shall be provided to the Requestor.
E. Cost of Copies.
Under the Act, the District is entitled to be reimbursed by the
Requestor for the direct costs of duplication. The District has,
however, made a policy determination to not charge the Requester
for the first ten (10) pages. If a Public Records Act request calls for
the production of records in excess of ten (10) pages, then the
Requestor shall be required to pay ten cents per page for each
additional page, which shall be reimbursement of the District's
direct costs for duplication. The reimbursement rate shall not
include recovery of costs for staff time spent searching for,
retrieving, reviewing, evaluating and/or handling of responsive
records.
3
,, •
At the sole discretion of the District, the District may require the
Requestor to submit, in advance, a deposit check based on the
estimated direct duplication costs. In the event the District
determines that a deposit is required, the Requestor shall be
required to submit the deposit prior to District staff commencing any
work to locate, identify, and/or obtain responsive records.
At the sole discretion of the District, and depending on the
estimated number of responsive records, the District may retain the
professional reprographic services of a bonded copy service. The
Requestor shall be required to reimburse the District for the direct
costs of duplication associated with the use of a bonded copying
service. In the event the District approves of the use of a bonded
copying service, the Requestor may select and retain a bonded
copying service; however, such selection shall be subject to the
District's approval. The Requestor shall not be permitted direct
access, nor be allowed to take possession or custody of District
records. The Requestor shall not be allowed to copy District
records by any method.
F. Cost of Videotapes, Audiotapes, or Compact Discs.
The charge to the Requestor for copies of videotapes, audiotapes,
or compact disc recordings shall be the District's actual cost of
reproduction.
G. Media Contacts.
Employees are encouraged to refer all media contacts and media
inquiries to the Communications Manager. All information requests
requiring production of records shall be processed i n accordance
with the terms of this Policy, and upon completion of the
preparation of the copies, shall be delivered to the requesting
media representative by the Communications Manager.
Department Heads shall report, within one hour, any and all media
contacts to the Communications Manager. The Communications
Manager shall coordinate any action required by such contact and
keep the appropriate Department Head, General Manager, and
Board Secretary informed.
H. Forms.
The "Public Records Act Request Form" shall be used by District
staff for purposes of complying with this administrative policy.
4
I. Access to Files.
No member of the public and no District employee, other than an
employee of the Department processing records. shall enter any file
cabinets or record storage areas or container, except when
authorized and accompanied Qv an authorized Department
employee.
J. Removal of Records.
The unauthorized removal of any record of the District is a violation
of California Government Code Section 6201, and is punishable by
imprisonment, or fine, or both.
K. Litigation Documents.
The charge for all copies of any District document or record
produced pursuant to a subpoena or request for production of
documents issued by a Court or an authorized administrative or
regulatory agency or tribunal, shall be twenty-five ($.25) cents per
page to reimburse the District for its costs of research, retrieval,
examination, handling, copying, and certification of the documents.
In the event, due to size or volume of the responsive records,
special reproduction services are required, the person making the
request shall pay the actual charges incurred for either the District's
in-house copy service, or an outside copy service.
For large records request, the District shall require an advance
deposit based on the estimated direct copying costs. Said deposit
shall be paid by the Requestor prior to the District commencing any
work to obtain and copy the requested records.
Litigation document requests shall be handled by the General
Counsel and Board Secretary.
5
PUBLIC RECORDS ACT REQUEST FORM
(The following. Section to be completed by the District's Representative
receiving a request to inspect and/or copy District records)
Request Made By:
Date Request Was Made:-------------------
Contact Information:
Address: -------------------------
Te I e phone Number:-------------------
E-Mail Address:--------------------
Documents Requested: (If request is in writing, attach a copy.) _____ _
{Give form to Records Manager immediately. Records Manager will work with appropriate
Department Head or Designated Staff Member.)
{This portion of Form to be completed by Department Head
within 10 calendar days of date of request)
1. Request Approved? Yes No
a. If "No'', list the name(s) and position(s) of the person(s) responsible for the
denial and reasons.
