HomeMy WebLinkAboutOCSD 05-08 (REPEALED)RESOLUTION NO. OCSD 05-08
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 04-07
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 as set forth in
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 in
Exhibits "B" and "C", attached hereto and incorporated herein by reference.
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.
REPEALED BY
OCSD 04-07
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 Records Management 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 04-07 is hereby repealed.
PASSED AND ADOPTED at a regular meeting held April 27, 2005.
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ORANGE COUNTY SANITATION DISTRICT
Exhibit A
RECORDS MANAGEMENT
PROCEDURE MANUAL
Sub'ect: Table of Contents
Section Title
1.0 Records Management Policy
2.0 Introduction
3.0 Staffing and Responsibilities
4.0 Records Retention
5.0 Records Disposition
6.0 Vital Records Program
7.0 Historical Records Program
Table of Contents
Page 1of1
Date Issued: 11/17/2000
Revision: 2
Revised: 04/27/05
8.0 Records Management Program Audit
Appendix A Records Retention Schedule
Appendix B Record Series with Definitions
Resolution No 05-08 Records Management-att 2 1
ORANGE COUNTY SANITATION DISTRICT Procedure 1.0
Page 1of2
RECORDS MANAGEMENT
PROCEDURE MANUAL
Date Issued: 11/17/2000
Revision: 2
Revised: 04 27 2005
Subject: Records Management Program
Poli
~ INTRODUCTION -·"""
1.1 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.
i{q PURPOSE
2.1 The purpose of the Records Management Program Policy is to
establish a Records Management Program (the Program) that will
develop a systematic method for managing District records. The
Program ensures that all District records are created, received,
maintained and dispositioned in a cost-effective manner, in accordance
with operating requirements for District business and applicable
statutes and regulations.
3.0 PROGRAM RESPONSIBILITY
3.1 Under the authority of the District's Board of Directors, the
Department Head in charge of the Records Management
Program, or his or her designee, is responsible for oversight,
implementation, administration, and operation of the
District's Records Management Program.
3.2 All Division Managers are responsible for ensuring
compliance with the approved Records Retention Schedule.
Division Managers shall appoint a Records Coordinator who
applies the Records Management Program policy.
3.3 The Division Records Coordinator facilitates program
compliance within their respective Divisions in applying the
Records Management Program policy.
3.4 All District employees are responsible for complying with
the requirements of the Records Management Program
policy and the District's Records Retention Schedule.
Resolution No 05-08 Records Management-att 2 2
ORANGE COUNTY SANITATION DISTRICT
RECORDS MANAGEMENT
PROCEDURE MANUAL
Subject: Records Management Program
Po lie
4.0 PROGRAM OBJECTIVES
Procedure 1.0
Page 2 of 2
Date Issued: 11/17/2000
Revision: 2
Revised: 04 27 2005
4.1 Identify District records to facilitate access to information
required to conduct District business and to provide
appropriate access by the public.
4.2 Maintain District records for the duration of the approved
retention period.
4.3 Provide access to District records for operating, legal or
public requirements.
4.4 Protect District records.
4.5 Ensure compliance with legal statutes and governmental
regulations regarding recordkeeping requirements.
4.6 Destroy District records in accordance with the approved
records retention schedule or process historical records for
long-term retention.
5.0 PROGRAM SCOPE
5.1 The program manages District records in all storage media
including paper, microfilm, and other hard copy formats,
optical images, electronic records and any other storage
media that the District may use to maintain District records.
5.2 Maintain approved records retention schedule.
5.3 Ensure use of appropriate technology in facilitating records
and information storage and retrieval.
6.0 APPLICABILITY
6.1 The policy applies to all District staff who create, receive or maintain
District records.
Resolution No 05-08 Records Management-att 2 2
ORANGE COUNlY SANITATION DISTRICT
RECORDS MANAGEMENT
PROCEDURE MANUAL
Sub'ect: Pro ram Guidelines
1.0 INTRODUCTION
Procedure 2.0
Page 1of5
Date Issued: 11/17/2000
Revision 2
Revised: 4/27 /2005
1.1 The District-wide Records Management Program (the Program) is
intended to effectively identify, manage, store, and destroy records
that have been created and received by the District.
1.2 All records received and created by the District in fulfillment of their
responsibility to the public and in compliance with government
regulations are identified in the Records Retention Schedule (RRS),
and accurate retention periods are assigned.
1.3 All District records that are no longer needed to be in the immediate
office of each Division for convenient access are processed for
storage, retrieval, or disposition in accordance with the guidelines
established by the Program.
1.4 Records that have met the retention requirements identified in the
RRS are processed for destruction in accordance with this Program.
1.5 Historical and vital records are identified and processed in
accordance with the guidelines established by the Program.
1.6 Records management activities are completed in a cost-effective
manner.
1.7 The Program promotes an increase in productivity by decreasing the
volume of obsolete records stored; thus, reducing the amount of
time necessary for document retrieval.
1.8 The Program contributes to industry best practices by ensuring
accountability, efficiency, and compliance in a cost-effective manner.
2.0 PURPOSE
2.1 Identify District records to facilitate access to information
required to conduct District business and to provide
appropriate access by the public.
2.2 Maintain District records for the duration of the approved
retention period.
2.3 Provide access to District records for operating, legal or public
requirements.
Resolution No 05-08 Records Management-att 2 3
ORANGE COUNTY SANITATION DISTRICT
RECORDS MANAGEMENT
PROCEDURE MANUAL
Sub"ect: Pro ram Guidelines
2.4 Protect District records.
Procedure 2.0
Page 2 of 5
Date Issued: 11/17/2000
Revision 2
Revised: 4/27/2005
2.5 Ensure compliance with legal statutes and governmental
regulations regarding recordkeeping requirements.
2.6 Destroy District records in accordance with the approved
records retention schedule or process historical records for
long-term retention.
3.0 SCOPE
3.1 Create, receive, maintain and dispose of District Records.
3.2 Maintain approved Records Retention Schedule.
3.3 Ensure use of appropriate technology in facilitating
records and information storage and retrieval.
3.4 Provide systematic control of all District records through
processing, distribution, maintenance, and retrieval and
disposition.
4.0 RECORDS
4.1 District records must be managed throughout their "life
cycle".
4.2 Life cycle of a record is the time period from the creation
or receipt of a record to the final disposition.
4.3 Final disposition can be either destruction or perpetual
retention.
4.4 Life cycle of a record is inclusive of five (5) stages:
• Stage 1 -Creation of receipt
• Stage 2 -Use or distribution
• Stage 3 -Storage or maintenance
• Stage 4-Retention or disposition
Resolution No 05-08 Records Management-att 2 3
ORANGE COUN1Y SANITATION DISTRICT
RECORDS MANAGEMENT
PROCEDURE MANUAL
Sub"ect: Pro ram Guidelines
Procedure 2.0
Page 3 of 5
Date Issued: 11/17/2000
Revision 2
Revised: 4/27/2005
• Stage 5 -Archival preservation
4.5 Some records do not require managing throughout their
"life cycle". Such records are termed "transitory records".
The value of transitory records is limited to a very short
time, i.e., a day, week or a few months.
4.6 Transitory records do not carry the requirement to retain
the documentation of any transaction. Transitory records
include:
• Extra copies of publications, pamphlets, blank
forms. These are considered "supplies" rather than
records.
• Telephone messages.
• Reference materials not produced by the District.
• Working copies of documents used solely until the
finished record is "rendered".
• Notices of meetings, events, office or holiday
gatherings, or employee meetings which do not
relate directly to the functional responsibility of the
organization.
• Information copies of widely distributed District
materials.
• Preliminary drafts of documents such as letters,
memoranda, reports, worksheets which do not
represent significant steps in the preparation of
District records, and which do not record decisions.
Once the completed record is included in the filing
system (in the appropriate medium), the working
materials (drafts) are considered transitory
records.
• Catalogs, trade journals, and other published
materials received from other organizations,
commercial firms, vendors, or private institutions,
which require no action and are not needed for
documentary purposes. These materials are
usually considered "library materials" and should
be controlled as such, but are not District records.
• Incorrect versions of documents, forms or reports
that had to be regenerated in order to correct
Resolution No 05-08 Records Management-att 2 3
ORANGE COUNlY SANITATION DISTRICT
RECORDS MANAGEMENT
PROCEDURE MANUAL
Sub"ect: Pro ram Guidelines
Procedure 2.0
Page 4 of 5
Date Issued: 11/17/2000
Revision 2
Revised: 4/27/2005
errors in typing, data entry, spelling, grammar, or
format.
5.0 RECORDS RETENTION SCHEDULE
5.1 The Records Retention Schedule (RRS) is a list of District
records organized by record series to which are assigned
retention periods and other attributes.
5.2 The retention periods identified in the RRS have been
established after extensive legal research of all
government regulations applicable to the District.
5.3 The RRS has been reviewed and has received concurrence
of the various District Divisions, Legal Counsel, and the
FAHR Committee, as well as the approval of the District
Board of Directors for implementation.
5.4 The RRS has been developed to ensure that each
Department maintains its records for the duration of the
period legally required by applicable legal status and
government regulations, and until all the operational
business functions are met.
6.0 HISTORICAL RECORDS
6.1 Historical records are identified and preserved.
6.2 The program ensures that records with historical value
are identified, documented and preserved for the life of
the District.
6.3 The Records Management Staff, prior to processing
records for destruction, shall identify records having
h istorica I sign ifica nee.
6.4 Historical records are retrieved, prepared, and processed
for preservation in accordance with Procedure 7.0.
Resolution No 05-08 Records Management-att 2 3
ORANGE COUNlY SANITATION DISTRICT
RECORDS MANAGEMENT
PROCEDURE MANUAL
Sub'ect: Pro ram Guidelines
7.0 VITAL RECORDS
Procedure 2.0
Page 5 of 5
Date Issued: 11/17/2000
Revision 2
Revised: 4/27/2005
7.1 Vital records are those documents identified by each
Division as necessary to enable the District to continue
vital operations in the event of a disaster or major
interruption to business.
7.2 Vital records enable the District to reconstruct its legal
obligations and rights.
7.3 Vital records enable the District to reconstruct its
financial position.
7.4 Vital records enable the District to satisfy the District's
obligations to its employees.
7 .5 Vital records enable the District to protect employee and
public health and safety.
7.6 Vital records enable the District to reconstruct its assets
and ownership.
8.0 CONFIDENTIAL RECORDS
8.1 Records containing proprietary or sensitive information to
which access must be restricted are considered
confidentia I.
8.2 Confidential information must be protected and preserved
to avoid unauthorized disclosure that could be harmful to
a person, to the District, or to a District business process.
8.3 Confidential records shall be managed, controlled, and
disposed of separately from records containing non-
confidential information.
