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HomeMy WebLinkAboutOCSD 15-16 (REPEALED) REPEALED BY RESOLUTION 18-22 RESOLUTION NO. OCSD 15-16 A RESOLUTION OF THE BOARD OF DIRECTORS OF ORANGE COUNTY SANITATION DISTRICT ADOPTING THE RECORDS MANAGEMENT PROGRAM POLICY AND PROCEDURES, UPDATED RETENTION SCHEDULE, AUTHORIZING DESTRUCTION OF OBSOLETE RECORDS AND REPEALING RESOLUTION NO. OCSD 10-12 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 statuses 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 described and appropriate to authorize the destruction of the records on a routine basis that have been retained for a certain period of time, that are copies of originals on file with the District, or that have been preserved in conformance with all applicable statutes. NOW, THEREFORE, the Board of Directors of Orange County Sanitation District, DOES HEREBY RESOLVE, DETERMINE, AND ORDER: Section 1: Adoption of Records Management Policy and Procedures. The Board of Directors of the District hereby adopts the records Management Policy and Procedures for the Fiscal Year 2015-16. 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" 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 in 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 OCSD 15-16-1 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 iin the District. Section 6: Retention of Records Not Mentioned. All records, papers, and documents not mentioned in this Resolution shall be retained. Section 7: Resolution No. OCSD10-12 is hereby repealed. PASSED AND ADOPTED at a regular meeting of the Board of Directors held July 22, 2015. Joiel en B rd Chair ATTEST: KeI A. o e CI k of h Board OCSD 15-16-2 STATE OF CALIFORNIA ) ss COUNTY OF ORANGE ) I, Kelly A. Lore, Clerk of the Board of Directors of the Orange County Sanitation District, do hereby certify that the foregoing Resolution No. OCSD 15-16 was passed and adopted at a regular meeting of said Board on the 22nd day of July 2015, by the following vote, to wit: AYES: Bartlett; Beamish; Benavides (Alternate); Stacy Berry (Alternate); Choi; Curry; Deaton; Diep; Ferryman; Jones; Katapodis; Kiley; Kim; Kring; Mills; R. Murphy; Nagel; Nielsen; Parker; Sebourn; Shawver; F. Smith; T. Smith; Wanke; and Withers. NOES: None ABSTENTIONS: None ABSENT: None IN WITNESS WHEREOF, I have hereunto set my hand and affixed the official seal of Orange County Sanitation District this 22nd day of July, 2015. 1 -1L 4&=VL Kell A. o e Cle k of Board of Directors Orange County Sanitation District OCSD 15-16-3 Appendix"A" GENERAL RETENTION SCHEDULE INFORMATION Orange County Sanitation District CITATION CODES: RETENTION CODES: Any Public Records Act requests,litigation,audits,claims and Records Retention Schedule CCP Code of Civil Procedure(caur—ta( C Confidential investigations suspends the stated retention periods.Authorization and CCR California Code of Regulations CL CFR Code of Federal Regulations Closed or Completed proper destruction methods are required prior to destroying all official 5,, Ex Expired or Expiration raN records as stated in the District's Records Retention Policy. EC Elections Code(caiaon,ia) EL ElectronicGC Government Code(caiaoroia) -- H&S Health&Safety Code H Historical Retention and destruction of records applies to all media types IRC Internal Revenue Code LF Life of Facility,Equip.or Software including both paper and electronic documents. IRs Internal Revenue Service LO Life Organization or Permanent •; � W LC Labor Code(cgaamia) MA Maturity r a PC Penal Code(caiaomia) NN When No Longer Needed "a rxr evP Copies,non-records,notes,preliminary drafts and transitory records OMB Office of Management&Budget g Superseded can be destroyed when no longer needed for District business and do R&TC Revenue&Taxation Code(cama—) Sp Separated • SOS Secretary of State T Terminated not require prior authorization. When original records have reached Board Services y vital USC United States Code their destruction term all copies and duplicates must be destroyed we Water Code along with the original,regardless of the media of the record. Sirliecial Stora a Consideration Retention Retention Number Record Type Length Retention Citations/Comments (Years Unless Vital Historical Confidential Specified) BSDO01 Affidavits of Publications Notices LO GC§§60201,GC§54960.1(c)(1) BSDO02 Agenda and Committee Reports LO V H GC§34090;SOS c22 Agreements&Contracts-Political&Outside Jurisdictions/Agencies BSDO03 Cooperative Agreements,JPAs(Joint Powers Authorities),JFAs(Joint Finance Authorities), LO V GC§60201 Interagency,etc. BSDO04 Annexation Files LO V H GC§34090;GC§60201(d)(1);SOS c28 BSDO05 Bids-Awarded (Board Reviewed) LO GC§60201(d)(6);SOS c30 BSDO06 Bids-Unsuccessful (Board Reviewed) 2 GC§34090;GC§60201(d)(1 1);SOS c30 Board Administration Files CPC 801.5 22;29 USC§1113; BSD007 Loyalty Oaths,Election Records 10 V SOS c18 1 Board Services Adopted: OCSD 15-16-4 Appendix"A" GENERAL RETENTION SCHEDULE INFORMATION Orange County Sanitation District CITATION CODES: RETENTION CODES: Any Public Records Act requests,litigation,audits,claims and Records Retention Schedule CCP Code of Civil Procedure(caieornia) C Confidential investigations suspends the stated retention periods.Authorization and CCR California Code of Regulations cL CFR Code of Federal Regulations Closed or Completed proper destruction methods are required prior to destroying all official J a., EX Expired or Expiration records as stated in the District's Records Retention Policy. ' EC Elections Codelcanomial Y GC Government Code tcaaorniat EL Electronic H&S Health&Safety Code Historical Retention and destruction of records applies to all media types IRC MA Maturity Internal Revenue code LF Life of Facility,Equip.or Software including both paper and electronic documents. IRS Internal Revenue Service LO Life Organization or Permanent W LC Labor Code Icaaomial ° pC Penal Codeicaaomia) NN When No Longer Needed Copies,non-records,notes,preliminary drafts and transitory records r OMB Office of Management&Budget S Superseded can be destroyed when no longer needed for District business and do R&TC Revenue&Taxation Code cnem,. sP Separated Secretary of State T Terminated not require prior authorization.*When original records have reached Board Services sos V vital USC United States Code their destruction term all copies and duplicates must be destroyed we Water Code along with the original,regardless of the media of the record. Special Stora a Consideration Retention Retention Record Type Length Retention Citations/Comments Number (Years Unless Vital Historical Confidential Specified) BSDO08 Conflict of Interest(FPPC Filings) T+7 GC§81009(e);SOS cl8 BSDO09 Contracts/Agreement-Board Review and Approval P V GC§60201(d);CCP 337 et seq.;SOS c22 Includes Specifications BSDO10 Director's Agency Correspondence LO GC§60201 BSD011 Ethics Training 5 GC§53235.2(b) Sexual Harassment Board Only,Ethics Training Board&Employee BSDO12 Formation Files LO V H GC§60201(d)(1) Land Records BSD013 Easements,Grant,Deeds,Quit Claim Deeds,Abandonments,Condemnations,Real Estate LO V H GC§60201(d)(8);GC§34090(a) Purchase&Sale,Property Agreements,Encroachment Permits,Etc. BSDO14 Legal Opinions LO V H C SOS c23 2 Board Services Adopted: OCSD 15-16-5 Appendix"A" GENERAL RETENTION SCHEDULE INFORMATION Orange County Sanitation District CITATION CODES: RETENTION CODES: Any Public Records Act requests,litigation,audits,claims and Records Retention Schedule CCP Code of Civil Procedure(ceeromral C Confidential investigations suspends the stated retention periods.Authorization and CCR California Code of Regulations CL CFR Code of Federal Regulations Closed or Completed proper destruction methods are required prior to destroying all official 5�,a EC Elections Code("Ionia) EL Electronic EX Expired or Expiration + y records as stated in the District's Records Retention Policy. _ GC Government code(oeiaoroie) _ H&S Health&Safety Code Historical Retention and destruction of records applies to all media types IRC Internal Revenue Code LF Life of Facility,Equip.or Software including both paper and electronic documents. IRS internal Revenue Service LO Life of Organization or Permanent •o LC Labor Code lcdaomiel MA Maturity a PC Penal Code(cdaomia( NN When No Longer Needed THE E eQ N�6 Copies,non-records,notes,preliminary drafts and transitory records OMB Office of Management&Budget S Superseded can be destroyed when no longer needed for District business and do R&TC Revenue&Taxation Code anm a Sp Separated SOS Secretary of State T Terminated not require prior authorization. When original records have reached Board Services USC United States Code V vital their destruction term all copies and duplicates must be destroyed we Water Code along with the original,regardless of the media of the record. Special Stora a Consideration Retention Retention Number Record Type Length Retention Citations/Comments (years unless Vital Historical Confidential Specified) BSDO15 Litigation Files CL+6 GC§60201(d) BSDO16 Meeting Minutes-Board&Board Committees LO V H GC§60201(d)(3) BSD017 Ordinances LO V H GC§60201(d)(2) BSDO18 Recorded Project Documents-Board Approved LO V H GC§60201(d)(8);SOS c26 Notice of Completion BSD019 Resolutions LO V H GC§60201(d)(2);GC§34090(e) Tapes&Digital Recordings(Audio) Minimum retention 30 days or until BSD020 Board or Committee Meetings 6 months adoption of the minutes Per Brown Act;GC §54953.5(b) 3 Board Services Adopted: OCSD 15-16-6 Appendix"A" GENERAL RETENTION SCHEDULE INFORMATION Orange Count Sanitation District CITATION CODES: y � RETENTION CODES: Any Public Records Act requests,litigation,audits,claims and Records Retention Schedule CCP Code of Civil Procedure icamor gal C Confidential investigations suspends the stated retention periods.Authorization and CCR California Code of Regulations cL CFR Code of Federal Regulations Closed or Completed proper destruction methods are required prior to destroying all official SA„ EX Expired or Expiration records as stated in the District's Records Retention Policy. 'ti EC Elections Code lcairor ial EL Electronic y GC Government Code Icauromial H&S Health&Safety Code Historical Retention and destruction of records applies to all media types IRC Internal Revenue Code LF Life of Facility,Equip.or Software IRS Internal Revenue Service LO Life of Organization or Permanent including both paper and electronic documents. ; MA Maturity LC Labor Code(cair .) NN When No Longer Needed PC Penal Code(ca�r—omial g Superseded Copies,non-records,notes,preliminary drafts and transitory records OMB Office of Management&Budget can be destroyed when no longer needed for District business and do R&TC Revenue&Taxation Code(c.,f.,—) Sp Separated require prior authorization."When original records have reached Contracts,Purchasing&Materials SOS Secretary of State T Terminated not re q p l USC United States Code V Vital their destruction term all copies and duplicates must be destroyed we Water Code along with the original,regardless of the media of the record. Special Stora a Consideration Retention Retention Number Record Type Length Retention Citations/Comments (Years Unless Vital Historical Confidential Specified) Contract&Agreement File-Capital Improvement Projects(CIP) Services CPM001 (Includes Insurance certificates,authorization document,change orders,amendments,notices, LO V S §60201;Originals Kept in Board construction,etc.) Se CPM002 Contract&Agreement File-Non Capital Improvement Projects(Non CIP) CL+6 V GC§60201 Professional Services,Equipment,Supplies,etc. CPM003 Escrow Bid Documents LP V C CCP§337.15 CPM004 Procurement File CL+6 GC§60201 RFP,RFB,Addendum,Q&A Log,Evaluation Material,Correspondence etc. CPM005 Purchase Order&Requisition Files(OA and OB) CL+6 CCP§337;SOS c30 Open Annual and Open Blanket CPM006 Purchase Order&Requisition Files(OP and OS) CL+2 CCP§337;SOS c30 Open Purchase and Open Service 4 Contracts,Purch.