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OCSD 07-08 (REPEALED)
RESOLUTION NO. OCSD 07-08 ADOPTING THE UPDATED RECORDS MANAGEMENT PROGRAM POLICIES AND PROCEDURES, RETENTION SCHEDULE AND RECORD SERIES DEFINITIONS FOR THE DISTRICT'S RECORDS MANAGEMENT PROGRAM. AND AUTHORIZING DESTRUCTION OF OBSOLETE RECORDS A RESOLUTION OF THE BOARD OF DIRECTORS OF ORANGE COUNTY SANITATION DISTRICT ADOPTING THE NEW RECORDS MANAGEMENT POLICY AND PROCEDURE # 9, RECORDS HOLD AND RELEASE, UPDATED RETENTION SCHEDULE AND RECORD SERIES DEFINITIONS, AND AUTHORIZING DESTRUCTION OF OBSOLETE RECORDS, AND REPEALING RESOLUTION NO. OCSD 06-08 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: 1.1 Section 1: Adoption of new Records Hold and Release Policy and Procedure (Section #9). The Board of Directors of the District hereby adopts Section 9 of the Records Management Policy and Procedures whereby a hold may be placed on the scheduled destruction of records that are deemed relevant to foreseeable or pending litigation, governmental investigation, audit, special organizational requirements, or REPEALED BY OCSD 08-06 other business needs not contemplated when the records were originally scheduled for disposal. Section 2: Adoption of Updated Records Retention Schedule and Definitions of Record Series. The Board of Directors of the District hereby adopts changes to the Records Retention Schedule, set forth in Appendix "A" and "B" 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. 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 06-08 is hereby repealed. PASSED AND ADOPTED at a regu ar meeting held May 23, 2007. : . Vice Chair ./ '\,/ -.. '~ . ' , .' ..... , )' ~ .. ~.' • v· . f, j " ' · .. -·-J " ' ·',·. (,/ { .. J' ,\ -:. I . '/ ,_I --j ORANGE COUNTY SANITATION DISTRICT Records Management Procedure Manual Sub·ect: Records Hold & Release 1.0 INTRODUCTION Procedure 9.0 Page 1of3 Date Issued: 9/25/2006 Revision: 1 Revised: 11/06 1.1 At any time during the life of a record or record series, there may be circumstances that require the "holding" or suspension of destruction of certain record series or types of records from being disposed of due to reasons specified by the legal counsel, auditors, or department managers. 1.2 Destruction suspension is a hold placed on the scheduled destruction of records that may be relevant to foreseeable or pending litigation, governmental investigation, audit, special organizational requirements, or other business needs not contemplated when the records were originally scheduled for disposal. 1.3 Depending upon the circumstances, a Hold may require the retention of all documents of a particular kind, whether they are hard copy records, electronic records or non-records, as defined in Procedure 4.0. 1.4 Once a "Record Hold" has been placed on particular records or record series, the records will not be disposed of until a "Record Release" has been issued by the Department or Division which requested the Hold~ 2.0 PURPOSE 2.1 The purpose of this procedure is to describe the procedures for suspending destruction or placing a hold on the destruction of records that may be relevant to foreseeable or pending litigation, governmental investigation, audit, or other special District requirements, and for releasing the hold when it is no longer necessary. 2.2 This procedure ensures that the Records Management Staff and Division Records Coordinators are notified when holds on the destruction of certain records are necessary. 2.3 This procedure ensures that records that are subject to legal or audit holds, are maintained until resolution of the legal matter or conclusion of the audit. 3.0 SCOPE 3.1 This Procedure documents the process of suspending destruction or placing a hold on the destruction of records that may be relevant to foreseeable or 518739.1 ORANGE COUNlY SANITATION DISTRICT Procedure 9.0 Page 3 of 3 Records Management Procedure Manual Date Issued: 9/25/2006 Revision: 1 Revised: 11/06 Sub· ect: Records Hold & Release 5.0 PROCEDURES FOR REQUESTING RELEASE OF RECORDS DESTRUCTION HOLD Responsibility Records Management Staff Legal Counsel Division Managers Records Management Staff Division Records Coordinators 518739.I Action • Periodically review Record Hold & Release Forms on file and identify Estimated Dates of Release for previously placed Records Destruction Holds. • If the Estimated Date of Release on a Record Hold has passed, contact the Record Hold Requester to inquire whether release of the Hold is appropriate. If the Record Hold Requester indicates that release of the Hold is appropriate, forward a copy of Form 105 Record Hold & Release Form to the Record Hold Requester and request that the Record Release portion of the form © be completed. If the Record Hold Requester indicates that release of the Hold is not yet appropriate, obtain and note the new Estimated Date of Release. • Upon determining that a Hold on the destruction of particular District records is no longer needed, the originator of the Record Hold (A) shall complete the "Authorization for Release" portion of Form _, Records Hold and Release. • Forward completed Authorization for Release to Records Management Staff, along with any specific instructions. • Review Authorization for Release and match with relevant Request for Hold. • Contact Records Hold Requester to clarify scope of the authorized Release if necessary. • Update the RPM Database to reflect the Release of the Hold. • Advise of Records Coordinators in all affected Divisions of Authorization for Release and forward a copy of completed Authorization for Release to Division Records Coordinators in all affected Divisions, along with any specific instructions. • Review Authorization for Release forwarded by Records Management Staff and match to relevant Request for Hold on file. • Identify documents within scope of Authorization for Release and remove any notation of prior Hold. Any non-records or records falling within the scope of the Authorization for Release may be purged or destroyed in accordance with Procedures 4.0 and 5.0, respectively. ORANGE COUNTY SANITATION DISTRICT Appendix A RECORDS MANAGEMENT PROCEDURE MANUAL Date Issued: 11/17/2000 Revision 7 Revised 5/23/2007 Subject: Records Retention Schedule 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 cond 100 Abandonment