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Home My WebLink AboutOCSD 08-06 (REPEALED) REPEALED BY OCSD 09-07 RESOLUTION NO. OCSD 08-06 ADOPTING THE UPDATED RECORDS MANAGEMENT PROGRAM POLICIES AND PROCEDURES, RETENTION SCHEDULE AND RECORD SERIES DEFINITIONS FOR THE DISTRICT'S RECORDS MANAGEMENT PROGRAM, AND AUTHORIZING DESTRUCTION OF OBSOLETE RECORDS A RESOLUTION OF THE BOARD OF DIRECTORS OF ORANGE COUNTY SANITATION DISTRICT ADOPTING THE RECORDS MANAGEMENT POLICY AND PROCEDURES, UPDATED RETENTION SCHEDULE AND RECORD SERIES DEFINITIONS, AND AUTHORIZING DESTRUCTION OF OBSOLETE RECORDS, AND REPEALING RESOLUTION NO. OCSD 07-08 WHEREAS, it is necessary to establish a policy to maintain a Records Management Program ("Program") that provides for the identification, access, and protection of all records generated or received by the District; and WHEREAS, said Program ensures that all District records are created, received, maintained, and destroyed in a cost-effective manner, in accordance with operating requirements for District business and applicable statutes and regulations; and WHEREAS, the Board of Directors of District is authorized, by the provisions of California Government Code Sections 60200 through 60204, inclusive to destroy records under certain conditions; and WHEREAS, it is desirable and appropriate to authorize the destruction of records on a routine basis that have been retained for a certain period of time, that are copies of originals on file with the District, or that have been preserved in conformance with all applicable statutes. NOW, THEREFORE, the Board of Directors of Orange County Sanitation District, DOES HEREBY RESOLVE, DETERMINE, AND ORDER: 1.1 Section 1: Adoption of Records Management Policy and Procedures. The Board of Directors of the District hereby adopts the Records Management Policy and Procedures. Section 2: Adoption of Updated Records Retention Schedule and Definitions of Record Series. The Board of Directors of the District hereby adopts changes to the Records Retention Schedule, set forth in Appendix "A" and "B" incorporated herein by reference. Section 3: Authorization for Destruction of Records. The destruction of certain records, papers, and documents is hereby authorized, pursuant to California Government Code Sections 60200 et seq., after such records have been retained for the minimum time set forth on the Records Retention Schedule. Section 4: Destruction of Records After Preservation. Any record not expressly required by law to be filed and preserved, may be destroyed at any time after it is preserved in conformance with the requirements of California Government Code Section 60203. Section 5: Destruction of Duplicates. Pursuant to California Government Code Section 60200, any duplicate record, paper, or document, the original or a permanent photographic copy of which is in the files of any office or Department of the District, may be destroyed after confirmation with Records Management that such original or permanent photographic copy remains on file in the District. Section 6: Retention of Records Not Mentioned. All records, papers, and documents not mentioned in this Resolution shall be retained indefinitely. Section 7: Resolution No. OCSD 07-08 is hereby repealed. PASSED AND ADOPTED at a regular meeting held May 28, 2008. Ch r ATTEST: Aqx�r, Clerk of t e BoaW ORANGE COUNTY SANITATION DISTRICT Appendix A RECORDS MANAGEMENT PROCEDURE MANUAL Date Issued: 11/17/2000 Revision 8 Revised 5/28/2008 Subject: Records Retention Schedule 1.1 Introduction It is the policy of the Orange County Sanitation District(OCSD)to maintain a records and information management program that provides for the identification, access and protection of all records generated or received by OCSD in the conduct of District Business Retention Code Record Series Office of Record Media Official Duplicate Citation V H C 101 Accident Records Safety& Health -aper 6 CL Accounting Paper-F►S- 102 Reports Accounting H.1220 2 1 103 Accounts Payable Accounting `aper-FIS- 7 1 AB 474 Files H:/220 Accounts Naper-F 104 Receivable Files Accounting H./220 6 1 X Administrative Paper 105 Originating Division 3 1 Records Electronic 106 Agenda Reports Clerk of the Board EDMS Paper LO 3 X X Internet Air Quality and Environmental 107 AQMD Files Compliance and Paper 5 1 RequlatorV Affairs 108 Annexation Files A-Clerk of the Board Paper LO 1 X X B-Eng Planning Electronic 109 Annual Report, Finance Paper-FIS- LO 1 X Financial H:/220 110 Annual Report, Originating Division Paper 20 AR CA GC Operational 60203 111 Association Files Originating Division Paper SU SU Audit Records, Environmental 112 Environmental Compliance& Paper LO 5 Regulatory Affairs Audit Records, ?aper--FlS- 113 Financial Accounting H.1220 CL+6 CL AB 474 114 Audit Records, Originating Division Paper 3 1 Internal 115 Banking Records Accounting gaper-FIS- 6 1 H:/220 Bids, Awards, Sole Contracts, Purchasing & Wdept 23C 116 Sources Materials Mgmt internet CL+6 1 117 Bids, Board Review Clerk of the Board Paper CL+6 1 Req'd,Awarded H:\dept\gmo\l50\151\BS\Resolutions\2008\08-06.Records Retention-Appdx-A Retention Code Record Series Office of Record Media Official Duplicate Citation V H C Bids, Board Review /dept 230 CA GC 118 Req'd, Unawarded Clerk of the Board internet CL+6 1 60201(d) Contracts, Purchasing & Pa CA GC 119 Bids, Unawarded Materials Mgmt pe,' CL+6 1 60201(d) Biosolids Environmental Paper/Eieci 40 CFR 120 Management Compliance& H: & N:Drive 5 1 503.17 Records Reaulatory Affairs 121 Board Administration Clerk of the Board Paper/ 2 1 X Files Electronic 122 Bonds, Revenue Accounting Paper EX+2 EX X Budget Files, Paper-F1S- 123 Approved Accounting HJ220 6 1 Budget Files, Paper-FlS- 124 Preliminary Accounting H.1220 1 1 125 Cash Receipts Accounting Paper-FlS- 4 1 H:1220 Certificate of Contracts, Purchasing & Insurance Materials Mgmt Paper EX+2 1 X Certificate of Insurance, Board Clerk of the Board EX+2 1 X Approved Contracts Chain of Custody, Environmental 128 Laboratory Sciences Lab Paper 10 1 129 Chain of Custody, Source