8.4 Confidentiality of information shall be protected until it is
destroyed or until the District has changed the status of
the confidentiality of information.
Resolution No 05-08 Records Management-att 2 3
1 ORANGE COUNTY SANITATION DISTRICT Procedure 3.0
Page 1of2
RECORDS MANAGEMENT
PROCEDURE MANUAL
Sub"ect: Staff Res onsibilities
1.0 INTRODUCTION
Date Issued: 11/17/2000
Revision: 3
Revised: 04/27 /05
1.1 The Records Management Program is a decentralized administrative program.
As such, Program activities are carried out by the District Records Management Staff
and by District staff in each Division. The District Records Management Program 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 individuals responsible
for running the daily operations of the Program are identified as the "Records
Management Staff".
2.0 PURPOSE:
The purpose of this procedure is to describe the roles and responsibilities of the
Records Management Staff and Division Staff.
3.0 STAFFING AND RESPONSIBILITIES
Responsibility
Records Management Staff •
Records Management Staff •
•
•
•
•
•
•
Action
Oversee the Program and act as a liaison
between Records Management Staff, the
District's Board of Directors, and General
Counsel.
Coordinate 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
C'holds'') and destruction resumption
C'releases'') 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.
Resolution No 05-08 Records Management-att 2 4
20RANGE COUNTY SANITATION DISTRICT Procedure 3.0
Page 2 of 2
RECORDS MANAGEMENT
PROCEDURE MANUAL
Sub'ect: Staff Res onsibilities
Responsibility
•
Records Management Staff •
•
Division Records Coordinator •
•
•
•
•
•
District Staff •
Date Issued: 11/17/2000
Revision: 3
Revised: 04/27/05
Action
Conduct a periodic audit of the Program to
ensure compliance.
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 Management Staff.
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.
Resolution No 05-08 Records Management-att 2 4
ORANGE COUNTY SANITATION DISTRICT
RECORDS MANAGEMENT
PROCEDURE MANUAL
Sub"ect: Records Retention
1.0 INTRODUCTION
Procedure 4.0
Page 1of11
Date issued: 11/17/2000
Revision: 4
Revised: 04 27 2005
1.1 Records retention activities of the Records Management Program (RMP)
control the maintenance and storage of District records. Following the
retention procedures ensures compliance with pertinent statutory,
regulatory, operating, and administrative recordskeeping requirements. In
addition, it ensures that records needed to conduct District business are
protected and accessible. The Records Retention Schedule (RRS) is the
foundation of the Program and defines the period of time required to
maintain the District records.
1.2 The Records Management Staff coordinated the initial records
inventory from February through August of 2000. The inventory consisted
of a physical inventory of records stored in active office work areas and
various storage areas within the Plant 1 and Plant 2 facilities. The
purpose of the inventory was to describe, identify, locate and quantify
District records. To supplement the data gathered during the physical
inventory, the staff coordinated the conduct of interviews with staff
members from each Division who were most familiar with records creation
and maintenance.
1.3 Based on the physical inventory of records and the data gathered during
the interviews, the initial RRS was developed. Files were identified by their
record titles and classified into record series based on having similar
business functions (purposes) and retention requirements.
1.4 Extensive legal research was performed to ensure that all legal
requirements were met in assigning the records retention periods to each
records series. Other attributes were also assigned to each records series
to ensure that vital, historical and confidential records are properly
protected and processed for retention.
2.0 RECORDS RETENTION SCHEDULE MAINTENANCE
2.1 The Records Retention Schedule is a list of District records
organized by record series to which are assigned retention periods
and other attributes.
Resolution No 05-08 Records Management-att 2 5
ORANGE COUNlY SANITATION DISTRICT Procedure 4.0
Page 2 of 11
RECORDS MANAGEMENT
PROCEDURE MANUAL
Date issued: 11/17/2000
Revision: 4
Revised: 04 27 2005
Sub·ect: Records Retention
2.2 A record series is comprised of similar or related record titles that
have a similar business function (purpose), are normally used and
filed as a unit, and are retained for a similar time period.
2.3 Following the retention standards of the schedule ensures that the
District maintains appropriate records of District transactions and
meets its legal obligations cost effectively, by storing records as
long as is operationally and legally required. The RRS shall be
reviewed, evaluated and updated periodically.
2.4 The retention periods assigned to each record series shall be
maintained to meet changing business and legal requirements.
Responsibility Action
Records Management • Coordinate the periodic update of the Records Title
List. Staff
• Provide training on RRS maintenance .
......... ~~."-'*e'·JJll!\'",
P...!'!J§J!>n • Periodically (but not less than annually) review the
Records Title List and the RRS associated with Records Coordinator
records in the Division.
• Match the Records Title List against records stored in
the office, shop, field, and other storage locations.
• Mark for deletion any record titles that are no longer
maintained by the Division.
• Note any new records titles that are not represented
on the list. Include a description of the record, the
business function, the operating record retention
requirements, and special records characteristics
(vital, historical or confidential).
• Send the marked-up list to Records Managerment
3.0 RECORDS CLASSIFICATION
3.1 Record titles are classified into records series in order to facilitate
assignment of retention times, legal citations, and the overall
maintenance of District records.
3.2 Classifications contain like records titles grouped together based
on similar business function, usage and retention time.
Resolution No 05-08 Records Management-au 2 5
ORANGE COUNlY SANITATION DISTRICT Procedure 4.0
Page 3 of 11
RECORDS MANAGEMENT
PROCEDURE MANUAL
Date issued: 11/17/2000
Revision: 4
Revised: 04 27 2005
Sub ·ect: Records Retention
3.3 Records are classified by major and minor business functions of
the records.
Responsibility Action
Records • Review the Record Title Lists completed by the Division
Records Coordinators. Determine in which records series the
record titles logically belong.
Management Staff
•
•
•
•
Create a new record series if the record title does not logically
belong to an existing series. Develop a definition for the
records series.
Assign to the new record series the applicable characteristics (if
any): vital, historical, or confidential, as indicated by the
Division Records Coordinator.
Determine legal retention requirements by reviewing pertinent
legal citations.
Provide direction to the Division Records Coordinators for the
proper management of historical, vital and confidential records.
4.0 RECORDS RETENTION SCHEDULE AMENDMENT
4.1 The Division Records Coordinator may request a change to the
RRS at any time.
Examples of changes that may initiate an amendment to
the RRS include:
• Change in the assigned Office of Record due to reorganization.
• Change in the characteristics associated with the records:
vital, historical, or confidential.
• Change in the retention event associated with the records, for
example: Closed, Complete, Expired, or Superseded.
• Change in the legal and administrative requirements.
• New records titles that are generated or used in performing
business functions.
Resolution No 05-08 Records Management-att 2 5
ORANGE COUNTY SANITATION DISTRICT Procedure 4.0
Page 4 of 11
RECORDS MANAGEMENT
PROCEDURE MANUAL
Date issued: 11/17/2000
Revision: 4
Revised: 04 27 2005
Sub"ect: Records Retention
• Change in the definition of the record series that applies to
Division records.
Responsibility
Division
Records Coordinator
Division
Records Coordinator
Action
• Complete Form 100, Records Retention Schedule Change Request
Form. Use one form for each records series to be amended. For a
change to the legal retention period, provide the text of the
applicable statue or regulation.
• Secure the Division Manager's approval.
• Forward the approved Form 100 to Records Management. If the
change request was disapproved by Division management, file a
copy for future reference.
Records • Review the completed and Division-approved Form 100 and ensure
Management Staff that required information is provided.
• For a change to the legal retention period of an existing record
series, ensure that the legal retention requirements of the record
series are met and secure the approval of Legal Counsel. If Legal
Counsel does not agree with the change request, return the change
request to the Division Records Coordinator with an explanation.
• For a change to add a new Record Series, ensure that an
appropriate definition of the Record Series is provided, that the
retention periods are identified, and that an applicable legal citation
is identified, if applicable.
• For a change to the official or duplicate retention periods, ensure
that the change is in accordance with the District's RMP policies and
applicable legal requirements.
• Update the RRS and prepare a revised RRS for approval.
• Send a copy of the newly revised RRS to the District Board
Secretary for review and concurrence by the FAHR Committee.
• Periodically review the text of the statutes and regulations
governing recordskeeping requirements of the District and update
the RRS as required.
• Incorporate all comments received from the FAHR Committee.
• Forward a copy of the revised RRS to the Board Secretary to secure
the approval of the Board of Directors.
• Update Program database and Intranet site as required.
• Distribute the updated RRS.
Resolution No 05-08 Records Management-att 2 5
ORANGE COUNTY SANITATION DISTRICT Procedure 4.0
Page 5 of 11
RECORDS MANAGEMENT
PROCEDURE MANUAL
Date issued: 11/17 /2000
Revision: 4
Revised: 04 27 2005
Sub"ect: Records Retention
5.0 RECORDS PURGE
5.1 Eliminate records from active files, and their timely destruction
after all legal and business requirements have been met.
5.2 Only records that are useful in current business activities are
retained, enabling timely retrieval of frequently used records.
5.3 Records with research or historical value are preserved in a
controlled environment.
5.4 Records that are vital to the District to re-establish or to continue
critical operations in the event of disaster are preserved in a
controlled and safe environment.
5.5 Integrity of the records is preserved.
5.6 Prompt disposal of records is completed when their retention
period is met.
Responsibility Action
Records
Management Staff
Division
Records Coordinator
• Issue a report to all Division Records Coordinators with the
following information specific to each Division:
• Records Titles
• Records Series
• Retention Periods
• Office of Record
• Review the report received from the Records Management
Staff.
• Match the active (in office) files with the records titles listed in
the report and the records series assigned to it.
• Check the record retention period assigned to the records
series.
• Identify the records series eligible for destruction by
calculating the retention period. Use the examples in the
chart below to determine retention.
• If there are records identified to have met their established
Resolution No 05-08 Records Management-att 2 5
ORANGE COUNTY SANITATION DISTRICT Procedure 4.0
Page 6 of 11
RECORDS MANAGEMENT
PROCEDURE MANUAL
Date issued: 11/17/2000
Revision: 4
Revised: 04 27 2005
Sub"ect: Records Retention
retention periods, these are now considered obsolete
records. Follow the instructions described in Procedures 5.0
to disposition obsolete records.
• If there are records identified to have not met their retention
period but are no longer required to be maintained in the
immediate office area, complete Form 102, Records Storage
Transfer Request. Records may be transferred to storage at
any time during their mandated retention period. Determining
when, if ever, to transfer records, is based on the amount of
storage area in the office or work area, and the type and
frequency of access required.
Determine retention period of each record series by using the following
chart:
Retention Date Retain Until Destroy After
Period of
Record
5 years 1995 December 31, 2000 January 1, 2001
CL (Closed) 1995 Close of project or January 1, 1998
transaction (for example, (After the end of the year that
May 31, 1997) the project or transaction is
closed or comoleted.)
