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Home My WebLink AboutOCSD 09-07 (REPEALED)1 RESOLUTION NO. OCSD 09-07 ADOPTING THE RECORDS MANAGEMENT PROGRAM POLICY AND PROCEDURES, RETENTION SCHEDULE AND RECORD SERIES DEFINITIONS, AND AUTHORIZING DESTRUCTION OF OBSOLETE RECORDS A RESOLUTION OF THE BOARD OF DIRECTORS OF ORANGE COUNTY SANITATION DISTRICT ADOPTING THE RECORDS MANAGEMENT POLICY AND PROCEDURES, RETENTION SCHEDULE AND RECORD SERIES DEFINITIONS, AND AUTHORIZING DESTRUCTION OF OBSOLETE RECORDS AND REPEALING RESOLUTION NO. OCSD 08-06 WHEREAS, it is necessary to establish a policy to maintain a Records Management Program (“Program”) that provides for the identification, access, and protection of all records generated or received by the District; and WHEREAS, said Program ensures that all District records are created, received, maintained, and destroyed in a cost-effective manner, in accordance with operating requirements for District business and applicable statutes and regulations; and WHEREAS, the Board of Directors of District is authorized, by the provisions of California Government Code Sections 60200 through 60204, inclusive to destroy records under certain conditions; and WHEREAS, it is desirable and appropriate to authorize the destruction of records on a routine basis that have been retained for a certain period of time, that are copies of originals on file with the District, or that have been preserved in conformance with all applicable statutes. NOW, THEREFORE, the Board of Directors of Orange County Sanitation District, DOES HEREBY RESOLVE, DETERMINE, AND ORDER: 1.1 Section 1: Adoption of Records Management Policy and Procedures. The Board of Directors of the District hereby adopts the Records Management Policy and Procedures for Fiscal Year 09-10. Section 2: Adoption of Updated Records Retention Schedule and Definitions of Record Series. The Board of Directors of the District hereby REPEALED BY OCSD 10-12 adopts changes to the Records Retention Schedule, set forth in Appendix "A" and "B" incorporated herein by reference.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 08-06 is hereby repealed. PASSED AND ADOPTED at a regul ~r meeting held June 24, 2009 . Chair 1lVrlA Clerk 6fihemhard 2 Page 1 of 8 H:\dept\gmo\120\BS\Records Management\Resolutions\2009\Sharepoint Migration\09-07.Records Mgmt-Att A 101 Paper 102 Paper-JDE- H:/220 103 Paper-JDE- H:/220 104 Paper-JDE- H:/220 X 105 Paper Electronic 106 EDMS Paper Internet X X 107 Paper 108 Paper Electronic X X 109 Paper-JDE- H:/220 X 110 Paper 111 Paper 112 Paper 113 Paper-JDE- H:/220 114 Paper 115 Paper-JDE- H:/220 116 Paper, Electronic, Internet 117 Paper 118 Paper Code Record Series 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 District Business H Bids, Board Review Req'd, Awarded Bids, Unsuccessful, Board Review Req'd Association Files Audit Records, Environmental Audit Records, Financial Audit Records, Internal Banking Records Bids, Awards, Sole Sources Administrative Records Agenda and Commmittee Reports Air Quality and AQMD Files Annexation Files Annual Report, Financial Annual Report, Operational Financial Management Accident Records Accounting Reports Accounts Payable Files Accounts Receivable Files Retention CitationOfficialDuplicate Financial Management Financial Management 6 1 1 CL AB 474 COffice of Record Safety & Health Media V Clerk of the Board Clerk of the Board Originating Division Clerk of the Board Environmental Compliance & Regulatory Affairs A -Clerk of the Board B-Eng Planning Financial Management Originating Division Financial Management Contracts, Purchasing & Materials Mgmt Financial Management Originating Division Originating Division Environmental Compliance & Regulatory Affairs LO CL+6 2 CL+6 3 6 CL+6 3 1 1 2 7 6 3 LO SU 5 LO LO 20 SU 5 CL 1 1 1 1 AR 1 1 1 1 AB 474 CA GC 60203 CA GC 60201(d) Appendix A Date Issued: 11/17/2000 Revision 9 Revised 6/24/2009 ORANGE COUNTY SANITATION DISTRICT RECORDS MANAGEMENT PROCEDURE MANUAL Subject: Records Retention Schedule Approved by Record Retention Schedule Review Committee 4/9/2009 Page 2 of 8 H:\dept\gmo\120\BS\Records Management\Resolutions\2009\Sharepoint Migration\09-07.Records Mgmt-Att A Code Record Series H Retention CitationOfficialDuplicate COffice of Record Media V 119 Paper, Electronic 120 Paper, Electronic, Internet 121 Paper / Electronic X 122 Paper X 123 Paper-JDE- H:/220 124 Paper-JDE- H:/220 125 Paper-JDE- H:/220 126 Paper X 127 Paper X 128 Paper 129 Paper 130 Paper-JDE- H:/220 131 Paper 132 Paper 133 Paper 134 Paper 251 Paper 135 Paper-JDE- H:/220 X X 136 Paper Electronic 137 Paper Electronic 138 Electronic X 139 Paper Electronic X 140 Paper 141 Paper Confined Space RecordsConflict of Interest & Ethics Training City/County Utility Requests Claim Files Complaint Files Compliance Records Computer Backup Tapes and CD Masters Computer System Administrative Records Chain of Custody, Source Control Check Registers Check Requests Checks, Cancelled Checks, Copies Chemical Inventory Records Budget Files, Approved