Control Paper CL+3 1 Source Control 130 Check Registers Accounting Paper-FfS- 7 1 AB 474 H:1220 131 Check Requests Accounting Paper 4 1 132 Checks, Cancelled Accounting Paper 2 1 133 Checks, Copies Accounting Paper 2 1 Chemical 134 Inventory Records Originating Division Paper 2 1 City/County Utility 251 Engineering Planning Paper 10 1 Requests Finance/ Risk Paper-FdS- CA GC 135 Claim Files Management H:1220 CL+6 1 60201(d) X X 136 Complaint Files Originating Division Electronic 2 1 Paper Compliance Paper 137 Records Originating Division Electronic 1 Computer Backup Information 138 Tapes and CD Technology Electronic 3 SU X Masters Computer System Information Paper 139 Administrative Technology Electronic LE+3 SU X Records H:\dept\gmo\l50\151\BS\Resolutions\2008\08-06.Records Retention-Appdx-A Retention Code Record Series Office of Record Media Official Duplicate Citation V H C 140 Confined Space Safety & Health Pape- 3 1 8 CCR 5156 Records 5159 Conflict of Interest CA EC 17001, 141 Filings (Form 700) Clerk of the Board Paper 4 SU CA GC 81000(e) Contracts / Purchasing 142 Agreements Originating Div Paper CL+6 CL X Contracts/ 143 Agreements Board Clerk of the Board CL+6 1 X Approval Req'd Crane Inspection 8 CCR 144 Records Originating Division Paper 4 1 5022(d), 8 Deferred Workforce Support 145 Compensation Services Paper LO 1 X Records Delegation of Paper 146 Signature Authority Originating Division Electronic 10 1 X 147 Delivery Receipts Contracts, Purchasing & Paper 4 1 Materials Mgmt DOT Random Drug Paper 252 &Alcohol Test Safety & Health ,`'Z'R-Labor 5 1 49 CFR 382 X Records Relations 148 Drawings, Field Engineering Planning Paper CL+6 RE X Markup (As Built) 150 Drawings, Bid Set Engineering Planning Paper CL+6 RE X 248 Drawings, Engineering Planning EDMS SU RE X Conformed Set Paper 249 Drawings, Record Engineering Planning EDMS LO RE X Paper 151 Drawings, Shop Engineering Planning Paper LO RE X 254 E-mail Backup Information Electronic 3 weeks SU Tapes Technology Employee Benefit Workforce Support 153 Plans and Programs Services Paper TE+7 1 Environmental A-Clerk of the Board Paper 154 Impact Report B-Eng Planning EDMS LO 1 X X 259 Environmental Engineering Planning Paper 15 AR Reports 155 EOC Activation Safety & Health Paper CL+2 CL X Records Equipment 156 Maintenance Originating Division Paper LE 1 Records 157 Equipment Mechanical Maintenance Paper, EDMS, LO 1 Ownership &O&M Library CDROM Escrow Bid Contracts, Purchasing 269 Documents &Materials Mgmt Paper LP LP X X 158 Expense Reports Accounting Paper-F1S- 7 1 AB 474 H:/22® H:\dept\gmo\l50\151\BS\Resolutions\2008\08-06.Records Retention-Appdx-A Retention Code Record Series Office of Record Media Official Duplicate Citation V H C Financial Planning Paper-FlS- 159 Records Accounting H./220 2 1 Financial Paper-FlS- 160 Statements Accounting H.1220 10 1 Fixed Asset Paper-FlS- 161 Records Accounting H.1220 10 1 X 162 Flow Records Originating Division Paper LO 2 163 Formation Files Clerk of the Board Paper LO 1 CA GC X X 4700 164 General Ledger Accounting Paper-FIS- CL+6 1 X H:/220 Grand Jury Paper 265 Reports and OCSD Originating Division Electronic 3 AR X Responses 165 Grant Records Originating Division Paper CL +A and Agreements Grievances/ Employee & Labor 166 Employee Relations Paper CL+2 CL X Complaints 167 Hazardous Waste Safety & Health Paper 3 1 22 CCR Records 66262 168 Historical Subject Originating Division Paper LO 1 X Files 169 1-9 Forms Workforce Support „ TE+3 TE 8 USC Services 1234A 170 Incident Records Originating Division Electronic CL+7 CL 190 �FR9 Industrial Hygiene HCCR 3204 171 Files Safety & Health Paper TE+30 3 29 CFR 1910 d4 Inspection Records, Engineering & Paper 172 Construction Daily Construction Expedition CL+6 1 Progress Inspection records, Engineering & 173 Construction Paper LO 1 Specialty Construction 174 Inspection Collection Facilities CMMS 10 1 Reports, Manhole Maintenance 175 Insurance Policies Accounting Paper LO EX Investment Paper-FlS- 176 Records Accounting H.1220 SA+6 SA 246 IT Help Desk Information Electronic 5 SU Tickets Technology 177 Job Descriptions Workforce Support Papertntrane< CL+10 CL Services Internet 178 Journal Entries Accounting FIS-H.1220 6 1 179 Laboratory Environmental Paper 10 2 Records Sciences Lab p H:\dept\gmo\150\151\BS\Resolutions\2008\08-06.Records Retention-Appdx-A Retention Code Record Series Office of Record Media Official Duplicate Citation V H C 253 Laboratory Data Environmental Electronic 10 SU Backup Tapes Sciences Lab LIMS/Tape 267 Land Records Clerk of the Board Paper LO AR X Electronic Legislation and Paper 180 Regulatory Originating Division Electronic 3 1 Development Files H:Dr Line Maintenance Collection Facilities Electronic 243 Files Maintenance H./Dr LO AR 181 Litigation Files Originating Division Paper CL+6 CL CA GC X 60201(d) 182 Logs (Diaries) Originating Division Paper CL+6 CL+2 183 Logs, Control Operations - Plant 1 & paper CL+30 Cl X Center Plant 2 184 Master Plans/ Originating Division Paper LO 1 X Strategic Plans Report Repository 185 Material Safety Safety & Health Paper TE+30 1 29CFR 1910. X Data Sheets Electronic HCCR 5194 Medical Files 29CFR 186 A-Occupational A- Safety& Health Pape._ TE+30 1 1910.1001, X B-Non-occupational B - Human Resources 8 CCR 3204 Meeting Minutes, =aper-lnternet- 187 Administrative Originating Division Electronic 2 1 X 188 Meeting Minutes, Clerk of the Board Paper-Internet LO 1 CA GC X X Board Electronic 60201(d) 189 Meeting Minutes, Clerk of the Board Paper-Internet LO 1 CA GC X X Board Committees Electronic 60201(d) 190 Monthly Reports Originating Division Paper-intranet 2 AR Electronic Operating 191 Journals Originating Division Paper 2 1 192 Operating Records Originating Division Paper 5 AR Electronic 193 Opinions Clerk of the Board Paper LO 1 X 194 Ordinances Clerk of the Board Paper LO SU CA H&S X X 6491.3 195 OSHA Compliance Safety & Health Paper AR AR Records 196 Payroll Records Accounting H:1220 Raper-FIS- 7 1 516.5 29 CFR, X 197 Permits Originating Division Paper EX+1 1 Environmental 198 Permits, AQMD