Name(s) and Position(s): -----------------
Reasons(s): ----------------------
2. Extension of Time Required? Yes No
a. If "Yes", indicate reason:
_ The request requires searching and collecting records from locations
separate from the office processing the request.
_ The request requires searching, collecting, and examining of a
voluminous amount of separate records.
_ The request requires consultation with another Agency or Department
having a substantial interest in the matter.
b. Expected date of response: (may not exceed 10 calendar
days, plus 14 calendar days from original request date).
3. A completed ~of this Form given to requesting party on ____ _
Department Head
TLW:pj:D-4: 152622:06/13/02
Orange County Sanitation District
Records Retention Schedule
RECORD SERIES
Code
Media Include: Paper, Videotape, Microfilm,
Office of Record Magnetic, Optical, etc.
100 ABANDONMENTS SECRITARY TO BOARD OF DIRECTORS
101 ACCIDENT RECORDS SAFETY AND EMERGENCY RESPONSE
102 ACCOUNTING REPORTS ACCOUNTING
103 ACCOUNTS PAYABLE FILES ACCOUNTING
104 ACCOUNTS RECEIVABLE FILES ACCOUNTING
105 ADMINISTRATIVE RECORDS ORIGINATING DMSION
106 AGENDA REPORTS SECRITARY TO BOARD OF DIRECTORS
107 AIR QUALTIY FILES AIR QUALTIY AND SPECIAL PROJECTS
108 ANNEXATION FILES SECRITARY TO BOARD OF DIRECTORS
109 ANNUAL REPORTS, FINANCIAL FINANCE ADMINISTRATION
110 ANNUAL REPORTS, OPERATIONAL ORIGINATING DMSION
111 ASSOCIATION FILES ORIGINATING DMSION
112 AUDIT RECORDS, ENVIRONMENTAL ENVIRONMENTAL COMPLIANCE AND
MONITORING
113 AUDIT RECORDS, FINANCIAL FINANCE ADMINISTRATION
114 AUDIT RECORDS, INTERNAL ORIGINATING DMSION
RETENTION
Duplicate Official
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1 2
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AR 20
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5 LI
CL Q+6
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Citation
CA GC 60203
CA GC 60203
Revision 3 -3/2003
Page 1of11
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RETENTION PERIOD EVENT c.ode All retention periods are listed in years (unless otherwise specified) and are In addition to the current year. Characteristics
V-Vital AR -Annual Review
AU -After Audit
CL -Closed, Completed
EX-Expired
LI -Life (of Organization, Plant,
Equipment, etc.)
RE-Revised
SA -Sale, Disposition
ST -Settlement
SU -Superseded
TE -Termination
[rptRRS(All)]
H -Historical
C -Confide,ntial
I Revision Date 0303
Orange County Sanitation District
Records Retention Schedule
RECORD SERIES
Code
Media Indude: Paper, Videotape, Microfilm,
Office of Record Magnetic, Optical, etc.
115 BANKING RECORDS ACCOUNTING
116 BIDS, AWARDED PURCHASING AND WAREHOUSE
117 BIDS, BOARD REVIEW REQUIRED, SECRETARY TO BOARD OF DIRECTORS
AWARDED
118 BIDS, BOARD REVIEW REQUIRED, SECRETARY TO BOARD OF DIRECTORS
UNA WARDED
119 BIDS, UNAWARDED PURCHASING AND WAREHOUSE
120 BIOSOLIDS MANAGEMENT RECORDS ENVIRONMENTAL COMPLIANCE AND
MONITORING
121 BOARD ADMINISTRATIVE FILES SECRETARY TO BOARD OF DIRECTORS
122 BONDS, REVENUE FINANCE ADMINISTRATION
123 BUDGET FILES, APPROVED FINANCE ADMINISTRATION
124 BUDGET FILES, PRELIMINARY FINANCE ADMINISTRATION
125 CASH RECEIPTS ACCOUNTING
126 CERTIFICATE OF INSURANCE PURCHASING AND WAREHOUSE
127 CERTIFICATE OF INSURANCE, BOARD SECRETARY TO BOARD OF DIRECTORS
APPROVED CONTRACTS
RETENTION
Duolicate Official
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Citation
CA GC 60202
CA GC 60202
40 CFR 503.17
'
Revision 3 -3/03
Page 2of 11
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RETENTION PERIOD EVENT Code All retention periods are listed in years (unless otherwise specified) and are in addition to the current year. Characteristics
V-Vital AR -Annual Review
AU -After Audit
CL -Oosed, Completed
EX-Expired
LI -Life (of Organization, Plant,
Equipment, etc.)