Clerk of the Board Paper LO 2 CAGC x 60203 101 Accident Records Safety & Health Paper 6 CL 102 Accounting Reports Accounting Paper-FIS-2 H:/220 103 Accounts Payable Files Accounting Paper-FIS-7 1 AB474 H:/220 104 Accounts Receivable Accounting Paper-FIS-6 1 x Files H:/220 105 Administrative Records Originating Division Paper 3 Electronic 106 Agenda Reports Clerk of the Board EDMS Paper LO 3 x x Internet 107 Air Quality Files Environmental Paper 5 Compliance (ECS) 108 Annexation Files A -Clerk of the Board Paper LO x x B-Eng Planning Electronic 109 Annual Report, Accounting Paper-FIS-LO x Financial H:/220 110 Annual Report, Originating Division Paper 20 AR CAGC Operational 60203 111 Association Files Originating Division Paper SU SU 112 Audit Records, Environmental Paper LO 5 Environmental Compliance (ECS) 113 Audit Records, Financial Accounting Paper-FIS-CL+6 CL AB474 H:/220 114 Audit Records, Internal Originating Division Paper 3 115 Banking Records Accounting Paper-FIS-6 H:/220 116 Bids, Awards, Sole Contracts, Purchasing & H:ldept 230 CL+6 Sources Materials Mgmt internet 117 Bids, Board Review Clerk of the Board Paper CL+6 Required, Awarded 118 Bids, Board Review Clerk of the Board H:ldept 230 CL+6 1 CAGC Required, Unawarded internet 60201(d) 119 Bids, Unawarded Contracts, Purchasing & Paper CL+6 CAGC Materials Mgmt 60201(d) Page 1of8 120 Biosolids Management Environmental Paper Elect 5 1 40CFR Records Assessment (EAD) H: & N: Drive 503.17 121 Board Administration Clerk of the Board Paper 2 1 Files 122 Bonds, Revenue Accounting Paper EX+2 EX x 123 Budget Files, Approved Accounting Paper-FIS-6 1 H:/220 124 Budget Files, Accounting Paper-FIS-1 1 Preliminary H:/220 125 Cash Receipts Accounting Paper-FIS-4 1 H:/220 126 Certificate of Insurance Contracts, Purchasing & Paper EX+2 1 x Materials Mgmt 127 Certificate of Insurance, Clerk of the Board Paper EX+2 1 x Board Approved 128 Chain .of Custody Environmental Paper 10 1 Records, Laboratory Sciences Lab 129 Chain of Custody, Source Control Paper CL+3 1 Source Control 130 Check Registers Accounting Paper-FIS-7 AB474 H:/220 131 Check Requests Accounting Paper 4 132 Checks, Cancelled Accounting Paper 2 133 Checks, Copies Accounting Paper 2 134 Chemical Inventory Originating Division Paper 2 Records 251 City/County Utility Engineering Paper 10 Requests Planning 135 Claim Files Accounting/Risk Paper-FIS-CL+6 1 CAGC x x Management H:/220 60201(d) 136 Complaint Files Originating Division Electronic 2 1 Pa er 137 Compliance Records Originating Division Paper 5 1 Electronic 138 Computer Maintenance Information Paper 2 Tapes Technology Electronic 139 Computer System Information Paper 2 Administration Records Technology Electronic 140 Confined Space Safety & Health Paper 3 8 CCR Records 5156-5159 CAEC 141 Conflict of Interest Clerk of the Board Paper 4 4 17001, CA Filings GC 81000(e) 142 Contracts/Agreements Purchasing Paper CL+6 CL x Originating Div 143 Contracts/ Agreements, Clerk of the Board Paper CL+6 x Board Approval Page 2 of 8 Crane Inspection 8CCR 144 Originating Division Paper 4 1 5022(d), 8 Records CCR 5031 145 Deferred Compensation Workforce Support Paper LO x Records Services 146 Delegation of Authority Originating Division Paper 10 1 x Records Electronic 147 Delivery Receipts Contracts, Purchasing & Paper 4 1 Materials Mgmt 252 DOT Random Drug & Safety & Health HR-Labor 5 49CFR x Alcohol Test Records 382 148 Drawings, Field Markup Engineering Paper CL+6 RE x (As Built) Planning 150 Drawings, Bid Set Engineering Paper CL+6 RE x Planning 248 Drawings, Conformed Engineering EDMS SS RE x Planning Pa er 249 Drawings, Record Engineering EDMS LO RE x Planning Pa er 151 Drawings, Shop Engineering Paper LO RE x Planning 254 E-mail Backup Tapes Information Electronic 3 weeks RE Technology 152 Easements Clerk of the Board Paper LO x x 153 Employee Benefit Plans Workforce Support Paper TE+7 and Program Files Services 154 Environmental Impact A -Clerk of the Board Paper LO x x Report B -Eng Planning EDMS 259 Environmental Reports Engineering Paper 15 AR Planning 155 EOC Activation Records Safety & Health Paper CL+2 CL x 156 Equipment Maintenance Originating Division Paper LE 1 Records 157 Equipment Ownership Mechanical Main!. & Paper, EDMS, LO 1 O&M Library CD ROM 158 Expense Reports Accounting Paper-FIS-7 1 AB474 H:/220 159 Financial Planning Accounting Paper-FIS-2 Records H:/220 160 Financial Statements Accounting Paper-FIS-10 H:/220 161 Fixed Asset Records Accounting Paper-FIS-10 x H:/220 162 Flow Records Originating Division Paper LO 2 163 Formation Files Clerk of the Board Paper LO CAGC x x 4700 164 General Ledger Accounting Paper-FIS-LO x H:/220 165 Grant Records and Originating Paper CL+A 1 x Agreements Division Page 3 of 8 166 Grievances/Complaints Employee & Labor Paper CL+2 CL x Records Relations 167 Hazardous Waste Safety & Health Paper 3 22CCR Records 66262 168 Historical Subject Files Public Information Paper LO x Office 169 1-9 Forms Workforce Support Paper TE+3 TE 8 use Services 1234A 29CFR 170 Incident Records Originating Division Paper CL+7 CL 1904.2, 29 Incidents, Security Safety & Health Electronic CFR 1904.6 HCCR 3204 171 Industrial Hygiene Files Safety & Health Paper TE+30 3 29CFR 1910 d4 172 Inspection Records, Engineering & Paper CL+6 Construction Daily Construction Ex edition 173 lnpection records, Engineering & Paper .. LO 1 Construction Specialty Construction 174 Inspection Reports, Collection Facilities CMMS 10 1 Manhole Maintenance 175 Insurance Policies Accounting Paper LO EX 176 Investment Records Accounting Paper-FIS-SA+6 SA H:/220 246 IT Backup Tapes Information Electronic 3 SU x Technology 177 Job Descriptions Workforce Support Paper Intranet CL+10 CL Services Internet 178 Journal Entries Accounting FIS-H:/220 6 1 179 Laboratory Records Environmental Paper 10 2 Sciences Lab 253 Laboratory Data Backup Environmental Electronic 10 SU Dates Sciences Lab LIMS/Ta e 180 Legislation Files TA/Admin/L&A Paper 3 1 Electronic H:Dr 243 Line Maintenance Files Collection Facilities Electronic LO AR Maintenance H:/Dr 181 Litigation Files Records Paper CL+6 CL CAGC x Mgmt/Board Svs 60201(d) 182 Logs (Diaries) Originating Division Paper CL+6 CL+2 183 Logs, Control Center Operations -Plant 1 Paper CL+30 Cl x &2 184 Master Plans/Strategic Originating Division Paper LO x Plans