Compliance& Paper LO 1 X Regulatory Affairs H:\dept\gmo\l50\151\BS\Resolutions\2008\08-06.Records Retention-Appdx-A Retention Code Record Series Office of Record Media Official Duplicate Citation V H C Permits, Building CA H&S 199 and Construction Originating Division Paper LO CL+6 19850, H&S Permits, Engineering 258 Encroachment Planning Pape` LO 1 200 Permits, NPDES Clerk of the Board 10 SU 40 CFR X 125.30(h) 261 Permits, Sewer Engineering Planning Paper LO 1 X Connection 201 Permittees Files Source Control - _ CL+3 1 40 CFR 403 12 202 Personnel Files Workforce Support Services Paper JDE TE+7 TE X 203 Petty Cash Accounting Paper 4 1 Records Policies/Procedures Secretary to General Paper 204 Administrative Manager Intranet SU+10 SU X 205 Policies/Procedures, Originating Division Paper CL+10 SU X Manuals, SOP's 268 Process Data Process Engineering Electronic LO SU Problem Reports for Collection Facilities 247 Collection Systems Maint. O&M Library Paper 6 AR Project Files (also Paper EDMS 206 Job or Contract Originating Division Electronic CL+6 CL Files) H:Dr 207 Proof of Publication, Clerk of the Board Paper LO 1 Ordinances Public Comment Paper 245 Files Originating Division Electronic 2 CL 250 Public Record Records Mgmt/Board Paper/Elec CL + 2 CL X Requests Services .H:Dr 7 RCC 208 Public Relations Public Information Paper AR 1 Records Office p 209 Publications Public Information paper AR 1 Office 210 Purchase Order Contracts, Purchasing & JDE CL+6 CL Files (OA and OB) Materials Mgmt Purchase Order Contracts, Purchasing & 256 Files (OP and OS) Materials Mgmt - CL+2 CL Purchase Contracts, Purchasing & 211 Requisition Files Materials Mgmt Paper CL+6 CL OA and OB Purchase Contracts, Purchasing & 257 Requisition Files Materials Mgmt Paper CL+2 CL (OP and OS) 214 Recorded Clerk of the Board Paper LO 1 X X Documents Records Destruction Records Mgmt/Board 215 Approvals& Services Paper LO 1 Records Records Mgmt/Board Paper 216 Management Files Services Image 2000 3 1 H:\dept\gmo\l50\151\BS\Resolutions\2008\08-06.Records Retention-Appdx-A Retention Code Record Series Office of Record Media Official Duplicate Citation V H C Records Retention Records Mgmt/Board Paper 217 Schedules Services Intranet LO 1 X Recruitment Workforce Support Paper Intrane 29 CFR 218 Records Services CIVICA CL+2 CL 1627.3 219 Reference Files, Originating Division Paper AR AR External Sources Electronic FIS- er, 220 Reports, Financial Accounting Pap 4 1 H:1220 221 Reports, General Originating Division Paper 3 1 Electronic 222 Reports, Technical Originating Division Paper AR 1 Electronic 263 Report Records Mgmt/Board Electronic- LO AR X Repository Services H: Drive Research& Paper 244 Reference Materials, Originating Division AR AR Internal Sources Electronic Resolutions, Paper Interne: 223 Board Clerk of the Board Electronic LO SU X X Risk Management Paper-FlS- 224 Reports Risk Management H:1220 CL+5 1 Salary Deduction Workforce Support 225 Records for Benefits Services Paper TE+7 1 X Security Clearance Information Technology/ lectronic 226 Records, Computer Human Resources TE+3 1 Systems Paper Sewer Line Engineering Planning Paper 227 Records & Design Electronic SU SU X Video 228 Software Information Paper LE+3 SU X Application Files Technology Electronic 229 Specifications & Clerk of the Board Paper LO 1 Plans Speeches and Electronic 230 Presentations Originating Division H:Dr 3 1 231 Subject Files Originating Division Paper AR AR 232 Submittals, Design Engineering Design & Paper CL+6 CL &Construction Construction EDMS Tax Records, Paper-FIS- 29 CFR 233 Employee Accounting H:1220 CL+4 1 516.5 X Tax Records, Paper-FIS- 26 CFR 234 Vendor Accounting H:1220 CL+6 1 1.6041.1 235 Training Records Emp. Development Paper 3 CL lectronic 236 Training Records, Safety & Health Paper 3 CL Safety 237 Travel Records Originating Division 7 1 AB 474 H:\dept\gmo\l50\151\BS\Resolutions\2008\08-06.Records Retention-Appdx-A Retention Code Record Series Office of Record Media Official Duplicate Citation V H C 238 Trial Balance Accounting 3 1 Records H.1220 239 Underground ECRA and O&M Paper LO 1 23 CCR Storage Tanks 2772 Video Surveillance Health 8� electronic 30 255 Files Safety Video Da s SU 240 Warehouse Contracts Purchasing & paper CL+2 1 Records Materials Mgmt 241 Wastehauler Files O&M &Source Control Paper 3 1 242 Work Orders Originating Division Electronic CL+10 CL CMMS 260 Workers Comp. Safety & Health Paper TE+30 CL 49 CFR 382 X Files RETENTION PERIOD EVENT Code: All retention periods are listed in years (unless otherwise specified) and are in addition to the current year. Life of LO Organization, Annual Closed, LP Plant, Sale, AR Review CL Completed LE Equipment SA Disposition SU Superseded Closed Plus After Terms of the Settlement AA Audit CL +A Agreement RE Revised STIPD or Paid TE Termination EX Expired V Vital H Historical C Confidential H:\dept\gmo\150\151\BS\Resolutions\2008\08-06.Records Retention-Appdx-A Record Series with Definitions ORANGE COUNTY SANITATION DISTRICT Appendix B RECORDS MANAGEMENT Date Issued: 11/17/2000 PROCEDURE MANUAL Revision: 8 Revised: 5/28/2008 I Subject: Record Series with Definitions 1.1 INTRODUCTION It is the policy of the Orange County Sanitation District (OCSD) to maintain a records and information management (RIM) program that provides for the identification, access and protection of all records generated or received by OCSD in the conduct of OCSD business. RECORD SERIES WITH DEFINITIONS 101 Accident Records Records related to accidents during which OCSD property is damaged. Does not include records on employee injury. 102 Accounting Reports Reports summarizing accounting transactions. 1 103 `Accounts Payable Files Records relating to payment of financial obligations (money owed by the organization). Includes vendor and contractor invoices, bills, statements and any non- discharged debt. 104 Accounts Receivable Records related to accounting for money owed to the Files organization includes user fees. 105 Administrative Records Records of a general nature including copies of memos, letters, chronological files, calendars, day timers, phone messages, etc. that pertain to general administrative activities and duties of the Division. 