HomeMy WebLinkAboutOCSD 04-07 (REPEALED)t 'IJ
·•' ' RESOLUTION NO. OCSD 04-07
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 03-06
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 Records Retention Schedule. The Board of
Directors of District hereby adopts additions and changes to the Records
Retention Schedule, Appendix A of the Records Management Procedure
Manual, set forth on Exhibit "A", attached hereto and incorporated herein by
reference. Also adopted are additions and changes to Record Series with
Definitions, Appendix B of the Records Management Procedure Manual, set forth
on Exhibit "B", attached hereto and incorporated herein by reference.
REPEALED BY
OCSD 05-08
'311
·:i
Section 2: 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 3: 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 4: 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 5: Retention of Records Not Mentioned. All records, papers,
and documents not mentioned in this Resolution shall be retained indefinitely.
Section 6: Resolution No. OCSD 03-06 is hereby repealed.
PASSED AND ADOPTED at a regular meeting held March 24, 2004.
ATIEST:
j /} ~, ,.,
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Records Retention Schedule 1
i~~N~EC~~YSANITA~~~-~;~T~~;-··-------·-·!Appendh_A ___________________________________________ _
i !Page 1 of9
) ;
jRECORDS MANAGEMENT i
!PROCEDURE MANUAL !Date Issued: 11/1712000
! !Revision: 4 -3/2004
,--
iAdditions in Blue, Changes in Red )Subject: Records Retention Schedule
I --------------------------···-··--------------·---·-----··. ----·--·------·-···--·-
1.1 INTRODUCTION
It is the policy of the Orange County Sanitation District (the District) to maintain a records and
information management program that provides for the identification, access and protection of all
records generated or received by the District in the conduct of District business.
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C:\OCSD-RIM\Records Retention Schedule Rev 4b.doc
JSkillman/GM-Admin
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JSkillman/GM-Admin
Records Retention Schedule 5 ..
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Originating ! 1 ! EX+ 1 : Jr r r
Division , 1 :
__ .-....!, _________ -~---· ·····--·-·····--------·--... ------~--··------____ ..
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r-------r-----------------
' 198 l Permits, AQMD
.-----··------· i
I
199 ! Permits, Building and
!construction
200 Permits, NPDES
7
Air Quality & l -:----r-----·i--··-··------;
, 1 : Ex I IP r r ·
Special Projects i : i ! :
r----------! CA H&S l------·-:
Secretary to
Board of
Directors
CL u ! 19850, H&s ir r r
j 4003,H&S \
i 4004 : ·---r-----,------~-----· ---~--------------)
Secretary to j ! ! 40 CFR ! ·
Board of ! SU . 10 I 125.30(h) IP' r r .
Directors 1 1 1 ,--···-------1---------:----:-------r.:-------!
I 201 i Permittees Files Source Control I 1 ! CL+3 i :r r r !
:""----·-----, ----·-··------r----·-------r·---·-·---·-·····---------~-·-··--··-----··1-·····--·--·-·---j
! 202 : p 1 F"l ! Human ! i ! 29 CFR !r r v : , i ersonne 1 es : R , TE , TE+7 : 1627 3 , ,... ;
1 ; 1 esources ! , 1 • ,
~-·-2-03·------r Petty c~h R~~~~ds ____ t_ Accountin~---f---1------:---4--(---------·-··-:r:··-·r--r ---!
! ' . : . i ' ' i--··--·----·-----:-----··---·-------·-r·--·----·---·-·r---·------r---·-··--·-·r···--·-·-····---·····:··-··-···-· ·------1
: 'p}i· IP d ! Secretaryto I ; 1 '. 1
i 204 jAd:i~7strarti~ce ures i Board of ! SU I SU+lO I ir ~ r :
1 s ve ' · · 1 : Directors ! ,
,.--------i Polic~s/Pr~cedures, ----------~-·-·· -·---------------.-.. ---·--·------!
205 jOperations and
iMaintenance
Mechanical
! Maintenance
i ; ! I
; SU i SU+ 10 j : r i;: r
i
. !
, .. --·-· .. ··----·-····;-·-------·------------·---·---,---·Colk~ti;;···-;-----------;----·----. -----·----------· -.·
1.Problem Reports for Facilities !Collection Systems
'
247 AR 6
Maintenance i --··-------.-------------------··--·--------------,..-.---------·---------·-.. ·--····--···-----·-· ---·-.--· ------·· ·------· ---.
. 206 ' Project Files , Originating , CL · CL+6 ! ;r P r
207 ' Proof of Publication,
/Ordinances
j
Division
Secretary to
Board of
Directors
LI :r r r
!··---------.-·-------------------,-·----··-·-----·---······· ·---··----.... --.·-·-····· ·-..
Originating 245 i Public Comment Files i
' \ Division CL 2
' ------·-·-·------;--------·-~-----··---·•••M•'•• ··-•••••••-"••"••-·•-•••·-----:
Records I CL LI
Management ! ; 250 ! P11b/ic Record
iRequests x
r---r----·--··---.----···-··-·---:-------·--· ------~----·-·---·-···-·-· ---: iCo~~cat~ons I 1 : SU : \r r r .