&Materials Adopted: OCSD 15-16-7 Appendix"A" GENERAL RETENTION SCHEDULE INFORMATION Orange County Sanitation District CITATION CODES: RETENTION CODES: Any Public Records Act requests,litigation,audits,claims and Records Retention Schedule CCP Code of Civil Procedure(caiaamia) C Confidential investigations suspends the stated retention periods.Authorization and CCR California Code of Regulations CL CFR Code of Federal Regulations Closed or Completed proper destruction methods are required prior to destroying all official a�, EX Expired or Expiration �r y records as stated in the District's Records Retention Policy. EC Elections Code(calaorma) EL ElectronicGC Government Code(California) H&S Health&Safety Code H Historical Retention and destruction of records applies to all media types RC Internal Revenue Code LF Life of Facility,Equip.or Software including both paper and electronic documents. IRS Internal Revenue Service LO Life ri Organization or Permanent •o LC Labor Code(caldomia) MA Maturity P� NN When No Longer Needed °ryNa HAP pC Penal Code(calaorma) g Superseded Copies,non-records,notes,preliminary drafts and transitory records '"` OMB Office of Management&Budget can be destroyed when no longer needed for District business and do R&TC Revenue&Taxation Code l a ro,al SP Separated not require prior authorization.*When original records have reached Contracts,Purchasing&Materials SOS Secretary of State V Vital minaled USC United States Code their destruction term all copies and duplicates must be destroyed we Water Code along with the original,regardless of the media of the record. Special Storac a Consideration Retention Retention Record Type Length Retention Citations/Comments Number (Years Unless Vital Historical Confidential Specified) GC §60201;GC§34090; Warehouse Materials Management Records CCP§337,SOS c29 Now Kept in CPM007 Includes Disposal of Surplus Assets 4 Database.Paper records 4 years; Database indefinite. Warehouse Records CCP§337;Now Kept in Database.Paper CPM008 Sales Orders,Discrepancies,Add To Stores,Receivers,Return To Vendors(RTV),Shipping 4 records 4 years;Database indefinite. Records,Inventories 5 Contracts,Purch.&Materials Adopted: OCSD 15-16-8 Appendix"A" GENERAL RETENTION SCHEDULE INFORMATION Orange County Sanitation District CITATION CODES: RETENTION CODES: Any Public Records Act requests,litigation,audits,claims and Records Retention Schedule CCP Code of Civil Procedure(casfomia) C Confidential investigations suspends the stated retention periods.Authorization and CCR California Code of Regulations CL Closed or Completed destruction methods are required nor to destroying all official CFR Code of Federal Regulations EX Expired or Expiration proper q p Y g s xr EC Elections Code(ce.w.) P P records as stated in the District's Records Retention Policy. 7�. " GC Government Code(caiaom+a) EL Electronic + - H&S Health&Safety Code H Historical Retention and destruction of records applies to all media es IRC Internal Revenue Code LF Life of Facility,Equip.or Software pp types a LO Life of Organization or Permanent including both paper and electronic documents. IRS Internal Revenue Service MA Maturity LC Labor Code(cainomia)PC Penal Code(calaomia) NN When No Longer Needed Superseded Copies,non-records,notes,preliminary drafts and transitory records OMB Office of Management&Budget S S S Separated can be destroyed when no longer needed for District business and do R&TC Revenue&Taxation Code ra ra. Secretary of State T Terminated not require prior authorization.*When original records have reached Engineering sos V Vital USC United States Code their destruction term all copies and duplicates must be destroyed WC Water Code along with the original,regardless of the media of the record. Special Storac a Consideration Retention Retention Record Type Length Retention Citations I Comments Number (Years Unless Vital Historical Confidential Specified) ENG001 Aerials LO GC§60201,GC§34090 (Includes Plans&Photos) Bid Package ENG002 Published Packet-Info for Bidders,Sample Contract Agreement,Specifications,Drawings, CL+6 GC§60201 Addenda's Issued During Bidding ENG003 Bid Submittal Forms CL+6 GC§60201 ENG004 CEQA/NEPA Documents: Prepared by others for NON OCSD Projects NN GC§60201 Environmental Impact Reports(EIRs),Environmental Assessments,Negative Declarations,etc. CEQA/NEPA Documents: Prepared for District Purposes ENG005 Environmental Impact Reports(EIRs),Environmental Assessments,Negative Declarations, LO GC§60201;14 CCR§15095(c) Environmental Impact Report Documents,Comment Card,Meeting Agenda,Notice of Preparation(NOP),etc.) ENG006 Drawings-Bid Set CL+6 V GC§60201 6 Engineering Adopted: OCSD 15-16-9 Appendix"A" GENERAL RETENTION SCHEDULE INFORMATION Orange Count Sanitation District CITATION CODES: g Y RETENTION CODES: Any Public Records Act requests,litigation,audits,claims and Records Retention Schedule CCP Code of Civil Procedure(Cerromie) C Confidential investigations suspends the stated retention periods.Authorization and CCR California Code of Regulations CL Closed or Completed proper destruction methods are required prior to destroying all official CFR Code of Federal Regulations EX Expired or Expiration records as stated in the District's Records Retention Policy. EC Governs nt Codenomiel EL Electronic Y �. o GCGovernmenlCode(cale«ora) H&S Health&Safety Code H Historical Retention and destruction of records applies to all media e5 IRC Intemal Revenue Code LF Life of Facility,Equip.or Software pp types LO Life of Organization or Permanent including both paper and electronic documents. IRS Internal Revenue Service MA Maturity LC Labor Code(celaom+a) aW2 NN When No Longer Needed a pC Penal Code(celaom,a) Copies,non-records,notes,preliminary drafts and transitory records `" " OMB Office of Management&Budget S Superseded Sp Separated can be destroyed when no longer needed for District business and do R&TC Revenue&Taxation Code iainan.r SOS Secretary of State T Terminated not require prior authorization. When original records have reached Engineering V vital USC United Slates Code their destruction term all copies and duplicates must be destroyed We Water Code along with the original,regardless of the media of the record. Special Storac a Consideration Retention Retention Record Type Length Retention Citations/Comments Number (Years Unless Vital Historical Confidential Specified) GC§60201;Superseded by the record drawings.If no record drawings are issued, ENG007 Drawings-Conformed Set S V the conformed set is kept for Life of Organization. ENG008 Drawings-Record LO V GC§60201 ENG009 Drawings-Shop LO V GC§60201 ENG010 Encroachment Permits LF GC§60201 et seq.;GC§34090.Retain for Life of the Permit Engineering Project File-Facility Records CCP§337 et.seq.,GC§60201;Capital Board Letters(copy),Change Orders,Consultant Proposals(Successful),Engineering Reports, Improvement Projects(CIP)are to be Pipeline Extensions,Final Record Drawings,Inspection Pictures,Inspection Reports, retained for Life of Organization.Non CIP Instrumentation Testing,Mechanical Testing Material Testing,Notifications,Permits(Design, ENG011 Environmental),Photos,Preliminary Design Report(PRD),Progress Payments,Project Budget, LO V Project Fries are Closed+6.Some Project Schedule,Rights of Way/Easements,Soils,Geotechnical Reports,Specifications- administration files maybe kept longer based on business value and contractual Conformed/Record,Submittals,Surveys,Studies,Videos Post and Pre Construction,CAD Files,Engineer's Calculation Files or funding agreements. 7 Engineering Adopted: OCSD 15-16-10 Appendix"A" GENERAL RETENTION SCHEDULE INFORMATION Orange County Sanitation District CITATION CODES: 7 RETENTION CODES: Any Public Records Act requests,litigation,audits,claims and Records Retention Schedule CCp Code of Civil Procedure(catfomia) C Confidential investigations suspends the stated retention periods.Authorization and CCR California Code of Regulations CL Closed or Completed destruction required prior to destroyingall official SANI CFR Code of Federal Regulations EX Expired or Expiration proper es on methods are tr EC Elections Code(caifomia) records as stated in the District's Records Retention Policy. °� GC Government code(caifomia) EL Electronic _- H Historical H&S Health&Safety Code Retention and destruction of records applies to all media es IRC Internal Revenue Code LF Life of Facility,Equip.or Software pP types IRS Inlemal Revenue Service LO Life of Organization or Permanent including both paper and electronic documents. MA Maturity 'o e� LC Labor Code(caifomia)pC Penal Code(cgfomia) NN When No Longer Needed rxr a N�P� Copies,non-records,notes,preliminary drafts and transitory records OMB Office of Management&Budget S Superseded gp Separated can be destroyed when no longer needed for District business and do R&TC Revenue&Taxation Code icama,mai T Terminated * Engineering SOS Secretary of State vital not require prior authorization. When original records have reached g g USC United States Code their destruction term all copies and duplicates must be destroyed we Water Code along with the original,regardless of the media of the record. Special Stora a Consideration Retention Retention Record Type Length Retention Citations/Comments Number (Years Unless Vital Historical Confidential Specified) Engineering Project File CCP§337 et.seq.,GC§60201;Capital Agreements/Contracts(Non-CIP and Copies),As-Built/Field Mark-Up Drawing,Project Improvement Projects(CIP)are to be Administration,Bid Summary,Bonds,Certificate Payroll,Grant Documents,Errors&Omissions, CL+g retained for Life of Organization.Non CIP ENG012 Insurance Certificates,Punch Lists,Bid Bonds(returned),Bond Copies of Drawings,Consultant Project Files are Closed+6.Some files Proposals(Unsuccessful),Correspondence,Engineer's Estimates,Memoranda,Permits may be kept longer based on business (Construction&Street Opening),Phone Message Log,Preliminary Notices,Project Schedules, value and contractual or funding Real Estate Appraisals,Requests for Information,Stop Notices-Claims,Transmittal Letters, agreements. Land Records GC§60201;Originals Kept in Board ENG013 Grant Deeds,Quick Claim Deeds,Utility Agreement,Will Serve Letter,Easements,Annexations, LO V H Services Land Agreements,Etc. ENG014 Master Plans and Strategic Plans LO V H GC§60201 et seq. ENG015 Permits-Sewer Connection&Trunk Sewer Connection LO V 40 CFR 122.28;40 CFR 122.41;GC §60201 et seq. ENG016 Reports&Studies-Final LO GC§60201 et seq. 8 Engineering Adopted: OCSD 15-16-11 Appendix"A" GENERAL RETENTION SCHEDULE INFORMATION Orange Count`, Sanitation District CITATION CODES: 7 RETENTION CODES: Any Public Records Act requests,litigation,audits,claims and Records Retention Schedule CCp Code of Civil Procedure(ca:aomia) C Confidential investigations suspends the stated retention periods.Authorization and CCR Califomia Code of Regulations CFR Code of Federal Regulations CL Closed or Completed proper destruction methods are required prior to destroying all official a�,,, EX Expired or Expiration +r EC Elections Code(caircomia) records as stated in the District's Records Retention Policy. °� °", GC Government Code(cailornca) EL Electronic H&S Health&Safety Code H Historical Retention and destruction of records applies to all media es IRC Internal Revenue Code LF Life of Facility,Equip.or Software PP types P LO Life of Organization or Permanent including both paper and electronic documents. �' IRS Internal Revenue Service MA Maturity LC Labor Code(caiaoma) a pC Penal Code(ca�rcom�at NN When No Longer Needed a rx x+` Copies,non-records,notes,preliminary drafts and transitory records OMB Office of Management&Budget S SupersededSp Separated can be destroyed when no longer needed for District business and do R&TC Revenue&Taxation Code i�ro,ai qi prior authorization.