Report Repository 185 Material Safety Data Safety & Health Paper TE+30 29CFR 1910. x Sheets Electronic HCCR 5194 Medical Files 29CFR 186 A-Occupational Safety & Health Paper TE+30 1910.1001, x Human Resources 8CCR B-Non-occupational 3204 187 Meeting Minutes, Originating Division Paper-Internet-2 x Administrative Electronic Page 4 of 8 188 Meeting Minutes, Board Clerk of the Board Paper-Internet-LO CAGC x x Electronic 60201(d) 189 Meeting Minutes, Board Clerk of the Board Paper-Internet LO CAGC x x Committees Electronic 60201(d) 190 Monthly Reports Originating Division Paper-Intranet 2 AR Electronic 191 Operating Journals Originating Division Paper 2 192 Operating Records Originating Division Paper 5 AR Electronic 193 Opinions Clerk of the Board Paper LO x 194 Ordinances Clerk of the Board Paper LO SU CAH&S x x 6491.3 195 OSHA Compliance Safety & Health Paper SU SU x Records 196 Payroll Records Accounting Paper-FIS-7 1 29 CFR, x H:/220 516.5 197 Permits Originating Division Paper EX+1 1 198 Permits, AQMD Environmental Paper EX+1 1 x Compliance (ECS) 199 Permits, Building and Originating Division Paper LO CL+6 CAH&S Construction 19850, 258 Permits, Encroachment Engineering Paper LO 1 Planning 200 Permits, NPDES Clerk of the Board Paper 10 SU 40CFR x 125.30(h) 261 Permits, Sewer Engineering Paper LO 1 x Connection Plannin 201 Permittees Files Source Control Paper CL+3 1 202 Personnel Files Workforce Support Paper JDE TE+7 TE 29CFR x Services 1627.3 203 Petty Cash Records Accounting Paper 4 204 Policies/Procedures Secretary to Paper SU+10 SU x Administrative General Manager Intranet 205 Policies/Procedures, Manuals, Mechanical Maint. & Paper SU+10 SU x SOP-O&M O&M Library 247 Problem Reports for Collection Facilities Paper 6 AR Collection Systems Main!. O&M Library 206 Project Files Originating Division PaperEDMS CL+6 CL x Electronic H:Dr 207 Proof of Publication, Clerk of the Board Paper LO Ordinances 245 Public Comment Files Originating Division Paper 2 CL Electronic 250 Public Record Requests Records Paper LO CL x Mgmt/Board Svs 208 Public Relations Public Information Paper SU Records Office 209 Publications Public Information Paper SU Office 210 Purchase Order Files Contracts. Purchasing & JOE CL+6 CL (OA and OB) Materials Mgmt Page 6 of 8 211 Purchase Requisition Contracts, Purchasing & Paper CK+6 CL Files (OA and OB) Materials Mgmt 257 Purchase Requisition Contracts, Purchasing & Paper CL+2 CL Files (OP and OS) Materials Mgmt 212 Rate Advisory Clerk of the Board Paper SU SU Committee Records 213 Real Estate Records Clerk of the Board Paper SU 214 Recorded Documents Clerk of the Board Paper LO 1 x x 215 Records Destruction Records Paper LO 1 Certificates Mgmt/Board Svs 216 Records Management Records Paper 3 Files Mgmt/Board Svs Ima e2000 217 Records Retention Records Paper LO x Schedules Mgmt/Board Svs Intranet 218 Recruitment Records Workforce Support Paper Intranet CL+2 CL 29CFR Services CIVICA 1627.3 219 Reference Files Originating Division Paper SU SU Electronic 220 Reports, Financial Accounting Paper, FIS-4 H:/220 221 Reports, General Originating Division Paper 3 Electronic 222 Reports, Technical Originating Division Paper SU 1 Electronic 244 Research/Reference Originating Division Paper AR AR Materials Electronic 223 Resolutions, Board Clerk of the Board Paper Internet LO SU x x Electronic 224 Risk Management Accounting/Risk Paper-FIS-CL+5 Reports Management H:/220 225 Salary Deduction Workforce Support Paper TE+7 1 x Records for Benefits Services 226 Security Clearance Information Technology I Electronic TE+3 1 Records, Computer Human Resources Pa er 227 Sewer Line Records Engineering Paper SU SU x Planning & Design Electronic Video 228 Software Application Information Paper LO Files Technology Electronic 229 Specifications Clerk of the Board Paper LO 230 Speeches/Presentation Originating Division Electronic 3 1 H:Dr 231 Subject Files Originating Division Paper AR AR 232 Submittals, Design Engineering Design Paper CL+6 CL and Construction & Construction EDMS 233 Tax Records, Employee Accounting Paper-FIS· CL+4 1 29CFR x H:/220 516.5 234 Tax Records, Vendor Accounting Paper-FIS-CL+6 26CFR H:/220 1.6041.1 235 Tranining Records Emp. Development Paper 3 CL 236 Safety & Health Paper 3 CL 237 Travel Records Originating Division Paper 7 AB474 238 Trial Balance Records Accounting Paper-FIS-3 1 H:/220 239 Underground Storage ECS Paper LO 23CCR Tanks Files 2772 255 Video Surveillance Information Electronic SU+3 SU Tapes Technology Video months 240 Warehouse Records Contracts Purchasing & Paper CL+2 1 Materials Mgmt 241 Wastehauler Files O&M & Source Paper 3 Control 242 Work Orders Originating Division Electronic CL+10 CL CMMS 260 Workers Compensation Safety & Health Paper TE+30 CL 49CFR x Files 382 RETENTION PERIOD EVENT Code: All retention periods are listed in years (unless otherwise specified) and are in addition to the current year. Life of LO Organization, Closed, LP Plant, Sale, AR Annual Review CL Completed LE Equipment SA Disposition SU Superseded Closed Plus Terms of the Cl+A Agreement Settlement AU After Audit EX Expired RE Revised ST/PD or Paid TE Termination V Vital H Historical C Confidential Page 8 of 8 Record Series with Definitions ORANGE COUNTY SANITATION DISTRICT RECORDS MANAGEMENT PROCEDURE MANUAL . Subject: Record Series with Definitions 1.1 INTRODUCTION •Appendix B • Date Issued: 11/17/2000 : Revision: 7 •Revised: 05/23/2007 It is the policy of the Orange County Sanitation District (OCSD) to maintain a records and information management program that provides for the identification, access and protection of all records generated or received by OCSD in the conduct of OCSD business. RECORD SERIES WITH DEFINITIONS ,, 100 . :!Abandonment ~;-=-~-~-~.1t-.~---~-~--~-~r-~-i-~-0g-c=--~-i;-~-:d_o_n_m-.. ~-n ... -.. t.-c-o--~-d-e-~_n_a_ti_on-.--.-.. -........ -... :' .1101 _· ,,~cci~ent Rec~rds .... ;;~~;;;~lp~:st~()~J~~~~~sr~~~~~s;~i~rl'l~~~~e~~~~~~y is• • @>} __ ; ~-~~~~~---~~l?-~r.!5. ... ···-········· .. 1!3.~eg~.5. .. 5.':J.!!''-!1.~r_i'.z.!11R.~~~()_U,Q!i~~L~~~-Q~~~!i~f1.5._'........ . ...................... . · .. f°. 3. . .·.· •. Accounts Paya. ble Files . Records relating to payment of financial obligations (money • owed by the organization). Includes vendor and contractor ,;;_;;.;;.;;;_;;_;_c;;..;.;.;c;;.;;.;;_;;_;;_;:;.;;_;_;c"--'-'.c.;..;;;.;..