RE-Revised
SA -Sale, Disposition
ST -Settlement
SU -Superseded
TE -Termination
(rptRRS(All}]
H -Historical
C -Confide,ntial
IRevisior. ,.te 0003 ·· I
Orange County Sanitation District
Records Retention Schedule
RECORD SERIES
Code
Media Indude: Paper, Videotape, Microfilm,
Office of Record Magnetic, Optical, etc.
128 CHAIN OF CUSTODY RECORDS, ENVIRONMENTAL SCIENCES LAB
LABORATORY
129 CHAIN OF CUSTODY RECORDS, SOURCE SOURCE CONTROL
CONTROL
130 CHECK REGISTERS ACCOUNTING
131 CHECK REQUESTS ACCOUNTING
132 CHECKS, CANCELLED ACCOUNTING
133 CHECKS, COPIES ACCOUNTING
134 CHEMICAL INVENTORY RECORDS ORIGINATING DMSION
135 CLAIM FILES RISK MANAGEMENT
136 COMPLAINT FILES AIR QUALTIY AND SPECIAL PROJECTS
137 COMPLIANCE RECORDS ENVIRONMENTAL COMPLIANCE AND
MONITORING
138 COMPUTER MAINTENANCE FILES INFORMATION TECHNOLOGY
ADMINISTRATION
139 COMPUTER SYSTEM ADMINISTRATION INFORMATION TECHNOLOGY
RECORDS ADMINLSTRA TION
140 CONFINED SPACE RECORDS SAFETY AND EMERGENCY RESPONSE
RETENTION
Duplicate Official
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Citation
8 CCR 5156-5159
Revision 3 -3/03
Page 3of11
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RETENTlON PERIOD EVENT C.ode All retention periods are listed in years (unless otherwise specified) and are in addition to the current year. Characteristics
V-Vital AR -Annual Review
AU -After Audit
CL -Oosed, Completed
EX-Expired
LI -Life (of Organization, Plant,
Equipment, etc.)
RE-Revised
SA -Sale, Disposition
ST -Settlement
SU -Superseded
TE -Termination
[rptRRS(AIJ)]
H -Historical
c -Confidertial
I Revision Date 0303
Orange County Sanitation District
Records Retention Schedule
RECORD SERIES
Code
Media Indude: Paper, Videotape, Microfilm,
Magnetic, Optical, etc.
141 CONFLICT OF INTEREST FILINGS
142 CONTRACTS/ AGREEMENTS
143 CONTRACTS/ AGREEMENTS, BOARD
APPROVAL REQUIRED
144 CRANE INSPECTION RECORDS
Office of Record
SECRETARY TO BOARD OF DIRECTORS
PURCHASING AND WAREHOUSE
SECRETARY TO BOARD OF DIRECTORS
ORIGINATING DMSION
145 DEFERRED COMPENSATION RECORDS ACCOUNTING
146 DELEGATION OF AUTHORITY RECORDS ORIGINATING DMSION
147 DELIVERY RECEIPTS PURCHASING AND WAREHOUSE
148 DRAWINGS, AS BUILT ENGINEERING ADMINISTRATION
149 DRAWINGS, BASELINE ENGINEERING ADMINISTRATION
150 DRAWINGS, RECORD ENGINEERING ADMINISTRATION
151 DRAWINGS, SHOP ENGINEERING ADMINISTRATION
152 EASEMENTS SECRETARY TO BOARD OF DIRECTORS
153 EMPLOYEE BENEFIT PLANS AND HUMAN RESOURCES & EMPLOYEE
PROGRAMS FILES DEVELOPMENT
154 ENVIRONMENTAL IMPACT REPORT ENGINEERING ADMINISTRATION
RETENTION
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4 4
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1 EX+6
1 SU
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1 10
1 4
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Citation
CA EC 17000, CA GC
81009(e)
Revision 3 -3/03
Page 4of11
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RETENTION PERIOD EVENT C.ode All retention periods are listed in years (unless otherwise specified) and are in addition to the current year. Characteristics
V-Vital AR -Annual Review
AU -After Audit
CL -aosed, Completed
EX-Expired
U -Life (of Organization, Plant,
Equipment, etc.)