*When T Terminated not require en original records have reached Engineering sos secretary state pg USC United States Code V Vital their destruction term all copies and duplicates must be destroyed we Water Code along with the original,regardless of the media of the record. Special toracie Consideration Retention Retention Record Type Length Retention Citations/Comments Number (Years Unless Vital Historical Confidential Specified) ENG017 Sewer Line Records LO V GC§60201 Atlas,Videos,Maps,Etc. ENG018 Specifications-Bid Set CL+6 V GC§60201 ENG019 Specifications-Conformed/Record LO V GC§60201 ENG020 Utility Requests 3 GC§60201 ENG021 USA Alerts 3 GC§60201 9 Engineering Adopted: OCSD 15-16-12 Appendix"A" GENERAL RETENTION SCHEDULE INFORMATION Orange County Sanitation District CITATION CODES: RETENTION CODES: Any Public Records Act requests,litigation,audits,claims and Records Retention Schedule CCP Code of Civil Procedure tcalaornial C Confidential investigations suspends the stated retention periods.Authorization and CCR California Code of Regulations CL Closed or Completed CFR Code of Federal Regulations proper destruction methods are required prior to destroying all official EX Expired or Expiration .+SANITq� EC Elections Code lcworr,,af records as stated in the District's Records Retention Policy. GC Government Code lcalaornial EL Electronic _ H&S Health&Safety Code H Historical Retention and destruction of records applies to all media es IRC Internal Revenue Code LF Life of Facility,Equip.or Software pp types e A LO Life of Organization or Permanent IRS Internal Revenue Service including both paper and electronic documents. o MA Maturity LC Labor Code(cainamia) as INN When No Longer Needed pC Penal Codelcelnomial Copies,non-records,notes,preliminary drafts and transitory records Txr OMB Office of Management&Budget S Superseded Sp Separated Y can be destroyed when no longer needed for District business and do R&TC Revenue&Taxation Code canm,rna, Secretary of State T Terminated not require prior authorization.*When original records have reached Environmental Compliance sos V Vital USC United States Code their destruction term all copies and duplicates must be destroyed WC Water Code along with the original,regardless of the media of the record. special Stora a Consideration Retention Retention Record Type Length Retention Citations Comments Number (Years Unless Vital Historical Confidential Specified) ECDO01 Air Quality&AQMD Files 7 CCP§338(k);SOS c27 Testing Reports and Permit Applications ECDO02 AQMD Permits LO GC§60201 Various Equipment and Engines Operation Biosolids Management Records 40 CFR§503.17;40 CFR§122.410)(2);40 ECD003 Biosolids Hauling,Use,EMS Activities LO CFR§122.21;SOS c47 ECDO04 Environmental Audit Records LO GC§60201 Conducted By OCSD ECDO05 Environmental Audit Records LO GC§60201;SOS c27 External Audits Conducted By Outside Agencies ECDO06 Environmental Audit Records LO GC§60201 Internal Audits Within OCSD 10 Environmental Compliance Adopted: OCSD 15-16-13 Appendix"A" GENERAL RETENTION SCHEDULE INFORMATION Orange County Sanitation District CITATION CODES: RETENTION CODES: Any Public Records Act requests,litigation,audits,claims and Records Retention Schedule CCP Code of Civil Procedure(caurornia) C Confidential investigations suspends the stated retention periods.Authorization and CCR California Code of Regulations CFR Code of Federal Regulations CL Closed or Completed proper destruction methods are required prior to destroying all official CFR E Expired EC Elections Code(calnomia) H L Electronic s Expiration records as stated in the District's Records Retention Policy. °� y GC Government Code(calrtornia) _ H&S Health&Safety Code Historical Retention and destruction of records applies to all media es IRC Internal Revenue Code LF Life of Facility,Equip.or Software PP types LO Life of Organization or Permanent including both paper and electronic documents. e9 IRS Internal Revenue Service MA Maturity LC Labor Code(calaomia) NN When No Longer Needed u va pC Penal Code(calaomla) g Superseded Copies,non-records,notes,preliminary drafts and transitory records OMB Office of Management&Budget Sp Separated,ca�no���a� can be destroyed when no longer needed for District business and do R&TC Revenue&Taxation Code SOS Secretary of State Environmental Compliance T Terminated not require prior authorization.*When original records have reached P USC United States Code V Vital their destruction term all copies and duplicates must be destroyed we Water Code along with the original,regardless of the media of the record. Si3ecial Stora a Consideration Retention Retention Record Type Length Retention Citations Comments Number (Years Unless Vital Historical Confidential Specified) ECDO07 Permittees Files CL+3 40§CFR 122.416)(2),§403.12(o) Discharge Permits and Urban Runoff ECDO08 Underground Storage Tanks LO 23 CCR§2772;SOS c33 ECDO09 Waste Hauler Manifests 3 40 CFR§403.12(o)(v)(2) ECDO10 Permits,NPDES LO V 40 CFR§122.410)(2),40 CFR§403.12(o) 11 Environmental Compliance Adopted: OCSD 15-16-14 Appendix"A" GENERAL RETENTION SCHEDULE INFORMATION Orange County Sanitation District CITATION CODES: RETENTION CODES: Any Public Records Act requests,litigation,audits,claims and Records Retention Schedule CCP Code of Civil Procedure(cauomia) C Confidential investigations suspends the stated retention periods.Authorization and CCR California Code of Regulations CL CFR Code of Federal Regulations Closed or Completed proper destruction methods are required prior to destroying all official 5� EX Expired or Expiration t roh records as stated in the District's Records Retention Policy. EC Elections Code(Caldornia) EL ElectronicGC Government Code(Caldornia) H&S Health&Safety Code H Historical Retention and destruction of records applies to all media types IRC Internal Revenue code LF Life of Facility,Equip,or Software LO Life of Organization or Permanent IRS Internal Revenue Service including both paper and electronic documents. o MA Maturity c Pa LC Labor Code(caiaomia) NN When No Longer Needed Ba T E HAP pC Penal Code(ca�aomia) S Superseded Copies,non-records,notes,preliminary drafts and transitory records OMB Office of Management&Budget Sp Separated can be destroyed when no longer needed for District business and do R&TC Revenue&Taxation Code T Terminated not require prior authorization.*When original records have reached Environmental Lab&Ocean Monitoring SOS Secretary of state V vital USC United States Code their destruction term all copies and duplicates must be destroyed we Water Code along with the original,regardless of the media of the record. Special Stora a Consideration Retention Retention Record Type Length Retention Citations Number yp Vital Historical Confidential Comments (Years Unless Specified) EL0001 Chain of Custody-Laboratory 7 GC§60201 EL0002 Laboratory Records LO GC§34090.7,SOS c22 Data Logs,Lab Equipment Maintenance and Sterilization Data Packet-Analytical Chemistry&Metals EL0003 QA QC Reports,Final Processed Data Copies,Raw Data,LIMS Reports,Extraction Sheets, 7 GC§60201 Comments&Corrective Actions EL0004 Unprocessed Instrumentation Files LO GC§60201;Database is Indefinite EL0005 Lab Reports LO GC§60201 Compliance,DMRs,Annual Reports,etc. EL0006 Lab Database LO GC§60201;Database is Indefinite EL0007 Published Articles LO GC§60201 12 Envir.Lab&Ocean Monitoring Adopted: OCSD 15-16-15 Appendix"A" GENERAL RETENTION SCHEDULE INFORMATION Orange County Sanitation District CITATION CODES: RETENTION CODES: Any Public Records Act requests,litigation,audits,claims and Records Retention Schedule CCP Code of Civil Procedure lc.Iaamial C Confidential investigations suspends the stated retention periods.Authorization and CCR California Code of Regulations CL 9 p p Closed or Completed CFR Code of Federal Regulations proper destruction methods are required prior to destroying all official EX Expired or Expiration .+S�Ig4T ti EC Elections Codetcaiaomiaf EL Electronic p records as stated in the District's Records Retention Policy. ° GC Government Code(coleomio) H&S Health&Safety Code H Historical Retention and destruction of records applies to all media es IRC Internal Revenue Code LF Life of Facility,Equip.or Software pp types _ _ p LO Life of Organization or Permanent including both paper and electronic documents. IRS Internal Revenue Service MA Maturity LC Labor Code lcalaomial n+a PC Penal Code lcalaomial NN When No Longer Needed Copies,non-records,notes,preliminary drafts and transitory records OMB Office of Management&Budget S Superseded can be destroyed when no longer needed for District business and do R&TC Revenue&Taxation Code camp•ai Sp Separated y g Secretary of State T Terminated not require prior authorization."When original records have reached Environmental Lab&Ocean Monitoring sos V vital USC United States Code their destruction term all copies and duplicates must be destroyed we Water Code along with the original,regardless of the media of the record. Special Storac a Consideration Retention Retention Record Type Length Retention Citations/Comments Number (Years Unless Vital Historical Confidential Specified) EL0008 Lab SOP's LO GC§60201 EL0009 OMP Field Datasheets LO GC§60201 13 Envir.Lab&Ocean Monitoring Adopted: OCSD 15-16-16 Appendix"A" GENERAL RETENTION SCHEDULE INFORMATION Orange County Sanitation District CITATION CODES: RETENTION CODES: Any Public Records Act requests,litigation,audits,claims and Records Retention Schedule CCP Code of Civil Procedure(California) C Confidential investigations suspends the stated retention periods.Authorization and CCR California Code of Regulations CL Closed or Completed CFR Code of Federal proper destruction methods are required prior to destroying all official Urn � EC Elect Expiration Elections Code( EL EX Expired or records as stated in the District's Records Retention Policy. °" GC Government Code(California) EL Electronic c _ Historical H&S Health&Safety Code 'IRS MA Maturity Internal Revenue Code LF Life of Facility,Equip.or Software Retention and destruction of records applies to all media types IRS Internal Revenue Service LO Life of Organization or Permanent including both paper and electronic documents. o LC Labor Code lca a Se NN When No Longer Needed PC Penal Code(California) S Superseded N0 ENV` Copies,non-records,notes,preliminary drafts and transitory records rH OMB Office of Management&Budget sP Separated can be destroyed when no longer needed for District business and do R&TC Revenue&Taxation Code,a o ar T Terminated SOS Secretary of Slate Vital not require prior authorization.