Budget Files, Preliminary Cash Receipts Certificate of Insurance Certificate of Insurance, Board Approved Contracts Chain of Custody, Laboratory Bids, Unsuccessful Biosolids Management Records Board Administration Files Bonds, Revenue Financial Management Contracts, Purchasing & Materials Mgmt Environmental Compliance & Regulatory Affairs Source Control Financial Management Financial Management Financial Management Financial Management Contracts, Purchasing & Materials Mgmt Clerk of the Board Environmental Sciences Lab Clerk of the Board Financial Management Financial Management Originating Division Originating Division Information Technology Information Technology Financial Management Originating Division Engineering Planning Financial Management / Risk Safety & Health Clerk of the Board SU+2 EX+2 6 1 2 5 CL+3 7 4 2 4 EX+2 EX+2 10 2 5 90 days LE+3 2 2 10 CL+6 3 4 1 1 1 EX 1 1 1 SU SU 1 SU 1 1 1 1 1 1 1 1 1 1 1 1 1 40 CFR 503.17 CA GC 60201(d) AB 474 8 CCR 5156- 5159 CA EC 17001, CA GC 81000(e) CA GC 60201(d) Page 3 of 8 H:\dept\gmo\120\BS\Records Management\Resolutions\2009\Sharepoint Migration\09-07.Records Mgmt-Att A Code Record Series H Retention CitationOfficialDuplicate COffice of Record Media V 142 Paper X 143 Paper X 144 Paper 145 Paper X 146 Paper Electronic X 147 Paper 252 Paper X 148 Paper X 150 Paper X 248 EDMS Paper X 249 EDMS Paper X 151 Paper X 153 Paper 267 Paper Digital X 154 EDMS Paper X X 259 Paper 155 Paper X 156 Paper 157 Paper, EDMS, CDROM 263 Paper X X 158 Paper-JDE- H:/220 159 Paper-JDE- H:/220 160 Paper-JDE- H:/220 161 Paper-JDE- H:/220 X Financial Statements Fixed Asset Records EOC Activation Records Environmental Reports Equipment Maintenance Records Equipment Ownership Expense Reports Financial Planning Records Escrow Bid Documents Drawings, Record Drawings, Shop Employee Benefit Plans and Programs Environmental Impact Report Employee Relations Files Drawings, Bid Set Crane Inspection Records Deferred Compensation RecordsDelegation of Signature Authority Records Delivery Receipts Drawings, Conformed Set Contracts / Agreements Contracts/Agreemen t Board or Committee Approval DOT Random Drug & Alcohol Test Records Drawings, Field Markup (As Built) Originating Division Human Resources Originating Division Contracts, Purchasing & Materials Mgmt Purchasing Originating Division Clerk of the Board Engineering Planning Engineering Planning Safety & Health HR Labor Relations Engineering Planning Engineering Planning Engineering Planning Mechanical & Reliability Maintenance Financial Management Financial Management Financial Management Human Resources A - Clerk of the Board B - Eng Planning Safety & Health Originating Division Engineering Planning Contracts, Purchasing & Materials Mgmt Financial Management 4 LO 10 4 CL+6 CL+6 LO LO 5 CL+6 CL+6 SU LO 7 2 10 TE+7 LO CL+2 LE 15 LP 10 RE 1 1 1 RE CL 1 1 1 1 1 LP 1 1 RE RE RE 1 1 1 CL 1 49 CFR 382 AB 474 8 CCR 5022(d), 8 CCR 5031 AR Human Resources CA GC 129461TE+7 Page 4 of 8 H:\dept\gmo\120\BS\Records Management\Resolutions\2009\Sharepoint Migration\09-07.Records Mgmt-Att A Code Record Series H Retention CitationOfficialDuplicate COffice of Record Media V 162 Paper 163 Paper X X 164 Paper-JDE- H:/220 X 264 Paper Electronic X 165 Paper X 167 Paper 168 Paper X 169 Paper 170 Paper Electronic 266 Paper Electronic X 171 Paper 172 Paper Expedition 173 Paper 174 CMMS 175 Paper 176 Paper-JDE- H:/220 246 Electronic 177 Paper Intranet Internet 178 FIS-H:/220 166 Paper X X 179 Paper 253 Electronic LIMS/Tape 265 Paper Electronic X Laboratory Records Laboratory Data Backup Tapes Land Records Inspection Records, Construction Daily Progress Inspection records, Construction Specialty Inspection Reports, Manhole Insurance Policies Investment Records IT Service Tickets Labor Relations Files Job Descriptions Journal Entries Hazardous Waste Records Historical Subject Files I-9 Forms Incident Records Industrial Hygiene Files Incident Records, Security Flow Records Formation Files General Ledger Grant Records and Agreements Grand Jury Reports and OCSD Responses Originating Division Human Resources Environmental Compliance & Regulatory Affairs Originating Division Information Technology Human Resources Financial Management Environmental Sciences Lab Originating Division Clerk of the Board Financial Management Engineering & Construction Human Resources Originating Division Safety & Health Engineering & Construction Safety & Health Clerk of the Board Collection Facilities O&M Financial Management Financial Management Environmental Sciences Lab CL+A LO 3 LO 7 CL+10 6 10 LO LO CL+6 LO TE+3 CL+7 TE+30 CL+6 CL+7 LO 10 LO SA+6 10 1 1 1 CL AR 2 3 1 1 1 1 1 TE CL CL 1 2 SU EX SA SU CL AR 22 CCR 66262 CA GC 4700 8 USC 1234A 29 CFR 1904.2, 29 HCCR 3204 29 CFR 1910 d4 CFR 1904.6 Originating Division 3 Page 5 of 8 H:\dept\gmo\120\BS\Records Management\Resolutions\2009\Sharepoint Migration\09-07.Records Mgmt-Att A Code Record Series H Retention CitationOfficialDuplicate COffice of Record Media V 180 Paper Electronic H:Dr 243 Electronic