106 Agenda Reports Records related to information provided to an official iBoard of Directors or board committee for j !consideration and action at official proceedings of the board committee including board agendas. 107 Air Quality&AQMD Records related to South Coast Air Quality Files Management District (AQMD) and AB-32 I Greenhouse Gases regulations, emissions monitoring and violations. !108 Annexation Files Records regarding the annexation of property to the organization. A) Final with Board approval B) Back up information 109 Annual Reports, Records relating to the published annual financial Financial reports, describing the financial status of the organization. H:\dept\gmo\150\151\BS\Resolutions\2008\08-06.Records Retention-Appdx-B.docx/ski11man Page 1 7/28/2008 1 Record Series with Definitions 110 Annual Reports, Records relating to the published annual technical and Operational operational status and performance reports of the organization. 111 Association Files Records related to membership or the activities of professional or industry associations of which the organization is a member or has a business interest. 112 Audit Records, Records documenting the review of compliance Environmental activities with established environmental quality standards. 113 Audit Records, Financial Records relating to the review and monitoring of any accounting or financial records to ensure compliance with GAAP standards and the organization's procedures. 114 Audit Records, Internal Records related to internal reviews of OCSD activities to ensure compliance with procedures and standards. Does not include financial or environment audit records. 115 Banking Records Records related to bank transactions including deposit of funds, bank statements, bank reconciliation's, and wire fund transfers. 116 Bids, and Sole Sources The successful proposals submitted by vendors to obtain contracts with OCSD, where OCSD selects that bid or proposal. Includes bid packages and sole sources. 117 Bids, and sole sources, The successful proposals requiring board approval, Board Review Required, submitted by vendors to obtain contracts with OCSD, Awarded where OCSD selects that bid or proposal. Includes bid packages and sole sources. 118 Bids, Board Review Proposals, requiring board approval, submitted by Required, Un-awarded vendors to obtain contracts with OCSD, where OCSD (Rejected) does not award that bid or proposal. Includes bid packages. 119 Bids, Unawarded The unsuccessful proposals submitted by vendors to obtain contracts with OCSD, where bid is not awarded to that vendor. Includes bid packages. 120 Biosolids Management Records related to biosolids hauling, use, and EMS Records activities. 121 Board Administrative Records relating to board members, appointments to Files the board/directors list and current contact information. 122 Bonds, Revenue Bonds, revenue records relating to interest bearing certificates (negotiable instruments) issued by OCSD to raise revenues, including certificates of participation and any non-discharged debt. 123 Budget Files, Approved Records relating to internal planning and financial management. Includes budge vs. cost reports, summaries, worksheets, goals and objectives and i milestones. H:\dept\gmo\150\151\BS\Resolutions\2008\08-06.Records Retention-Appdx-B.docx/skillman Page 2 7/28/2008 2 Record Series with Definitions 124 Budget Files, lRecords related to projected income and records that Preliminary fare "working copies" preliminary worksheets and drafts developed in preparation of a budget of authorized expenditures. 1125 Cash Receipts Records related to cash payment received. 1126 Certificate of Insurance Proof of insurance coverage, such as board forms, required by OCSD for OCSD vendors providing certain goods or services under contracts that do not require board approval Part of Bid and Contract f Packages 127 Certificate of Insurance, lProof of insurance coverage, such as board forms, Board Approved required by OCSD for OCSD vendors providing Contracts certain goods or services under contracts requiring !board approval. Part of Bid and Contract Packages 128 Chain of Custody Records related to proving ownership or provenance Records, Laboratory of a specimen, solution or sample. 129 Chain of Custody Records acknowledging receipt of split sample, taken Records, Source Control by a source control inspector. 130 Check Registers Records listing individual checks issued, the date, payee, amount and purpose of the expense. 131 Check Requests Forms requesting the issuance of a check or warrant to pay for OCSD incurred expenses. 132 Checks, Cancelled OCSD issued checks cashed by the payee and returned to OCSD by the paying financial institution. 133 Checks, Copies (Copies of OCSD issued checks usually filed together by check number. 134 Chemical Inventory Records related to chemical delivery, chemical Records transfers, usage, manifests worksheets and inventory logs. I City/County Utility Utility requests from cities, the County of Orange, 251 Requests Consulting Engineers and General Correspondence with cities & counties. 135 Claim Files Records regarding claims of wrongdoing by the organization or its employees. Claims generally request compensation for damage or loss. 136 Complaint Files ;Records related to complaints filed by the public iregarding the organizations operations or activities 137 Compliance Records [ensurlRecords relating to monitoring the environment and ng compliance with pertinent regulations. 'Includes compliance, monitoring, QA, QC, spill and/or mitigation reports. 138 Computer Maintenance Back up tapes and CD Masters maintained for Tapes and CD's ;Disaster Recovery of the Computer System ---- - 139 Computer System Records regarding work activities to maintain and Administration Records [ensure continued operation of computer systems and applications. 