~----·-·-----.-------
; Public Relations 208 \Records ; Administration l ' · ----------··------·--·--·-.-· --··-·· :·--··-·-----------···•·· :• ---·------·--·---·-
209 : p bl" . ! Communications i ! ; r ~ r
! u 1cations I Administration \ 1 : SU !
,-----·----,-' ~----·----r----------·----------
210 P h 0 d F .1 ; Purchasing and : CL : CL+6 : ir r r urc ase r er 1es \ W h 1 '. ; '.
1 1 are ouse i ; : : . r·------r ----.-·-:-:·---1 . -,-*------,-·---··-··;-------~---·--·~---···-· i···----·-···-···----·--·l
' 211 i ~chase Reqms1tton I Purchasmg and I CL j CL+6 i !r r r ~
IFdes : Warehouse I : 1 · ___ 1 ; I I '
ic~!u~:~~or~---, A~s~tion
1
1 r;----r---·------·-·--r~---~----~-1 212
~:_-;~;--~ Real Esta~-;ecords---~s~::~;;;· r~~ -~T~u __ r=~~~ [ j;~~ J
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-------i-1-··----1-·-·-····--;---·--· ......... _._. ·--;-··--··-·····--·· c·----,
1 Directors 1 ; ' 1 :
i ! i ' ; ; ! r : ----·--r---s;~retary t~-r------r· :--:·· --······-· ·· --··---·-i---·--------,
\.: 214 ! Recorded Documents \ Board of I 1 LI ' \P p r
! I D" ! ! 1 ! rrectors :
~--s--r~~-0e.i:cti.:-1 s::-r--~ -,-~~-------r;--~r __ ,
I !Certificates i Directors ( I
f ,-----·--r-··-···---·----,--·-··-· .. ····-,-·-·--· ·· ........ ·--··r--··· .. -······--·----;
, · j Secretary to \ ' , 1
1 216 ,,· Records Management . B d f l 3 1
1
r r r ·
i !Files j_ oar 0
i 1 Directors , i
:-·;~-~--1 Reco~ds Retention--! s:,:~f ··-· ,---;---j-~~~-1: ~-·-. ---·----~ -·. ~----~----'
j !Schedules i Directors ;
r··------r-----·--·----····--· r---· ---·--r··----······--· --· :·--··· .......... :· ....... --------···
1 I . , Human . , . 29 CFR 1r r r
1 218 i RecrwtmentRecords 1 R i CL : CL+2 ' 1627 _3 · : : ' esources · 1
:
1
r·· 219 ___ l_ Referen~e Fil:;---· Originat~i·--r---~-~ --· -:----~-~ --· ·· ---. ······-···----··--!i=------~--···r··-<
1 1 Division
1·-··---------·-r··------·-···--------·-···---··-i· ---·-·----·-·---·· ··· --··-···------·-··· ·
! 220 ; Reports, Financial : Accounting 1 4
Reports, General Originating
Division 1 3
!r r r
r r r
---~---------------------------·-------------------------·····-· ·-····-··-··""'··---···-··-·· ... . .......... ·········-···-·
: Originating · ' ;,r r r Reports, Technical Division 1 SU ;
---.--·· ~----------·--'"--·-,--·· --· . -.. --··--. ···-...
: Research/Reference Originating
,Materials Division AR : AR
i-----·····--··--··-:----·-··---·-----·--·----·--·------------·------·---··-· -....
' · ! Secretary to ' '
223 i Resolutions, Board Board of SS
Directors ----:---------··-·--··-···-··-·------·-----·······-·· ...... -··
224 : Risk Management
\Reports
:Accounting/Risk !
1Management : 1
LI
CL+5 : ir r r
--------
!Salary Deduction
r--------1---------;···--···--·-·-·r ··--··-·-· · ·---·-·--,-········· · · ··--·····---.
: Human : 1 '. TE+7 . 225
226
!Records for Benefits
: Security Clearance
!Records, Computer
!Systems
! Resources ;
Information
Technology
! Administration
1
!r r w
TE+3 :r r r
!
I, --------:·---------·-·----·-----·-····-·:_·· --------··-·--·-··-·1··-. ··---
1 Engineering
227
! i-----·
I 228
Sewer Line Records Planning& SU ! SU iJ;; r r 1·
I Design
-·----·---·--. -··----·-·· r------:----· ~·--· ------·--:·--·-.
S ftw A I. . , Information . .
1 o are pp ication i T hn 1 ; 1 ! LI 'F·t 1 ec o ogy · . I 1 es j Administration ' i . . l '
r r r
------,---·-·--------.------.. ···--· ... ;·····----.•. :-·---····-·---·· .••.. :····-··-·-·· ·-----'.
, Secretary to : ! • ! : I B?ard of i I ! LI '. !r r r !
.... _i __ D1rectors --~--------L-..... ·······-·--··-·--····-----···--··· __
229 Specifications
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,----23_.;-____ i Speeches/Presentations .I: ODri~~ting .-, --1--,-. -3--r-·---------fi= p r
l I • lVISlOn ' !
I r---·---------.--T---·-i·-·----·-·-···--·· 1~-·-·----------:
·,1 231 i s b-p·1 i Originating AR 1
1
• AR · 1,r r r · i u ~ect 1 es ' o· . .