H:/Dr 181 Paper X 182 Paper 183 Paper X 184 Paper X 185 Paper Electronic X 186 Paper X 187 Paper-Internet- Electronic X 188 Paper-Internet- Electronic X X 190 Paper-Intranet Electronic 191 Paper 192 Paper Electronic 193 Paper X 194 Paper X X 195 Paper 196 Paper-JDE- H:/220 X 197 Paper 198 Paper X 199 Paper 258 Paper 200 Paper X 261 Paper X Permits, Building and Construction Permits, NPDES Permits, Encroachment Permits, Sewer Connection Opinions Ordinances OSHA Compliance Records Payroll Records Permits Permits, AQMD Meeting Minutes, Administrative Meeting Minutes, Board & Board Committees Monthly Reports Operating Journals Operating Records Litigation Files Logs (Diaries) Logs, Control Center Master Plans / Strategic Plans Material Safety Data Sheets Medical Files A- Occupational B-Non-occupational Legislation and Regulatory Development Files Line Maintenance Files A - Safety & Health B - Human Resources Originating Division Clerk of the Board Originating Division Operations Plant 1 & Plant 2 Originating Division Report Repository Safety & Health Clerk of the Board Safety & Health Originating Division Collection Facilities O & M Originating Division Financial Management Originating Division Originating Division Originating Division Originating Division Clerk of the Board Environmental Compliance & Regulatory Affairs Originating Division Clerk of the Board Engineering Planning Engineering Planning TE+30 2 LO CL+6 CL+30 LO TE+30 LO AR 3 LO CL+6 7 EX+1 2 2 5 LO LO LO 10 LO LO 1 1 1 1 1 AR CL CL+2 Cl AR 1 SU AR 1 AR 1 SU 1 1 1 1 CL+6 CA GC 60201(d) CA H&S 6491.3 29 CFR, 516.5 29CFR 1910. HCCR 5194 29CFR 1910.1001, 8 CCR 3204 CA GC 60201(d) CA H&S 19850, H&S 40 CFR 125.30(h) 1 Page 6 of 8 H:\dept\gmo\120\BS\Records Management\Resolutions\2009\Sharepoint Migration\09-07.Records Mgmt-Att A Code Record Series H Retention CitationOfficialDuplicate COffice of Record Media V 201 Paper 202 Paper JDE X X 203 Paper 204 Paper Intranet X 205 Paper X 266 Electronic 247 Paper 206 Paper EDMS Electronic H:Dr 207 Paper 245 Paper Electronic 250 Paper / Elec Image 2000 X 208 Paper 209 Paper Electronic 210 JDE 256 JDE 211 Paper 257 Paper 214 Paper X X 215 Paper 216 Paper Image 2000 217 Paper Intranet X 218 Paper Intranet CIVICA 219 Paper Electronic 220 Paper, JDE- H:/220 Publications & Meeting Notices Permittees Files Personnel Files Petty Cash Records Recorded Documents Records Destruction Approvals & Certificates Purchase Order Files (OP and OS) Purchase Requisition Files (OA and OB) Records Management Files Records Retention Schedules Recruitment Records Reference Files (External Sources) Reports, Financial Purchase Order Files (OA and OB) Policies/Procedures Administrative Policies/Procedures, Manuals, SOP's Problem Reports for Collection Systems Project Files (also Job or Contract Files) Proof of Publication, Ordinances Purchase Requisition Files (OP and OS) Public Comment Files Public Record Requests Public Relations Records Human Resources Financial Management Secretary to General Manager Originating Division Originating Division Financial Management Clerk of the Board IT / Records Mgmt IT / Records Mgmt Contracts, Purchasing & Materials Mgmt Contracts, Purchasing & Materials Mgmt Contracts, Purchasing & Materials Mgmt IT / Records Mgmt Public Information Office Public Information Office & COB Contracts, Purchasing & Materials Mgmt IT / Records Mgmt Human Resources Source Control Collection Facilities Maint. O&M Library Originating Division Clerk of the Board Originating Division CL+3 6 CL+6 LO 2 TE+7 4 SU+10 CL+10 CL+2 CL+6 CL+2 CL + 2 AR AR CL+6 LO CL+2 AR 4 LO LO 3 1 TE 1 1 CL CL 1 SU SU AR AR CL 1 1 CL CL CL 1 1 1 CL 40 CFR 403- 12 Brown Act 29 CFR 1627.3 AR 1 Process Data Process Engineering SULO Page 7 of 8 H:\dept\gmo\120\BS\Records Management\Resolutions\2009\Sharepoint Migration\09-07.Records Mgmt-Att A Code Record Series H Retention CitationOfficialDuplicate COffice of Record Media V 221 Paper Electronic 222 Paper Electronic 263 Electronic H: Drive X 244 Paper Electronic 223 Paper Internet Electronic X X 224 Paper-JDE- H:/220 225 Paper X 226 Electronic Paper 227 Paper Electronic Video X 228 Paper Electronic X 229 Paper 230 Electronic H:Dr 231 Paper 232 Paper Electronic 233 Paper-JDE- H:/220 X 234 Paper-JDE- H:/220 235 Paper Electronic 236 Paper 237 Paper 238 Paper-JDE- H:/220 239 Paper 255 Electronic Video 240 Paper Tax Records, Vendor Training Records Travel Records Trial Balance Records Training Records, Safety Human Resources 3 1 3 7 3 LOECRA and O&M Warehouse Records Underground Storage Tanks 45 Days CL+2 Submittals, Design & Construction Tax Records, Employee Security Clearance Records, Computer Systems Sewer Line Records Specifications & Plans Research & Reference Materials (Internal Sources) Resolutions, Board Risk Management Reports Software Application Files Salary Deduction Records for Benefits Reports, General Reports, Technical SUVideo Surveillance Files Contracts Purchasing & Materials Mgmt 1 Safety & Health Information Technology Originating Division Engineering & Construction Financial Management Financial Management Engineering Planning Information Technology Originating Division Originating Division Originating Division Clerk of the Board Originating Division Financial Management / Risk Management Human Resources Information Technology / Human Resources Clerk of the Board CL+5 TE+7 3 TE+3 CL+6 SU AR AR LO LO LE+3 LO 3 AR CL+6 CL+4 1 1 1 CL 1 AR SU CL AR 1 1 CL 23 CCR 2772 26 CFR 1.6041.1 AB 474 29 CFR 516.5 AR Speeches and Presentations Subject Files Report Repository IT / Records Mgmt 1 SU 1 SU 1 1 Originating Division Financial Management 1 Page 8 of 8 H:\dept\gmo\120\BS\Records Management\Resolutions\2009\Sharepoint Migration\09-07.Records Mgmt-Att A Code Record Series H Retention CitationOfficialDuplicate COffice of Record Media V 241 Paper 242 Electronic CMMS 260 Paper X AR Annual Review CL Closed, Completed LO LP LE Life of Organization, Project, Equipment SU AA After Audit CL + A Closed Plus Terms of the Agreement RE Revised TE EX Expired V Vital H Historical C Confidential Sale, Disposition Workers Comp. Files Work Orders Originating Division Superseded 1 CL CL RETENTION PERIOD EVENT Code: All retention periods are listed in years (unless otherwise specified) and are in addition to the current year. SA Waste-hauler Files TE+30 CL+10 Financial Management Risk Management 49 CFR 382 O&M & Source Control ST/PD Settlement or Paid Termination 3 6/24/2009 1 ORANGE COUNTY SANITATION DISTRICT RECORDS MANAGEMENT PROCEDURE MANUAL Appendix B Date Issued: 11/17/2000 Revision: 9 Revised: 6/24/2009 Subject: Record Series with Definitions Approved by the Record Retention Schedule Review Committee 4/11/2009 1.1 INTRODUCTION It is the policy of the Orange County Sanitation District (OCSD) to maintain a records and information management (RIM) 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 101 Accident Records Records related to accidents during which OCSD property is damaged. Does not include records on employee injury. 102 Accounting Reports Reports summarizing accounting transactions. 103 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. 104 Accounts Receivable Files Records related to accounting for money owed to the organization includes user fees. 105 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. 106 Agenda and Committee 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. 107 Air Quality & AQMD Files Records related to South Coast Air Quality Management District (AQMD) and AB-32 Greenhouse Gases regulations, emissions monitoring and violations. 108 Annexation Files Records regarding the annexation of property to the organization. A) Final with Board approval B) Back up information 109 Annual Reports, Financial Records relating to the published annual financial reports, describing the financial status of the organization. 6/24/2009 2 110 Annual Reports, Operational Records relating to the published annual technical and operational status and performance reports of the organization. 111 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. 112 Audit Records, Environmental Records documenting the review of compliance activities with established environmental quality standards. 113 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. 114 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. 115 Banking Records Records related to bank transactions including deposit of funds, bank statements, bank reconciliation’s, and wire fund transfers. 116 Bids, and Sole Sources The successful proposals submitted by vendors to obtain contracts with OCSD, where OCSD selects that bid or proposal. Includes bid packages and sole sources. 117 Bids, and sole sources, Board Review Required, Awarded The successful proposals requiring board approval, submitted by vendors to obtain contracts with OCSD, where OCSD selects that bid or proposal. Includes bid packages and sole sources. 118 Bids, Board Review Required, Unsuccessful Proposals, requiring board approval, submitted by vendors to obtain contracts with OCSD, where OCSD does not award that bid or proposal. Includes bid packages. 119 Bids, Unsuccessful The unsuccessful proposals submitted by vendors to obtain contracts with OCSD, where bid is not awarded to that vendor. Includes bid packages. 120 Biosolids Management Records Records related to biosolids hauling, use, and EMS activities. 121 Board Administrative Files Records relating to board members, appointments to the board, Directors list, current contact information and Loyalty Oaths. 122 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. 123 Budget Files, Approved Records relating to internal planning and financial management. Includes budge vs. cost reports, summaries, worksheets, goals and objectives and milestones. 6/24/2009 3 124 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. 125 Cash Receipts Records related to cash payment received. 