CL+S (Closed 1995 Close of project or January 1, 2003 {The end of the
plus 5 years) transaction (May 31, year that the project or
1997) plus 5 years transaction is closed or
completed, plus 5 years)
6.0 INACTIVE RECORDS TRANSFER AND STORAGE
6.1 Inactive records are those records that have not met their
required retention periods, but are no longer current or frequently
referenced.
6.2 Inactive files management standards are established by the
District to ensure that District records remain accessible and
Resolution No 05-08 Records Management-au 2 5
ORANGE COUNTY SANITATION DISTRICT Procedure 4.0
Page 7 of 11
RECORDS MANAGEMENT
PROCEDURE MANUAL
Date issued: 11/17/2000
Revision: 4
Revised: 04/27 2005
Sub'ect: Records Retention
protected throughout the duration of their required retention
periods.
6.3 Active files are periodically reviewed to identify those records that
are inactive. Inactive records that are identified during the review
are purged from active file areas and processed for offsite storage.
Systematic control of inactive records consists of:
• properly packing the records in archival storage boxes that are
properly labeled
• preparing an index of the content of the box and its location in
the storage area
• and transferring the boxes to offsite, low-cost storage
How to transfer inactive records for offsite storage
Responsibility I
Division
Records
Coordinator
Division
Records
Coordinator
Action
• Periodically review the records stored in active office, field
office, shops, or other work areas to determine if they are
still active or if they have become inactive.
• If the records have become inactive, prepare them for
transfer to an offsite facility storage approved by the
District.
• Use the following measurements when estimating the
number of standard archival storage boxes needed. If the
records to be transferred are oversized (ledgers, drawings,
poster board, etc.) call the Records Manager Management
Staff for assistance in estimating the number and type of
storage containers required.
• 14.5 inches of records for each standard archival storage
box to store letter-size (8-1/2 x 11 inches) records.
10 inches of records for each standard archival storage
boxes to store legal-size (11 x 14 inches) records.
Resolution No 05-08 Records Management-att 2 5
ORANGE COUNTY SANITATION DISTRICT Procedure 4.0
Page 8 of 11
RECORDS MANAGEMENT
PROCEDURE MANUAL
Date issued: 11/17/2000
Revision: 4
Revised: 04 27 2005
Sub"ect: Records Retention
Responsibility I Action
Division • Follow the guidelines below when packing the records:
Records • Each box shall only contain official inactive records. Non-
Coordinator records and duplicate records should not be transferred to
offsite storage. These records should remain in the active
storage area until their assigned retention periods expire.
They are destroyed in the active office area as
appropriate.
Division
Records
Coordinator
Records
Management
Staff
• Do not pack different record series in the same archival
box. Records series packed together should have the
same destruction date. This facilitates records review and
destruction.
• Records shall be placed in file order in the box. For
example, if the records are filed by date or by number,
maintain that order when transferring records.
• Do not over pack the box. The lid must fit securely on top
of the box. Use reinforcement bracing material in the
event the box is not filled (such as crumpled paper or
cardboard).
• Prepare an inventory of the box contents and attach it to
Form 102.
• Place a copy of completed Form 102 and the inventory
inside the box.
• Schedule the pick-up and transfer of the box(es) to the
offsite storage by contacting the Records Management
Staff.
• Review all the documentation submitted. Ensure that it is
accurate and complete.
• Assign and affix barcodes to transfer form and box.
• Enter the information in the RMP database.
• Contact the offsite storage center and arrange the transfer
of the boxes.
• Ensure that an acknowledgement receipt of the boxes is
received from the offsite storage center.
• Resolve any questions or problems that may arise during
transfer of boxes.
Resolution No 05-08 Records Management-att 2 5
ORANGE COUNlY SANITATION DISTRICT
RECORDS MANAGEMENT
PROCEDURE MANUAL
Sub"ect: Records Retention
7.0 PURGING NON-RECORDS
Procedure 4.0
Page 9 of 11
Date issued: 11/17/2000
Revision: 4
Revised: 04 27 2005
7.1 Non-records can be purged from file storage equipment and
destroyed as soon as their usefulness in the performance of
business functions is met.
7 .2 Files that may be found in the active files during purging that have
limited value and usually have very short retention requirements are
termed non-records in this procedure.
7 .3 Do not send non-records to offsite storage.
Non-records include:
• Extra copies of publications, pamphlets.
• Blank forms, which are considered supplies.
• Telephone messages and telephone books or directories.
• Working copies of documents used solely until the finished record is
rendered.
• Notices of meetings, events, office or holiday gatherings, or employee
meetings that do not relate directly to the functional responsibility of
the organization.
• Information copies of widely distributed District materials.
• Preliminary drafts of documents such as letters, memoranda, reports,
worksheets which do not represent significant steps in the
preparation of District records, and which do not record decisions.
Once the completed record is included in the filing system, the
working materials (drafts) are considered non-records.
• Catalogs, trade journals, and other published materials received from
other organizations, commercial firms, vendors, or private institutions,
which require no action and are not needed for documentary
purposes. These materials are usually considered "library materials"
and should be controlled as such, but are not District records.
• Incorrect versions of documents, forms or reports that had to be
regenerated in order to correct errors in typing, data entry, spelling,
grammar, or format.
8.0 RETRIEVING BOXES FROM OFFSITE STORAGE
Resolution No 05-08 Records Management-att 2 5
ORANGE COUN1Y SANITATION DISTRICT Procedure 4.0
Page 10 of 11
RECORDS MANAGEMENT
PROCEDURE MANUAL
Date issued: 11/17/2000
Revision: 4
Revised: 04 27 2005
Sub'ect: Records Retention
8.1 Inactive records may be retrieved from the offsite storage center
at any time.
8.2 Records may be retrieved by staff from the Division designated as
"owner" of the records.
8.3 In the event that staff from a Division other than the owner require
access to the records, the retrieval request shall be approved by
the Records Management Staff and the Division that owns the
records.
8.4 Retrieval of confidential records requires the approval of the
Records Management Staff to ensure protection from
unauthorized access.
8.5 Retrieval of historical records requires the approval of the Records
Management Staff to ensure protection and preservation of the
records.
8.6 Boxes retrieved from the offsite storage center shall be returned to
the center with the same records and in the same order as when
they were received.
8.7 Records should not be removed, nor should additional records be
added.
8.8 If the box contents must be altered, contact the Records
Management Staff.
Responsibility Action
Requestor • Complete Form 104, Inactive Records Retrieval Request
• Forward to the applicable Division Records Coordinator.
Division • Review the form for completion. Forward the form to the
Records Coordinator Records Management Staff.
Records • Review the completed form for completion and resolve any
Management Staff questions.
Resolution No 05-08 Records Management-att 2 5
ORANGE COUNTY SANITATION DISTRICT
RECORDS MANAGEMENT
PROCEDURE MANUAL
Sub"ect: Records Retention
Procedure 4.0
Page 11of11
Date issued: 11/17/2000
Revision: 4
Revised: 04 27 2005
• Request retrieval of boxes from the offsite storage center.
Requestor • Return the box to the Records Management Staff with the
same records and in the same order as received.
• Contact the Division Records Coordinator if there is a need to
remove or change the contents of the box.
Division • Coordinate any changes that need to be done with the Records
Records Coordinator Management Staff.
Resolution No 05-08 Records Management-att 2 5
ORANGE COUNTY SANITATION DISTRICT
Records Management
Procedure Manual
Sub ·ect: Records Dis osition
1.0 INTRODUCTION
Procedure 5.0
Page 1of5
Date Issued: 11/17/2000
Revision: 2
Revised: 04/27 /05
1.1 Records disposition is the set of actions taken with regard to inactive records as
determined through records appraisal.
1.2 Records disposition includes determining whether District records are eligible
for destruction (records have been determined to be obsolete) or for long-term
preservation (records have been determined to be historical records).
2.0 PURPOSE
2.1 The purpose of this procedure is to describe the procedures for dispositioning
obsolete and historical District records in an organized and efficient manner.
2.2 This procedure ensures that appropriate review and approval are completed
prior to destruction or long-term storage of District records.
2.3 This procedure ensures that records that have been designated obsolete, but
that are subject to legal or audit holds, are maintained until resolution of the
legal matter or conclusion of the audit.
3.0 PROCEDURES
3.1 Records are periodically reviewed in order to identify those records that
have met the required retention periods established in the Records
Retention Schedule (RRS).
3.2 The review activity usually groups records into three disposition groups:
• 3.2.1 Obsolete Records: Records that have met the required retention
are considered obsolete and are processed for destruction.
• 3.2.2 Inactive Records: Records that have not met their retention
periods, but are no longer required to be in the immediate office area, are
considered inactive and are processed for offsite storage. See Procedure 4.0.
• 3.2.3 Historical Records: Records that have met their business function
retention requirements, but have historical or intrinsic value, are considered
Resolution No 05-08 Records Management-att 2 6
ORANGE COUNTY SANITATION DISTRICT Procedure 5.0
Page 2 of 5
Records Management
Procedure Manual
Date Issued: 11/17/2000
Revision: 2
Revised: 04/27/05
Sub"ect: Records Dis osition
historical records and are processed for long-term storage. See Procedure
8.0.
4.0 Processing Official District Records For Destruction
4.1 Destruction of the official version of District records requires the approval of
the following:
• Head of Office of Record
• Records Manager
• Historical Records Coordinator
• Legal Counsel
4.2 Procedures to process obsolete records for destruction are included in the
following chart
Responsi bi I ity Action
Records Management •
Staff
Periodically issue a report to all Records Coordinators with ti.
following information:
Division Records
Coordinators
Division Manager
• Records Title
• Records Series
• Retention Period
• Office of Record
• Review the report with the existing records currently maintained in
the office area or stored offsite. Check the records titles included in
the records series listed in the RRS. Calculate destruction dates
using the example in the chart below.
• Purge the files in accordance with Procedure 4.0.
• If there are records identified to have met the required retention
periods, complete Form 101, Authorization Request for Destruction
of District Records. Note: If the volume of records to be destroyed
requires a multi-page listing, use Form 101 as an approval
coversheet and attach the listing to the coversheet. Approval
signatures are required only on the coversheet.
• Secure the approval of the Division Manager.
• Review the completed forms and authorize approval to destroy
District records by signing the forms. If you do not approve, state
the reason and return the forms to Division Records Coordinator.
Resolution No 05-08 Records Management-att 2 6
ORANGE COUNTY SANITATION DISTRICT Procedure 5.0
Page 3 of 5
Records Management
Procedure Manual
Date Issued: 11/17/2000
Revision: 2
Revised: 04/27/05
Sub"ect: Records Dis osition
Responsibility
Division Records
Coordinator
Action
• If the request for destruction has been authorized by Division
management, estimate the volume of records to be destroyed.