I I : IVISlOn \ ! I ! . 1 , . • ! r·---·--! ·-----l Englneering_!_: ----:-·---i---·-·--····--1--------,
i 232 ! Submittals/Design 1 Planning & ' SU t SU !r r r
I i Design 1 l ! !
,----23--3 -, Tax Records, ------1 A . 11 --! CL~4·-·i--29 CFR ·-r~·---r--r:·--!
!Employee i ccounting ! ! ' 516.5 I i
----r··-----,--·-26·-··--r-------------1
234 Tax Records, Vendor Accounting 1 i CL+6 icFRl.6041.l 1r r r i
' . ' \ >---------.--·----.---··-··-~ ---·----·--------r-~-···----·-·-·-i
! 235 Training Records I Human i CL l 3 ; !,r r r . i Resources 1 i
,--... ----····-··-·-·-!""'""··-···---·--·----····-·······--·-~-··-----·---~-----------·-r·--· e••····------··--·-· ····----··------·-······ -···-· .. ·· ....... ···-----..
1236..''D l d ! Training ReeoFds, j CStzfeb'Y: UdeRl~hh ! f .. · SU ! 8 CC'n 3203 !r r r i v, e ete !~ ; om me wit ! SU , n ,
i !~ I RS235 I
~-· -·------------------------·------·-----:·---
Originating ! CL+2 ! !, r r r
, Division 1 ' ! !
; !
I
···-...... 1---·· --·---... . .... :
237 Travel Records
------,...-----------,------------,----·-----·' ···-···--,···-······ .................. ..
' 238 Trial Balance Records ; Accounting I 1 3 ' ! r r r
I 1
:-·--:--\TuanknderF~lound ;t~rag~--,-~:~;.~:::n:~ ;----1---[~~ -.... -;-32-··7~7-~2· ;:--· l~ -~-·~·· -.
1 i s 1 es M .t . : , omonng :
;-------r -----:-Purchasing and'----:-·-·····--·-~--·-·----·-···· ·····-···········-········--·
240 ; Warehouse Records · Warehouse i 1 : CL+2 :r r r
------·--·.--------·--·---------------------··-·----·--....
241
. : O&M& '
Wastehauler Files · ' ; Source Control ! 1
I -...... -· .......... ····-· ... -...... -· --· -------,---· ·-!"'
3
242 Work Orders Originating CL : CL+l
jr r r
;r r r
Division
I • . 1 I
,-~;~-----r~~rke;s Comp;11sati;;-!1~afety & He~~~-:---~;--·-!TE+;~-· :-·--····------·--r ........ -.x
!rlies . ! -----------------------·--------------· ···•· ···--. --···---·····
f RETENTION PERIOD EVENT Code: All retention periods are list~-dl;--___ ,
!years (unless otherwise specified) and are in addition to the current year. ,---·-:--:r----:-·-·iLife(of ! i 1 ,.-------·-···:
lAR )Annual lcL 1
1
c1osed, !LI iOrganization, !SA ;sale, isu is ded ;
! !Review :
1
Completed i !Plant, Equipment, i [Disposition! ; uperse !
I i : !etc.) i i
:-·---~~·-; -i---.-: --i ---·-----r-T---1-···--j---·------·-··
iAU !Audit \EX iExpired !RE !Revised IST !.Settlement jTE !Termination
·-------·------·----·-·-------------------------· ... ··--····-·-·----·"'' ... -·
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--·--·--------·-·--··r------------
ioRANGE COUNTY SANITATION DISTRICT ;Appendix B
!RECORDS MANAGEMENT !Page 1 of 12 -
;PROCEDURE MANUAL 1Dau: I.ssued: 11117 /2000
i 1ReVIs1on: 4 -3/2004
r--
1
i
!Subject: Record Series with Definitions
!
i
Additions in Blue
Changes in Red
I
I --·1
!
I
' I
i \
I .. -___ \
1.1 INTRODUCTION
It is the policy of the Orange County Sanitation District (OCSD) to maintain a
records and information management program that provides for the
identification, access and protection of all records generated or received by
OCSD in the conduct of OCSD business.
RECORD SERIES WITH DEFINITIONS
! 100 !Abandonment iRec-o-rds_r_e-gar-din-. _g_a_b_an_d_o_mn __ e_n_t,___ i
i ' !condemnation, demolition, or relocation of real i
;--r----------~~-----------------·------i
1101 iAccident Records !Records related to accidents during which
iOCSD property is damaged. Does not include
!records on employee injury.
! 102 !Accounting Reports ~orts summarizing accounting transactions. !
r:--··----·-···-----·---------------------·-··· --··'
:103 !Accounts Payable !Records relating to payment of financial !
· \Files !obligations (money owed by the organization). \
, . ~Includes vendor invoices, bills, and statements.!
-; -.-------) --!
: 104 !Accounts Receivable !Records related to accounting for money owed j
1 /Files ;to the organiz.ation includes user fees. '
f 105 lAdministrative
' '[Records
! 106 jAgenda Reports
I ' ~ I
~ '·
( 107 !Air Quality Files
I ' ! .
'
iRecords of a general nature including copies ofi
!memos, letters, chronological files, calendars,
!daytimers, plrone messages, etc. that pertain to
Jgeneral administrative activities and duties of
!the Division.
--_ '.._____ ·-----------------1
!Records related to information provided to an :.