140 Confined Space jRecords related to procedures, permits and entry into Records 'confined spaces. H:\dept\gmo\150\151\BS\Resolutions\2008\08-06.Records Retention-Appdx-B.docx/skillman Page 3 7/28/2008 3 Record Series with Definitions 141 Conflict of Interest Records relating to conflict of interest filings for active Filings and alternate board members, and designated (Form 700) employees. 142 Contracts/Agreements Records relating to obligations defined in contracts and agreements not requiring board approval. Includes Specs and Plans, Scope of Work, promissory agreements, contracts and pending contracts for services, leases and software licenses authorized by the General Manager, Legal Counsel or Board I Committee. 143 'Contracts/Agreements, Records relating to obligations defined in contracts Board Approval and agreements requiring board approval. Includes Required Specs and Plans, Scope of Work, promissory agreements, contracts and pending contracts for ;services, leases and software licenses. 144 Crane Inspection Records related to periodic inspection, annual Records certifications, quadrennial proof load test reports, and permit to operate cranes and derricks. 145 Deferred Compensation "Records of employee contributions and OCSD Records payments. 146 Delegation of Signature Records specifying the person(s) having the Authority Records temporary authority to approve specified activities or documents during the absence of the individual .normally authorized to perform the activities or approve documents. 147 Delivery Receipts Records documenting receipt of shipped items. May include delivery shipment receipts and registered mail receipts which may be filed with Purchase Orders. 252 DOT Random Drug & Records of tests done by outside contractor in Alcohol Test Records compliance with DOT required Random Drug & Alcohol Testing 148 Drawings, Field Markup Records that graphically depict specifications. Copy (As-Built) of conformed drawings marked up by contractors and/or inspectors during construction to show how facility or component is actually constructed. 150 Drawings, Bid Set Documents usually including advertisement or invitation to bidders, instructions to bidders, bid form, form of contract, forms of bonds, conditions of contract, specifications, drawings, addenda and any other information necessary to completely describe the work by which candidate constructors can adequately prepare proposals or bids for consideration. 248 Drawings, Conformed All the written and graphic documents concerning Set execution of a particular construction contract. These include the agreement between the owner and the contractor, all conditions of the contract including general and supplementary conditions, the specifications and drawings, any changes to the !specifications and drawings, any changes to the original contract and any other items specifically itemized as being part of the contract documents. H:\dept\gmo\150\1 51\BS\Resolutions\2008\08-06.Records Retention-Appdx-B.docx/skillman Page 4 7/28/2008 4 Record Series with Definitions 249 Drawings, Record Construction documents updated to show the progress of the work, usually based on data furnished by the contractor to the designer. Record Drawings shall be stamped by a professional engineer. ! - 151 Drawings, Shop Documents created by a contractor, subcontractor, vendor, manufacturer, or other entity that illustrate construction, materials, dimensions, installation and I other pertinent information for the incorporation of an ( element or item into the construction 254 E-mail Back up Tapes i E-mail messages on the Exchange Server 153 Employee Benefit Plans Records related to all employee benefits plans, and and Programs programs including health insurance, tuition reimbursement, thrift plans, beneficiary designations, eligibility. 154 Environmental Impact A. Records, used to prepare the draft and final EIR Report published by the District e.g. response to A— Final Documents comments, B— Back up Information mitigating declarations, addendum, and notices of determination filed with state/county clerk B. Notice of Determination filed and /or recorded with State and/or County Clerk 259 ,Environmental Reports Master Plans and EIR's submitted from outside sources for review by the District and NOE's for OCSD projects. I 155 EOC Activation Records related to documenting activities of Records emergency operations center(EOC) during a declared emergency. 156 Equipment Maintenance ;Records regarding maintaining OCSD equipment and Records vehicles (excluding crane records) includes daily !maintenance reports, service checklist, preventative maintenance schedules, service logs and test records. ----- -— ---------- 157 Equipment Ownership Records related to ownership of equipment including !correspondence, drawings, operating instructions, !warranties and registrations. 262 Escrow Bid :Documents submitted with bid packages for large Documents CIP Projects 158 Expense Reports Records relating to the reimbursement of District employees, Members of the Board of Directors, and Contractors for expenses incurred for travel or other costs when conducting the organizations business. i 159 ;Financial Planning Records related to the budgeting and planning of the i organizations revenues and expenses. 160 Financial Statements Records stating the financial position and condition of ! the organization. 161 Fixed Asset Records Records relating to the acquisition, depreciation and accruals of fixed assets. 162 Flow Records Records related to tracking influent and effluent. 163 Formation Files Records documenting the terms under which OCSD was formed, organized, re-organized or consolidated. H:\dept\gmo\150\151\BS\Resolutions\2008\08-06.Records Retention-Appdx-B.docx/skilhnan Paoe 5 7/28/2008 5 Record Series with Definitions 164 General Ledger Summary of all financial accounts. Records relating to the postings to the General Ledger. 264 Grand Jury Reports Reports received from the Grand Jury and OCSD and OCSD Responses Responses to same .-.................................. 