Request empty boxes for transferring obsolete records to be
destroyed (Form 103).
• Return the approved Form 101 and Form 103 to Records
Management.
• If the request for destruction has been disapproved, contact the
Records Management Staff. Reasons for postponing scheduled
destruction may include ongoing or pending audits or investigations
or litigation.
• Forward all the completed forms to the Records Manager for further
processing.
Records Management • Review the approved forms and determine if these records have
Staff historical value.
Legal Counsel
• If there are records identified to contain historical value to the
District, process the records as detailed in RMP Procedure 8.0,
Historical Records Program.
• If there are no historical records identified, sign the forms
approving destruction.
• Send to Legal Counsel for review and approval.
• Determine whether to approve or disapprove the request for
destruction of records.
• If approved, return the form to the Records Management Staff.
• If not approved, request that a Legal Hold be placed on the record
series:
• state the reason for the Legal Hold (pending audit, investigation
or litigation)
• estimated length of time to hold the records
• Return the Destruction Approval to the Records Management Staff.
Records Management • If approved, send a copy of the approved forms with the requested
Staff empty temporary storage boxes to the Records Coordinator.
• If the request for destruction of records is disapproved:
• Update the RMP database.
• Advise the Department of the decision.
• Resolve any problems.
Resolution No 05-08 Records Management-att 2 6
ORANGE COUNTY SANITATION DISTRICT Procedure 5.0
Page 4 of 5
Records Management
Procedure Manual
Date Issued: 11/17/2000
Revision: 2
Revised: 04/27/05
Sub·ect: Records Dis osition
Responsibility
Division Records
Coordinator
Action
• If approved, transfer the files approved for destruction to the
temporary storage boxes provided.
• Place a copy of the approved Form 101 in the box of records to be
destroyed and send the box to the Records Management Staff.
• If not approved, due to Legal Hold, maintain records until
notification of the release of the records from Legal Hold is received.
Proceed with the destruction procedures.
• If not approved, due to Historical Records designation, box records
and transfer to the Records Management Staff.
Records Management • Coordinate destruction of records. If the records are confidential,
Staff arrange for destruction that will protect the confidentiality of the
information.
Retention
Period
5 years
CL (Closed)
CL +5 (Closed
plus 5 years)
• Select, assign and authorize a District employee to witness
destruction of confidential records.
• After destruction, ensure that a Certificate of Destruction is properly
completed and signed.
• Send a copy of the Certificate of Destruction to the Divisi
Records Coordinator.
• Maintain the Certificate of Destruction in the appropriate files.
• Update the RMP database.
Examples of How to Determine Destruction Dates
Date of Retain Until Destroy After
Record
1995 December 31, 2000 Januarv 1, 2001
1995 Close of project or January 1, 1998
transaction (for example, (After the end of the year that the
May 31, 1997) project or transaction is closed or
completed.)
1995 Close of project or January 1, 2003 (The end of the
transaction (May 31, year that the project or transaction
1997) plus 5 years is closed or completed, plus 5 years)
Resolution No 05-08 Records Management-att 2 6
ORANGE COUN1Y SANITATION DISTRICT
Records Management
Procedure Manual
Sub"ect: Records Dis osition
Procedure 5.0
Page 5 of 5
Date Issued: 11/17/2000
Revision: 2
Revised: 04/27/05
5.0 Processing Duplicate District Records For Destruction
5.1 Duplicate records are the record series maintained by Divisions that are not
identified as Office of Record in the RRS.
5.2 Retention periods of duplicate files are identified in the RRS. These are the
maximum retention periods allowed for the duplicate records.
5.3 Duplicate records may be destroyed at any time during and up to the end of the
assigned duplicate retention time.
5.4 Duplicate records should not be transferred or stored offsite. They are
destroyed when the retention requirements of these records are met as
established in the RRS.
5.5 Duplicate records are destroyed in the office or work area.
5.6 No formal destruction authorization is required to destroy duplicate records.
5.7 If the records contain confidential information, they should be shredded or
otherwise destroyed to protect the confidentiality of the information. If they
records are not confidential, they may be recycled or discarded.
6.0 Preservation, Protection, and Destruction of Confidential Records
6.1 Confidential records are those records containing information that is proprietary
or sensitive to which access must be restricted.
6.2 Confidential information must be protected and preserved to avoid unauthorized
disclosure that could be harmful to a person, to the District, or to a District
business process.
6.3 Confidential records shall be managed, controlled, and dispositioned separately
from records containing non-confidential information.
6.4 Confidentiality of information shall be protected until it is destroyed or until the
District has changed the status of the confidentiality of information.
6.5 The Office of Record for record series designated as confidential shall destroy
the official copy of confidential records following the same procedures detailed in
this procedure.
Resolution No 05-08 Records Management-att 2 6
ORANGE COUNlY SANITATION DISTRICT
Records Management
Procedure Manual
Sub"ect: Vital Records Pro ram
1.0 INTRODUCTION
Procedure 6.0
Page 1of6
Date Issued: 11/17/2000
Revision: 2
Revised: 04/27/05
1.1 Vital records are those documents that contain information that enables the
District to continue vital and critical operations in the event of a major
interruption to business.
1.2 Such interruptions could be natural disasters (for example, earthquake or flood)
or man-made disasters (for example, accidental fire, arson or civil unrest) which
result in the loss of the normal means of access to vital records.
1.3 In most organizations, vital records comprise between 2 and 5 percent of the
total record volume. During the initial records inventory vital records titles were
identified and assigned to records series. The vital records series are identified
on the Records Retention Schedule.
2.0 PURPOSE
2.1 The purpose of the vital records management is to ensure that vital records are
identified, protected and accessible during or shortly following a disaster.
3.0 SCOPE
3.1 Vital records are either irreplaceable or very difficult to replace and they are
required to continue critical District business.
3.2 Absence of vital records, or the inability to locate or translate vital records
(in the case of machine-readable or digital records) means that the District
could not provide critical services to the public and its employees during a
disaster or shortly thereafter.
3.3 Vital records are maintained and protected in the format (paper, microfilm,
digital, etc.) that is most appropriate for efficient retrieval.
3.4 Vital records include records that enable the District to:
3.4.1 Provide required District safety and health services during and
immediately following a disaster or other major interruption to
business.
3.4.2 Meet the obligations to District employees and retirees.
Resolution No 05-08 Records Management-att 2 7
ORANGE COUNTY SANITATION DISTRICT Procedure 6.0
Page 2 of 6
Records Management
Procedure Manual
Date Issued: 11/17/2000
Revision: 2
Revised: 04/27/05
Sub'ect: Vital Records Pro ram
3.4.3 Reconstruct legal obligations and rights.
3.4.4 Establish the financial position of the District.
3.4.5 Reconstruct the District's assets and ownership.
4.0 PROCEDURES
Responsibilitv I
Records
Management
Staff
Action
CfiDevelop procedures for protecting vital records, either by storing them onsite in
fire-resistive equipment, or by sending copies offsite.
Cfiidentify viable onsite or remote storage sites for records protection.
[ft Develop and distribute schedule of vital records copying and transfer to onsite
vault or remote storage location.
CfiCoordinate vital records protection procedures with the District's Integrated
Emergency Response Plan.
[ft Develop procedures for retrieving vital records within identified time requirements
following a disaster event.
CfiCoordinate, identify and develop agreements with vendors to provide records
retrieval or recovery services required following a disaster.
CH Work with the Risk Manager to ensure the Vital Records Management Program
meets District needs.
Risk Manager [ft Review the vital records procedures to ensure that vital District interests are
protected and to ensure minimum exposure to risk in the event of a disaster.
Division
Records
Coordinator
[ft Identify vital records based on an evaluation of business functions.
CfiComply with procedures that protect vital records.
CfiDetermine the best method (appropriate media and onsite or offsite storage) to
protect the Department's vital records series and ensure their availability in the
event of a disaster.
[ft Determine the frequency with which vital records must be stored onsite in special
protective equipment.
Resolution No 05-08 Records Management-att 2 7
ORANGE COUNTY SANITATION DISTRICT
Records Management
Procedure Manual
Sub"ect: Vital Records Pro ram
Procedure 6.0
Page 3 of 6
Date Issued: 11/17/2000
Revision: 2
Revised: 04/27 /05
~Determine the frequency with which vital records must be stored offsite.
~Routinely copy and forward vital records to onsite or offsite protective storage
facilities.
5.0 Vital Records Categories
5.1 The following is a list of the record categories that are usually considered
vital. The Records Series containing vital records are identified as such on
the Records Retention Schedule.
Vital Record
Cateqorv
Financial
Negotiable
instruments
Example
~Accounts receivable
4J; Loan payments
4!;General ledger
[fj;Registers proving payment
~Statements
~Tax returns
4J; Fixed asset inventories
~Stock certificates
~Bonds
[fj;Checks
~Notes
~Payroll
4J; Benefits
~Retiree benefits
~Claims
Resolution No 05-08 Records Management-att 2 7
ORANGE COUN1Y SANITATION DISTRICT
Records Management
Procedure Manual
Sub"ect: Vital Records Pro ram
Ownership CH Deeds
CH Leases
CH Titles
CHCapital investments
Procedure 6.0
Page 4 of 6
Date Issued: 11/17/2000
Revision: 2
Revised: 04/27/05
District
Administration
CH District Charter or Formation records
Contracts I
Agreements
Insurance
Engineering
Computer Software
Applications
CH Resolutions
CH Delegation of Authority
CHBoard meeting minutes
CH Ordinances
CHMajor capital improvements or construction contracts or other major
agreements
41Policies and Endorsements
41Drawings
CH Specifications
CH Maps
CH Code
41software Licenses
41Manuals (if created by District)
6.0 Vital Records Format
6.1 Select the format for protecting and maintaining vital records that ensures
accessibility and usability during a disaster or emergency response:
Resolution No 05-08 Records Management-att 2 7
ORANGE COUNIY SANITATION DISTRICT
Records Management
Procedure Manual
Sub"ect: Vital Records Pro ram
Procedure 6.0
Page 5 of 6
Date Issued: 11/17/2000
Revision: 2
Revised: 04/27/05
6.1.1.1 Source document (original or designated official version, regardless of
format).
6.1.1.2 Distributed copy (copy of record that is routinely distributed).
6.1.1.3 Reproduced copy (hard copy of record that is copied for Vital Records
Program needs).
6.1.1.4 Microfilm (microfilm of record that is filmed for Vital Records Program
needs).