:official Board of Directors or board committee i
ifor consideration and action at official i
:proceedings of the board committee including
!hoard agendas. .
r----·------·----------··----·-----~l
!Records related to South Coast Air Quality !
!Management District (AQMD) regulations, i
!emissions monitoring and violations.
1108 ~exation Files !Records regarding the annexing of property to
_1 _J ____________ ith~ org~~iz:ation. ___ _ __________ J
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Record Series with Defmitions
I Annual Reports, Records relating to the published annual
Financial financial reports, describing the financial
!status of the organi7.ation.
j 110 Annual Reports, l!Records relating to the published annual
J Operational technical and operational status and
I 1 iperfonnance reports of the organization. ,
fill , ..... A-s-so-c-ia-t-io_n_F_il_e_s __ IRecords related to membership or the activities !
II \of professional or industry associations of j
j
1
I jwb hi~h th~ organization is a member or has a i
! usmess mterest ; r --~ I !Audit Records, 1Records documenting the review of
I !
Environmental :compliance activities with established
~environmental quality standards.
! 113 jAudit Records,' !Records relating to the re·-v-ie_w_an_d_m_o_m_·_toring
! !Financial iof any accounting or financial records to
1 I !ensure compliance with GAAP standards and I I ithe organization's procedures. '
! t 14 !Audit Records, !Records related t~ internal reviews of OCSD -:
I 1Intemal !activities to ensure compliance with
I I iprocedures and standards. Does not include
! \financial or environment audit records.
[ils \Banking Records .... \R~~~;d;;·;~l~t;i-~b~ trans;~tio~-~~i~ding--
1 I · 1 1 !deposit of funds, bank statements, bank i j !reconciliation's, and wire fund transfers. ;-;------------,...-----·-·---·--.. -.. -....... i 116 jBids, Awarded !The successful proposals submitted by vendors
1 1 !to obtain contracts with OCSD, where OCSD
1 !selects that hid or proposal. Includes bid
:packages.
r.-. ----..---·------·---------·----·-----------------·------. -! 117 jBids, _Board Review \The successful ~roposals requiring bo~d
: iReqwred, Awarded :approval, subm.ttted by vendors to obtam
! !contracts with OCSD, where OCSD selects
i
1
1
1,that bid or proposal. Includes bid packages.
[lsjBi~: Board Review /Proposals, req~g board approv~l. submitted
! !Required, :by vendors to obtain contracts with OCSD,
· iUnawarded jwhere OCSD does not award that hid or
i ;proposal. Includes bid packages.
j 119 iBids, Unawarded ffhe unsuccessful proposals submitted by \ I ivendors to obtain contracts with OCSD, where
I 1 [bid is not awarded to that vendor. Includes hid
! ! . !packages.
fiio 1Biosolids !Records related to biosolids hauling--:-~~;;;~d -
1 jManagement iEMS activities.
I 1Records
1121 !Board . I !Administrative Files
!Records relating to board members,
\appointments to the board/ directors list
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1122 Bonds, Revenue
I
I
I
1123 !!Budget Files,
I Approved
' I I I
I ' ' .
I l
1
1
124 !Budget Files,
jPreliminary
: I
!
I
'
1Bonds, revenue records relating to interest
.,bearing certificates (negotiable instruments)
issued by OCSD to raise revenues, including
!certificates of participation. --------------\
~ords relating to internal planning and i j~cial management. Includes budge vs. I
icost reports, summaries, worksheets, goals and !
1objectives and milestones. \
JRecords related to projected income and _____ -l
,records that are ''working copies" preliminary \
!worksheets and drafts developed in preparation i
Jof a budget of authorized expenditures. i
i 131 ;check· R~q~~~t;-. ----iF~~~-r~q~esting ih~ i~~~~~ ~f ;~heck of
!warrant to pay for OCSD incurred expenses.
!132 !Checks, Cancelled !OCSD issued checks cashed by the p~ye~-~-:
j ! i~e~e~ to OCSD by the paying financial
, :mstitutlon. r.=-·--·------------.-----------------------------.
! 133 !Checks, Copies iCopies of OCSD issued checks usually filed
: ! !together by check number.
,---~ 1-----------------·--··---.. ··----·--· .
!134 !Chemical Inventory :Records related to chemical delivery, chemical 1
1 !Records /transfers, usage, manifests worksheets and ·
i
! \inventory logs.
~··-------r----' i )City/County Utility !Utility requests from cities and t/1e Co11nty of :
f251 iReq11ests jOrange, Consulting Engineers and General ·
i ! 'Correspondence with Cities & County i
/135 ~laim Files !Records regarding claims ofwrongd~ing by ____ !
\ I \the organization or its employees. Claims i.
J ! 1generally request compensation for damage or
J__ __ ! _______________ .. _ I toss. ___ ·------------------_··---------------------
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Record Series with Definitions
1136 -\complaint Files '!Records related to complaints filed by the
I I public regarding the organizations operations
'!
1
, 1or activities. Includes problem reports and
Vol/ow up activities.
fi37..-1lc_o_m_p_li_an_c_e ___ ·IRecords relating to monitoring the
I ,Records environment and ensuring compliance with I I !pertinent regulations. Includes compliance,
l ! !monitoring, QA, QC and spill reports. i
[138-~o-;puter---·-----· jRecords regarding work activities to mafu~-i
iand ensure continued operation of computer \ , Maintenance Files I .