*When original records have reached Financial Services&Administration USC United Slates Code V their destruction term all copies and duplicates must be destroyed we Water Code along with the original,regardless of the media of the record. Special Store, a Consideration Retention Retention Record Type Length Vital Historical Confidential Retention Citations/Comments Number (Years unless Specified) FAD001 Accounting Reports 4 GC§60201;SOS al FAD002 Accounts Payable Files 7 GC§60201(d)(1 2);SOS c29 Vendor and Contractor Invoices,Bills,Statements,Any Non-Discharged Debt 7 V GC§60201(d)(1 2);CCP§337 et seq.; FAD003 Accounts Receivable Files SOS c29 FAD004 Annual Report-Financial LO GC§60201;SOS c30 Audit Records FAD005 Annual Reports,Financial Statements,Audit Management Letters Comprehensive Annual LO GC§60201 at seq. Financial Report(CAFR) S+5 GC§60201;Retain for 5 years after FAD006 Bank Signature Cards superseded Banking Records FAD007 Deposit Receipts,Bank Statements,Checking Account Reconciliation,Cash Transfer Report, 6 GC§60201;SOS c29 Adjustments-Returned Checks(NSF),Etc. 14 Financial Services&Admin. Adopted: OCSD 15-16-17 Appendix"A" GENERAL RETENTION SCHEDULE INFORMATION Orange County Sanitation District CITATION CODES: RETENTION CODES: Any Public Records Act requests,litigation,audits,claims and Records Retention Schedule CCP Code of Civil Procedure Icata° iai C Confidential investigations suspends the stated retention periods.Authorization and CCR California Code of Regulations CL Closed or Completed destruction methods are required prior to destroying all official CFR Code of Federal Regulations Ex proper q P Y 9 y 4AIn)AT EC Elections Code Icafforeial Expired or Expiration records as stated in the District's Records Retention Policy. °°° °" GC Government Code Icalaornial EL Electronic H&S Health&Safety Code H Historical Retention and destruction of records applies to all media types IRC Internal Revenue Code LF Life of Facility,Equip.or Software pP tyP P LO Life of Organization or Permanent IRS Internal Revenue Service including both paper and electronic documents. ;� : MA Maturity o W LC Labor Code lcalaamial yes PC Penal Code lcalaomial NN When No Longer Needed Copies,non-records,notes,preliminary drafts and transitory records OMB Office of Management&Budget S Superseded can be destroyed when no longer needed for District business and do R&TC Revenue&Taxation Code Sp Separated Secretary of State T Terminated not require prior authorization.*When original records have reached Financial Services&Administration sos v Vital q pUSC United States Code their destruction term all copies and duplicates must be destroyed WC Water Code along with the original,regardless of the media of the record. Special toral;a Consideration Retention Retention Record Type Length Retention Citations/Comments Number (Years Unless Vital Historical Confidential Specified) Bonds CCP§336(a),§337.5;GC§43900 et seq.; FAD008 Certificates of Participation,Transcripts,Disclosure Reports,Registers,Issue Records LO V GC§60201 et seq. Determination of Allocation FAD009 Budgets(Adopted) LO V GC§60200;Vital During Current FY FAD010 Budgets vs Actual 5 GC§60201;§34090;SOS c29 Supporting Documentation Summaries,Worksheets,Goals and Objectives,Milestones FAD011 Check Records 7 GC§60201(d)(1 2);CCP§337;SOS c29 Cancelled Payroll Checks,Voided Copies For Automatic Deposits,Registers,Requests FAD012 Capital Facility Capacity Chargers(CFCC) 7 GC§60201(d)(1 2);CCP§337;SOS c29 FAD013 Expense Reports 7 GC§60201(d)(12);CCP§337,SOS a1 FAD014 Financial Statements 10 SOS c39 15 Financial Services&Admin. Adopted: OCSD 15-16-18 Appendix"A" GENERAL RETENTION SCHEDULE INFORMATION Orange County Sanitation District CITATION CODES: RETENTION CODES: Any Public Records Act requests,litigation,audits,claims and Records Retention Schedule CCP Code of Civil Procedure(California) C Confidential investigations suspends the stated retention periods.Authorization and CCR California Code of Regulations CL Closed or Completed destruction methods are required prior to destroying all official CFR Code of Federal Regulations Ex proper q P Y 9 51N1 r EC Elections Code(caliromia) Expired or Expiration records as stated in the District's Records Retention Policy. °� ", GC Government Code(cWo m) EL Electronic H&S Health&Safety Code H Historical Retention and destruction of records applies to all media es IRC Internal Revenue Code LF Life of Facility,Equip.or Software pp types Q P IRS Internal Revenue Service LO Life of Organization or Permanent including both paper and electronic documents. o LC Labor Code(cwomia) MA Maturity PC Penal Code(ceiaomia) NS When h err No Longer Needed Copies,non-records,notes,preliminary drafts and transitory records OMB Office of Management&Budget can be destroyed when no longer needed for District business and do R&TC Revenue&Taxation Code foam,al Sp Separated Secretary of State T Terminated not require prior authorization.*When original records have reached Financial Services&Administration use United States Code V vital their destruction term all copies and duplicates must be destroyed we Water Code along with the original,regardless of the media of the record. S ecial Stora a Consideration Retention Retention Record Type Length Retention Citations/Comments Number (Years Unless Vital Historical Confidential Specified) FAD015 Financial System Indefinite Data Fields/Records are interrelated;GC ERP Database,Access Database,Utility Billing §60201 FAD016 Fixed Asset Records LF V SOS c29;Life of Asset FAD017 General Ledger LO V SOS c29 FAD018 Investment Records LO GC§34090;CCP§337;GC§53607;SOS c30 FAD019 Journal Entries LO GC§60201;CCP§337;SOS c29 FAD020 Local Resources Program Reports(LRP)/Water Certifications LO GC§60201 FAD021 OCERS File 7 GC§60201(d)(1 2);29 CFR§516.6(a)(1) Copies of OCERS payments,statements,etc. 16 Financial Services&Admin. Adopted: OCSD 15-16-19 Appendix"A" GENERAL RETENTION SCHEDULE INFORMATION Orange Count Sanitation District CITATION CODES: y Y RETENTION CODES: Any Public Records Act requests,litigation,audits,claims and Records Retention Schedule CCP Code of Civil ProceduretCalff—tat C Confidential CCR California Code of Regulations investigations suspends the stated retention periods.Authorization and CL Closed or Completed destruction methods are required prior to destroying all official CFR Code of Federal Regulations proper q p Y 9 i sA nr EC Elections Code(California) Ex Expired Expiration records as stated in the District's Records Retention Policy. ° GC Government Code lCalaormal EL Electronic c H Historical H&S Health&Safety Code LF Life of Facility,Equip.or Software Retention and destruction of records applies to all media types IRC Internal Revenue Code IRS Internal Revenue Service LO Life ri Organization or Permanent including both paper and electronic documents. LC Labor Code icalaomial MA Maturity p NN When No Longer Needed C Penal Code Copies,non-records,notes,preliminary drafts and transitory records ro°ra NV` OMB Office of Management&Budget S Superseded can be destroyed when no longer needed for District business and do R&TC Revenue&Taxation Code auro a S T Separated SOS Secretary of Stale Terminated not require prior authorization.*When original records have reached Financial Services&Administration V vital USC United States Code their destruction term all copies and duplicates must be destroyed We Water Code along with the original,regardless of the media of the record. special Stora a Consideration Retention Retention Record Type Length Vital Historical Confidential Retention Citations/Comments Number (Years Unless Specified) GC FAD022 OCERS Retirement Report LO Business (d)(12);29 CFR§516.6(a)(1); Business V Bu Value Payroll Records GC§60201(d)(1 2);CCP§337;29 CFR FAD023 Timesheets,Payroll Registers and Reports,Unemployment Claims,Garnishments,Payment Of 7 V §§516.5,516.6(a)(1);IRS Reg.§31.6001- Labor Costs Including Salaries,Wages,Compensation and Deductions For Employees,Board 1(e)(2);26 CFR§1.6001-1;R&T§19530 Members and Contractors,(DE-6&941 Forms-Quarterly and Annual Payroll Tax Returns) FAD024 Petty Cash Records 4 GC§60201(d)(1 2);CCP§337;SOS a1 FAD025 Rate Studies 10 GC§60201;Business Value FAD026 Rebates and Refunds 7 GC§60201 Sewer Service Fees FAD027 State Controllers Reports 5 GC§60201 17 Financial Services&Admin. Adopted: OCSD 15-16-20 Appendix"A" GENERAL RETENTION SCHEDULE INFORMATION Orange Count Sanitation District CITATION CODES: Y RETENTION CODES: Any Public Records Act requests,litigation,audits,claims and Records Retention Schedule CCp Code of Civil Procedure(carramia) C Confidential investigations suspends the stated retention periods.Authorization and CFR California Code of Regulations CL Closed or Completed proper destruction methods are required prior to destroying all official 5.r CFR Code of Federal Regulations EX Expired or Expiration records as stated in the District's Records Retention Policy. ' EC Elections Code Code EL Electronic Y 59 o GC Government Code icalaormaf _ H Historical H&S Health&Safely Code Retention and destruction of records applies to all media types IRC Internal Revenue Code LF Life of Facility,Equip.or Software e IRS Internal Revenue Service LO Life of Organization or Permanent including both paper and electronic documents. ; MA Maturity LC Labor Code icalifomial NN When No Longer Needed by THE NSF PC Penal Codeicalaomiaf g Superseded Copies,non-records,notes,preliminary drafts and transitory records OMB Office of Management&Budget Sp Separated can be destroyed when no longer needed for District business and do R&TC Revenue&Taxation Code ra,a T Terminated Financial Services&Administration SOS Secretary of State Vital not require prior authorization.*When original records have reached USC United States Code V their destruction term all copies and duplicates must be destroyed we Water Code along with the original,regardless of the media of the record. Special Stora a Consideration Retention Retention Record Type Length Retention Citations/Comments Number (Years Unless Vital Historical Confidential Specified) FAD028 Tax Records-Employee 7 V 29 CFR§516.5;SOS c30 FAD029 Tax Records-Vendor CL+6 GC§60201 FAD030 Trial Balance Records 3 SOS c29 IRS Reg.