RE-Revised
SA -Sale, Disposition
ST -Settlement
SU -Superseded
TE -Termination
[rptRRS(All)]
H -Historical
C -Confide,ntial
I Revisio1 Jte ()-303 , I
Orange County Sanitation District
Records Retention Schedule
RECORD SERIES
Code
Media Include: Paper, Videotape, Microfilm,
Office of Record Magnetic, Optical, etc.
155 EOC ACTIVATION RECORDS SAFETY AND EMERGENCY RESPONSE
156 EQUIPMENT MAINTENANCE RECORDS ORIGINATING DMSION
157 EQUIPMENT OWNERSHIP MECHANICAL MAINTENANCE
158 EXPENSE REPORTS ACCOUNTING
159 ANANCIAL PLANNING RECORDS FINANCE ADMINISTRATION
160 FINANCIAL STATEMENTS FINANCE ADMINISTRATION
161 FIXED ASSET RECORDS FINANCE ADMINISTRATION
162 FLOW RECORDS ORIGINATING DMSION
163 FORMATION FILES SECRETARY TO BOARD OF DIRECTORS
164 GENERAL LEDGER ACCOUNTING
165 GRANT RECORDS, UNSUCCESSFUL FINANCE ADMINISTRATION
166 GRIEVANCES/ COMPLAINTS RECORDS HUMAN RESOURCES & EMPLOYEE
DEVELOPMENT
167 HAZARDOUS WASTE RECORDS SAFETY AND EMERGENCY RESPONSE
168 HISTORICAL SUBJECT FILES COMMUNICATIONS ADMINISTRATION
169 1-9 FORMS HUMAN RESOURCES & EMPLOYEE
DEVELOPMENT
RETENTION
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Citation
CA GC 4 700 ET SEQ
40 CFR 122.21
8 USC 1234A
Revision 3 -3/03
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RETENTION PERIOD EVENT C.ode All retention periods are listed in years (unless otherwise specified) and are in addition to the current year. Characteristics
V-Vital AR -Annual Review
AU -After Audit
CL -Oosed, Completed
EX-Expired
U -Life (of Organization, Plant,
Equipment, etc.)
RE-Revised
SA -Sale, Disposition
ST -Settlement
SU -Superseded
TE -Termination
[rptRRS(AJI)]
H -Historical
C -Confide,ntial
!Revision Date 0303
Orange County Sanitation District
Records Retention Schedule
RECORD SERIES
Code
Media lndude: Paper, Videotape, Microfilm,
Office of Record Magnetic, Optical, etc.