6.1.1.5 Optical (optical image record that is filmed for Vital Records Program needs).
6.1.1.6 Magnetic Tape (digital version of vital record).
6.2 Select Vital Records Protection Methods
6.2.1 Select the method most appropriate to protect the vital record:
6.2.1.1 Verify existing dispersal of record, ensure that vital records are available in
multiple, geographically separate locations as part of normal business
activities.
6.2.1.2 Improve dispersal by initiating distribution of copies of vital records to a
secure location at the time of document creation.
6.2.1.3 Duplicate records by reproducing copies of vital records in a medium
appropriate to efficient storage and use and send to a secure location.
6.2.1.4 Move vital records from active use areas when no longer needed for active
reference and send to a secure location.
6.2.1.5 Store vital records on site in secure location, such as the vault, that meets
NFPA standards for fire-resistance.
6.3 Select Vital Records Update Frequency
6.3.1 Determine how often it is necessary to update vital records to ensure that the
information is current:
Resolution No 05-08 Records Management-att 2 7
ORANGE COUNlY SANITATION DISTRICT
Records Management
Procedure Manual
Sub"ect: Vital Records Pro ram
6.3.1.1
6.3.1.2
6.3.1.3
6.3.1.4
6.3.1.5
6.3.1.6
Hourly
Daily
Weekly
Monthly
Quarterly
Annually
Resolution No 05-08 Records Management-att 2 7
Procedure 6.0
Page 6 of 6
Date Issued: 11/17/2000
Revision: 2
Revised: 04/27/05
ORANGE COUNlY SANITATION DISTRICT
RECORDS MANAGEMENT
PROCEDURE MANUAL
Procedure 7.0
Page 1of3
Date Issued: 11/17/2000
Revision: ·2
Revised: 04 27/2005
Sub"ect: HiStorical Record$
~ !1.0, INTRODUCTION
1.1 It is the policy of the Orange County Sanitation District to identify and
permanently preserve records that have historical significance for the
District. The Historical Records Program has been established to realize
these policy goals.
-~
12.0, PURPOSE
2.1 The purpose of the Historical Records Program is to ensure that all District
records reviewed for historical value prior to destruction through the
application of well-accepted appraisal criteria.
2.2 Historical records are processed according to standard archival practice to
ensure their permanent preservation.
3.0 ~ROG_~ij RESPONSIBILITY
3.1 rhe HistoricarRecords Management Program -is admini~tered !,Jnder the
authority of the District's Records Management Program.!
I -·--------,
3.2 ,Both the Office of Record and the District's Records Management Staff:
,have a direct role il]__!:~_JmQ.l_el]}~Il~t!!JJJ__of the _ _ti_igorical__R.ecord~
Man~gement PrQg@OlJ
4.0 PROGRAM1 OBJECTIVES
~-------
4.1 Jhe_Qgj~aiyeSOf tt1eHiSt0riCa1 Re~Qfits-M~fil~t Prograni_file to:]
4.1.1 iWiDtify }:>istriC:t cecords Qf_~~torl!;fil_ value]
4.1.2 Process District records of historical value in a manner that will
ensure that they are permanently preserved.
4.1.3 Prepare a guide to the District's historical records to facilitate
access to the records by District staff and outside researchers.
4.1.4 Promote the use of the District's historical records in such
areas as agency planning, management, development, public
relations and litigation support.
Resolution No 05-08 Records Management-att 2 8
ORANGE COUNlY SANITATION DISTRICT
RECORDS MANAGEMENT
PROCEDURE MANUAL
Procedure 7.0
Page 2 of 3
Date Issued: 11/17/2000
Revision: 2
Revised: 04 27 2005
Sub"ect: HiStorical Record~
5.0 l!ROGRA_M SCOPE
5.1 The scope of the Historical Records Program includes the
identification of records designated as historical on the retention
schedule, the application of standard appraisal criteria at the end of
the official retention period and the processing and arrangement of
historical records.
5.1.1 Processing and arrangement include:
5.1.1.1 Removal of hardware (staples, brads, and other
fasteners)
5.1.1.2 Placing documents in acid free folders and boxes
that meet the standards for archival preservation.
5.1.1.3 Creation of a historical records series.
5.1.1.4 Preparation of inventories and finding guides to
the historical records.
6.0 Program Procedures
6.1 The policy applies to all District staff who create, receive or maintain
District records.
Responsibility
Office of Record
Action
Identifies records that are part of record series designated historical on the Records
Retention Schedule.
Reviews records for historical value under appraisal criteria at the end of the official
retention period with particular attention to the following record series:
Administrative Records
Meeting Minutes
Project Files
Speeches and Presentations
Resolution No 05-08 Records Management-att 2 8
ORANGE COUNTY SANITATION DISTRICT Procedure 7 .0
Page 3 of 3
RECORDS MANAGEMENT
PROCEDURE MANUAL
Date Issued: 11/17/2000
Revision: 2 -1 Revised: 04 27 2005
Sub'ect: 'Historical Record~
Records
Management
Staff
If records included in these records series contain records of historical value, notify the
Records Manager.
Receives records identified as historical from the Office of Record.
Creates a historical record series for these records.
Processes the historical record series, including the preparation of the inventory and
scope note for each series.
Determines the best preservation medium for historical records -hard copy of microfilm.
Disseminates information about the Historical Records Program and its holdings
throughout the District.
Resolution No 05-08 Records Management.:att 2 8
. ORANGE COUNTY SANITATION DISTRICT Procedure 8.0
Page 1of1
RECORDS MANAGEMENT
PROCEDURE MANUAL
Date Issued: 11/17/2000
. Revision: 2 l Revised: 04/27/2005
Subject: 'Records Management Program1
~udit and Com liance Review
-------=i i1._g INTRODUCTION
1.1 The records Management Program audit and compliance review
monitors compliance with the Program.
1.2 Periodically, but no less than annually, the Records Management
Staff conducts a compliance audit with several Divisions.
1.3 All Divisions must complete the audit process every two years .
.--~
'.2.0, PURPOSE
2.1 The purpose of the Records Management 'Prqgram! Compliance Review
procedures is to ensure that all District records are created, received,
maintained and dispositioned in accordance with the Board approved
Records Management Policy and Procedure.
3.0 PROGRAM PROCEDURES
Responsibility Action
Records CB Compare records scheduled to be destroyed with those actually destroyed by the Division.
Management
Staff
CB Note records series destroyed prematurely.
CB Note records series that have been retained beyond the approved destruction date.
CB Write a summary report of findings with recommended corrective action, such as
additional training or revisions to existing documentation.
Division Records CB Assist the Records Management Staff in conducting the records compliance review in the
Coordinator designated Division.
CB Respond to the summary audit report findings by identifying which corrective actions are
planned or have been completed.
CB Inform the Records Management Staff of changes within the Division and business
practices that potentially may have an effect on the Records Management Program.
Resolution No 05-08 Records Management-att 2 9
Records Retention Schedule 1
ORANGE COUNTY SANITATION DISTRICT
Appendix A
Page 1of8
Exhibit B
Date Issued: 11/17/2000
RECORDS MANAGEMENT Revision: 5
PROCEDURE MANUAL
Revised 4/27 /2005
!Subject: Records Retention Schedule !!Additions in Blue, Changes in Red
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.
I Records Retention Schedule
Ill Record Series II IL Retention~ w Media Include: Paper,
lomciwl Videotape, Microfilm,
Magnetic, Optical, etc. Office of Record Duplicate Citation v H c I 100 II Abandonment I
Secretary to Board ~B CAGC IM D D of Directors 60203
~I Accident Records II Safety & Health CL 101 11° D D
~I Accounting Reports II Accounting 1 101 110 D D B Accounts Payable Files I Accounting ~CJI AB474 11° D D B ~ccounts Receivable
Files I Accounting l~~I llM D D B Administrative
Records Originating Division ~DI 11° M D
Bl Agenda Reports I Secretary to Board
of Directors ~Bl llM M D
Bl Air Quality Files I Environmental
: Compliance (ECS) ~DI 11° D D
Bl Annexation Files I Secretary to Board ~Bl llM M D of Directors G ~nnu~l Report,
Financial I Accounting l~BI 11° M D
G Annual Report, Originating Division ~G CAGC /o M D Operational 60203
C:\Documents and Settings\Ow-Yeang\Local Settings\Temporary Internet Files\OLK7 AA\Resolution No 05-08
Records Management-au 3.doc
JSkillman/GM-Admin
I
I
I
I
I
I
I
I
Records Retention Schedule 2
~I Association Files I Originating Division I SU l~I 110 0 0
G Audit Record, Environmental CJBI 11°
0 0 Environmental Compliance (ECS) G ~udit. Records,
Fmanc1al I
Accounting l~BI AB474
11°
M 0
~I Audit Records, Internal! Originating Division I 1 101 11° 0 0
~I Banking Records II Accounting II 1 IOJI 11° 0 0 B Bids, Awards, Sole Purchasing &
LJBI 11°
0 0 Sources Warehouse B Bids, Board Review Secretary to Board
LJBI 11°
0 0 Required, Awarded of Directors G Bids, Board Review Secretary to Board
LJlcL+61
CAGC jo 0 0 Required, Unawarded of Directors 60201(d)
Bl Bids, Unawarded I
Purchasing &
LJlcL+61
CAGC jo 0 0
I Warehouse 60201(d) B Biosolids Management Environmental
LJD
40CFR jo 0 0 I Records Assessment (EAD) 503.17
B Board Administration Secretary to Board
LJCJI 11°
0 0 I Files of Directors
~I Bonds, Revenue Accounting II EX II EX+2 II llM M 0 I
B Budget Files, Accounting
ILJ01 !lo 0 0
I Approved B Bu?g~t Files,
Prehmmary Accounting
ILJ81 11°
0 0 I
~I Cash Receipts Accounting II 1 IGJI 11° D 0 I B Certificate of Insurance Purchasing &
LJBI llM 0 0 I Warehouse