§31.6001-1(e)(2);R&TC§19530; 29 FAD031 W-2's,1099R Annual Information Returns for Employee and Retirees 7 29 CFR§516.5- CFR16.6;§3 USC§436;GC §60201(d)(12);29 CFR 1.605-1, §31.600-1(d) 18 Financial Services&Ad min. Adopted: OCSD 15-16-21 Appendix"A" GENERAL RETENTION SCHEDULE INFORMATION Orange County Sanitation District CITATION CODES: RETENTION CODES: Any Public Records Act requests,litigation,audits,claims and Records Retention Schedule CCP Code of Civil Procedure(cavomia) C Confidential investigations suspends the stated retention periods.Authorization and CCR California Code of Regulations CL CFR Code of Federal Regulations Closed or Completed proper destruction methods are required prior to destroying all official 5� Ex Expired is Expiration + qr EC Elections Codelcoiaomiat EL records as stated in the District's Records Retention Policy. ° ", GC Government Code(c�ia ) H Electronic H Historical H&S Health&Safety Code LF Life of Facility.Equip.or Software Retention and destruction of records applies to all media types IRC Internal Revenue Code IRS Internal Revenue Service LO Life of Organization or Permanent including both paper and electronic documents. MA Maturity o, LC Labor Code lcoiiromie> �Or as NN When No Longer Needed vP pC Penal Codelceiaomial Copies,non-records,notes,preliminary drafts and transitory records `" a OMB Office of Management&Budget S Superseded Sp Separated can be destroyed when no longer needed for District business and do R&TC Revenue&Taxation Code(�m�,o—) require prior authorization.'When original records have reached Fleet Facilities Support Services SOS Secretary of State T Terminated not ppP USC United States Code V Vital their destruction term all copies and duplicates must be destroyed we Water Code along with the original,regardless of the media of the record. Special Storac a Consideration Retention Retention Record Type Length Retention Citations/Comments Number (Years Unless Vital Historical Confidential Specified) FSS001 Collection Systems Records 6 GC§60201;Business Value Problem Reports and Customer Complaints FSS002 Facility Maintenance&Repair LF+2 GC§60201;Life of Asset+2 years FSS003 Generator Operation Logs&Inspections 3 GC§34090 Fixed or Stationary FSS004 Pressure Vehicle CNG Tank Certifications or Permits,Inspections LF Department Preference;GC§34090 et. seq.;Life of Asset FSS005 Vehicle Smog Check Inspection Report 5 Department preference;GC§60201 FSS006 Bit Inspection(CHP Commercial Vehicle Inspection) LF+2 49 CFR§396.11(c)(2);GC§60201;Life of the Vehicle+2 years Certifications Department Preference;8 CCR FSS007 Mobile Crane,Vehicles,etc. 5 §14300.33(a);GC§60201 et seq.;LC §6429c 19 Fleet Facilities Support Srvs Adopted: OCSD 15-16-22 Appendix"A" GENERAL RETENTION SCHEDULE INFORMATION Orange County Sanitation District CITATION CODES: RETENTION CODES: Any Public Records Act requests,litigation,audits,claims and Records Retention Schedule CCP Code of Civil Procedure(California) C Confidential investigations suspends the stated retention periods.Authorization and CCR California Code of Regulations CL Closed or Completed CFR Code of Federal Regulations proper destruction methods are required prior to destroying all official ,N EX Expired is Expiration records as stated in the District's Records Retention Policy. EC Elections nt Code(CAa) EL Electronic Y 5� GC Government Code tca�aaraia) _ H&S Health&Safety Code H Historical Retention and destruction of records applies to all media types IRC Internal Revenue Code LF Life of Facility,Equip.or Software including both paper and electronic documents. IRS Internal Revenue Service LO Life of Organization or Permanent g� LC Labor Code tcalnomial MA Maturity a pC Penal Code tcaliromial NN When No Longer Needed ° u HAP Copies,non-records,notes,preliminary drafts and transitory records far OMB Office of Management&Budget g Superseded can be destroyed when no longer needed for District business and do R&TC Revenue&Taxation Code Sp Separated require prior authorization.*When original records have reached Fleet Facilities Support Services SOS secretary of state T Terminated not pp USC United States Code V Vital their destruction term all copies and duplicates must be destroyed WC Water Code along with the original,regardless of the media of the record. Special Stora a Consideration Retention Retention Number Record Type Length Retention Citations/Comments (Years Unless Vital Historical Confidential Specified) OSHA records are required to be retained FSS008 Chain of Custody 5 Source Control,Spilt Sample for 5 years;8 CCR§14300.33(a);GC §60201 et seq.;SOS c21 FSS009 Collection System Process Data LO GC§60201;Business Value Pump Station,CRISP FSS010 Inspection Reports&Photos-Manhole 10 GC§60201;SOS c45 FSS011 Sewer Line Maintenance Files 10 GC§60201 Vehicle Inspection&Equipment Checks Files 49 CFR§396.11(c)(2);49 CFR FSS012 Daily Safety Checks,Pre-Starts,Commercial Vehicle Pre-Starts and Forklift Inspections,Pre- 4 §396.21(b)(1);GC§60201; GC§34090 Trip Inspections,CHP Inspections,Daily Vehicle Inspections,Daily Equipment Checks 8 CCR§3203(b)(1);49 CFR §396.21(b)(1);49 CFR§396.3(c);CCP Vehicle Records §337 et.Seq.;GC§34090;Vehicle FSS013 Equipment Files,Maintenance,Registrations,Vehicle Titles("Pink Slips"),Vehicle Citations LF+2 Titles owner upon sale of vehicle all other records are retained until Disposal of Vehicle or Equipment+2 years 20 Fleet Facilities Support Srvs Adopted: OCSD 15-16-23 Appendix"A" GENERAL RETENTION SCHEDULE INFORMATION Orange Count`, Sanitation District CITATION CODES: 1 RETENTION CODES: Any Public Records Act requests,litigation,audits,claims and Records Retention Schedule CCP Code of Civil Procedure lcarrtomial C Confidential investigations suspends the stated retention periods.Authorization and CCR California Code of Regulations CL Closed or Completed proper destruction methods are required prior to destroying all official SAHiTg CFR Code of Federal RegulationsT EC Elections Code(caiifomia) Ex Expired s Expiration records as stated in the District's Records Retention Policy. P° °", GC Government Code(caircorma) EL Electronic H&S Health&Safety Code H Historical Retention and destruction of records applies to all media types IRC Internal Revenue Code LF Life of Facility,Equip.or Software IRS Internal Revenue Service LO Life of Organization or Permanent including both paper and electronic documents. o LC Labor Code Icaiiromial MA Maturity F° P rxr NN When No Longer Needed NAP PC Penal Code(cdiromia) g Superseded Copies,non-records,notes,preliminary drafts and transitory records OMB Office of Management&Budget Sp Separated can be destroyed when no longer needed for District business and do R&TC Revenue&Taxation Code i�„o,ai T Terminated * General Manager's Office SOS Secretary of State vital not require prior authorization. When original records have reached g USC United States Code v their destruction term all copies and duplicates must be destroyed we Water Code along with the original,regardless of the media of the record. Special Stora a Consideration Retention Retention Record Type Length Retention Citations/Comments Number (Years Unless Vital Historical Confidential Specified) GM0001 Annual OCSD Reports LO V GC§60201 GM0002 Blast Development Records LO GC§60201;Non-Historical photos can be Research Material,Timeline,Photos deleted when no longer needed. GM0003 Blast Procedures S GC§60201 GM0004 Blast Professional Development Articles(From External Sources) NN GC§60201; Can submit for destruction when no longer has business value Blast Program Files 2 GC§60201;Destroy Quarterly Reports GM0005 Minutes,Marketing Material,Evaluations,Quarterly Reports when superseded plus 2 years Blast Working Documents Non-record;GC§60201; Can submit for GM0006 Member Rosters-Active and Inactive NN destruction when no longer has business value GM0007 GM Monthly Reports 2 GC§60201 21 General Manager's Office Adopted: OCSD 15-16-24 Appendix"A" GENERAL RETENTION SCHEDULE INFORMATION Orange Count Sanitation District CITATION CODES: y � RETENTION CODES: Any Public Records Act requests,litigation,audits,claims and Records Retention Schedule CCP Code of Civil Procedure(caiaomia)sus C Confidential investigations ends the stated retention periods.Authorization and CCR California Code of Regulations g p p CFR Code of Federal Regulations CL Closed or Completed proper destruction methods are required prior to destroying all official EX Expired or Expiration records as stated in the District's Records Retention Policy. EC Elections Code(cwom�a) EL Electronic Y _ o GC Government Code(caiffomm) H Historical _ H&S Health&Safety Code LF Life of Facility,Equip.or Software Retention and destruction of records applies to all media types IRC Internal Revenue Code including both paper and electronic documents. IRS Internal Revenue Service LO Life of Organization or Permanent a'o ` LC Labor Code(caiaomia) MA Maturity 0 ° PC Penal Code(caiaomia) NN When No Longer Needed Copies,non-records,notes,preliminary drafts and transitory records OMB Office of Management&Budget S Superseded can be destroyed when no longer needed for District business and do R&TC Revenue&Taxation Code�-N—a) Sp Separated not require prior authorization.*When original records have reached General Manager's Office SOS Secretary of State V Vital minated USC United States Code their destruction term all copies and duplicates must be destroyed we Water code along with the original,regardless of the media of the record. Special Stora a Consideration Retention Retention Record Type Length Retention Citations I Comments Number (Years Unless Vital Historical Confidential Specified) GM0008 Historical Records LO H GC§60201 GM0009 Meeting Files-Executive Management Team(EMT) 2 GC§60201 Agenda,Minutes,Agenda Report,Handouts GM0010 Public Record Act Requests CL 2 GC§60201 GMO011 Records Destruction Records LO GC§60201 Approvals,Certificates,Requests GM0012 Records Management Annual Audits S+3 GC§60201 Inventory,Storage,Destruction,etc. Records Management Project Files GC§60201;SOS c23; Can submit for GM0013 NN destruction when no longer has business value CCP§343;SOS c23 Enacted by Board GM0014 Records Retention Schedules LO V Resolution and retained Indefinitely. Includes schedule amendments. 22 General Manager's Office Adopted: OCSD 15-16-25 Appendix"A" GENERAL RETENTION SCHEDULE INFORMATION Orange County Sanitation District CITATION CODES: RETENTION CODES: Any Public Records Act requests,litigation,audits,claims and Records Retention Schedule CCP Code of Civil Procedure(Cal@ornia) C Confidential investigations suspends the stated retention periods.Authorization and CCR California Code of Regulations CL Closed or Completed proper destruction methods are required prior to destroying all official :. CFR Code of Federal Regulations EX Expired or Expiration records as stated in the District's Records Retention Policy. 'N EC Elections Code(Celdomia) EL Electronic Y o GC Government Code(Callomia) H&S Health&Safety Code H Historical Retention and destruction of records applies to all media es IRC Internal Revenue Code LF Life of Facility,Equip.or Software pp types A IRS Internal Revenue Service LO Life of Organization or Permanent including both paper and electronic documents. LC Labor Code MA Maturity (co��rom�a) e NN When No Longer Needed "e rxr NV�Q' pC Penal Code(cwomca) fice of Management&Budget S Superseded Copies,non-records,notes,preliminary drafts and transitory records OMB Of Sp Separated can be destroyed when no longer needed for District business and do R&TC Revenue&Taxation Code,ca o a Y g Secretary of State T Terminated not require prior authorization.*When original records have reached General Manager's Office SOS V vital USC United States Code their destruction term all copies and duplicates must be destroyed we Water Code along with the original,regardless of the media of the record. S ecial Stora a Consideration Retention Retention Record Type Length Retention Citations/Comments Number (Years Unless Vital Historical Confidential Specified) GC§60201;Can submit for destruction GM0015 Speeches and Presentation NN H when no longer has business value;Some records may be kept for historical value GM0016 Travel Records 7 GC§60201 23 General Manager's Office Adopted: OCSD 15-16-26 Appendix"A" GENERAL RETENTION SCHEDULE INFORMATION Orange Count Sanitation District CITATION CODES: y � RETENTION CODES: Any Public Records Act requests,litigation,audits,claims and Records Retention Schedule CCP Code of civil Procedure(cakforma) C Confidential investigations suspends the stated retention periods.Authorization and CCR California Code of Regulations CL Closed or Completed destruction methods are required prior to destroying all official CFR Code of Federal Regulations EX Expired or Expiration proper q P y g a" EC Elections Code(caiaorma) p p EL Electronic records as stated in the District's Records Retention Policy. GC Government code(cavornia) H&S Health&Safety Code F Historical Retention and destruction of records applies to all media es IRC Internal Revenue Code LF Life of Facility,Equip.or Software PP types P LO Life of Organization or Permanent IRS Internal Revenue Service including both paper and electronic documents. W MA Maturity o LC Labor Code(caifforoia) NN When No Longer Needed ae N�P pC Penal Code(calnomia) S Superseded Copies,non-records,notes,preliminary drafts and transitory records OMB Office of Management&Budget Sp Separated can be destroyed when no longer needed for District business and do R&TC Revenue&Taxation Code anm,a Secretary of State T Terminated not require prior authorization.