126 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. Part of Bid and Contract Packages 127 Certificate of Insurance, Board Approved Contracts Proof of insurance coverage, such as board forms, required by OCSD for OCSD vendors providing certain goods or services under contracts requiring board approval. Part of Bid and Contract Packages 128 Chain of Custody Records, Laboratory Records related to proving ownership or provenance of a specimen, solution or sample. 129 Chain of Custody Records, Source Control Records acknowledging receipt of split sample, taken by a source control inspector. 130 Check Registers Records listing individual checks issued, the date, payee, amount and purpose of the expense. 131 Check Requests Forms requesting the issuance of a check or warrant to pay for OCSD incurred expenses. 132 Checks, Cancelled OCSD issued checks cashed by the payee and returned to OCSD by the paying financial institution. 133 Checks, Copies Copies of OCSD issued checks usually filed together by check number. 134 Chemical Inventory Records Records related to chemical delivery, chemical transfers, usage, manifests worksheets and inventory logs. 251 City/County Utility Requests Utility requests from cities, the County of Orange, Consulting Engineers and General Correspondence with cities & counties. 135 Claim Files Records regarding claims of wrongdoing by the organization or its employees. Claims generally request compensation for damage or loss. 136 Complaint Files Records related to complaints filed by the public regarding the organizations operations or activities 137 Compliance Records Records relating to monitoring the environment and ensuring compliance with pertinent regulations. Includes compliance, monitoring, QA, QC, spill and/or mitigation reports. 138 Computer Maintenance Tapes and CD’s Backup tapes and CD Masters maintained for Disaster Recovery of the Computer System 139 Computer System Administration Records Records regarding work activities to maintain and ensure continued operation of computer systems and applications. 140 Confined Space Records Records related to procedures, permits and entry into confined spaces. 6/24/2009 4 141 Conflict of Interest Filings and Ethics Training Certificates Records relating to conflict of interest filings for active and alternate board members, and designated employees. Ethics Training Certificates. 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. 143 Contracts/ Agreements, Board or Committee Approval Required Records relating to obligations defined in contracts and agreements requiring Board or Board Committee approval. Includes Specs and Plans, Scope of Work, promissory agreements, contracts and pending contracts for services, leases and software licenses authorized by the Board of Directors or Board Committee. 144 Crane Inspection Records Records related to periodic inspection, annual certifications, quadrennial proof load test reports, and permit to operate cranes and derricks. 145 Deferred Compensation Records Records of employee contributions and OCSD payments. 146 Delegation of Signature Authority Records Records specifying the person(s) having the temporary authority to approve specified activities or documents during the absence of the individual normally authorized to perform the activities or approve documents. 147 Delivery Receipts Records documenting receipt of shipped items. May include delivery shipment receipts and registered mail receipts which may be filed with Purchase Orders. 252 DOT Random Drug & Alcohol Test Records Records of tests done by outside contractor in compliance with DOT required Random Drug & Alcohol Testing 148 Drawings, Field Markup (As-Built) Records that graphically depict specifications. Copy of conformed drawings marked up by contractors and/or inspectors during construction to show how facility or component is actually constructed. 150 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. 6/24/2009 5 248 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 conditions of the contract including general and supplementary conditions, the specifications and drawings, any changes to the specifications and drawings, any changes to the original contract and any other items specifically itemized as being part of the contract documents. 249 Drawings, Record Construction documents updated to show the progress of the work, usually based on data furnished by the contractor to the designer. Record Drawings shall be stamped by a professional engineer. 151 Drawings, Shop Documents created by a contractor, subcontractor, vendor, manufacturer, or other entity that illustrate construction, materials, dimensions, installation and other pertinent information for the incorporation of an element or item into the construction. 153 Employee Benefit Plans and Programs Records related to all employee benefits plans, and programs including health insurance, tuition reimbursement, thrift plans, beneficiary designations, eligibility. 267 Employee Relations Files Files involving employee rights, investigations, PIP, disciplinary actions and complaints. 