1139 !computer System
\ !Administration
! !Records
!systems and applications. !
!Records related to the maintenance of software l I applications. l
!140 jconfined Space Records related to procedures, permits and -____ ,
J jRecords entry into confined spaces.
fi41 [Conflict. of Interest !Records relating to conflict of interest filings --;
! !Filings jfor candidates for the board, for existing board )
i ! !members, and designated employees. !
.-·--r------·-------·-r ----t
j142 jContracts/ !Records relating to obligations defined in j
1 !Agreements :contracts and agreements not requiring board !
· !approval. Included promissory agreements, \
!contracts for services, leases and software '
'1· ! 1censes.
f143 \Contracts/ ------(Records·-re-la_tm __ -g-to--ob-li-. g-a-tio-~-deflned_hi: ______ ._ l
· JAgreements, Board !contracts and agreements requiring board :
1Approval Required iapproval. Included promissory agreements,
' !contracts for services, leases and software i Iii i i censes.
------·~-----·--------------··---' I 144 ~ Inspection :Records related to periodic inspection, annual ;
j jRecords !certifications, quadrennial proof load test
1 re~rts, and permit to operate cranes and
jdemcks.
i-i45 ii:>eferred !Recor& of empl~y~~ contrib~tio~~-OcSD. !
J !Compensation \payments.
i 146 !Delegation of !Records specifying the person( s) having the
' I I : 1Authority Records !temporary authority to approve specified
! j !activities or documents during the absence of
I !the individual nonnally authorized to perform ;
! !the activities or approve documents. ,
r--.----------r-----·-·-------------------.. ·--·-•
; 14 7 jDelivery Receipts \Records documenting receipt of shipped ;
1 i iitems. May include delivery shipment receipts ! i . jand registered mail receipts which may be ' I I IJiled with Purchase Orders.
~.-------. ____________ .;_ ______ :
1
252 ;DOT Random Dr11g [Recor~ of tes~s done by ou~side contractor in ! , i& Alcohol Test ;compliance with DOT reqmred Random i
' !Records µ>rug & Alcohol Testing
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Record Series with Definitions
I
, 148 IDrawings, As-Built jRecords that graphically depict specifications.
!Copy of confirmed drawings marked up by _
!contractors during construction to show how I I jfacility or component is actually constructed.
1149 rn;;
1
Drawings, Baseline !Records that graphically depict specifications
Jfor piping and instrumentation. Includes
, 1 !control logic diagrams and loop diagrams.
1150 jlliawings, Bid Set ID,..,,,;ngs lhat graphically depict
1
1
1specifications for the design of buildings,
building systems, and subsystems, proposed
1 , !construction or architectural renderings.
jua ,, ..... D-,.,-a-w-in-~-s-, -l The drawings generated for use during the
' I Conformed l1construction phase of a contract from the bid
I! I d !set of contract plans that have been update
i I !with an interpretation of changes that liave I I \occurred as a result of addenda issued during
I ! !the bidding period. !249j ,...D_r,_a_w_i-ng_s_,_R_e_c_o_r_d_ ,...i T._'h_e_D_is_tTc_ic-t-'s_b_e_s_t_r_ec_o_r_d_o_if_th-e-co_n_s_/T'._u_c_t_io_n_
! i iof a project Conformed drawings that have I l !been 11pdated with any changes occurring
! !during the construction of the co11tracL
it51 \Drawings, Shop
I
I
I
---ii~ords incl~ding drawings, diagrams, -----·----:
!mustrations, schedules, performance charts,
ibrochures and other data that are prepared by
·
1
1contractors, manufacturers, suppliers or
,distributors and which illustrate some portion
iof the project.
,-1-52_ [E_as_e_m_~_ts ______ !Rec~~~--r-el-a-ted_t_o __ th_e_ri_gh_t _of~~~;;s t~:;;;d--
l i !maintenance of, sewer related properties.
I --~-~~ .. ;
Jls3 -!Employee Be~efit iRecords related to all employee benefits plans, ·
! JPians and Program !and programs including health insurance, .
: !Files ;tuition reimbursement, thrift plans, beneficiary '
I Jdesignations, eligibility. ________ i
.--r---.
j 154 jEnvironmental !Records used to prepare the draft and final EIR ;
! .Impact Report jpublished by the District and EIR 's submitted !
I I I
J ! ltrom outside sources for review by the :
i I jDistricL.
j 155 )EOC Activation ~!R-ec-or_ds_r_e_la_te_d_to_d_oc_um_e_n_tin_g ~ctiviti;-;r---'
i !Records jemergency operations center (EOC) during a I I !declared emergency.
r----r-----;------·------,-----------. . _ _ --------· ----·: ! 156 ;Eqwpment !Records regarding mamtammg OCSD :
! !Maintenance !equipment and vehicles (excluding crane !
I !!Records !records) includes daily maintenance reports, i I !service checklist, preventative maintenance !
l i _______ ls5~~dules, service log~-~d test records. ___ _
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Record Series with Definitions
fi57 Equipment Records related to ownership of equipment
j Ownership including correspondence, drawings, opera~g !