B Certificate of Secretary to Board DBDG Insurance, Board
Approved Contracts of Directors
B Chain of Custody Environmental
LJGI 11°
0 Records, Laboratory Sciences Lab
B Chain of Custody,
I
Source Control l~BI 11°
D Source Control
~I Check Registers II Accounting 1 101 AB474 11° 0
~I Check Requests Accounting 1 IGJI 11° 0
I 132 II Checks, Cancelled Accounting 1 101 11° 0
~I Checks, Copies Accounting I 101 110 0
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Records Retention Schedule 3
G Chemical Inventory Originating Division C2JDI 11° D D I Records 0 City/County Utility Engineering [2]01 II I Requests Planning & Design Bl Claim Files I
Accounting/Risk 8lcL+61 CAGC IM D M I Management 60201 (d)
~I Complaint Files I Originating Division I 1 101 11° D D I G Compliance Records Environmental C2JDI
Compliance (ECS) 11° D D I
B Computer Maintenance Information DCJDG Technology Files Administration
B Computer System Information DCJDG Technology Administration Records Administration B Confined Space
Records I Safety & Health 1[2]0 8 c~~5~1s6-1o 0 0 I
B DD CAEC
loo o I
Conflict of Interest Secretary to Board 17001, CA
Filings of Directors GC 81000
(e)
B Contracts I Agreements Purchasing & ~jcL+611 llM D D I Warehouse
B Contracts I Secretary to Board DBD1~~0 1 Agreements, Board
Approval Required of Directors
B Crane Inspection Originating DB 8 CCR 5022 loo o I (d), 8 CCR Records Division 5031 B Deferred Workforce Support C2JBI llM D D I Compensation Records Services
B Delegation of Secretary to Board C2JGI llM D D I Authority Records of Directors
B Delivery Receipts Purchasing & [2]81 D D D I Warehouse 0 DOT Random Drug &
Alcohol Test Records I Safety & Health IC2JDI 49 CFR 382 x I
B Drawings, As Built Engineering ~Bl IM M D I Planning & Design
B Drawings, Baseline Engineering ~Bl llM D D I Planning & Design Bl Drawings, Bid Set I Engineering ~Bl llM D D I Planning & Design
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G Drawings, Conformed Engineering
001 !Ix x Planning & Design
GI Drawings, Record : Planning & Design
I Engineering
001 llx x
Bl Drawings, Shop I Engineering
001 llM 0 0 Planning & Design
EJ E-mail Backup Tapes Information 0~1 II Technology
Bl Easements I Secretary to Board
801 llM M 0 of Directors B Employee Benefit . llWorkforc~ Support c=2JI TE+ 7 11
Plans and Program Files SerVIces 11°
0 0
B Environmental Impact II Engineering
Report Planning & Design 801 llM 0 0
B EOC Activation
I
Safety & Health IGBI llM 0 0 Records ·
~I Equipment Records I Originating Division I 1 l~I 11° 0 0
B Equipment Ownership II Mechanical
801 11°
0 0 Maintenance
~LExpense Reports II Accounting II I 101 AB474 11° 0 0 B Financial Planning
Records I
Accounting
lc=2J01 11°
0 0
~I Financial Statements II Accounting II 1 101 11° 0 0
~I Fixed Asset Records II Accounting II 1 101 llM 0 0
~I Flow Records I Originating Division I 2 101 11° 0 0
Bl Formation Files I Secretary to Board
c=2J0
CAGC4700
IM M 0 6020l(d) of Directors
~I General Ledger II Accounting II 1 101 llM D D
B Grant Records Finance
LJ01 l!o 0 0 Unsuccessful Administration G Grievances I Human Resources ~~' jjo 0 M Complaints Records Administration B Hazardous Waste
I
Safety & Health
lc=2J0
22CCR Jo 0 D Records 66262
B Historical subject Files Communications
c=2J01 !lo M 0 Administration Bl I-9Forms I Workplac~ Support ~ITE+31 8USC Jo 0 0 1234A Services
GI Incident Records I Originating Division ~ICL+71 29CFR Jo 0 D 1904.2, 29
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Records Retention Schedule 5
DI II II IOI CFR 1904.611 I
G Industrial Hygiene
I
Safety & Health l~BI 11°
D D
I Files
G Inspection Records, Construction DBDB Construction Daily Management Progress G Inspecti~n Recor?s, Construction ~01 11°
D D Construction Specialty Management B Inspection Reports,
Manhole
Collect!on Facilities ~GI
Mamtenance 11°
D D
~I Insurance Policies Accounting II EX 1~1 11° D D
~I Investment Records Accounting II SA II SA+6 II 11° D D
GI IT Backup Tapes
Information ~DI llx Technology
GI Job Descriptions I Workplac~ Support
Services ~ICL+lOll 11°
D D
~I Journal Entries II Accounting II 1 lo=JI 11° D D EJ Laboratory Records Environmental
CJGI 11°
D D Sciences Lab EJ Laboratory Data Environmental ~01 II I Backup Tapes Sciences Lab
~I Legislation Files II EADIE CS II 1 101 11° D D
G Line Maintenance Files Collection Facilities ~Bl 11°
D D Maintenance
Bl Litigation Files
I
Records
I CL II CL+6 I
CAGC
lo D D Management 60201 (d)
~I Logs I Originating Division I CL+2 II CL+2 II 11° D D B Logs, Control Center II Operatio~s2-Plant l ~I CL+30 II llM D D
B Master Plans I Secretary to Board ~lsu+10I OCSDRES
lo M D Strategic Plans of Directors 98-16
G Material Safety Data
I
Safety & Health l~BI llM D D Sheets
G DB 29CFR loo~ I Medical Files Safety & Health 1910.1001, 8
CCR 3204 B Me~ti~g ~inutes,
Admm1strat1ve Originating Division ~01 llM M ol
B Meeting Minutes, Secretary to Board ~B CAGC
IM M D I Board of Directors 60201 (d)
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Records Retention Schedule 6
B Meeting Minutes, Secretary to Board 80 CAGC lo D D I Board Committees of Directors 60201 (d)
~I Monthly Reports Originating Division I AR 101 11° D D
~I Operating Journals Originating Di vision I 1 101 11° D D
~I Operating Records Originating Division I AR 101 11° D D
Bl Opinions
Secretary to Board
C2JBI 11° D M of Directors Bl Oroin~ces I
Secretary to Board GB CAH&S 1~ ~DI 6491.3 of Directors AB474
B OSHA Compliance
11
Safety & Health l~GI llM DD I Records
B 0[] 29 CFR, 1~ DD I Payroll Records Accounting 516.5
AB474
~I Permits I Originating Division I 1 II EX+l II 11° D D I Bl Permits, AQMD I Environmental
. Compliance (ECS) [2]01 llM D D I
GB CAH&S loo o I
B Permits, .Building and Secretary to Board 19850, H&S
Construction of Directors 4003, H&S
4004
GI Permits, NPDES
Secretary to Board ~G 40CFR ''"' of Directors 125.30(h)M D D
~I Permittees Files Source Control II 1 II CL+3 II 11° D D
Bl Personnel Files Human Resources ~ITE+1j 29CFR lo D M 1627.3
~I Petty Cash Records Accounting II 1 l~I 11° D D
B Policies/Procedures Secretary to Board ~lsu+10ll 11° M 0 Administrative of Directors
B Policies/Procedures, Mechanical [~]lsu+1oll~lo ~ o I Operations and Maintenance Maintenance B Problem Reports for
Collection Systems
Collect_ion Facilities ~81
Maintenance II
~I Project Files I Originating Division I CL II CL+6 II 11° M D
G Proof of Publication, Secretru:y to Board C2JBI 11° D D Ordinances of Directors
G Public Comment Files Originating ~01 II Division
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Records Retention Schedule 7
B Public Record Requests Records ~Bl II x Management
G Public Relations Communications ~GI !lo 0 0 Records Administration GI Publications I Communications
8GI 11°
M 0 Administration G Purchase Order Files Purchasing and
GlcL+6 11 11°
0 0 (OA and OB) Warehouse 0 Purchase Order Files Purchasing and ~ICL+211 II (OP and OS) Warehouse
G Purchase Requisition Purchasing and ~lcL+6jj 11°
0 0 Files (OA and OB) Warehouse
G Purchase Requisition Purchasing and ~lcL+2il II Files (OP and OS) Warehouse
G Rate Advisory Finance ~01 11°
0 0 Committee Records Administration
G Real Estate Records Secretary to Board ~GI !lo ~ 0 I of Directors
B Recorded Documents Secretary to Board ~Bl llM M 0 of Directors
B Records Destruction Secretary to Board ~Bl 11°
0 0 Certificates of Directors G ~ecords Management Secretary to Board ~01 11°
0 0 Files of Directors G Records Retention Secretary to Board ~jsu+10JI 11°
M 0 Schedules of Directors
B Recruitment Records Workplac~ Support ~I CL+2 II 29CFR
11° 0 D Services 1627.3
~I Reference Files Originating Division I SU l~I 11° 0 o_J
~I Reports, Financial Accounting II 1 IGJI 11° 0 0
~I Reports, General Originating Division I 1 101 11° 0 0
01 Reports, Technical Originating Division I 1 l~I 11° 0 0 G Rese~ch/Reference
Matenals Originating Division ~01 !Jo M D
B Resolutions, Board Secretary to Board ~GI llM M 0 of Directors G Risk Management Accounting/Risk ~Bl 11°
D D Reports Management
B Salary Deduction Workplace Support ~Bl 11°
0 M Records for Benefits Services
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Records Retention Schedule 8
Q,~RS=Sye=esctc=oe~~~=·sst,=yc=~=l~=ap=r~=~e=cr=e==~==~=:=~=~=~o=~=~=~;===~ll TE+3 ID~ LJ~ ~ Administration ~ ~
r-;;:;-1 Sewer Line Records Engineering ~~I 11~ 0 0 I I~ Planning & Design !_~JI~
B Information DBDG F~~~tware Application '-==T=e=ch=n=o=lo=g=y=~ 1 LO 0 0 0
..... Administration
r-;;;l Specifications & Plans Secretary to Board ~~I llo 0 0 I ~ of Directors ~~
~I Speeches/Presentations j Originating Division I 1 101 llo ~ 0 j
~I Subject Files j Originating Division j AR 101 !lo 0 0 I
g Submittals/Design E~gineering. ~~I llo 0 0 I ~ Planmng & Design ~L.:~_J .. .
0E~a;1 ~:~ords, I Accounting l~I CL+4 I 2~1~~R 1~ O O I
B Tax Records, Vendor I Accounting l~I CL+6 I CFRl~~04 l.l IO 0 0 I
GI Training Records I o!:~;::nt ~01 lio 0 0 I
~I Travel Records j Originating Division I 1 101 AB 474 !lo 0 0 j
~I Trial Balance Records jj Accounting II 1 J01 Jlo 0 0 j
~ Underground Storage Environmental ~~ 23
27
C
7
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2
R lo o o I
~Tanks Files Assessment (EAD) ~~ . .
r--::1 Video Surveillance Information ~ISU+3 I II I ~Tapes Technology ~lmonths G Warehouse Records Pu~~~s~:~:end ~I CL+2 II Jlo 0 0
BlwastehaulerFiles I O&~o~r~~urce ~01 llo 0 0
~I Work Orders j Originating Division I CL II CL+l II !lo 0 0 0 ~l~:kers Compensation !safety & Health l~ITE+30 II II x
RETENTION PERIOD EVENT Code: All retention periods are listed in years (unless otherwise
specified) and are in addition to the current year.