170 INCIDENT RECORDS ORIGINATING DMSION
171 INDUSTRIAL HYGIENE FILES SAFETY AND EMERGENCY RESPONSE
172 INSPECTION RECORDS, CONSTRUCTION CONSTRUCTION MANAGEMENT
DAILY PROGRESS
173 INSPECTION RECORDS, CONSTRUCTION CONSTRUCTION MANAGEMENT
SPECIALTY
174 INSPECTION REPORTS, MANHOLE COLLECT10N FACILmES MAINTENANCE
175 INSURANCE POLICIES RISK MANAGEMENT
176 INVESTMENT RECORDS FINANCE ADMINISTRATION
246 IT BACKUP TAPES INFORMATION TECHNOLOGY
177 JOB DESCRIPTIONS HUMAN RESOURCES & EMPLOYEE
DEVELOPMENT
178 JOURNAL ENTRIES ACCOUNTING
179 LABORATORY RECORDS ENVIRONMENTAL SCIENCES LAB
180 LEGISLATION FILES ENVIRONMENTAL COMPLIANCE AND
243 LINE MAINTENANCE FILES COLLECTION FAOLmES MAINTENANCE
181 LmGATION FILES RISK MANAGEMENT
182 LOGS ORIGINATING DMSION
RETENTION
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Citation
Revision 3 -3/03
Page 6of11
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RETENTION PERIOD EVENT Code All retention periods are Usted in years (unless otherwise specified) and are In addition to the current year. Characteristics
V-Vital AR -Annual Review
AU -After Audit
CL -Oosed, Completed
EX-Expired
LI -Life (of Organization, Plant,
Equipment, etc.)
RE-Revised
SA -Sale, Disposition
ST -Settlement
SU -Superseded
TE -Tennination
[rptRRS(AD)]
H -Historical
C -Confide,ntial
IRevisior. Jte (}303 .., I
Orange County Sanitation District
Records Retention Schedule
RECORD SERIES
Code
Media Include: Paper, Videotape, Microfilm,
Office of Record Magnetic, Optical, etc.
183 LOGS, CONTROL CENTER OPERATIONS -PLANT 1 / PLANT 2
184 MASTER PLANS/ STRATEGIC PLANS SECRETARY TO BOARD OF DIRECTORS
185 MATERIAL SAFETY DATA SHEETS SAFETY AND EMERGENCY RESPONSE
186 MEDICAL FILES SAFETY AND EMERGENCY RESPONSE
187 MEETING MINUTES, ADMINISTRATIVE ORIGINATING DMSION
188 MEETING MINUTES, BOARD SECRETARY TO BOARD OF DIRECTORS
189 MEETING MINUTES, BOARD SECRETARY TO BOARD OF DIRECTORS
COMMITTEES
190 MONTHLY REPORTS ORIGINATING DMSION
191 OPERATING JOURNALS ORIGINATING DMSION
192 OPERATING RECORDS ORIGINATING DMSION
193 OPINIONS SECRETARY TO BOARD OF DIRECTORS
194 ORDINANCES SECRETARY TO BOARD OF DIRECTORS
195 OSHA COMPLIANCE RECORDS SAFETY AND EMERGENCY RESPONSE
196 PAYROLL RECORDS ACCOUNTING
197 PERMITS ORIGINATING DMSION
RETENTION
Duplicate Official
CL CL+30
1 SU+lO
1 TE+30
1 TE+30
1 2
1 u
1 u
AR 2
1 2
AR 5
1 u
SU u
SU SU
1 4
1 EX+l
Citation
OCSD RES 98-16
Revision 3 -3/03
Page 7of11
VHC
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fi2100
29 CFR 1910.1001, 8 CCR 0Dfi21
3204
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RETENTlON PERIOD EVENT Code All retention periods are listed in years (unless otherwise specified) and are in addition to the current year.
AR -Annual Review
AU -After Audit
CL -Oosed, Completed
EX-Expired
LI -Life (of Organization, Plant,
Equipment, etc.)
RE-Revised
SA -Sale, Dispositicm
ST -Settlement
SU -Superseded
TE -Tennination
[rptRRS(AJI)]
Characteristics
V-Vital
H -Historical
C -Confide.ntial
!Revision Date 0303
Orange County Sanitation District
Records Retention Schedule
RECORD SERIES RETENTION
Code
Media Indude: Paper, Videotape, Microfilm,
Office of Record Duplicate Official Magnetic, Optical, etc.