I jinsbuctions, warranties and registrations.
j 158 jExpense Reports 1Records relating to the reimbursement of ,
I ' employee incurred expenses for travel or other !
I costs when conducting the organizations :
, business. 1
11
jl59 ,Financial Planning jRecords rel~ted_to the budgeting and planning i ·
10/the orgaruz.attons revenues and expenses. i
I I 60 ..... ,F_in_an-ci_a_l ----!Records stating the financial position and ·-:
I 1Statements !condition of the organization. :
j 161 !Fixed Asset Records !Records relating to the acquisition, --·-----·:
i \ !depreciation and accruals of fixed assets. -----·-!
j I 62 jFlow Records !Records related to tracking influent and
i i 1eftluent.
1163 !Formation Files jRecords doc~enting the terms under which--:
! i IOCSD was formed, organiz.ed, re-organized or ;
! I !consolidated. '
1 t64 IGeneral Ledger iSwnmary of all financial accounts. Records
1 i \relating to the postings to the General Ledger.
( 165 jGrant Records, \Records regarding unsuccessful grant
l !Unsuccessful :applications for federal or state grants. ,
I! 166 !
1
Grievance ----· ----!Records ~~l~d; arl>itration b~twe~ empl~y~; i
, I, 1and employee, grievances, union requests, :
! !employee rights, employee rights information, ·
!appeals, sexual harassment information and
lcivil rights information.
-I --, --------------··· i 167 :Hazardous Waste !Records regarding the storage, transport, or
! !Records ihandling of hazardous waste. Includes
i j !Lockout/tagout and mapping source records.
\ 168 'iH~storical Subject
! 1Ftles
'.Records retained for the life of the ,
!organization due to their enduring value, rather :
)than solely for business or legal purposes. i i
[169 II-9 Forms
i !
I
:Records that document the origination,
!significant events, and strategic planning of the
!organization.
-----!Forms required by the federal government
!under the requirements of the Im.migration
!Reform/Control Act of 1986. ---i I 70 !Incident Records
!
\Includes records regarding unscheduled
!maintenance, or deliberate property damage
jsuch as theft, arson, vandalism, or other loss of
jOCSD assets. Does not include safety
!organizations' accident reports.
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1171 Industrial Hygiene -·--iR~ports and documentation pr~p~ed by-;t;ff·--:
j Files land certified industrial hygienist; includes .
II lergonornics of the workplace, air sampling,
!noise testing, and workplace contaminants.
!112 Inspection Records, fiecords related to inspection of the daily
'I Construction Daily !progress of construction activities to ensure ,
I
Progress !quality and compliance with specifications and· l
\standards. ;
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jl82 ,Logs iA document listing activities, items,------
: 1 /individuals and noting the same information_
· ,I !about each entity. Log entries generally occur , !in chronological order.
jl83 .fgs, C~~tr~l---,1 Bound notebooks describing activitl~:-ft~~~----
!
1
Center or individuals regarding plant operations. Log
i ( !entries generally occur in chronological order.
l
.184 !Master/Strategic \Report describing long range program or
1
1Plans !major projects planning and goals of OCSD.
1 1 !Includes strategic plans.
/185 Material Safety Data '!Records relating to the descriptlo~~d-~~ of -
i Sheets .hazardous substances.
j1s6 jMedical Files !Records related to the medical history of
i I !'employees, including injury and illness
, I ds l ! recor .
!1s1 \Meeting Minutes, ~-mm-. -u-t-es_,_a_d_m_i_ni_s.trative rec~~~-----·-
.1i !Administrative j;;g~di:ig the agenda and description of the ·
. i \decisions made or actions taken during the
i :meeting, for meetings not board-related.
~SS !Meeting Minu~~-~-·-;R";;rds regarding agen<h~·meeting min~te--;,--
' !Board !resolutions, actions and decisions, of the Board
i i lof Directors. Includes administrative orders,
. i !minute orders and minute actions. .
r-·---------·~-1 --------·----------·----··--·---!
!189 !Meeting Minutes, fRecords regarding agenda, meeting minutes, 1
) !Board Committees Jresolutions, actions and decisions of a board 1
!committee.
! 190 j.--M-o_n_th_ly-&-ep_o_rts ___ !Records related to operating ~d ~t;"~---· -.--· -.
J ; /information used to complete OCSD annual
1 . \reports.
-. -r-r-· _. ___________ . ____ --···-···-·· ······-········-·······--··-··--···
!,: 191 !Operating Journals iDaily entries documenting activities in district
; i /operations. Includes crew schedules.
; 192 ~ lope~~g R~~~rd;-. [:R~a"rds-;el~t~d-t~ ·d~iri~i-~p~~tio~ ... fu~l~d~~ :
1 I dab ks • • , i : \ ta oo , operatmg reports, overtime, crew · · I :schedules and daily lab reports.
~-r::-----------·----. ---------------·----:
J 193 jOpinions jWritte~ legal ~pinions resulting from research •
i i ;on a given topic. •
f194 !Ordinances --------[Regul;tio~ enact~d-by-b~~d-~cti~~-~d-....... -.
i j /related records. Includes local limits report. '
!195-JOsHA Compliance !Records d~cribing proced~~-;-{~~ .. -----.. -·----· '
i /Records !emergencies. Includes disaster recovery
, 1 \procedures. .
l,·196 IPayroll Records -[R~;ds ~~ludmgti;~~h~~~-;~~;;;j;i~yme;,/;
'!claims, garnishments and the payment of ! I labor costs including salaries, wages, and i I jdeductions. -------·----·----
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ri-97 jPennits -----·-· 1Records including permits to operate plan~---!