-"=:.;.;;;_;; i11y_()iCt::5.· bills.! 5.tat~rl'lt:ll1~5. .. ~11~ .i:ll1Y 11011~ci.iS<?~a~9~d..d~~t'. ....... . ;1104 tccount~ R~~eivabl~ Fil~~_·· ~r~~%~;~;~};~l~~;;~~~~t;;~:~r money owed to the :: .105rdministrative Rec_o_ rds 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. ••••••••••••• ,.,.,_,.,,._ ..•.... _ ..• .,,.,,.,,..,,,. • """""'" "'"-""''"' ••••••w••••" "'"'"'""" '""""""""""•••·•···-" """' "''''"'"''"'" .. ·.11.06 .... -.. ~A.-.g __ -e_n_d_a-.. R-e .. -p-.o.-rt-.s .. -... ----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 ..-----------~o,ard agend.as. . ..... . 11 .. 0 .. 7.. . A ... ··1·r···Q·· u···a···li·t·y·· .F .. ii.es··· Records related to South Coast Air Quality Management District (AQMD) regulations, emissions monitoring and violations. -·-····•"'" .... ,,. . .... -· -········· .r ,...A_n_n_e-xa-. t-io-n-Fi-le_s ____ Records regarding the annexation of property to the organization. A) Final with Board approval .. _ ...... . . .. . .. 13) .13.<1.Ck_Llp ir:ifo_rl'Tl(ltio!l .... _ ....... ____ .. . 1109. ··. A~~~~I Rep~rts, Fin~ncial Records relating to the published annual financial reports, describing the financial status of the organization. H:\dept\gmo\150\151 \BS\Resolutions\2007\07-08.Records Retention-Alt 3.doc /skillman Page I 5/21/2007 1 Record Series with Definitions ••• ,_., ~--·-.. _., •• --··, <"+ .. "" ,._" ····•••-" ·~"-•'-''"~·-··-· _,,,, • •··--••H_A_A'-'--''"" '°'-•·•··-··' '"'M '•AAA•·••·-···-~-·--· AA•>•••••••••··-·--••••~-·· A•A•AM''""''-''' Annual Reports, : Records relating to the published annual technical and · Operational : operational status and performance reports of the ........ .. .. . . . . . . . . . . . . . . . . . . ! ()r9cin ii:cition: ...... ······ ............................................. !Association Files l 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, l Records documenting the review of compliance activities ; Environmental l with established environmental quality standards. .•.... ",,_ .. "'·'·~·-"· . .. ""' ""'•' -. ...... , ....... ,. ..... ~,. --,_ .. , ·-· ... , -· '·"" '""'"k''"•"'""'"''••• .,,., • ......., • .w.......... . ...•... ,,~-" • Audit Records, Financial Records relating to the review and monitoring of any accounting or financial records to ensure compliance with ........... §~F>-~!.~r:i~~r.c:l.~.Cl~.~ .. !~~.<Jr~~~~~~.~C>~'.~ ... P.T~C:~~~r.~.~: .................... ' • Audit Records, Internal Records related to internal reviews of OCSD activities to ensure compliance with procedures and standards. Does not include financial or environment audit records . . . ........... -~··""' .. ....................... . .................. -......... ·········-· ....................................... -................................. ...... -.... . Banking Records ! Records related to bank transactions including deposit of funds, bank statements, bank reconciliation's, and wire fund transfers. ....... ....... ... ....... .......... . ....... ... ······ ......... . ...... . ... . .... : Bids, and Sole Sources, The successful proposals submitted by vendors to obtain ' i Awarded contracts with OCSD, where OCSD selects that bid or : .... ·························--·' Pr.C>P()~Cl!: l_r:ic:!.IJc:l~~-~icjJ?.~C:~c.!9.e.~ Cl~cl.~.<J.1~.~()IJ.r.C:e.~: .............. . : ,._,. ...... " . ...................... • Bids, and sole sources, The successful proposals requiring board approval, ' ' : Board Review Required, submitted by vendors to obtain contracts with OCSD, where · •Awarded OCSD selects that bid or proposal. Includes bid packages ' and sole sources . . :1 . .,. . ., .............. ""'"' ...... '""' ...•. .... ......... .......... ........... •Bids, Board Review Proposals, requiring board approval, submitted by vendors •Required, Un-awarded to obtain contracts with OCSD, where OCSD does not l (R.ejected} -···. ~ward. tha~ bi_d ex propo.~aL lnclucje~ __ bid packci1;1es. : Bids, Un-awarded ! The unsuccessful proposals submitted by vendors to obtain : i contracts with OCSD, where bid is not awarded to that : vendor. Includes bid packages. ' ............................................... ..... ~ •·············· . . ......... . . .. .... ...... ........ .. . ........................ .... ..... ...... ....... .. .... ....... .... . .. ...... . . .. . .. .. . ~olids Management j Records related to biosolids hauling, use, and EMS cords .. J cic:ti~.i~i~~ .. .. __ ,, . ..... ....• ········~······ .. ---·· ...... , ........ ··-····-"····· ... ,,, .. , ........ _ .. ·····--··-··-... _ .............. . ......................... 'l~-~~rd Administrative File~JIRecords relating to board members, appointments to the : ................ ······ ... . .. ..... ............. ~C?CIEc:l.Lc:li_r~c:t<J!~li~~.: ... ...... .. -. ... ... . ... .............. .. ............................... ···················. , 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-disc;~cir9ecj de~t. ... ... .. . ... Budget Files, Approved ; Records relating to internal planning and financial : management. Includes budge vs. cost reports, summaries, . IJVOr.ks~e.e.t~. goals ar:icj. ()bJe.c:tive~ and. milE)St()nes . . .. " -----·-----·----·--··-··- 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 . .... .. .. .. ... . ......... ····-.......... _ .......... .. ..... _ . ~ ~~Pe..r:ic:li_tlJEe.~· .. ... ., ..................... _. .. ., •· • ••• • ••• ••·--·········•••••••••,.••·--···•··•-·•w•., ............ _ ... . .. ···--·····-........ leash Rec_eipts .. ·lf3e..C:()rcjs relcitecjto ca~h paylller:i! received. 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. .. : f=>art of Bid and Contract Packages ----·-------·-· H:\dept\gmo\150\151 \BS\Resolutions\2007\07-08.Records Retention-Alt 3.doc /skillman Page 2 5/21/2007 2 Record Series with Definitions :11·34--· C-h;~;~~i .. j~-~~nt·~~-..... -··-·-· 1 , Records related to chemical delivery, chemical transfers, Records usage, manifests worksheets and inventory logs. : h< n ~ n n •ft•·• -nn n n n n n n -n n n ~ < rF: City/County Utility i Utility requests from cities, the County of Orange, · 251 : Requests .. ············· ! ~~;;~~ti~~~~~;~~~~rs and ~~~~ral Correspondence with t~ t'•i~ ~':· _ i ;::~~~~~l~g;~=~~T~~·~:~~~~:·~~:st__ __ . ;1:.~~----j'~-~-~~'.~i:~ .. :~1.:.~-···········-·--...... J -~;~~~:;;;~~~~~~~-;~-~~~~~;~-~~.i~!