198 PERMITS, AQMD AIR QUALTIY AND SPECIAL PROJECTS 1 EX
199 PERMITS, BUILDING AND SECRETARY TO BOARD OF DIRECTORS CL LI
CONSTRUCTION
200 PERMITS, NPDES SECRETARY TO BOARD OF DIRECTORS SU 10
201 PERMITTEES FILES SOURCE CONTROL 1 CL+3
202 PERSONNEL FILES HUMAN RESOURCES & EMPLOYEE TE TE+30
DEVELOPMENT
203 PETTY CASH RECORDS ACCOUNTING 1 4
204 POLICIES I PROCEDURES, SECRETARY TO BOARD OF DIRECTORS SU SU+lO
ADMINISTRATIVE
205 POLICIES / PROCEDURES, OPERATIONS MECHANICAL MAINTENANCE SU SU+lO
AND MAINTENANCE
206 PROJECT FILES ORIGINATING DMSION CL Cl+6
207 PROOF OF PUBLICATION, ORDINANCES SECRETARY TO BOARD OF DIRECTORS 1 LI
245 PUBLIC COMPLAINT FILES COMMUNICATIONS ADMINISTRATION CL 2
208 PUBLIC RELATIONS RECORDS COMMUNICATIONS ADMINISTRATION 1 SU
209 PUBLICATIONS COMMUNICATIONS ADMINISTRATION 1 SU
210 PURCHASE ORDER FILES PURCHASING AND WAREHOUSE CL Cl+6
211 PURCHASE REQUISillON FILES PURCHASING AND WAREHOUSE CL Cl+6
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Revision 3 -3/03
Page 8of11
Citation VHC
~OD
CA H&S 19850, H&S 4003, DOD
H&S 4004
40 CFR 125.301(h) ~OD
DOD
29 CFR 1627.3 DD~
ODD
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o~o
D~D
DOD
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D~D
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RETENTION PERIOD EVENT C.ode All retention periods are listed in years (unless otherwise specified) and are in addition to the current year. Characteristics
AR -Annual Review EX-Expired RE-Revised SU -Superseded V-Vital
AU -After Audit LI -Life (of Organization, Plant, SA -Sale, Disposition TE -Termination H -Historical
CL -Oosed, Completed Equipment, etc.) ST -Settlement c -Confidential
[ rptRRS(All) l I Revision ..Ate 0-303 . I
Orange County Sanitation District
Records Retention Schedule
RECORD SERIES
Code
Media lndude: Paper, Videotape, Microfilm,
Office of Record Magnetic, Optical, etc.
212 RATE ADVISORY COMMITTEE RECORDS FINANCE ADMINISTRATION
213 REAL EST ATE RECORDS FINANCE ADMINISTRATION
214 RECORDED DOCUMENTS SECRETARY TO BOARD OF DIRECTORS
215 RECORDS DESTRUCTION CERTIFICATES SECRETARY TO BOARD OF DIRECTORS
216 RECORDS MANAGEMENT FILES SECRETARY TO BOARD OF DIRECTORS
217 RECORDS RETENTION SCHEDULES SECRETARY TO BOARD OF DIRECTORS
218 RECRUITMENT RECORDS HUMAN RESOURCES & EMPLOYEE
DEVELOPMENT
219 REFERENCE FILES ORIGINATING DMSION
220 REPORTS, FINANCIAL FINANCE ADMINISTRATION
221 REPORTS, GENERAL ORIGINATING DMSION
222 REPORTS, TECHNICAL ORIGINATING DMSION
244 RESEARCH/REFERENCE MATERIALS ORIGINATING DMSION
223 RESOLUTIONS, BOARD SECRETARY TO BOARD OF DIRECTORS
224 RISK MANAGEMENT REPORTS FINANCE ADMINISTRATION
225 SALARY RECORDS HUMAN RESOURCES & EMPLOYEE
DEVELOPMENT
RETENTION
Duplicate Official
1 3
1 SU
1 LI
1 LI
1 3
1 SU+lO
CL Q.+3
SU SU
1 4
1 3
1 SU
AR AR
SU LI
1 a.+5
1 TE+3
Citation
29 CFR 1627.3
Revision 3 -3/03
Page 9of11
VHC
ODD
Dli21D
li21 li21 D
ODD
DOD
Dli210
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DOD
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DD~
RETENTION PERIOD EVENT c.ode All retention periods are listed in years (unless otherwise specified) and are In addition to the current year. Characteristics
V-Vital AR -Annual Review
AU -After Audit
CL -Oosed, Completed
EX-Expired
U -Life (of Organization, Plant,
Equipment, etc.)