! j machinery, equipment and vehicle permits. . !
i i Also includes right-of-way records and sewer !.
l I !connection p~ts. Does ~ot include NPDES !
I
I or AQMD penmts or pemuts granted to the i
! EAC. J r 98 ~ennits, AQMD ~cords relat~ to pe~ts granted by _AQMD···l
! I ito operate vanous eqmpment and engmes. I r-----·-~--------~-!
j 199 jPennits, Building Records related to plans, signs, grading, I land Construction encroachment, including blueprints and
~ : !specifications. Approval to construct or i I renovate property. ,
\200 JPennits, NPDES --,!Records relating to the applicatio~-fo-r_a_pe_rnu ___ t !
I I (section 301H Waiver) to discharge pollutants, i
I ! !in compliance with the Clean Water Act. !
I ' I d th . I ! i Inclu es e penmt ;
J201 jPennittee Files ---!Records related_ to monitoring businesses with-!
j I discharge pemuts and urban runoff. :
f2021Pers~nnel Files -----fR~ords relating to individu~:l"employe~;:-···-i
i l !Records may include employment !
i !applications, performance evaluations, salary l !information, and separation documents.
1203 ~Cash :Reco~CiS--fR.ecor<lS-documenting -~pte~~ent oicasii--.
i i \and disbursements of cash from the petty cash
! I !fund.
;-i::-::-:------i=-------······-·
i204 1Policies/Procedures !Records providing documentation on the
\ !Administrative iiinplementation of management and
· ' /administrative policies and directions for
i !various organizational functions.
I ' r::;·--r------------···-··r ----·------··:
1205 ;Policies/Procedures, ;Records providing documentation on the 1
: !Operating and !implementation of technical and operating
\Maintenance \policies and directions for various operational
1 !functions. Includes technical, vendor and
i i !engineering manuals. 1
!ifi-jP;oblem R;p;~t~-f~-;· lc;mmu-;,fcatj;~:-i;; ;~y medla, r;ceiv;d;~·; i
I !Collection Systems !result of a collection system problem :
1206 !Project Files ;Records related to activities of limited d~~~-i I 'i< defined start and end date), as opposed to ' i a~tivities_ of an ongoing nature. Can include a
i ,wide vanety of documents gathered for
1 !reference on a specific project. Also re/e"ed
, jlo as job or contract files.
[2o7 f Proof of Publication, fR.ec~-;:-ds rel~ted to-pro~~g-tl;t";~q~~~d-p~iic
J !Ordinances !notices have been published in prescribed
I l !publications.
j245 Public Comment .'""lc_o_mm __ uru_· ca-ti_o_ns_,-wn-.tt-e_n_,_v_o_ic_e_an __ d_d_i_g_ita-1
i Files jfrom the public on District matters
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Record Series with Definitions
1250 Public Rec;;-;;-·--·-· -· fR.;~;rds ;;jle~ting Public Record Requests ,
i Requests 'j
1including letters, memo's, e-mails and Public I
! ,Record Request Forms i
' t • -----i 1208 !Public Relations !Records related to preparing public
i !Records !information, brochures describing OCSD
I \ activities, photographs and graphics used. :
1209 jfublications jRecords related to providing informatio~t~-the j I j !public and to staff about OCSD activities. !
• I Includes internal newsletters and news
j ! ,clippings. ;
1210 !'Purchase Order !Records monitoring-the pro~~re;;,;;i--;,f good;·-;
I Files ;and/or services. !
1211 ·l!Purchase Requisition jRecords related to the request for procurement-;
1 Files 'lof g~ or services. Records initiating the l
i : purchasmg process. '
;212 iRate-Advisory !Records related to determining rates and fees--· I
I ' • ' l jC01D1D1ttee Records Jcharged by OCSD. !
r--. . ---------··-·-----···-··---·----... '
\213 !Real Estate Records !Records related to real estate for purchases.
-~-· I
/214 !Recorded lThe official version of a document recorded by i
' !Documents jthe County Recorders office. Includes notice
1 /of completion, deeds and easements.
~r:-----·-----------·-----
i215 iRecords Destruction !Documents certifying (confirming) the
' [Certificates !destruction of official records that have been
' !approved for destruction. The certification
jattests to the fact that destruction was
!accomplished in accordance with applicable
lprocedures.
J2t6iRec~rds----·------iRecords regarding the management ofOCSD
·, iManagement Files !records, including records maintenance and
!transfer records. Does not include the
!retention schedule or destruction certificates.
!2i7-IR~~;~-Re~~ti~~ -. [Tu~-d~~~ttb~t-ll~~~~~-h-rec--~d seri~~--~i '.
\schedules \the associated retention times, characteristics,
j !responsible division, and legal citations, if
!applicable. . ------· ' fiiS-iRecruitment Records-iRec;~ regarding the a~~rti~-;~ent~f--.... ·--'.
i
1 lavailable positions of requirements for specific !
l !skills, or the interview and selection process !