165 Grant Records and Documents related to awarded grants including Agreements applications, agreements, progress &financial reports and compliance paperwork. includes Cooperative Project Agreements 166 Grievance/ Employee Records includes arbitration between employer and Complaints employee, grievances, union requests, employee rights, employee rights information, appeals, sexual harassment information and civil rights information. 167 Hazardous Waste Records regarding the storage, transportation, or —� Records handling of hazardous waste. 168 Historical Subject Files Records retained for the life of the organization due to their enduring value, rather than solely for business or legal purposes. Records that document the origination, significant events, and strategic planning of the organization. -__-------__ 169 1-9 Forms Forms required by the federal government under the requirements of the Immigration Reform/Control Act of 1986. 170 Incident Records Includes records regarding unscheduled maintenance, or deliberate property damage such as theft, arson, vandalism, or other loss of OCSD assets. Records documenting security related incidents, including local police reports, criminal and non-criminal incidents, loss of District property or violations of security policy. All safety incident reports including fire alarm and fire department reports. 171 Industrial Hygiene Files Reports and documentation prepared by staff and certified industrial hygienist-, includes ergonomics of the workplace, air sampling, noise testing, and workplace contaminants. 172 Inspection Records, ,Records related to inspection of the daily progress of Construction Daily !construction activities to ensure quality and ;Progress compliance with specifications and standards. 173 Inspection Records, ;Records related to specialty inspection of construction Construction Specialty !activities to ensure compliance with specifications. ;Includes welding, vibration analysis, soils analysis and !pile driving inspections, photos, NETA reports, lab certificates and coordination studies. 174 Inspection Reports, Records related to the comprehensive evaluation of Manhole the wear condition of the manhole structure including } 1frame and cover replacement records. 175 Insurance Policies lRecords related to insurance policies purchased by 'OCSD, including the policies and any amendments. 176 'Investment Records RRecords relating to investments including the ';purchase of stocks, bonds or other equities, ownership and account statements. H:\dept\gmo\150\151\BS\Resolutions\2008\08-06.Records Retention-Appdx-B.docx/skiIlman Page 6 7/28/2008 6 Record Series with Definitions 246 IT Help Desk Tickets IIT service requests received by the Help Desk `Magic System 177 Job Descriptions Records describing the duties and responsibility of each job position and the expectations for i performance. 178 Journal Entries Account postings with supporting documentation. 179 Laboratory Records Records related to laboratory activities including data logs, lab equipment maintenance and sterilization, QA and QC records. 253 Laboratory Data Backup Statistical laboratory data housed on the chromium— Tapes and erbium servers 1265 'Land Records All records having to do with property rights including Easements, Grant Deeds, Quit Claim Deeds, Abandonments, Condemnations, purchase 38�sale of real estate and other Property !Agreements. 180 Legislation and Records regarding local, state and federal legislation Regulatory session bills, annual legislative agenda, lobbying files Development Files and summaries of bills that may affect OCSD's operations or organization. Records generated during regulation or rule development. . 243 Line Maintenance Files iRecords of maintenance and inspection of sewer jlines. 181 Litigation Files lRecords related to possible or actual litigation or ;government investigations. Includes court proceedings records, pleadings, discovery, work ;product, exhibits and final judgments. 182 Logs A document listing activities, items, individuals and noting the same information about each entity. Log lentries generally occur in chronological order. This !,includes the red binder diaries maintained by !Inspectors 183 Logs, Control Center Bound notebooks describing activities, items or individuals regarding plant operations. Log entries generally occur in chronological order. 184 Master Plans /Strategic Report describing long range program or major Plans projects planning and goals of OCSD. Includes ,strategic plans. 185 Material Safety Data Records relating to the description and use of Sheets hazardous substances. 186 ;Medical Files Records related to the medical history of employees, A—Occupational including injury and illness records. B—Non-Occupational 187 Meeting Minutes, Meeting minutes, administrative records regarding the Administrative �agenda and description of the decisions made or actions taken during the meeting, for meetings not board-related. H:\dept\gmo\l50\151\BS\Resolutions\2008\08-06.Records Retention-Appdx-B.docx/skillman Page 7 7/28/2008 7 Record Series with Definitions ---------------------------- 188 'Meeting Minutes, Board ;Records regarding agenda, meeting minutes, Iresolutions, actions and decisions, of the Board of I Directors. Includes administrative orders, minute ;orders and minute actions. -------------- ------ 189 'Meeting Minutes, Board !Records regarding agenda, meeting minutes, 'Committees ;resolutions, actions and decisions of a board lcommittee. ..................... ...................................................................................................---.......................... 190 :Monthly Reports Records related to operating and status information ;used to complete OCSD annual reports. 191 ;Operating Journals ;Daily entries documenting activities in district ;operations. Includes crew schedules. -----------------------------------------------------------------------———— 192 Operating Records '!Records related to district operations. Includes data :books, operating reports, overtime, crew schedules ;and daily lab reports. ----------- 193 Opinions Written legal opinions resulting from research on a ;given topic. ................. ............ ............... ............................................................................ 194 Ordinances Regulations enacted by board action and related records. Includes local limits report. ............ -------------- --------____________------- 195 :OSHA Compliance 'Records describing procedures for emergencies. :Records 'Includes disaster recovery procedures and federal ;OSHA forms. ................... .............--....................................................................... 196 Payroll Records !Records including timesheets, unemployment claims, ;garnishments and the payment of labor costs iincluding salaries, wages, compensation and ;deductions for employees, Board Members and iContractors. 197 Permits ;Records including permits to operate plants, machinery, equipment and vehicle permits. Also ,includes right-of-way records. Does not include ?NPDES or AQMD permits or permits granted to the EAC. 198 Permits, AQMD ;Records related to permits granted by AQMD to operate various equipment and engines. 199 Permits, Building and ;Records related to plans, signs, grading, ;Construction lencroachment, including blueprints and ;specifications. Approval to construct or renovate zoning variances and conditional use ;permits. -----------......... ----------258 Permits, Encroachments E.P. issued by OCSD- Issued to private and public entities to allow improvements over, along, or under areas where OCSD has a land interest. • E.P. issued to OCSD- Grants OCSD permission (with possible limitations)to install facilities over, along, or under lands that are i owned by other entities or where the entity may own an interest that is exclusive. The j granting entity is almost always another public agency, but can be a private entity. .............. H:\dept\gmo\150\151\BS\Resolutions\2008\08-06.Records Retention-Appdx-B.docx/sUlman Page 8 7/28/2008 Record Series with Definitions 200 Permits, NPDES Records relating to the application for a permit to discharge pollutants, in compliance with the Clean Water Act. Includes the permit. 261 Permits, Sewer All documents related to permits for connections to the' Connections ;collection system 201 Permittees Files 'Records related to monitoring businesses with discharge permits and urban runoff. 202 `Personnel Files Records relating to individual employees. Records may include employment applications, performance evaluations, salary information, and separation j j documents. 1f 203 Petty Cash Records Records documenting replenishment of cash and disbursements of cash from the petty cash fund. 204 Policies/Procedures Records providing documentation on the Administrative implementation of management and administrative policies and directions for various organizational functions. 205 Policies/Procedures, Records providing documentation on the Manuals and Standard implementation of technical and operating policies and Operating Procedures directions for various operational functions. Includes (SOP's) technical, vendor and engineering manuals. 226Pro cess Data Data received from internal and external sources 1 i used for process assessment and understanding, optimization, decision making and as a basis of j engineering evaluation of process changes. 1247 Problem Reports for Communications, in any media, received as a result of Collection Systems a collection system problem I ---- --.—__i 206 Project Files (Job or Records related to activities of limited duration Contract Files) (defined start and end date), as opposed to activities of an ongoing nature. Can include a wide variety of documents gathered for reference on a specific project. Also referred to as job or contract files. 207 'Proof of Publication, Records related to proving that required public notices i Ordinances have been published in prescribed publications. 245 Public Comment Files Communications, written, voice and digital from the public on District matters 250 Public Record Requests Records reflecting Public Record Act (PRA) and Freedom of Information Act (FOIA) Requests and Material sent in response to same. 208 Public Relations Records related to preparing public information, j Records brochures describing OCSD activities, photographs ! and graphics used. 209 Publications lRecords related to providing information to the public land to staff about OCSD activities. Includes internal 'newsletters and news clippings. 1210 Purchase Order Files Open Annual (OA)and Open Blanket (OB) Purchase j (OA and OB) Orders 256 'Purchase Order Files 'Purchase Orders for Goods (OP) and Services (OS) `(OP and OS) H:\dept\gmo\1 50\151\BS\Resolutions\2008\08-06.Records Retention-Appdx-B.docx/skillman Page 9 7/28/2008 9 Record Series with Definitions 211 Purchase Requisition Records initiating the purchasing process for Open I Files (OA and OB) (Annual (OA) and Open Blanket (OB) Purchases. 257 Purchase Requisition !Records initiating the purchasing process for Goods Files (OP and OS) ((OP) and Services (OS) 214 Recorded Documents The official version of a document recorded by the County Recorders office. Includes notice of i (completion, deeds and easements. 215 Records Destruction Documents certifying (confirming)the destruction of Approvals & Certificates official records that have been approved for .destruction. The certification attests to the fact that destruction was accomplished in accordance with applicable procedures. I 216 Records Management Records regarding the management of OCSD — Files records, including records maintenance and transfer records. Does not include the retention schedule or ;destruction certificates. 217 Records Retention (The document that lists each record series and the Schedules associated retention times, characteristics, responsible division, and legal citations, if applicable. 218 -Recruitment Records Records regarding the advertisement of available positions of requirements for specific skills, or the interview and selection process for prospective employees, includes job fair records, job postings, advertising, interviews, resumes, applications, and testing.. 