RE-Revised
SA -Sale, Disposition
ST -Settlement
SU -Superseded
TE -Termination
[rptRRS(Afl)]
H -Historical
C -Confid~tial
I Revision Date 0303
Orange County Sanitation District
Records Retention Schedule
RECORD SERIES
Code
Media Include: Paper, Videotape, Microfilm,
Office of Record Magnetic, Optical, etc.
226 SECURITY CLEARANCE RECORDS, INFORMATION TECHNOLOGY
COMPUTER SYSTEMS ADMINISTRATION
227 SEWER UNE RECORDS ENGINEERING ADMINISTRATION
228 SOFTWARE APPLICATION FILES INFORMATION TECHNOLOGY
ADMINISTRATION
229 SPECIFICATIONS ENGINEERING ADMINISTRATION
230 SPEECHES/ PRESENTATIONS ORIGINATING DMSION
231 SUBJECT FILES ORIGINATING DMSION
232 SUBMITTALS, DESIGN ENGINEERING ADMINISTRATION
233 TAX RECORDS, EMPLOYEE ACCOUNTING
234 TAX RECORDS, VENDOR ACCOUNTING
235 TRAINING RECORDS HUMAN RESOURCES & EMPLOYEE
DEVELOPMENT
236 TRAINING RECORDS, SAFETY SAFETY AND EMERGENCY RESPONSE
237 TRAVEL RECORDS ORIGINATING DMSION
238 TRIAL BALANCE RECORDS ACCOUNTING
RETENTION
Duolicate Official
1 TE+3
SU SU
1 u
1 u
1 3
AR AR
SU SU
1 0.+4
1 CL+6
CL 3
SU SU
1 Q.+2
1 3
Citation
29 CFR 516.5
26 CFRl.6041.1
8 CCR 3203
Revision 3 -3/03
Page 10of11
VHC
DOD
~OD
DOD
DOD
D~D
DOD
DOD
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DOD
DOD
DOD
DOD
ODD
RETENTION PERIOD EVENT C.ode All retention periods are listed in years (unless otherwise specified) and are in addition to the current year. Characteristics
V-Vital AR -Annual Review
AU -After Audit
CL -aosed, Completed
EX-Expired
LI -life (of Organization, Plant,
Equipment, etc.)
RE·· Revised
S;' '"-•~ !Jisposition
S: '!lent
SU -Superseded
TE -Termination
[rptRRS(AD) l
H -Historical
C -Confid~ntial
I Revisior. .Ate 0303 ... I
Orange County Sanitation District
Records Retention Schedule
RECORD SERIES
Code
Media Include: Paper, Videotape, Microfilm,
Magnetic, Optical, etc.
239 UNDERGROUND SfORAGE TANK ALES
240 WAREHOUSE RECORDS
241 WASfEHAULER FILES
242 WORK ORDERS
Office of Record
ENVIRONMENTAL COMPLIANCE AND
MONITORING
PURCHASING AND WAREHOUSE
SOURCE CONTROL
ORIGINATING DMSION
RETENTION
Duplicate Official
1 LI
1 Q+2
1 3
Cl Q+l
Citation
23 CCR 2772
Revision 3 -3/03
Page 11of11
VHC
DOD
ODD
ODO
ODO
RETENTlON PERIOD EVENT C.ode All retention periods are listed in years (unless otherwise specified} and are in addition to the current year. · Characteristics
V-Vital AR -Annual Review
AU -After Audit
CL -aosed, Completed
EX-Expired
LI -Life (of Organization, Plant,
Equipment, etc.)
RE-Revised
SA -Sale, Disposition
ST -Settlement
SU -Superseded
TE -Termination
[rptRRS(AIQ]
H -Historical
C -Confide,ntial
!Revision Date 0303