154 Environmental Impact Report A – Final Documents B – Back up Information A. Records, used to prepare the draft and final EIR 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 with State and/or County Clerk 259 Environmental Reports Master Plans and EIR’s submitted from outside sources for review by the District and NOE’s for OCSD projects. 155 EOC Activation Records Records related to documenting activities of emergency operations center (EOC) during a declared emergency. 156 Equipment Maintenance Records Records regarding maintaining OCSD equipment and vehicles (excluding crane records) includes daily maintenance reports, service checklist, preventative maintenance schedules, service logs and test records. 157 Equipment Ownership Records related to ownership of equipment including correspondence, drawings, operating instructions, warranties and registrations. 262 Escrow Bid Documents Documents submitted with bid packages for large CIP Projects 6/24/2009 6 158 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. 159 Financial Planning Records related to the budgeting and planning of the organizations revenues and expenses. 160 Financial Statements Records stating the financial position and condition of the organization. 161 Fixed Asset Records Records relating to the acquisition, depreciation and accruals of fixed assets. 162 Flow Records Records related to tracking influent and effluent. 163 Formation Files Records documenting the terms under which OCSD was formed, organized, re-organized or consolidated. 164 General Ledger Summary of all financial accounts. Records relating to the postings to the General Ledger. 264 Grand Jury Reports and OCSD Responses Reports received from the Grand Jury and OCSD Responses to same 165 Grant Records and Agreements Documents related to awarded grants including applications, agreements, progress & financial reports and compliance paperwork, includes Cooperative Project Agreements 166 Labor Relations Files Labor/Union relations information, meet and confer notes, Memorandums of Understanding and MOU administration. Records includes arbitration between employer and employee, grievances, union requests, employee rights, employee rights information, appeals, sexual harassment information and civil rights information. 167 Hazardous Waste Records Records regarding the storage, transportation, or handling of hazardous waste. 168 Historical 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, significant events, and strategic planning of the organization. 169 I-9 Forms Forms required by the federal government under the requirements of the Immigration Reform/Control Act of 1986. 170 Incident Records Includes records regarding unscheduled maintenance, or deliberate property damage such as theft, arson, vandalism, or other loss of OCSD assets. Records documenting security related incidents, including local police reports, criminal and non-criminal incidents, loss of District property or violations of security policy. All safety incident reports including fire alarm and fire department reports. 6/24/2009 7 171 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. 172 Inspection Records, Construction Daily Progress Records related to inspection of the daily progress of construction activities to ensure quality and compliance with specifications and standards. 173 Inspection Records, Construction Specialty Records related to specialty inspection of construction activities to ensure compliance with specifications. Includes welding, vibration analysis, soils analysis and pile driving inspections, photos, NETA reports, lab certificates and coordination studies. 174 Inspection Reports, Manhole Records related to the comprehensive evaluation of the wear condition of the manhole structure including frame and cover replacement records. 175 Insurance Policies Records related to insurance policies purchased by OCSD, including the policies and any amendments. 176 Investment Records Records relating to investments including the purchase of stocks, bonds or other equities, ownership and account statements. 246 IT Service Tickets IT service requests received by the Help Desk Magic System 177 Job Descriptions Records describing the duties and responsibility of each job position and the expectations for performance. 178 Journal Entries Account postings with supporting documentation. 179 Laboratory Records Records related to laboratory activities including data logs, lab equipment maintenance and sterilization, QA and QC records. 253 Laboratory Data Backup Tapes Statistical laboratory data housed on the chromium and erbium servers 265 Land Records All records having to do with property rights including Easements, Grant Deeds, Quit Claim Deeds, Abandonments, Condemnations, purchase & sale of real estate and other Property Agreements. 180 Legislation and Regulatory Development Files Records regarding local, state and federal legislation, session bills, annual legislative agenda, lobbying files and summaries of bills that may affect OCSD’s operations or organization. Records generated during regulation or rule development. . 243 Line Maintenance Files Records of maintenance and inspection of sewer lines. 