*When original records have reached Human Resources sos V Vital USC United States Code their destruction term all copies and duplicates must be destroyed we Water Code along with the original,regardless of the media of the record. Special Stora a Consideration Retention Retention Record Type Length Retention Citations/Comments Number (Years Unless Vital Historical Confidential Specified) Class Specifications 29 CFR§1627.3;GC§12946;GC§60201; HRD001 Compensation Studies,Surveys,Salary Surveys,etc. LO SOS c21 HRD002 Contracts-Temporary Employees CL+7 CCP§§336(a);337 et.seq.;GC§60201; SOS c22,CCP§343 HRD003 Deferred Compensation Records LO V 26 CFR§16001-1;29 CFR§1627.3;SOSc30 District Benefit Contracts&Benefit Plans I Insurance Policies 9 CFR§1627.3(b)(2);29 USC§1027; 11 HRD004 Health,Dental,Deferred Compensation,Pension,etc. T+5 CCR§560;28 CCR§1300.85.1;GC §60201 HRD005 EE04 Reports and Files 3 29 CFR§1602.30 Documents Required to Generate EEO-4 Report,Self-Identification Form,etc. Employee&Labor Relations Files 29 CFR§516.5;GC§12946;sops c20;GC HRD006 Memorandums of Understanding(MOU),Arbitration,Grievances,Union Requests,Employee LO §60201;29 CFR§1602.31;29 CFR Rights,Appeals,Investigations,PIP,Disciplinary Actions and Complaints,Sexual Harassment, §1627.3(b)(1)(ii);SOS c20 Civil Rights,etc. 24 Human Resources Adopted: OCSD 15-16-27 Appendix"A" GENERAL RETENTION SCHEDULE INFORMATION Orange County Sanitation District CITATION CODES: RETENTION CODES: Any Public Records Act requests,litigation,audits,claims and Records Retention Schedule CCP Code of Civil Procedure lcareornial C Confidential investigations suspends the stated retention periods.Authorization and CCR California Code of Regulations CL CPR Code of Federal Regulations Closed or Completed proper destruction methods are required prior to destroying all official aAx,T Ex Expired or Expiration x ro records as stated in the District's Records Retention Policy. ", EC Elections Code tcaieamjalGC Government Codelca:aora1al H Electronic H&S Health&Safety Code Historical Retention and destruction of records applies to all media types IRC Internal Revenue code LF Life of Facility,Equip.or Software RS Internal Revenue Service LO Life Organization or Permanent including both paper and electronic documents. I •o 'T LC Labor Code lca:aom�al MA Maturity ty PC Penal Codelca�aomial NN When No Longer Needed "e rxr NV�P Copies,non-records,notes,preliminary drafts and transitory records OMB Office of Management&Budget g Superseded can be destroyed when no longer needed for District business and do R&TC Revenue&Taxation Code camo,ma Sp Separated not require prior authorization.*When original records have reached Human Resources SOS Secretary State T Terminated q pUSC United States Code V vital their destruction term all copies and duplicates must be destroyed we Water Code along with the original,regardless of the media of the record. Special Storac a Consideration Retention Retention Number Record Type Length Retention Citations I Comments (Years Unless Vital Historical Confidential Specified) Employee Benefit Plans and Programs CG§12946;GC§60201;GC HRD007 Health Insurance,Tuition Reimbursement,Supplemental Life Insurance,Thrift Plans, LO §60201(d)(1 2);29 CFR§1627.3(b)(2);29 Beneficiary Designations,Eligibility,Change Request,Salary Deduction Records,etc. CFR§§1602.30,32;Labor Code§1197.5 HRD009 Human Resources/ERP Database Indefinite Data Fields/Records are interrelated;GC §60201;JDE Database 8 USC§1324a(b)(3)(B);8 CFR HRD010 1-9 Forms T+3 §1274a.2(b)(2)(i)(A). Medical File 8 CCR§3204(d)(1)et seq.,GC§§12946, HRD011 Fitness for Duty,Leaves of Absence,etc. T+30 V 60201;Filed separately.Vital until separation HRD012 Organization Charts LO GC§60201 et seq. Personnel Files 29 CFR§1602.31 &§1627.3(b)(ii),8 CCR Includes Application,Awards, Disciplinary Actions,Certifications,Commendations,Employment §3204(d)(1)et seq.,GC§§12946,60201; HRD013 T+7 V C 29 USC§1113.Vital until separation. Verifications,Evaluations,Licenses,Status Change Forms,Policy acknowledgements,Waiver Excludes Medical Records see Retention of responsibility for voluntary activities,etc. Code HRD011 25 Human Resources Adopted: OCSD 15-16-28 Appendix"A" GENERAL RETENTION SCHEDULE INFORMATION Orange County Sanitation District CITATION CODES: RETENTION CODES: Any Public Records Act requests,litigation,audits,claims and Records Retention Schedule CCP Code of Civil Procedure(Celffomia) C Confidential investigations suspends the stated retention periods.Authorization and CCR California Code of Regulations CL Closed or Completed ti l l R d f F d CFR Coe o Federal EX Ex proper destruction methods are required prior to destroying all official „„, Aired is Expiration records as stated in the District's Records Retention Policy. ' EC Elections nt Code tceaoreial EL Electronic Y �, GC Government Code tcw­ial H Historical H&S Health&Safety Code LF Life of Facility,Equip.or Software Retention and destruction of records applies to all media types IRC Internal Revenue Code IRS Internal Revenue Service LO Life of Organization or Permanent including both paper and electronic documents. o MA Maturity « LC Labor Code Icgaon,iel � NN When No Longer Needed r u r N�a pC Penal Code(cawnniel Copies,non-records,notes,preliminary drafts and transitory records OMB Office of Management&Budget S Superseded ed when no longer needed for District business and do R&TC Revenue&Taxation Code Sp Separated can be destroy ed g T Terminated * Human Resources SOS Secretary of State Vital not require prior authorization. When original records have reached USC United States Code V their destruction term all copies and duplicates must be destroyed we Water Code along with the original,regardless of the media of the record. Special Stora a Consideration Retention Retention Record Type Length Retention Citations/Comments Number (rears unless Vital Historical Confidential Specified) 29 CFR§1602 et seq&§1627.3(a)(b),2 Recruitment Records CCR§7287.0(c)(2),8 CCR HRD014 Solicited-Not Hired Applications,Advertisements,Job Brochures,Test Data,Rating Sheets, CL+3 §11040,GC§§12946 Database Neogov Questions,Eligibility Lists,Reference Checks,etc. Indefinite.Retention begins after hiring decision. GC§60201,SOS c21;Data Fields/ Training Records Records are interrelated;Training HRD015 Class Attendance Sheets,Schedules,Classes Offered,Curriculum or Syllabus,and Training Indefinite Database Materials Development personnel training records TE Non-database paper 26 Human Resources Adopted: OCSD 15-16-29 Appendix"A" GENERAL RETENTION SCHEDULE INFORMATION Orange Count Sanitation District CITATION CODES: g Y RETENTION CODES: Any Public Records Act requests,litigation,audits,claims and Records Retention Schedule CCP Code of Civil Procedure tcareo,.ial C Confidential CCR California Code of Regulations investigations suspends the stated retention periods.Authorization and CL Closed or Completed proper destruction methods are required prior to destroying all official 5., CFR Code of Federal Regulations EX Expired is Expiration records as stated in the District's Records Retention Policy. To EC Elections nt C d dornia) EL Electronic y �.. a, GC Government Code lcalrtoroiet H&S Health&Safety Code H Historical Retention and destruction of records applies to all media types IRC Internal Revenue Code LF Life of Facility,Equip.or Software pp typ LO Life of Organization or Permanent IRS Internal Revenue Service including both paper and electronic documents. o MA Maturity LC Labor Code lc�nom�el °q „ x PC Penal Codelc�aom�°I NN When No Longer Needed Copies,non-records,notes,preliminary drafts and transitory records ° rxr a OMB Office of Management&Budget S Superseded SP Separated can be destroyed when no longer needed for District business and do R&TC Revenue&Taxation Code Secretary of State T Terminated not require prior authorization.*When original records have reached Information Technology sos V vital USC United States Code their destruction term all copies and duplicates must be destroyed We Water Code along with the original,regardless of the media of the record. Special Storac a Consideration Retention Retention Record Type Length Retention Citations I Comments Number (Years Unless Vital Historical Confidential Specified) ITDO01 Access Authorization Forms T+3 GC§60201 ITDO02 Cabling Specs and Test Results LF+1 GC§60201 ITDO03 Computer System Administrative Records LF+2 V SOS c22;Life of System GIs(Geographic Information System)Database Data is interrelated;GC§60200;GC ITD004 Layers S §60201 et seq. ITDO05 Information Logs 3 GC§60201 Internet,Phone,Badge,Visitors ITDO06 IT Help Desk System 3 GC§60201 Service Tickets and Service Requests Retain until it no longer has business ITDO07 Network Diagrams/System Configurations/Maps/Plans NN value;GC§60201;GC§34090 et seq.; CCP§337.2,CCP§343 27 Information Technology Adopted: OCSD 15-16-30 Appendix"A" GENERAL RETENTION SCHEDULE INFORMATION Orange County Sanitation District CITATION CODES: RETENTION CODES: Any Public Records Act requests,litigation,audits,claims and Records Retention Schedule CCP Code of Civil Procedure(caiao,nia) C Confidential investigations suspends the stated retention periods.Authorization and CCR California Code of Regulations CL g p P Closed or Completed Ex proper destruction methods are required prior to destroying all official :.r,q, EC Elections Codelcainoraia)CFR Code of Federal Regulations EX Aired s Expiration records as stated in the District's Records Retention Policy. ° " GC Government Code(Caldornia) EL Electronic H&S Health&Safety Code H Historical Retention and destruction of records applies to all media es IRC Internal Revenue Code LF Life of Facility,Equip.or Software PP types e IRS Internal Revenue Service LO Life of Organization or Permanent including both paper and electronic documents. ; MA Maturity LC Labor Code(calaon,ia) m� a� NN When No Longer Needed n rx Hva pC Penal Code(calaon,ia) g Superseded Copies,non-records,notes,preliminary drafts and transitory records OMB Office of Management&Budget can be destroyed when no longer needed for District business and do R&TC Revenue&Taxation Code i�m,aai Sp Separated Secretary of Slate T Terminated not require prior authorization.