~;~: .. ~.~~'.~.~--r·~-~~:~.'.~.=---; :''·, .... r:·,·...7 ·.:,' Compliance Records ! Records relating to monitoring the environment and i ensuring compliance with pertinent regulations. Includes i compliance, monitoring, QA, QC, spill and mitigation I reports. t~~.~J.-.~-.~-;-:-~-~e-r-.... ~-.... .._-a.._-i:-~e-n-a·-.... ~-:-.. ~-... -.... ~. il~;~p~et;~~;t~;i~t~I~~~ ~~r ~i~~~~~~ ~e~~~e~ ~ft~~ .. :[139 fcomputer System jlRecords regarding work activities to maintain and ensure ' : jAdministration Records :!continued operation of computer systems and applications . . ,14o .; Co~·fined Space. R~~~rds. ! Re~ords ·;ei~ted. t~ procedures: pe~~its·a~d entry i~t~ .... .. .......... .................... .. .... .. ········. j ~gr.:i!!Q.~~-~p~~~~:. . ...... .. .............. ······· ............. . .... . . ............. ········ t~~-·. Conflict of Interest Filings .. i ~r;~~:t~~;~~t~~=~~~~;~~~t~~~~~;;~;;;:~~;~~1 ;~~;~.and · 142 -Contracts/ Agreements ' Records relating to obligations defined in contracts and ; agreements not requiring board approval. Includes Specs : and Plans, Scope of Work, promissory agreements, . contracts and pending contracts for services, leases and 'software licenses authorized by the General Manager, Legal ; Counsel or Board Committee. •u•• ••••• • ,o ,,. •• • « • .,,,,.,,,, • • ._,, .! •• ¥''""~''" "'"¥'~""' •-'"'"" •• • .,, • •• "'""'""-•-•••••• _ ... , ""'-•••" • Board Approval Required r Contracts/ Agreements, ; Records relating to obligations defined in contracts and ! agreements requiring board approval. Includes Specs and ; Plans, Scope of Work, promissory agreements, contracts : and pending contracts for services, leases and software 'licenses. --~~-·-·~,~~~~~-~-c.....=····,_····----~--· --·~-'-~--.~--' H:\dept\gmo\150\151 \BS\Resolutions\2007\07 -OS.Records Retention-At! 3.doc /skill man Page 3 5/21/2007 3 Record Series with Definitions r C~neln;pe~tion .R~rds ····~;;;t~;l;;,~f ~i~~~i ;~~~~~i~~da~~=:t:~~~~s··· .fB?._ .. 1.9..E:l!e.r.r.E:l~ .. .9~.f!!PE:l!'~~!i9.i:t ............. ii.13E:l~~E~.~ .. ~.!.E:ll!'.P!~'l~.8. ... ~<?.~~.r.i~~!i~.~~ .. c:!!'.~ ... Q9~9. .. P8-Y!!!E:l.!'t~.: ....... . • · Records ' authority to approve specified activities or documents during; 1146 •Delegation of Authority Records specifying the person(s) having the temporary ; . .i ........ ····--.... ····-·-· .J ;,~;_;~~:!~i~;-~~.~;!?~~~~~~~;~~~~;:1~-~.~t~-~~~~~d .. t~ ~e-rfo-~~ . ' .. · .... 1.1 .. 4 .... 7 ........ • •.• · Delivery Receipts Records documenting receipt of shipped items. May j include delivery shipment receipts and registered mail . tE:l'?_8.l!?.!~-~b.ig_l]__~-~Y..!>.e..!.!!~-~ .. ~!!b .. !:.~r.~b.~~.~.Q~~~!~: ................... _ ... .' ;.::::::::;;:;;:.::;;;;::;;;:::;~:;;:;;::::.:::===:.;;;::.;:;;::::;;;;;.;;;:;;;;;;;;;;; 1252 • DOT Random Drug & . Records of tests done by outside contractor in compliance : •Alcohol Test Records · with DOT required Random Drug & Alcohol Testing ... ··········' .............. ············· ··············· .......... ; ........... ·····•·····•·············· .............................................................................................. ································· ........ . ·r48 , Drawings, Field Markup (As-i Records that graphically depict specifications. Copy of · . Built) i conformed drawings marked up by contractors and/or : : I inspectors during construction to show how facility or component is actually constructed. ..... ... '"' ........ ....... ....................... ............ ............... ...... ....... .. ····· l 15o·; Drawings, Bid Set Documents usually including advertisement or invitation to · bidders, instructions to bidders, bid form, form of contract, forms of bonds, conditions of contract, specifications, drawings, addenda and any other information necessary to completely describe the work by which candidate ! constructors can adequately prepare proposals or bids for ' . ! consideration. , i~······· ...... . ........ : ...................................................................... , ................................................................................................................. . : 248 Drawings, Conformed Set ! All the written and graphic documents concerning execution ; . : • of a particular construction contract. These include the , ' , agreement between the owner and the contractor, all 1 i conditions of the contract including general and supplementary conditions, the specifications and drawings, . any changes to the specifications and drawings, any i changes to the original contract and any other items i specifically itemized as being part of the contract ' : ........ ... . ................. ...... .. .. .................... .... .... .. .. ; do~tJlllents. . ...................................................................... . ·.r49 rrawirlgs, ROcOrd ---·--;. Construction documents updated to ~how the progress of : , • the work, usually based on data furnished by the contractor ' ' ; to the designer. Record Drawings shall be stamped by a · ........... i . .. . . ... . .... ..... ..... .... .. .... . .................................................... pr.e>f~~~ie>r:ic:!I ~1'19.il'l~~r.'.. .................. ... ............ ............. .. . . .. ............................................ . . ·.1151. • .. : Dr.awings., Shop . Documents created by a contractqr, subcontractor, vendor, ' manufacturer, or other entity that illustrate construction, : materials, dimensions, installation an other pertinent . information for the incorporation of an element or item into : the construction. j254j r-E--m_._a_il_B_·~-ck_u_p_T_a-pe_s_. --. IE-m~i1 ~~ssages o·~ .the Exchange s~~er ' 1152 -,Easements ~-... -.. -----~----~:~;~;rr~~f~7:dt~r~;e~T=~-of a~~e~~. t~,. a~d .m~intenance r ~ IEmplOye; Benefit PianS~ Records related to all employee benefits plans, and . ·and Progr.am Files . programs including hea .. lth insurance, tu.it. ion reimbursement, . • thrift plans, beneficiary designatior:is. eligibility. .. . . H:\dept\gmo\150\151 \BS\Resolutions\2007\07-08.Records Retention-AU 3.doc /skillman Page 4 5/21/2007 4 Record Series with Definitions -~-----------···--········----··················-··· · 154 Environmental Impact . Report • A -Final Documents B -Back up Information \ A. Records, used to prepare the draft and final EIR 1 published by the District e.g. response to comments, mitigating declarations, addendum, and notices of determination filed with state/county clerk B. Notice of Determination filed and /or recorded . ~!