181 Litigation Files Records related to possible or actual litigation or government investigations. Includes court proceedings records, pleadings, discovery, work product, exhibits and final judgments. 6/24/2009 8 182 Logs 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. 183 Logs, Control Center Bound notebooks describing activities, items or individuals regarding plant operations. Log entries generally occur in chronological order. 184 Master Plans / Strategic Plans Report describing long range program or major projects planning and goals of OCSD. Includes strategic plans. 185 Material Safety Data Sheets Records relating to the description and use of hazardous substances. 186 Medical Files A – Occupational B – Non-Occupational Records related to the medical history of employees, including injury and illness records. 187 Meeting Minutes, Administrative Meeting minutes, administrative records regarding the agenda and description of the decisions made or actions taken during the meeting, for meetings not board-related. 188 Meeting Minutes, Board and Board Committees Records regarding agenda, meeting minutes, resolutions, actions and decisions, of the Board of Directors and Board Committees. Includes administrative orders, minute orders and minute actions. 190 Monthly Reports Records related to operating and status information used to complete OCSD annual reports. 191 Operating Journals Daily entries documenting activities in district operations. Includes crew schedules. 192 Operating Records Records related to district operations. Includes data books, operating reports, overtime, crew schedules and daily lab reports. 193 Opinions Written legal opinions resulting from research on a given topic. 194 Ordinances Regulations enacted by board action and related records. Includes local limits report. 195 OSHA Compliance Records Records describing procedures for emergencies. Includes disaster recovery procedures and federal OSHA forms. 196 Payroll Records Records including timesheets, unemployment claims, garnishments and the payment of labor costs including salaries, wages, compensation and deductions for employees, Board Members and Contractors. 197 Permits Records including permits to operate plants, machinery, equipment and vehicle permits. Also includes right-of-way records. Does not include NPDES or AQMD permits or permits granted to the EAC. 6/24/2009 9 198 Permits, AQMD Records related to permits granted by AQMD to operate various equipment and engines. 199 Permits, Building and Construction Records related to plans, signs, grading, encroachment, including blueprints and specifications. Approval to construct or renovate property, zoning variances and conditional use permits. 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. 200 Permits, NPDES Records relating to the application for a permit to discharge pollutants, in compliance with the Clean Water Act. Includes the permit. 261 Permits, Sewer Connections All documents related to permits for connections to the collection system 201 Permittees Files Records related to monitoring businesses with discharge permits and urban runoff. 202 Personnel Files Records relating to individual employees. Records may include employment applications, performance evaluations, salary information, and separation documents. 203 Petty Cash Records Records documenting replenishment of cash and disbursements of cash from the petty cash fund. 204 Policies/Procedures Administrative Records providing documentation on the implementation of management and administrative policies and directions for various organizational functions. 205 Policies/Procedures, Manuals and Standard Operating Procedures (SOP’s) Records providing documentation on the implementation of technical and operating policies and directions for various operational functions. Includes technical, vendor and engineering manuals. 266 Process Data Data received from internal and external sources used for process assessment and understanding, optimization, decision making and as a basis of engineering evaluation of process changes. 247 Problem Reports for Collection Systems Communications, in any media, received as a result of a collection system problem 206 Project Files (Job or Contract 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. 6/24/2009 10 207 Proof of Publication, Ordinances Records related to proving that required public notices have been published in prescribed publications. 245 Public Comment Files Communications, written, voice and digital from the public on District matters 250 Public Record Requests Records reflecting Public Record Act (PRA) and Freedom of Information Act (FOIA) Requests and Material sent in response to same. 208 Public Relations Records Records related to preparing public information, brochures describing OCSD activities, photographs and graphics used. 209 Publications and Meeting Notices Records related to providing information to the public and to staff about OCSD activities. Includes internal newsletters and news clippings, and postings of Directors’ meetings. 