B Ann.ual H Closed, m ;i:;a~rzation, EJA Sale, " lsu I Su erseded
Review Completed E Plant, D1spos1t1on p
Equipment,
::========:::::; B 1~t~~t EllExpired !§]Revised I~ Settlement/Paid EJITermination I
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Record Series with Definitions
ORANGE COUNTY SANITATION DISTRICT Appendix B
Exhibit C Page 1of12
Date Issued: 11117 /2000
RECORDS MANAGEMENT Revision:5
PROCEDURE MANUAL Revised: 04/27/2005
Subject: Record Series with Definitions Additions in Blue
Changes in Red
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
l:JIAbandonment I Records regarding abandonment, condemnation, demolition, or
relocation of real property.
~!Accident Records I Records related to accidents during which OCSD property is
damaged. Does not include records on employee injury.
~!Accounting Reports !!Reports summarizing accounting transactions. I
LJ Accounts Payable Files Records relating to payment of financial obligations (money
owed by the organization). Includes vendor and contractor
invoices, bills, statements and any non-discharged debt. l:J Accounts Receivable Files Records related to accounting for money owed to the
organization includes user fees. IJ Administrative Records Records of a general nature including copies of memos, letters,
chronological files, calendars, day timers, phone messages, etc.
that pertain to general administrative activities and duties of the
Division.
D Agenda Reports Records related to information provided to an official Board of
Directors or board committee for consideration and action at
official proceedings of the board committee including board
agendas.
LJ Air Quality Files Records related to South Coast Air Quality Management
District (AQMD) regulations, emissions monitoring and
violations.
ITQOIAnnexation Files llRecords regarding the annexing of property to the organization. I
EJ Annual Reports, Financial Records relating to the published annual financial reports,
describing the financial status of the organization.
EJ Annual Reports, Operational Records relating to the published annual technical and
operational status and performance reports of the organization.
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Record Series with Definitions
LJ Association Files Records related to membership or the activities of professional
or industry associations of which the organization is a member
or has a business interest.
~Audit Records, Records documenting the review of compliance activities with
Environmental established environmental quality standards.
LJ Audit Records, Financial Records relating to the review and monitoring of any accounting
or financial records to ensure compliance with GAAP standards
and the organization's procedures. LJ Audit Recoids, Internal Records related to internal reviews of OCSD activities to ensure
compliance with procedures and standards. Does not include
financial or environment audit records.
EJIBanking Records I Records related to bank transactions including deposit of funds,
bank statements, bank reconciliation's, and wire fund transfers.
LJ Bids, and Sole Sources, The successful proposals submitted by vendors to obtain
Awarded contracts with OCSD, where OCSD selects that bid or
proposal. Includes bid packages and sole sources.
LJ Bids, and sole sources, The successful proposals requiring board approval, submitted
Board Review Required, by vendors to obtain contracts with OCSD, where OCSD selects
Awarded that bid or proposal. Includes bid packages and sole sources.
LJ Bids, Board Review Proposals, requiring board approval, submitted by vendors to
Required, Unawarded obtain contracts with OCSD, where OCSD does not award that
bid or proposal. Includes bid packages. LJ Bids, Unawaided The unsuccessful proposals submitted by vendors to obtain
contracts with OCSD, where bid is not awarded to that vendor.
Includes bid packages.
EJ Biosolids Management Records related to biosolids hauling, use, and EMS activities.
Records
EJ Board Administrative Files Records relating to board members, appointments to the board/
directors list.
D Bonds, Revenue Bonds, revenue records relating to interest bearing certificates
(negotiable instruments) issued by OCSD to raise revenues,
including certificates of participation and any non-discharged
debt.
LJ Budget Files, Approved Records relating to internal planning and financial
management. Includes budge vs. cost reports, summaries,
worksheets, goals and objectives and milestones.
LJ Budget Files, Preliminary Records related to projected income and records that are
"working copies" preliminary worksheets and drafts developed
in preparation of a budget of authorized expenditures.
lfillcash Receipts !!Records related to cash payment received. I
LJ Certificate of Insurance Proof of insurance coverage, such as board forms, required by
OCSD for OCSD vendors providing certain goods or services
under contracts that do not require board approval.
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Record Series with Definitions
LJ Certificate of Insurance, Proof of insurance coverage, such as board forms, required by
Board Approved Contracts OCSD for OCSD vendors providing certain goods or services
under contracts requiring board approval. :::=======================! f128l Chain of Custody Records, Records related to proving ownership or provenance of a
l__J Laboratory specimen, solution or sample.
[1291 Chain of Custody Records, Records acknowledging receipt of split sample, taken by a LJ Source Control source control inspector.
:==========================================~!
f130llcheck Registers I Records listing individual checks issued, the date, payee,
l__J. . amount and purpose of the expense. :::=======================:
li3lljCheck Requests I Forms requesting the issuance of a check of warrant to pay for
l__J . OCSD incurred expenses.
:==================~
fillllchecks, Cancelled I OCSD issued checks cashed by the payee and returned to
l__J. . OCSD by the paying financial institution.
:==================~
fillllchecks, Copies I Copies of OCSD issued checks usually filed together by check
l__J . number.
[l34l Chemical Inventory Records Records related to chemical delivery, chemical transfers, usage,
l__J manifests worksheets and inventory logs.
EJ City/County Utility Requests Utility requests from cities and the County of Orange,
Consulting Engineers and General Correspondence with Cities
& County
LJ35 ICiaim Files I Records regarding claims of wrongdoing by the organization or
its employees. Claims generally request compensation for
damage or loss. :::=======================: LJ36 Complaint Files Records related to complaints filed by the public regarding the
organizations operations or activities. Includes problem reports
and follow up activities.
:==================~ LJ37 Compliance Records Records relating to monitoring the environment and ensuring
compliance with pertinent regulations. Includes compliance,
monitoring, QA, QC and spill reports.
[138] Computer Maintenance Files Records regarding work activities to maintain and ensure
l__J continued operation of computer systems and applications.
[l39l Computer System
1
Records related to the maintenance of software applications.
l__J Administration Records .
~Confined Space Records LJ Conflict of Interest Filings D Contracts/ Agreements
Records related to procedures, permits and entry into confined
spaces.
Records relating to conflict of interest filings for candidates for
the board, for existing board members, and designated
employees.
Records relating to obligations defined in contracts and
agreements not requiring board approval. Includes promissory
agreements, contracts and pending contracts for services,
leases and software licenses.
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Record Series with Definitions
LJ Contracts/ Agreements, Records relating to obligations defined in contracts and
Board Approval Required agreements requiring board approval. Includes promissory
agreements, contracts and pending contracts for services,
leases and software licenses.
LJ Crane Inspection Records Records related to periodic inspection, annual certifications,
quadrennial proof load test reports, and permit to operate cranes
and derricks.
!~]Deferred Compensation !!Records of employee contributions and OCSD payments. I
D Delegation of Authority Records specifying the person(s) having the temporary authority
Records to approve specified activities or documents during the absence
of the individual normally authorized to perform the activities or
approve documents.
LJ Delivery Receipts Records documenting receipt of shipped items. May include
delivery shipment receipts and registered mail receipts which
may be filed with Purchase Orders.
EJ DOT Random Drug & Records of tests done by outside contractor in compliance with
Alcohol Test Records DOT required Random Drug & Alcohol Testing
D Drawings, As-Built Records that graphically depict specifications. Copy of
confirmed drawings marked up by contractors during
construction to show how facility or component is actually
constructed. LJ Drawings, Baseline Records that graphically depict specifications for piping and
instrumentation. Includes control logic diagrams and loop
diagrams.
LJ Drawings, Bid Set Drawings that graphically depict specifications for the design of
buildings, building systems, and subsystems, proposed
construction or architectural renderings. D Drawings, Conformed The drawings generated for use during the construction phase of
a contract from the bid set of contract plans that have been
updated with an interpretation of changes that have occurred as
a result of addenda issued during the bidding period.
LJ Drawings, Record The District's best record of the construction of a project.
Conformed drawings that have been updated with any changes
occurring during the construction of the contract.
LJ Drawings, Shop Records including drawings, diagrams, illustrations, schedules,
performance charts, brochures and other data that are prepared
by contractors, manufacturers, suppliers or distributors and
which illustrate some portion of the project.
lfil!E-mail Back up Tapes llE-mail messages on the Exchange Server I
~!Easements I Records related to the right of access to, and maintenance of,
sewer related properties.
LJ Employee Benefit Plans and Records related to all employee benefits plans, and programs
Program Files including health insurance, tuition reimbursement, thrift plans,
beneficiary designations, eligibility.
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Record Series with Definitions
LJ Environmental Impact Records used to prepare the draft and final EIR published by the
Report District and EIR's submitted from outside sources for review by
the District.
:===================~ [1551 EOC Activation Records Records related to documenting activities of emergency LJ operations center (EOC) during a declared emergency.
::======================~
LJ Equipment Maintenance Records regarding maintaining OCSD equipment and vehicles
Records (excluding crane records) includes daily maintenance reports,
service checklist, preventative maintenance schedules, service
logs and test records.
:===================~ LJ57 Equipment Ownership Records related to ownership of equipment including
correspondence, drawings, operating instructions, warranties
and registrations.
::======================~ 058 Expense Reports Records relating to the reimbursement of District employees,
Members of the Board of Directors, and Contractors for
expenses incurred for travel or other costs when conducting the
organizations business.
ii5911Financial Planning I Recor.ds ~elated to the budgeting and planning of the LJ . organizations revenues and expenses.
:===================~ [1601 Financial Statements Records stating the financial position and condition of the LJ organization.
:======================~
'1611,Fixed Asset Records I ~ecords relating to the acquisition, depreciation and accruals of I L __ J . fixed assets.
:===================~
liliJIFiow Records llRecords related to tracking influent and effluent. I
fl6311Formation Files I Records documenting the terms under which OCSD was
l___j_ . formed, organized, re-organized or consolidated.
EJI General Ledger I Summary of all financial accounts. Records relating to the
. . postings to the General Ledger.
:===================~ fi65l Grant Records, Unsuccessful "Records regarding unsuccessful grant applications for federal or
l___j state grants.
DI Grievance I R~cords inclu~es arbitration between e?1ployer and emp~oyee,
gnevances, umon requests, employee nghts, employee nghts
information, appeals, sexual harassment information and civil
rights information. LJ Hazardous Waste Records D Historical Subject Files
~1I-9Forms
Records regarding the storage, transport, or handling of
hazardous waste. Includes Lockout/tagout and mapping source
records.
Records retained for the life of the organization due to their
enduring value, rather than solely for business or legal
purposes. Records that document the origination, significant
events, and strategic planning of the organization.
I Forms required by the federal government under the
requirements of the Immigration Reform/Control Act of 1986.
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Record Series with Definitions
070 Incident Records Includes records regarding unscheduled maintenance, or
deliberate property damage such as theft, arson, vandalism, or
other loss of OCSD assets. Does not include safety
organizations' accident reports.