~~ ~~et,t~;i.n~/or ~<?iJ!l~Y-Clerk. __ _ I .. J :1~-~-~---·:1.~-~~-i~:~_::.~~~1--~.:~.:~.: ..... : ;~~~~i;~~-~~_;;d~~~~~~~-~;;,~~;.'.~!~ __ Q~;~-~~~~~!;~·-' :11.~-~-.. ··' E-~-~---~-~-ti~~-tion ___ ~:~o~-~s··· ......... 11~;;;t~;;:~;;f ~~~<-~.Q~~~~~~~Q~Cl~~~~i1~~;~o-~-~~-~~~-;~;~---··· , 156·-·: Equipment Maintenance : Records-regarding maintaining ocso equipment and ______ _ ; Records vehicles (excluding crane records) includes daily maintenance reports, service checklist, preventative rn_aint~na~c:;e schedu~es, service IOQS_and tes.t rec;ords._ 'L57 -Equipment Ownership i Records related to ownership of equipment including ' : l correspondence, drawings, operating instructions, : l .... I........................................................................ ............ .. j "o'C1rr.e111~ie~ Clll~ r~9i~~r.e1ti()1lS'. ...... 1 1262 E Bid Documents j Documents submitted with bid packages for CIP ; r 58 ·_• E~~~~~ R~~~rt~ 1 i~f g~~;~:~:~~~~E~tf r ;~~~:~e~::: · I when conducting the organizations business. . --. ' -. ------...... J ··-···--------·«""''-""'""''""'-"""'-""''""'""'"'""""'"'''""'"""'''""'''"'""''"""""""'"'''''''"""'"'""""""'""''"'''"'""'"'""""'' ;11~~ 'f~in~~-ci~IPl~~~i~~ ...................... 1 ~r~~~i~;tJ~~;~~~~~~;~~~;~~~~~;;:.:lanning oft~~ ..... .... . 11160 ' Financial Statements l Records stating the financial position and condition of the i ! l organization. · J11~1····JIFi~~d~~~;~~~s-.. ······J,...:-;--~--~-'--~-1 ;-~~-~-j-~1~-1 ~-i;-~-i-;-;~-··~-~--~c-_:q-:u-is-·i-tio-n-~··-d-. ~---~-~r~-:~-.ia_t_i~-:·~-:a-·n_d_ ... _ ..... __ .,_ .. , :\162 J~l<:)\,/V.,RE;)t;()~d~ . !!Records related to tracking influent and effluent. ;1.1.63···· ·l~~r:~tion·-~-ile~ ... . ·_·_·_· __ ··_·_··_···_·_·······-· __ 11;~~~j~~~~~~~;~~i~;~;8t;i~~; ~~~;~~:i:·~:t~~~~---~~s··· ,r64--,Gene.ral Ledger___ l~~mary of all financial accounts. Records relating to the ; ............. : .... _ .............................. . ...................... ! p()~t1r,i9~~<:>.!~~§E;)l,'l~~C11_~~~9f:lr.:....... ............... ........ .. ............................ . r Grant Records and i Documents related to awarded grants including Agreements I applications, agreements, progress & financial reports and ; compliance paperwork, includes Cooperative Project : Agreements ·:r. 66. -1.-G-r-~--~-~-.n·c_e_ ... _. ·-----·__,···! :i~i~~!l~~~~~=n~:l~;~~if n~:~:~~~~~li~~~:nr1ghts, : employee rights information, appeals, sexual harassment ' information and civil rights inform(!tion. f 167 ,~_~-;-~--~--~~--~-u-s_W_a-~t-e--_-----; ~t~~~~~;~~:~~~~et.he storage, transportation, or handling r8 rtorical Subject Files , 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, 1 significant events, and strategic planning of the : organization. H:\dept\gmo\150\151 \BS\Resolutions\2007\07-08.Records Retention-Att 3.doc /skillman Page 5 5/21/2007 5 Record Series with Definitions tg ill-S F~nTis. . ...... ··· l~~~~~~~~~ ~l~~~~~~~l!~~:~:l~~fi~i;Ef o~ rrcident Records ... ...... . .. ! ~~~~~i~f !!~~~~~~~~ft:;~;~~~~~m, • , 1.1. 71 ·-· , In--d·u--st-·r·i·a--1 H-. y .. g. -ie .. n .. e .. ··F-il·e.-s , Reports and documentation prepared by staff and certified : industrial hygienist; includes ergonomics of the workplace, ... _ . ! ~i~-~~f!JJ?~~~ ... -~~~~~!E:l.!!i_~Jk ~':!~-~o!.~el~-~~ ~'!!~.'!1.!n~£J.t~.-. __ _ c_:.-.~-;-.~-.~-;-~~'--.~-io-~-eD-c-~~-1~-s-, .-....--: ;~~~f;~~~~~~~!~~;~~~~:11~i:~;:~:~~~h- ·.·1.173 . ·.• lnspe ... ction .Reco. r.d.s, 1 Records relates to specialty inspection of construction ' ·, Construction Specialty activities to ensure compliance with specifications. Includes ' : welding, vibration analysis, soils analysis and pile driving :1174 j ~!~~~\~n R;ports, ••······ : ~~~~~f~ji~i~~~~;~~;:~~;;;;s~;: and 11~ ~.~ ........ 1r::~~~:~~-~=]r.~;~~;~~~t~;~~~'··i~~.~~~;;~;;Y.~~;~;.~~~;~~~~.:~ .... ~.~···~·~·~°--···-" r 76 i Investment Records i Records relating to investments including the purchase of : · i stocks, bonds or other equities, ownership and account : ' ! statements. [12~~---.-; 11:r·9·~~~~~··;:~P~~-·---···············--··1 lg~~-~~1~·r ·1~?~~-~~~-~·t~~oi~-~~·t;;_·~~~~~~·;·P~~~~~~~········-·····-· ij~ ~~ Wo~ ~~~~~i~ti~~~ _ . f :;~fi~~~~~~ed~f ;~i;;P~~;r~~;f~~~;~~~~s~~~~~ of each job : \l~?~ ... :l~.~-~r!:'i:!l.~r:it~~~··---..... .l\~~~~1Jnt_p()~tl~9~--~it~ .. ~.IJPP.~~~n,~-~~~U,~_e_f'l_t~-~~~f1: ..... ___ ,.,.,. ___ _ ' .... rg · ..... : Laboratory Records Records related to laboratory activities including data logs, lab equipment maintenance and sterilization, QA and QC :J25~]1~:~i~to~Da~ Ba~kup_.JJ~~=;~o~dat~ h.ou~ed~n~~~=~i~~~:_·· ' : session bills, annual legislative agenda, lobbying files and rO ~!Legislation Fil.es -.·.-.----··-:·,~Recor·d·s· re·g· arding loca.I, stat·e·· and.federal. le. gi·s··lation, • : : summaries of bills that may affect OCSD's operations or . • · organization. ·1243·-~ fUri8~Maini8ri~-Cr1c~-File5-'"-·c·: fR~orci5~i~i~~c-0'8rlci-ir15-pe'~ti~n-'O"i-;~'w0r1in~~~~c.c_· . -· · r 81 .· l.;!; .. ~ai1~~ F11~~ . .. . ..........• ~E.~~tj~f ~:'.il~~~~:~~~~t~~~f.~~~~;~~d ..... final ju~9ments. '. ··r82 • .. ··1r-L-o_g_s_ .. __ . __ . ____ i A document listing activities, items, individuals and noting 'the same information about each entity. Log entries · generally occur in chronological order. This includes the red binder diaries maintained by Inspectors. H:\dept\gmo\150\151 \BS\Resolutions\2007\07-08.Records Retention-AU 3.doc /skillman Page 6 5/21/2007 6 Record Series with Definitions :!.~ .. ~~ .... ' .~.~.~~:~~Strategic Plans ··-' ~.;_~~~~.~~~~i~.~~~.:~=gq~9.~:.J;~~~;5-:;!~~~~~[~!~~~~'.~ ..... . •.1.1. 85 M.a .. ter .. ia.I S.a .. f.et·y·· D.a .. t.a l Records relating to the description and use of hazardous . : Sheets : substances. 11a6 JMedi~al Fil~s . ·· ......... J"'"'.~'-;'-.~;;.;;:d=%= .. ~=r=:i~=·~~=.·:~=d"-0=~=d.···t.;..;..~=.~=··:~=se;;.....sd"-')e'-~~= .. ~=·.·.~=~s.._st.-"o:;.;;;ry;_.;o=f= ... :=m=p=l""':y=e=e= .. := .•... ===-i '1~7 .. :l~=~~i~t:\7~::·· ........... ]~;~~;~~f ;~~~;:;~~JI~;~=~~~~:~~:~;~;:. 