*When original records have reached Information Technology sos y Vital USC United States Code their destruction term all copies and duplicates must be destroyed we Water Code along with the original,regardless of the media of the record. Special Storac a Consideration Retention Retention Record Type Length Retention Citations/Comments Number (Years Unless Vital Historical Confidential Specified) Retain until it no longer has business ITD008 Physical Inventory Database NN value;GC§60201;GC§34090 et seq. ITDO09 Software 8r IT Manuals S+1 GC§60201 ITD010 Software Application Files S V GC§60201;Superseded With Version Updates ITD011 Source Code T+2 GC§60201;GC§34090 et seq.;Kept in Escrow System Documentation Retain until it no longer has business ITDO12 Network Design,Instruction,Licenses,License Codes,Agreements T+2 value;GC§60201;GC§34090 et seq.; Until system is no longer operational ITDO13 System Log(Database) S Until superseded or overwritten ITDO14 System Maintenance 2 GC§60201;GC§34090 et seq. Infrastructure;Alarm,Door Security System 28 Information Technology Adopted: OCSD 15-16-31 Appendix"A" GENERAL RETENTION SCHEDULE INFORMATION Orange County Sanitation District CITATION CODES: RETENTION CODES: Any Public Records Act requests,litigation,audits,claims and Records Retention Schedule CCP Code of Civil Procedure tcaiaomial C Confidential investigations suspends the stated retention periods.Authorization and CCR California Code of Regulations cL destruction methods are required nor to destroying all official CFR Code of Federal Regulations Closed or Completed proper q P yi g JN sun"ro EC Elections Codetcalaomia) EX Expired or Expiration records as stated in the District's Records Retention Policy. ", GC Government Code(caaoma) EL Electronic H&S Health&Safety Code H Historical Retention and destruction of records applies to all media types RC Internal Revenue Code LF Life of Facility,Equip.or Software including both paper and electronic documents. %Internal Revenue Service LO Life of Organization or Permanent •o LC Labor Cade tcamomiat MA Maturity e NN When No Longer Needed `r,yo x+P pC Penal Codeicamomial g Copies,non-records,notes,preliminary drafts and transitory records r` OMB Office of Management&Budget S Superseded can be destroyed when no longer needed for District business and do R&TC Revenue&Taxation Code cauro,„ SP Separated require prior authorization.`When original records have reached Information Technology SOS Secretary of State T Terminated not re q p9Y USC United States Code V Vital their destruction term all copies and duplicates must be destroyed we Water code along with the original,regardless of the media of the record. Special Storac a Consideration Retention Retention Record Type Length Retention Citations/Comments Number (Years Unless Vital Historical Confidential Specified) Retain until it no longer has business value ITD015 System Security Database S or until overwritten;GC§60201;GC §34090 et seq. ITDO16 Two-Way Radio Licensing and Information EX+2 GC§60201 ITD017 Video Surveillance Files 1 GC§§53160,53161 ITD018 Virtual Computer Files 90 days V GC§34090.7;SOS c22;Replicated for disaster recovery purposes 29 Information Technology Adopted: OCSD 15-16-32 Appendix"A" GENERAL RETENTION SCHEDULE INFORMATION Orange County Sanitation District CITATION CODES: RETENTION CODES: Any Public Records Act requests,litigation,audits,claims and Records Retention Schedule CCP Code of Civil Procedure lcalaar—i C Confidential investigations suspends the stated retention periods.Authorization and CCR California Code of Regulations g p CFR Code of Federal Regulations CL Closed or Completed proper destruction methods are required prior to destroying all official 5.„ Ex Expired or Expiration �r records as stated in the District's Records Retention Policy. ", EC Elections Code lcalaomialGC Government Code tcanormal EL Electronic H&S Health&Safety Code H Historical LF Life of Facility,Equip.or Software Retention and destruction of records applies to all media types IRC Internal Revenue Code IRS Internal Revenue Service LO Life Organization or Permanent including both paper and electronic documents. LC Labor Codetcammiat MA Maturity ty a� NN When No Longer Needed a PC Penal Code(calaamia) Copies,non-records,notes,preliminary drafts and transitory records Q r"r e+ OMB Office of Management&Budget S Superseded can be destroyed when no longer needed for District business and do R&TC Revenue&Taxation Code caumrma, Sp Separated y g SOS Secretary of State T Terminated not require prior authorization. When original records have reached Operations&Maintenance USC United States Code V vital their destruction term all copies and duplicates must be destroyed we Water Code along with the original,regardless of the media of the record. Special Stora a Consideration Retention Retention Record Type Length Retention Citations/Comments Number (Years Unless Vital Historical Confidential Specified) OMD001 Chemical Inventory Records 1 GC§60201 Delivery,Transfer,Usage,Manifest Worksheet and Inventory Logs OMD002 Complaint Files and Problem Reports 2 GC§60201 Related to Organizations Operations OMD003 Confined Space Entries 3 40 CFR§122.410)(2) OMD004 Flow Records LO GC§60201 OMD005 Logs-Control Center Plant Operations 30 V GC§60201 Logs OMD006 Operations Monthly Logs,Inspector Diaries,Control Center Visitor Logs 3 V GC§60201 OMD007 Monthly Reports 2 GC§60201 Operating and Status Reports 30 Operations&Maintenance Adopted: OCSD 15-16-33 Appendix"A" GENERAL RETENTION SCHEDULE INFORMATION Orange County Sanitation District CITATION CODES: RETENTION CODES: Any Public Records Act requests,litigation,audits,claims and Records Retention Schedule CCP Code of Civil Procedure(C.Ifm,a) C Confidential investigations suspends the stated retention periods.Authorization and CCR California Code of Regulations CL CFR Code of Federal Regulations Closed or Completed proper destruction methods are required prior to destroying all official EX Expired or Expiration records as stated in the District's Records Retention Policy. "" EC Elections nt Code do al EL Electronic y ° �. o, GC Government Code Icairtorn�al = H&S Health&Safety Code H Historical Retention and destruction of records applies to all media es IRC Internal Revenue Code LF Life of Facility,Equip.or Software Pp types P IRS Internal Revenue Service LO Life of Organization or Permanent including both paper and electronic documents. W MA Maturity LC Labor Code tcalaomial Fc + PC Penal NN When No Longer Needed rN " Copies,non-records,notes,preliminary drafts and transitory records °ME "� OMe Office of Management&Budget S Superseded can be destroyed when no longer needed for District business and do R&TC Revenue&Taxation Code�,o,asi Sp Separated y g Secretary of State T Terminated not require prior authorization.*When original records have reached Operations&Maintenance sos V vital USC United States Code their destruction term all copies and duplicates must be destroyed we Water Code along with the original,regardless of the media of the record. Special Stora a Consideration Retention Retention Record Type Length Retention Citations/Comments Number (Years Unless Vital Historical Confidential Specified) OMD008 O&M Policies&Procedures S+10 GC§60201 OMD009 Operating Journals 2 GC§60201 Round Sheets,Alarm summary,Operations Round Sheets,Midnight Readings,etc. OMD010 Operating Records 6 GC§60201 MSOs(hard copy), AS Plant Reports,Operators Schedules OMD011 Process Data LO GC§60201 Includes Electronic MSO's and TPODS OMD012 Reference Files S GC§60201 OMD013 Speeches/Presentations NN GC§60201 31 Operations&Maintenance Adopted: OCSD 15-16-34 Appendix"A" GENERAL RETENTION SCHEDULE INFORMATION Orange County Sanitation District CITATION CODES: RETENTION CODES: Any Public Records Act requests,litigation,audits,claims and Records Retention Schedule CCP Code of Civil Procedure(California) C Confidential investigations suspends the stated retention periods.Authorization and CCR California Code of Regulations cL CFR Code of Federal Regulations Closed or Completed proper destruction methods are required prior to destroying all official 5,,,,, EX Expired or Expiration r°N records as stated in the District's Records Retention Policy. �y EC Elections Code(cm mi.) EL ElectronicGC Government Code(calaomia) _ H&S Health&Safely Code F Historical Retention and destruction of records applies to all media types 'IRS Intemal Revenue Code LF Life of Facility,Equip.or Software including both paper and electronic documents. IRC Internal Revenue Service LO Life ri Organization or Permanent •o � MA Maturity LC Labor Code Icwomia) NN When No Longer Needed pCPenalCodelcalaom�a) °rxe e S Superseded Copies,non-records,notes,preliminary drafts and transitory records OMB Office of Management&Budget can be destroyed when no longer needed for District business and do R&TC Revenue&Taxation Code l nm,aa, Sp Separated require prior authorization.*When on i original records have reached Public Affairs SOS Secretary to State T Terminated not re q g USC United States Code V Vital their destruction term all copies and duplicates must be destroyed we Water Code along with the original,regardless of the media of the record. Special Stora a Consideration Retention Retention Record Type Length yp Vital Historical Confidential Retention Citations/Comments Number (Years Unless Specified) PA0001 Education Curriculum S+2 GC§60201;Destroy 2 years after Sewer Science,Water Festival,etc. superseded PA0002 Outreach/Event File S+5 GC§60201 Tour Documentation,RSVP's,sign-in sheets,etc. PA0003 Marketing Material NN GC§60201;SOS c19 Flyers,Brochures,Newsletters,Email Blasts,etc. GC§60201;Non-Historical Photos can be PA0004 Photos&Videos LO deleted when no longer needed. PA0005 Presentations and Supporting Documents NN GC§60201;SOS c24 (Includes PowerPoints) PA0006 Press/Media Releases LO GC§60201;SOS c40 PA0007 Publication Proofs- Non Board Related General Marketing 2 GC§60201;SOS c24 32 Public Affairs Adopted: OCSD 15-16-35 Appendix"A" GENERAL RETENTION SCHEDULE INFORMATION Orange Count`/ Sanitation District CITATION CODES: 7 RETENTION CODES: Any Public Records Act requests,litigation,audits,claims and Records Retention Schedule CCP Code of Civil Procedure Icelaorr,iel C Confidential investigations suspends the stated retention periods.Authorization and CCR California Code of Regulations CL Closed or Completed destruction methods are required prior to destroying all official CFR Code of Federal Regulations proper q P Y 9 su, Ex Expired or Expiration records as stated in the District's Records Retention Policy. ' EC Elections Codetcsiaornw "o GC Government Code tcanr�i oal EL Electronic H&S Health&Safety Code H Historical Retention and destruction of records applies to all media types IRC Internal Revenue Code LF Life of Facility,Equip.or Software PP tYP LO Life of Organization or Permanent including both paper and electronic documents. 09 �' IRS Internal Revenue Service MA Maturity F P LC Labor Code Icago il NN When No Longer Needed U HE NAP pC Penal Codelcgaar��el g Superseded Copies,non-records,notes,preliminary drafts and transitory records OMB Office of Management&Budget Sp Separated can be destroyed when no longer needed for District business and do R&TC Revenue&Taxation Code nano,a y g T Terminated not require prior authorization.