071 Industrial Hygiene Files Reports and documentation prepared by staff and certified
industrial hygienist; includes ergonomics of the workplace, air
sampling, noise testing, and workplace contaminants.
LJ Inspection Records, Records related to inspection of the daily progress of
Construction Daily Progress construction activities to ensure quality and compliance with
specifications and standards.
LJ Inspection Records, Records relates to specialty inspection of construction activities
Construction Specialty to ensure compliance with specifications. Includes welding,
vibration analysis, soils analysis and pile driving inspections.
LJ74 Inspection Reports, Manhole Records related to the comprehensive evaluation of the wear
condition of the manhole structure including frame and cover
replacement records.
fi7511Insurance Policies I Records related to insurance policies purchased by OCSD,
l_ __ J . including the policies and any amendments.
LJ76 Investment Records Records relating to investments including the purchase of
stocks, bonds or other equities, ownership and account
statements.
~Irr Backup Tapes llcomputer tapes used for Disaster Recovery purposes I
fU7ljJob Descriptions I Records describing the duties and responsibility of each job
~. . position and the expectations for performance.
IIZOIJoumal Entries ljAccount postings with supporting documentation. I
ii791jLaboratory Records I Records related to laboratory activities including data logs, lab
~. . equipment maintenance and sterilization, QA and QC records.
12531 Laboratory Data Backup Statistical laboratory data housed on the chromium and
~ Tapes erbium servers
LJ80 Legislation Files Records regarding local, state and federal legislation, session
bills, lobbying files and summaries of bills that may affect
OCSD's operations or organization.
f243l Line Maintenance Files Video tapes and other records of maintenance and inspection of
l__J sewer lines.
LJ81 Litigation Files Records related to possible or actual litigation or government
investigations. Includes court proceedings records, pleadings,
discovery, work product, exhibits and final judgments.
LJ82 ILogs I A document listing activities, items, individuals and noting the
same information about each entity. Log entries generally occur
in chronological order. ::=====================::================================================:I 1183 I Logs, Control Center Bound notebooks describing activities, items or individuals
regarding plant operations. Log entries generally occur in
chronological order.
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Record Series with Definitions
f184l Master/Strategic Plans Report describing long range program or major projects
L_J planning and goals of OCSD. Includes strategic plans. :=======================: [1851 Material Safety Data Sheets Records relating to the description and use of hazardous
L_J substances. :=======================;
'18611Medical Files I Records related to the medical history of employees, including LJ. . injury and illness records. ::======================: LJ Meeting Minutes, Meeting minutes, administrative records regarding the agenda
Administrative and description of the decisions made or actions taken during
the meeting, for meetings not board-related. ::======================: LJ88 Meeting Minutes, Board Records regarding agenda, meeting minutes, resolutions, actions
and decisions, of the Board of Directors. Includes
administrative orders, minute orders and minute actions. ::======================: [1891 Meeting Minutes, Board Records regarding agenda, meeting minutes, resolutions, actions
l__J Committees and decisions of a board committee.
ii9011Monthly Reports I Records related to operating and status information used to
L_J . complete OCSD annual reports. :=======================;
'19i110perating Journals I Daily entries documenting activities in district operations.
L_J . Includes crew schedules. ::======================: LJ92 Operating Records Records related to district operations. Includes data books,
operating reports, overtime, crew schedules and daily lab
reports. ::======================:
1}2I]jOpinions llwritten legal opinions resulting from research on a given topic. I
ft94110rdinances I Regulations enacted by board action and related records.
L_J. . Includes local limits report. ::======================: ~ OSHA Compliance Records Records describing procedures for emergencies. Includes
L_J disaster recovery procedures.
:==================~ 096 Payroll Records Records including timesheets, unemployment claims,
DIPe~ts
~!Permits, AQMD
f199l Permits, Building and LJ Construction
1200 [[Permits, NPDES
~IPermittee Files
garnishments and the payment of labor costs including salaries,
wages, compensation and deductions for employees, Board
Members and Contractors.
I Records including permits to operate plants, machinery,
equipment and vehicle permits. Also includes right-of-way
records and sewer connection permits. Does not include
NPDES or AQMD permits or permits granted to the EAC.
I Rec_ords related to ~ermits granted by AQMD to operate various
eqmpment and engmes.
Records related to plans, signs, grading, encroachment,
including blueprints and specifications. Approval to construct
or renovate property.
I Records relating to the application for a permit (section 301H
Waiver) to discharge pollutants, in compliance with the Clean
Water Act. Includes the permit.
I Records related to monitoring businesses with discharge permits
and urban runoff.
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Record Series with Definitions
LJ Personnel Files Records relating to individual employees. Records may include
employment applications, performance evaluations, salary
information, and separation documents.
~IPetty Cash Records I Records documenting replenishment of cash and disbursements
of cash from the petty cash fund.
LJ Policies/Procedures Records providing documentation on the implementation of
Administrative management and administrative policies and directions for
various organizational functions. IJ Policies/Procedures, Records providing documentation on the implementation of
Operating and Maintenance technical and operating policies and directions for various
operational functions. Includes technical, vendor and
engineering manuals.
~ Problem Reports for
Collection Systems
llCommunications, in any media, received as a result of a
collection system problem
D Project Files Records related to activities of limited duration (defined start
and end date), as opposed to activities of an ongoing nature.
Can include a wide variety of documents gathered for reference
on a specific project. Also referred to as job or contract files.
EJ Proof of Publication, Records related to proving that required public notices have
Ordinances been published in prescribed publications.
~!Public Comment Files I C?m~unications, written, voice and digital from the public on
D1stnct matters
~ Public Record Requests Records reflecting Public Record Requests including letters,
memo's, e-mails and Public Record Request Forms
~Public Relations Records Records related to preparing public information, brochures
describing OCSD activities, photographs and graphics used.
1209 llblications I Records related to providing information to the public and to
staff ab?ut .ocsD activities. Includes internal newsletters and
news chppmgs.
EJ Purchase Order Files (OA Records monitoring the procurement of goods and/or services.
and OB)
~Purchase Order Files (OP
and OS)
~ Purchase Requisition Files Records related to the request for procurement of goods or
(OA and OB) services. Records initiating the purchasing process. E:J Purchase Order Files (OP
and OS) I
~ Rate Advisory Committee !Records related to determining rates and fees charged by
Records 10CSD.
!fillReal Estate Records llRecords related to real estate for purchases. I
LJ Recorded Documents The official version of a document recorded by the County
Recorders office. Includes notice of completion, deeds and
easements.
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Record Series with Definitions
D Records Destruction Documents certifying (confirming) the destruction of official
Certificates records that have been approved for destruction. The
certification attests to the fact that destruction was accomplished
in accordance with applicable procedures.
LJ Records Management Files Records regarding the management of OCSD records, including
records maintenance and transfer records. Does not include the
retention schedule or destruction certificates.
D Records Retention Schedules The document that lists each record series and the associated
retention times, characteristics, responsible division, and legal
citations, if applicable.
218 Recruitment Records Records regarding the advertisement of available positions of
requirements for specific skills, or the interview and selection
process for prospective employees, includes job fair records, job
postings, advertising, interviews, resumes, applications, and
testing ..
219 Reference Files Documents published by outside organizations, used for
reference, study and research. Usually library-type (published)
documents (i.e. books, technical journals, periodicals) or
reference materials kept only until superceded by the next _
edition.
LJ Reports, Financial Records relating to financial, fiscal and monthly reports. May
include worksheets, spreadsheets, analysis and reports of
financial or investment results.
~!Reports, General I Records generated intern~lly an.d p~riodicall~, ~elating to the
status or progress of routme act1v1t1es or statistics.
~!Reports, Technical I Records related to the preparation of technical or management
reports based on studies, the completed report or study.
1
244 I Research/Reference Files Material used as reference in development of current matters or
projects
~!Resolutions, Board rFormal expression of the will, opinion and intent voted by the
Board of Directors, legislative-type actions.
~IRisk Management I Report records related to OCSD claims, loss runs, federal
OSHA forms, loss analysis and related records.
E~~]Salary Records I Records related to OCSD employees deduction authorization,
beneficiary designations.
LJ Security Clearance Records, Records related to authorizing employees or contractors to have
Computer Systems access to an OCSD computer system, system module or the data
stored in a computer system or system module.
~ISewer Line Records I Records related to sewer operations and maintenance. Includes
easements, atlas, sewer line videotapes and sewer index maps.
EJ Software Application Files Records related to software applications owned by OCSD.
Includes software registrations.
LJ Specifications & Plans Records of the precise details and description of the service or
project to be completed, or the item to be ordered, as approved
by the Board of Directors.
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Record Series with Definitions
LJ30 Speeches/ Presentations Records related to the preparation of presentation materials by
OCSD employees or board members. Includes text of speech,
presentation materials or computer presentation software files.
LJ3 l !Subject Files I Records related to topics and issues filed by the subject of the
records. May include studies, reports and other results of
research activities.
LJ32 Submittals, Design Plans and specifications submitted by contractors for OCSD's
review and approval at specified completion stages (e.g. 30%,
60%, 90%, I 00%) of the engineering design phase.
LJ33 Tax Records Records relating to the maintenance of information about tax
liabilities, withholding and payment of taxes, records related to
payment of State and Federal taxes including forms 1096 and
W-2.
fii411Tax Records, 1099'S I Records related to reporting to the IRS, miscellaneous income
l__J . paid to vendors and contractors.
LJ35 Training Records Records relating to the training and orientation of employees,
except for safety training. Records may include class
attendance sheets, schedules, classes offered and records of
class curriculum or syllabus, training materials development.
:=:================~
LJ36 Training Records, Safety Records relating to the training of employees in the areas of
safety. Records may include class attendance sheets, schedules,
classes offered and records of class curriculum or syllabus,
training materials development.
:=:================~ LJ37 Travel Records Records documenting travel requests, itineraries, lodging or
transportation reservations for employees, Board Members
and Contractors. Expense reports are a separate record series. :=======================:
[23811Trial Balance I Records summary record of account balances by debits and
l__J . credits to prove accuracy of accounting data.
f239l Underground Storage Tank Records related to the maintenance of underground storage
l__J Files tanks. Includes permit.
[255l Video Surveillance Tapes Video surveillance tapes from various security cameras on LJ site at OCSD plants
1240 llWarehouse Records I Records related to managing the warehouse, including sales
. . orders, stock out, shipping records, ABC. :=======================:
[2411,Waste Hauler Files I Records related to transporting waste to or from OCSD plants.
l__J_ . Includes manifests and waste-hauler schedules.
LJI Work Orders I Records related to requesting repairs, alterations, improvements,
maintenance or other services; records related to the completion
of the work requests.
~!Workers Compensation FilesllRecords relating to employee work related injuries I
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