210 Purchase Order Files (OA and OB) Open Annual (OA) and Open Blanket (OB) Purchase Orders 256 Purchase Order Files (OP and OS) Purchase Orders for Goods (OP) and Services (OS) 211 Purchase Requisition Files (OA and OB) Records initiating the purchasing process for Open Annual (OA) and Open Blanket (OB) Purchases. 257 Purchase Requisition Files (OP and OS) Records initiating the purchasing process for Goods (OP) and Services (OS) 214 Recorded Documents The official version of a document recorded by the County Recorder’s office. Includes notice of completion, deeds and easements. 215 Records Destruction Approvals & Certificates Documents certifying (confirming) the destruction of official records that have been approved for destruction. The certification attests to the fact that destruction was accomplished in accordance with applicable procedures. 216 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. 217 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, External Sources 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 6/24/2009 11 220 Reports, Financial Records relating to financial, fiscal and monthly reports. May include worksheets, spreadsheets, analysis and reports of financial or investment results. 221 Reports, General Records generated internally and periodically, relating to the status or progress of routine activities or statistics. 222 Reports, Technical Records related to the preparation of technical or management reports based on studies, the completed report or study. 263 Report Repository Central Repository for Report and Studies that affect the District as a whole, either externally or internally generated 244 Research/Reference Files, Internal Sources Material used as reference in development of current matters or projects from Internal Sources 223 Resolutions, Board Formal expression of the will, opinion and intent voted by the Board of Directors and legislative-type actions. 224 Risk Management Reports Report records related to OCSD claims, loss runs, loss analysis and related records. 225 Salary Deduction Records for Benefits Records related to OCSD employees deduction authorization, beneficiary designations. 226 Security Clearance Records, Computer Systems Records related to authorizing employees or contractors to have access to an OCSD computer system, system module or the data stored in a computer system or system module. 227 Sewer Line Records Records related to sewer operations and maintenance. Includes easements, atlas, sewer line videotapes and sewer index maps. 228 Software Application Files Records related to software applications owned by OCSD. Includes software registrations and records related to the maintenance of software applications. 229 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. 230 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. 231 Subject Files Records related to topics and issues filed by the subject of the records. May include studies, reports and other results of research activities. 232 Submittals, Design & Construction Plans and specifications submitted by consultants for OCSD’s review and approval at specified completion stages. 233 Tax Records, Employee 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 1096 and W -2 Forms. 6/24/2009 12 234 Tax Records, Vendor Records related to reporting to the IRS, miscellaneous income paid to vendors and contractors. 235 Training Records Records relating to the training and orientation of employees. Records may include class attendance sheets, schedules, classes offered, records of class curriculum or syllabus, and training materials development. 236 Training Records, Safety Records relating to the training and orientation of employees on safety issues. Records may include class attendance sheets, schedules, classes offered, records of class curriculum or syllabus, and training materials development. 237 Travel Records Records documenting travel requests, itineraries, lodging or transportation reservations for employees, Board Members and Contractors. Expense reports are a separate record series. 238 Trial Balance Records Records summary record of account balances by debits and credits to prove accuracy of accounting data. 239 Underground Storage Tanks Records related to the maintenance of underground storage tanks. Includes permit. 255 Video Surveillance Files Video surveillance files from various security cameras on site at OCSD facilities. 240 Warehouse Records Records related to managing the warehouse, including sales orders, stock out, shipping records, inventories. 241 Waste-hauler Files Records related to transporting waste to or from OCSD plants. Includes manifests and waste-hauler schedules. 242 Work Orders Records related to requesting repairs, alterations, improvements, maintenance or other services; records related to the completion of the work requests. Includes Office Relocation Requests. 260 Workers Compensation Files Records relating to employee work related injuries