!for prospective employees, includes job fair
!records, job postings, advertising, interviews,
!resumes, applications, and testing ..
i2i9 [Refu~ence Fil~;---iD~;;;~nts published by outside ----------:
I ' i '
; 1 \Organizations, used for reference, study and
!research. Usually library-type (published)
\documents (i.e. books, technical journals,
jperiodicals) or reference materials kept only
\until superceded by the next edition. -----------------·---·--··--·
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j220 !Reports, Financial !Records relating to financial, fiscal and
I I !
monthly reports. May include worksheets,
spreadsheets, analysis and reports of financial
I I . Jor investment results. ,
1221 llReports, General j'Records generated internally and periodically,-··!
I
'! relating to the status or progress of routine j
\activities or statistics. : F-~,R_ep_o_rts_, _T_ec_hni-. ca-'--1 -IR~cords related to the preparation of technical j
11~; management reports based on studies, the · I I completed report or study.
!244 Research/Reference jMaterial used as reference in development of
! Files !current matters or projects
j223 Resolutions, Board JFormal expression of the will, opinion and
! 'intent voted by the Board of Directors,
I i legislative-type actions.
j224 ~IRi-.s-k_M_ana_g_e_m_en_t_jReport records related to OCSD claims, loss
i i jruns, federal OSHA forms, loss analysis and
! : 1related records. .
!225 iSalary Records jRecords related to OCSD employ~es deduction !
i i jauthorization, beneficiary designations.
[2i6 ~urity Clearance \Records. related to autb~~g e~loy~~-~~--. -:
[ !Records, Computer )contractors to have access to an OCSD ', I !Systems !computer system, system module or the data '
[ : !stored in a computer system or system module. !
[227 !sewer Line Recor& [Records related to sewer ~p~;;ti~~ ~d-·--------'
i imaintenance. Includes easements, atlas, sewer
i jline videotapes and sewer index maps. .
c::::;---, -----------.---------· --·--··-·---·-·······--··-·'
j228 jSo~ar~ . !Records related to software applications !
i iApplicallon Files iOwned by OCSD. Includes software ·
I ' i /registrations.
!229-!Specifications ~Records of the precise details-~nd descrlpti~-· I iof the service or project to be completed, or
!the item to be ordered, as approved by the
1230-[SPeeches/
i iPresentations
! I
I
j
[231 jsubject Files
! I
! I
I i
I I
!Board of Directors.
.. iRecords ~i~ted to the preparation ~f---·---··
!presentation materials by OCSD employees or
iboard members. Includes text of speech,
!presentation materials or computer
!presentation software files.
--jRecords related to topics and is~~es filed by __ _
!the subject of the records. May include
I studies, reports and other results of research
!activities. ----·
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'232 lsubmittals, Design !Plans and specifications submitted by ----
1 'contractors for OCSD's review and approval, at ! specified completion stages (e.g. 30%, 60%,
I 90%, 100%) of the engineering design phase.
1233 ~ax Records -----!Records relating to the maintenance of ----
1 I !information about tax liabilities, withholding
I
' ' I land payment of taxes, records related to I jpayment of State and Federal taxes including
i I iforms 1096 and W-2.
1234 ,Tax R~cords,ll ,_R_ec_o_r_ds_r_e-la_te_d_t_o_re_p_o_rtln __ -g-to_th_e--IRS--, -
, 1099'S ,miscellaneous income paid to vendors and
! ! !contractors. '235jf raining Records ,_l'R-e-co_11_ds-re-la-tin-. _g_t_o_th_e_tra--ining and orientation
I j of employees, except for safety training.
'I i Records may include class attendance sheets, I !!schedules, classes offered and records of class
I ! curriculum or syllabus, training materials
I I !development.
!236 \Training Records, jRecords relating to the tralliliig of employ;s I !Safety iin the areas of safety. Records may include
iclass attendance sheets, schedules, classes
\offered and records of class curriculwn or ' I
I
I
1237 !Travel Records
' I I ' i I
I !
f
fi38 jTrial Balance
I . ' . i :
1239 f und~;g;~~d: --· ·
! ,Storage Tank Files
\24.o !Warehouse Records
I I
f i . I
\syllabus, training materials development.
!Records documenting travel reque;ts-,-----···-.....
'itineraries, lodging or transportation
!reservations. Expense reports are a separate
\record series.
iR.ec~r~ summary record of·;~~~t b;l~ces
/by debits and credits to prove accuracy of
Jaccounting data.
jRe~ords related t~th~ ~-;;i~te~ance of
!underground storage tanks. Includes permit.
r
jRecords related to managing the warehouse,
jincluding sales orders, stock out, shipping
;records, ABC.
f241-.-,W-as-te_H._a_ul_e_r_F_il_e_s_iRecords related to transporting w~te to~-;. -· ---·
I i !from OCSD plants. Includes manifests and
, ! !waste-hauler schedules.
!242 fWo"rk Orders --·-!Records related to requesting repairs,
! i Jalterations, improvements, maintenance or · i !other services; records related to the
1_ !completion of the work requests. :
1
1
.25T fWorker_s ______ !Records relating to employee -;;~;:k·;~/~t~d-···--!
i 1Compensation Files :injuries i
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