'r88 :reeting Minutes, 80-ardj Records regarding agenda, meeting minutes, resolutions, ' i i l actions and decisions, of the Board of Directors. Includes ' ......... j .. _ .... . ~· . _ . . ..... _ j ~-~-~i~i~_!r~_t!~~_c:>,r.~~r.5-! .. ~~~ll.!~ .. ()~~-~r.5-.~.':1.~."1.i~ll~~-~9ti?!1S: _ . :[~-~~-..... ! ~~;t;~~-~;.~~::: .. ~-~-:~~······ ..... l ~~~;~~-~~~~;~~i!~.r~;-~~!~~~;~;~~~9.~~~~;-~· ... r::.:1_~.~i~~-:: ........ .1 !I~~~ .... : j~ont~I~ ~~~:~:. . .... J ~~~~~~~er~g~~-t;r:ic;;:r~~~;;:d. s~:t~s '.~formation used to i 11191 ··· :l~per:tin9. J~ur~:ls rn ••• i ~~:~d.:~t~~=:~~~;deu~~~~ activities in district operations. .. ' . -. Ope.rating Records ;;,: rRee.Pc~ortrsd.s .. re·l·a·t-ed .to-d .. is-·t·r-ic·t· op .. e. rat.ion. s .. · .. l.nc·l·u·d·e· s· data books, : l operating reports, overtime, crew schedules and daily lab : ' .. .. ... , •••••••••W•V< .. •v• .. _._, .. ,. .. ,.,,. .. ,,,,,.,,,..E l Records including permits to operate plants, machinery, 1 ; equipment and vehicle permits. Also includes right-of-way : records. Does not include NPDES or AQMD permits or i per1T1it~ ~~a11t~~ t<? t~~ i=f'.C::· : Records related to permits granted by AQMD to operate i va!i?_ll~-~_quipm~_n._t~~~-~0Jli~~5.:. . .................. ·-................. . : Records related to plans, signs, grading, encroachment, • including blueprints and specifications. Approval to : construct or renovate property, zoning variances and ; cond.itional use permits. H:\dept\gmo\150\151 \BS\Resolutions\2007\07-08.Records Retention-AU 3.doc /skill man Page 7 5/21/2007 7 Record Series with Definitions ~· ••••A•• 'r••·-A -''"''~~···-·-·~ ··-· -~· ••• 258 · Permits, Encroachments ' • E.P. issued by OCSD-Issued to private and public · entities to allow improvements over, along, or under, areas where OCSD has a land interest. • E.P. issued to OCSD-Grants OCSD permission (with possible limitations) to install facilities over, along, or under lands that are owned by other , entities or where the entity may own an interest that ; is exclusive. The granting entity is almost always · another public agency, but can be a private entity. : •1 2:~"1~~i~~~~~~~---~:_, ~f ~i~f 1:i~i~::~:E;;l:~~~~::t~~ :1261 . 1 ~:~~~~ti~~:er J :~111~;~~~;;~~;~~ted to permits for connections to the · ;1~0~_1IP_;~~it~:~Fi1~~:~:. --. ····· .... i ~;!~{~~~;~:~~~Cl~-~~~;~ring b~~~-~~~~-~~.~~th,.d,i~~~.:~.~~-,,, '1202 i Personnel Files j Records relating to individual employees. Records may \. \. i include employment applications, performance evaluations, l ! salary information, and separation documents. ! :_• .. 120;_-···· ... '1 ..... P-~-1!-~_-·c_···~--~-h-R __ ··~---c_·--~-~d_ ... s_ .... _._. ·-·· -· ....,··i R~~~;ci;ci~-~~-~~~~~ ~;~1;~i~h~e~t--~i-~~;h'-~~ci--.............. ·-·- .. J ~i-~~~r~~~~~~~c:>f<?Cl~~f~c:>~~~~-P~~~X <?'3.~-~f~lld: . .... . ·._,: ..... 1204 -.: .. : .... ·· ,....AP_··d~-·mlic_····,.i-n~ .• --ss·/-tpr··-·a··~·to-.1-vc-· ·e~-d-·~-~e-s-·. ----, Records providing documentation on the implementation of i management and administrative policies and directions for '· , .. .... .. .. . . . ... .. . .. . ..... ..... ...... variolJs or9;:i11i:z:ationcil flJ11cti()l1S ... . !·1205 i. Policie~/Procedures, 1 Records providing documentation on the implementation of · ; · Operating and technical and operating policies and directions for various ' . : Maintenance operational functions. Includes technical, vendor and i i engineering manuals. il~4~J ~~~;;~~~~~' -J ...... ~-;-1 ;-;-···~--~-~--~-~t--~~-:;-;-··~-~-:;-·b.n_!_~--;-__ -_:-~-'.~--~-:~~--~--~-~~v-~:-.~--a-·~s-~a-~-·-·~e-·_~s-··-~-~--~-:-.~-... -.... -....... ' ' .. •. ·,·.'l.2 ___ 0 ..... e ............ ······'.•: Project···F···ues f ~~~:~ ~=~/~~:~;~~ ~:~~~\~~~1~Z;~~~~f ::,::rt; ; for reference on a specific project. Also referred to as job or , i ~()_r:itEc:ig~fi~~~: ........ ----·--·-·· .... -························ ...... . ;:::::::::================~ 'j2~?··· ..... :l~~~~;;;;~blic~tio~· ......................... :l~;;~rg~~r~;~~di~~;~~~-~~;;~;;1~~~;~~:~b1i~--~-~ti~~:. ~-~~~--' :[24_~_:--;IP~~ttcca·~-n1~nt~"i"i~5~---:~~;~~i~~~~~;~s:ritt:~.·--~oice~-~alfr0~---th~-~-u.bli~-.. ,,2~~ .. ' P~bli~ -~e~~rd -R~~uest: ...... l ;;~~~: ~~;;i~~~~~;~~l~~~~~~-~~~~;~~~i~nE~~;;~ letters, 1208 ._· Public Relations Records l Records related to preparing public information, brochures : describing OCSD activities, photographs and graphics used. . .. . . . . . .. . . . . . -. ·-· ············ ... ... . ····· .... . ....... -.. -... .. .. . .. . 12091Publications j Records related to providing information to the public and to ' ... ! . .. ........ . ... . . ' :~a; na:~~~~p~~n~:.ctivities. Includes internal newsletters r21·a···-· r=~~cg~~eOrder .. Files-(OA-:rperi-AnnUal'(OA)andOpen Bla.nket (OB)Purcha-seorders ~ P~;~h~s_·~ Ord~; File. s .(OP ; P~r~ha. ~~ O;d~r~ f~~'C3o~ds (OP) ~-~d S~nti~~~ (()s}. ....... . .. 1.... • and OS) ... . . ' . . . . H:\dept\gmo\150\151 \BS\Resolutions\2007\07-08.Records Retention-At! 3.doc /skill man Page 8 5/21/2007 8 Record Series with Definitions 121··1··~~.·:·f i~c:~~~()~~q~-isiti;~.~Fi1~~· ii ~i~~cin~}~~~t~~·~1 ihn~ki~f ~h~~;jrf~~~=:~·.·t~; ·~P:~~ •. ~~~.~~-~··· ·1257 · Purchase Requisition Files ;[Records initiating the purchasing process for Goods (OP} • ......... , (Q~ci.r:!c:!<?.~1 .......................... i ~~~--~f'.?.':Yi.~~~JQ.~L..... .. ......... ____ -·-............... _ ......... _ .. .. r-~;~~~~vi~~ry ~ommitte~ . i ~~c~~~s related to deter~i~ing rat:~ and fees charg~~ ~Y :1213 J~e~I ~stat~ ~~~~r~s ..... ; ~~t~~~d:::~~:16~=~~c~~~=I;~ real estate req~iring Board •:1214 ·.,'Recorded Documents ; The official version of a document recorded by the County : Recqrders office. Includes notice of completion, deeds and ' · ' easements . . .............. : ........................................................................ , .............. .. ·r15-Records Destruction _ .. ___ "lEocuments certifying (confirming} the destruction of official ' · Certificates . records that have been approved for destruction. The i certification attests to the fact that destruction was , ; accomplished in accordance with applicable procedures. ' t~J ~i~:~;ds Manag~m~ni -- 1 ~;~~~~~~~~~~~~~3~;;;~~~~~:~~;~.~ '1217 ·.Records Retention I The document that lists each record series and the : • : Schedules l associated retention times, characteristics, responsible i ............... · .. ... .. . . ........... ................. ............... .. _ j ~iyi~i()n_~ (3~~-19.Q~l ~ita!i<:>ll~· if::lpplig::l~lf'.?: __ ....... .................... ... . ... :• .. :•,•!