*When original records have reached Public Affairs SOS Secretary of Stale V vital q pUSC United States Code their destruction term all copies and duplicates must be destroyed WC Water Code along with the original,regardless of the media of the record. Special Stora a Consideration Retention Retention Record Type Length Retention Citations/Comments Number (Years Unless Vital Historical Confidential Specified) PA0008 Website Content Indefinite GC§60201 PA0009 Employee Events LO GC§60201 Agency Awards,Recognitions,Announcements PA0010 Legislative Files LO GC§60201 Letters of Support,Opposition,Plan Consolidation PA0011 Social Media Posts LO GC§60201 Facebook,Twitter,YouTube,Instagram,Etc. 33 Public Affairs Adopted: OCSD 15-16-36 Appendix"A" GENERAL RETENTION SCHEDULE INFORMATION Orange County Sanitation District CITATION CODES: RETENTION CODES: Any Public Records Act requests,litigation,audits,claims and Records Retention Schedule CCP Code of Civil Procedure lcetiforniaf C Confidential investigations suspends the stated retention periods.Authorization and CCR California Code of Regulations CL CFR Code of Federal Regulations Closed or Completed proper destruction methods are required prior to destroying all official SA"I qT C Elections Codeicainoraiaf Ex Expired or Expiration E records as stated in the District's Records Retention Policy. ° EC Government Code icaiaomial EL Electronic _ H&S Health&Safety Code H Historical Retention and destruction of records applies to all media types IRC Internal Revenue Code LF Life of Facility,Equip.or Software including both paper and electronic documents. IRS Internal Revenue Service LO Life of Organization or Permanent •a LC Labor Code lcaiirornial MA Maturity o NAP°� PC Penal Codelcainornial NN When No Longer Needed Copies,non-records,notes,preliminary drafts and transitory records OMB Office of Management&Budget S Superseded can be destroyed when no longer needed for District business and do R&TC Revenue&Taxation Code c em,mal Sp Separated SOS Secretary of State T Terminated not require prior authorization. When original records have reached Risk Management&Safety USC United States Code V vital their destruction term all copies and duplicates must be destroyed we Water Code along with the original,regardless of the media of the record. S)ecial toracle Consideration Retention Retention Record T Length Number Type en g Vital Historical Confidential Retention Citations/Comments (Years Unless Specified) RMS001 Certificate of Insurance P V CCP§337.15;SOS c25 29 CFR§1627.3(b)(v);49 CFR§382.401 RMS002 DOT Random Drug&Alcohol Test Records 5 et seq.;GC§12946,GC§60201;49 CFR §653.71 et seq. RMS003 Emergency Exercises&Drills,After Action Reports NN GC§60201 RMS004 Emergency Response&Disaster Recovery Files S V GC§60201 RMS005 EOC Activation Notifications&Records CL+2 V GC§60201 Industrial Hygiene&Safety Files RMS006 Hazard Assessments,Site Assessments,Industrial Hygiene Reports,Surveys,Audits, TE+30 8 CCR§3204;29 CFR§1910 Ergonomics,Air Sampling,Noise Testing and Workplace Contaminants RMS007 Medical Files-Occupational TE+30 8 CCR§3204;29 CFR§1910 34 Risk Management&Safety Adopted: OCSD 15-16-37 Appendix"A" GENERAL RETENTION SCHEDULE INFORMATION Orange County Sanitation District CITATION CODES: RETENTION CODES: Any Public Records Act requests,litigation,audits,claims and Records Retention Schedule CCP Code of Civil Procedure Icaiffornial C Confidential investigations suspends the stated retention periods.Authorization and CCR California Code of Regulations cL destruction methods are required prior to destroying all official CFR Code of Federal Regulations Closed or Completed proper q P Y 9 ser, r EC Elections Code tcaiaornial EX Expired or Expiration records as stated in the District's Records Retention Policy. . ", GC Government Code(Caldornia) EL Electronic H&S Health&Safety Code H Historical Retention and destruction of records applies to all media types IRC Internal Revenue Code LF Life of Facility,Equip.or Software including both paper and electronic documents. IRS Internal Revenue Service LO Life of Organization or Permanent .9 i MA Maturity LC Labor Code Ica�norr,ial PC Penal Codelcalaomial NN When No Longer Needed xr '' Copies,non-records,notes,preliminary drafts and transitory records OMB Office of Management&Budget S Superseded can be destroyed when no longer needed for District business and do R&TC Revenue&Taxation Code cauro,a Sp Separated not require prior authorization.*When original records have reached Risk Management&Safe sos secretary tof estate T Terminated q P9 Safety USC United States Code V Vital their destruction term all copies and duplicates must be destroyed we Water Code along with the original,regardless of the media of the record. Special Stora a Consideration Retention Retention Number Record Type Length Vital Historical Confidential Retention Citations/Comments (Years Unless Specified) RMS008 OSHA Compliance Records P OMB 1220-0029;29 CFR§1904.4;SOS Citations,Appeals Related,Correspondence,etc. a2 RMS009 Risk Management Reports CL+5 OMB 1220-0029;29 CFR§1904.4;SOSc24 RMS010 Risk&Safety Committee and Meeting Documents 2 8 CCR§3203 et seq.;GC§60201 et seq. CCR§14311;§15400.2;LC§110-139.6; RMS011 Workers Compensation Files P SOS c24 OSHA Inspections&Citations 8 CCR§14300.33(a);29 CFR§1904.33, RMS012 300&301 Logs CY+7 29 CFR§1904.44;GC§60201 et seq.;LC §6429c RMS013 Photos&Videos P GC§60201 OSHA Investigations,Vehicle,Accidents,Workers Comp,Ergonomics,etc. RMS014 Accident&Incident Records 7 GC§60201;CCP§338;CFR§1904.6; Includes Physician and Status Reports SOS c25 35 Risk Management&Safety Adopted: OCSD 15-16-38 Appendix"A" GENERAL RETENTION SCHEDULE INFORMATION Orange County Sanitation District CITATION CODES: RETENTION CODES: Any Public Records Act requests,litigation,audits,claims and Records Retention Schedule CCP Code of Civil Procedure(caraon,w C Confidential investigations suspends the stated retention periods.Authorization and CCR California Code of Regulations 9 p CFR Code of Federal Regulations CL Closed or Completed proper destruction methods are required prior to destroying all official 5,, EX Expired or Expiration records as stated in the District's Records Retention Policy. '" EC Elections Code(calaomia) EL Electronic y '.. " GC Government Code(calff—i.) H&S Health&Safety Code F Historical Retention and destruction of records applies to all media types IRC Internal Revenue Code LF Life of Facility.Equip.or Software pp typ A LO Life of Organization or Permanent IRS Internal Revenue Service including both paper and electronic documents. W MA Maturity LC Labor Code(calaomia) rxe N�\PO� pC Penal Code(calaomia) NS When h err No Longer Needed Copies,non-records,notes,preliminary drafts and transitory records OMB Office of Management&Budget can be destroyed when no longer needed for District business and do R&TC Revenue&Taxation Code aaa: Sp Separated Secretary of State T Terminated not require prior authorization.*When original records have reached Risk Management&Safety sos V Vital USC United States Code their destruction term all copies and duplicates must be destroyed we Water Code along with the original,regardless of the media of the record. Retention special Storac a Consideration Retention Record Type Length Retention Citations/Comments Number (Years Unless Vital Historical Confidential Specified) RMS015 Asbestos&Lead Abatement Records P GC§60201;CCR§1529(n)6 RMS016 Business Plans,Hazardous Materials Inventory,Disclosures 5 GC§60201;40§CFR 122.21(p) 8 CCR§14300.33(a);29 CFR§1904.33, RMS017 Calibration Gas Detectors Annual Recertification 5 29 CFR§1904.44;GC§60201 et seq.;LC §6429c RMS018 Confined Space Records 3 8 CCR§5156-5158 8 CCR§3204(d)(1)at seq.;40 CFR Hazardous Waster Records §122.410)(2)&40 CFR§141.33(b);22 RMS019 Manifests,Disposals,Recyclable Non Hazardous Waste Material,Batteries,etc. P V CCR§64453(a);GC§§12946,60201; CCR§§66262.40(a),66264.71(b)(6),SOS c47 RMS020 HazMat Permits,Environmental Health Permits p GC§60201 Bulk Chemicals,Fire,UST,Battery Storage,etc. 36 Risk Management&Safety Adopted: OCSD 15-16-39 Appendix"A" GENERAL RETENTION SCHEDULE INFORMATION Orange Count Sanitation District CITATION CODES: y Y RETENTION CODES: Any Public Records Act requests,litigation,audits,claims and Records Retention Schedule CCP Code of Civil Procedure lcah.ial C Confidential CCR California Code of Regulations investigations suspends the stated retention periods.Authorization and CL Closed or Completed ired or Expiration CFR Code of Federal Regulations EX Ex proper destruction methods are required prior to destroying all official sea. ,o EC Elections Code(ca�a m) p EL Electronic records as stated in the District's Records Retention Policy. 7,_ , GC Government Code lcaffmial H&S Health&Safety Code F Historical IRC Intemal Revenue Code LF Life of Facility,Equip.or Software Retention and destruction of records applies to all media types IRS Internal Revenue Service LO Life of Organization or Permanent including both paper and electronic documents. LC Labor Codeenue Se MA Maturity e NSF i.) NN When No Longer Needed PC Penal Code(cal Copies,non-records,notes,preliminary drafts and transitory records a OMB Office of Management&Budget S Superseded p p ry ry Sp Separated &TC Revenue&Taxation Code�caua,n�ei can be destroyed when no longer needed for District business and do RSOS Secretary of Stale T Terminated not require prior authorization.*When original records have reached Risk Management&Safety v vital USC United States Code their destruction term all copies and duplicates must be destroyed we Water Code along with the original,regardless of the media of the record. Special Stora a Consideration Retention Retention Record Type Length Vital Historical Confidential Retention Citations/Comments Number (Years Unless Specified) RMS021 Safety Data Sheets(SDS) P V 8 CCR§5194;29 CFR§1910 RMS022 Respirator Inventory&Maintenance 2 GC§60201;8 CCR§5144(m) 8 CCR§14300.33(a);29 CFR§1904.33, RMS023 Safety Inspections,Safety Logs 7 29 CFR§1904.44;GC§60201 et seq.;LC §6429c RMS024 Training Records-Safety TE+7 SOS c21;GC§60201 (Mirrors Employee Rosters,Syllabus,Schedule,Curriculum Material Only Training Records TE+7) GC§60201;Records in Cornerstone RMS025 Training Database P Database are Indefinite RMS026 Radiation License&Disposal Records P GC§60201 RMS027 Job Site Safety Analysis(JSSA),Job Hazard Analysis(JHA),Hot work Permits 2 GC§60201 37 Risk Management&Safety Adopted: OCSD 15-16-40 Appendix"A" GENERAL RETENTION SCHEDULE INFORMATION Orange Count Sanitation District CITATION CODES: y Y RETENTION CODES: Any Public Records Act requests,litigation,audits,claims and Records Retention Schedule CC Code of Civil Procedure(calirornia) C Confidential investigations suspends the stated retention periods.Authorization and CCR California Code of Regulations CL Closed or Completed destruction methods are required prior to destroying all official g.rr CFR Code of Federal Regulations EX Expired or Expiration proper q p y g qr EC Elections Code(cdd rnia) records as stated in the District's Records Retention Policy. , °", GC Government Code(caircornia) EL Electronic H Historical H&S Health&Safety Code LF Life of Facility,Equip.or Software Retention and destruction of records applies to all media types IRC Internal Revenue Code IRS Internal Revenue Service LO Life of Organization or Permanent including both paper and electronic documents. o LC Labor Code(caaomia) MA Maturity H"Pa� PC Penal Code(cev..ia) NN When No S Superseded Longer Needed rnr Copies,non-records,notes,preliminary drafts and transitory records OMB Office of Management&Budget SS Separated can be destroyed when no longer needed for District business and do R&TC Revenue&Taxation Code i,uro,mai&Safe SOS Secretary of State Management T Terminated not require prior authorization.*When original records have reached Risk Mana 9 USC United States Code V vital their destruction term all copies and duplicates must be destroyed we Water Code along with the original,regardless of the media of the record. special Stora a Consideration Retention Retention Record Type Length Retention Citations/Comments Number (Years Unless Vital Historical Confidential Specified) RMS028 PPE Assessments S GC§60201 RMS029 Lockout Tag Out Audits(LOTO) 2 GC§60201 38 Risk Management&Safety Adopted: OCSD 15-16-41