·12 .. 1.8 ',.:·,,···· Recruitment R. ecor···ds ! ~fe~~~i~:~~~t~i~;r t=;e~1t7ce:~~lfs~~~:ho: ~~=~i~~ ~~~itions 1 selection process for prospective employees, includes job l fair records, job postings, advertising, interviews, resumes, .. \ applic~tions! and !estin$.. ... . .. .. .. . . .. .. :,;n19 ,,_R_e-fe_r_e_n-ce-F-ile_s _____ 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 : superseded by the next edition. From external sources ..... , ... ......... ........ .... . ..... ····· ............ : ......................................................................................................................................................................................................................................... . ·:_ .. ,··.r2. o ' Reports, Financial i Records relating to financial, fiscal and monthly reports. ! May include worksheets, spreadsheets, analysis and ! reports of financial or investment results. '1244 ,~R"""e_s_e;;..;,·~_;~c-h-'-/R-'-e-f-'e-re-'n""'~-'-e-F_i..;_le_s_;_' 1~=!~~~:1~rs;~j~~;;~~~;f ~~~n~ri~~~;~nt of ~urrent . · .. 1222_•.• R~p~rt~>r~~h~i~~I : Records related to the preparation of technical or ; management reports based on studies, the completed ; report or study. '12. 2. 3.--·-~[Res. 01.utio .... ns •.. soarci. --.. -. ----~IF .. o.rma1. expre. ssion. of th·e· wi.11, opin .. ion a·n·d·· .i.nte .. n. t voted b.y. · !the Board of Directors and legislative-type actions. Fl Risk M~nag~rn~~t -··· · · · ·· ··· ; :ifr~~~~~~~~:1 ~~~~~~~~r~~so ~l~irns, 1~~-~ -r~~~: 1~~~ · ·· 122s . !Salary Records . . . ~~t~~r~:a~~~~~e~~~e~~a~~ ;~~~~~~;:eduction . 226-!ecurity Cleara-rice--. Records. related to authorizing employees or contractors to Records, Computer . have access to an OCSD computer system, system module . ... . . Systems, .. .. . . .. . , or !~e 5lat_a sto~~d jn ~ c;ompute.r.s,ystern or. system m.o~ule. H:\dept\gmo\ 150\151 \BS\Resolutions\2007\07-08.Records Retention-Att 3.doc /skillman Page 9 5/21/2007 9 Record Series with Definitions 1229 ·, Specifications & Plans i Records of the precise details and description of the service l or project to be completed, or the item to be ordered, as ! approved by the Board of Directors. : 1 ... -.,~~~"-,i 1 ·,~.:, .. ~:: .. ,_ .. ,,:.-.~ .. :~." "'' ' '"~"' "::.-. .. -.~,~-.:~~:] 1.=.-.~-=.-.:~~~ .. :-~.-::~ .. -.... ~,=~::~~--~"•m::~~.~~~~~:: .. :=:.: .. ~.~~~ .. :~.~ .. ~~~-~:~=-.... -.:-~:::.~:::.:.·.: . 230 1 Speeches/ Presentations i Records related to the preparation of presentation materials : ! l by OCSD employees or board members. Includes text of : i speech, presentation materials or computer presentation ' ..... l ~~fiwar~Jil~~:. .. . .. . . ..... . .................. .J ,1231 il5"biect Fnes . j ;;::~:?i~Yi~~r~: ~~~d:~~~:;~~~ ~~:~t~~~::~u~~ : 232 \ISubmittals, Design and ] Plans and specifications submitted by consultants for . ' i Construction : OCSD's review and approval at specified completion stages : ! .................... 1............................................. ... 1 (~:9: .. ~9~!~o_cyc. .... ~Q.°!0.! ... ~QQ~L................................................. .. ...................... _; r33 ! Tax Records ! Records relating to the maintenance of information about : J j tax liabilities, withholding and payment of taxes, records ! : i related to payment of State and Federal taxes including 1 : forms 1096 and W-2. : ! .,~·--___ ._,j ··~~··-•N"W•••••• A•~·--~· ·~HWA'~., ..... , •• ,''~·-_,.~.,,.. ...... ~J ,_,._,.~."·~·-·-"•A~NA~•· ........ ,,.,.,,_,,.,...., ,.,,_~ ...... ~ .... w,A~~ .... •A~•"""HA"A•ff• _. .. _,,,~H--H ...... ~A.,..,,_WA••~~-~·~-.......... ~ ... _..,,_~-~"' UA ' .. : .. 12. 34 .·,r,_·.1T ... ax_ R·e·c·o· .r.ds_, 1. _099 .. ·s··· ... i Records related to reporting to the IRS, miscellaneous ! in_cgme ~-a~~ toy~('\~<:)~~ an~c~ritr~Ct()~S. ' ; i employees. Records may include class attendance sheets, r35 j Training Records j Records relating to the training and orientation of • .................•.. 1 .................................................... ) ;~;~~~~e~:~~%~l;i~~°r;;;;~~r;~;~~~~;;~~1::s curriculum : . employees for safety training. Records may include r36 i Training Records, Safety Records relating to the training and orientation of : j class attendance sheets, schedules, classes offered ' : and records of class curriculum or syllabus, training , ! materials development. ; ... '¥••······ ····~···· ............. ······~··· ., .•..• ·-•¥q_. ••••••••• ,~··-'"""'"'"············~""~······-···········•""""'"' ~ •••••••••••• ·····~·"····~· •• ·····---· ····~-~········ • . :,237 •, Travel Records i Records documenting travel requests, itineraries, lodging or . ' transportation reservations for employees, Board Members , and Contractors. Expense reports are a separate record : .............. i ..... ------· .... ... ... . ......... ~ ~~~~~'. ........... _. .,_,, ___ ........... . .................... . :12~8. trial Bal~~ce . .. : ~:~~;sd~0 s~r~:a~~~~;~~ ~: =~~~~~tti~;l~~t~:s by debits and 1239 wi~::rground Storage Tank,l~~~~~d~n~~~~=~ ~~~~~t~aintenance of und~rgro~nd storage. 12ss ___ !VideoSurveillanceTapes ![Video surveillance tapes from various security cameras on .. ..... . : ... ..... . ... ······ ........ .. .... ·········· : ~it~.~! ... QC. .. §1?. p_lc:lr:i!~ .... . .. .. .... .. --.. ...... ... ...... . -......... . 1240 . :1warehous~ .. Records ... .. j ::i;~r~;d~~~t:fo~~-~~!~~~i~~~J~:. r;;~~;~~;_:·~ .. ~cluding .[241,waste Hauler File.s i Records _related to tr~nspo. r.ting·w·a· ste to. or fro·m· OCSD 1.. .. : . . . .. . . .. . : plci11ts .. Includes manifests and waste-hauler sch1:1dules. H:\dept\gmo\150\151 \BS\Resolutions\2007\07-08.Records Retention-Att 3.doc /skillman Page IO 5/21/2007 10 Record Series with Definitions :!242. ···1w~.· ~k··c:;~d. ;;~ ·--.·-... r ~. ~~ .. -.~.~. -~:~:;~·t·1·:·d~~. ·.i~.~ .. -t-.~~. ·.=~.i·i·~···· 90~~.~~~.~~. ~:~;:~~~=~~;~s ......... :I , ..... ... . . ... . .... ...... ...... .. . ............ ; related tothe completion of th~ ~C)rk r~qllests: .1252·-~l~~k~:s ~~-~pe~:ati~~-~-_-J ~~c~r~s r:la-~~~-t~-~~-~~~~e~ :~~~ rela-~~~-i:j~~~~s H:\dept\gmo\150\151 \BS\Resolutions\2007\07-08.Records Retention-At! 3.doc /skill man Page 11 5/21/2007 11