219 Reference Files, Documents published by outside organizations, used External Sources ;for reference, study and research. Usually library-type (published) documents (i.e. books, technical journals, 'periodicals) or reference materials kept only until superseded by the next edition From external sources 220 Reports, Financial Records relating to financial, fiscal and monthly reports. May include worksheets, spreadsheets, analysis and reports of financial or investment results. j 221 Reports, General Records generated internally and periodically, relating to the status or progress of routine activities or i statistics. 222 Reports, Technical Records related to the preparation of technical or management reports based on studies, the completed report or study. j ------------ ------ — ------------- 263 `Report Repository Central Repository for Report and Studies that j j 'affect the District as a whole, either externally or ( internally generated 244 'Research/Reference Material used as reference in development of current Files, Internal Sources matters or projects from Internal Sources 223 Resolutions, Board Formal expression of the will, opinion and intent voted by the Board of Directors and legislative-type f actions. 224 ,Risk Report records related to OCSD claims, loss runs, Management Reports loss analysis and related records. H:\dept\gmo\150\151\BS\Resolutions\2008\08-06.Records Retention-Appdx-B.docx/skillman Page 10 7/28/2008 10 Record Series with Definitions 225 Salary Deduction ,Records related to OCSD employees deduction Records for Benefits ;authorization, beneficiary designations. I 226 iSecurity Clearance ;Records related to authorizing employees or ;Records, Computer contractors to have access to an OCSD computer i Systems !system, system module or the data stored in a ' ~computer system or system module. ......... . ..-... ......... ....................... .. .....--------- 227 -Sewer Line Records ;Records related to sewer operations and I ;maintenance. Includes easements, atlas, sewer line !videotapes and sewer index maps. ._-___._.._._. 228 :Software Application ;Records related to software applications owned by 'Files �OCSD. Includes software registrations and records i !related to the maintenance of software applications. ----------_-_----------..._----.. -- -- -- - - - --- -- ----- - - - ------- __ _ i !229 'Specifications & Plans ;Records of the precise details and description of the Eservice or project to be completed, or the item to be 'ordered, as approved by the Board of Directors. .,,_.......- ..,...._.._,.,_...,_..- ..... ..-....-------.......__,_ _ _ __-____________ __ _________--___-------------------------------- .,_-__ .. _ ,,......._...__.-_t 230 :Speeches/ ;Records related to the preparation of presentation Presentations ;materials by OCSD employees or board members. Includes text of speech, presentation materials or !computer presentation software files. 231 Subject Files ;Records related to topics and issues filed by the i !subject of the records. May include studies, reports ;and other results of research activities .......... ..- _ .......-. . .... 232 ,Submittals, Design & ;Plans and specifications submitted by consultants for Construction !OCSD's review and approval at specified completion 'stages . s --- - --- - -------------------------- --------------------------------------------------------_ -- 233 !Tax Records, Employee 'Records relating to the maintenance of information ;about tax liabilities, withholding and payment of taxes, ;records related to payment of State and Federal taxes ;including 1096 and W-2 Forms. ------ -------------- - --- 234 ;Tax Records, Vendor ,Records related to reporting to the IRS, miscellaneous !income paid to vendors and contractors. . _-.... _._ -- _....... _.__..__ .. --- - _ 235 Training Records Records relating to the training and orientation of ;employees. Records may include class attendance :sheets, schedules, classes offered, records of class ;curriculum or syllabus, and training materials ;development. ......._ ................ ......_-.. . . . .. _......... _. ....... ._. . _._ _ 236 !Training Records, ;Records relating to the training and orientation of Safety ;employees on safety issues. Records may include ;class attendance sheets, schedules, classes offered, }records of class curriculum or syllabus, and training j !materials development. =237 Travel Records ;Records documenting travel requests, itineraries, lodging or transportation reservations for employees, ;Board Members and Contractors. Expense reports !are a separate record series. !238 `Trial Balance Records Records summary record of account balances by ;debits and credits to prove accuracy of accounting ;data. I --- --- -- -_ -- -- - - ---------------------- --- - —- ------- --------------—3 239 Underground Storage !Records related to the maintenance of underground Tanks ;storage tanks. Includes permit. H:\dept\gmo\150\151\BS\Resolutions\2008\08-06.Records Retention-Appdx-B.docx/skillman Page 11 7/28/2008 11 Record Series with Definitions ---------- ------- ,255 Video Surveillance Files Video surveillance files from various security cameras Ion site at OCSID facilities. ------------- -------------------------- ------- ------------------------------------------ 240 Warehouse Records 'Records related to managing the warehouse, including sales orders, stock out, shipping records, linventories, ABC. ............___............. ..................... ........................... ................................................. Wastehauler Files ;Records related to transporting waste to or from �OCSD plants. Includes manifests and waste-hauler ;schedules. --------------- 'Work Orders i,Records related to requesting repairs, alterations, ;improvements, maintenance or other services; records ;related to the completion of the work requests. ---------------------------------------------------- ------------__------------------------ 260 Workers Compensation !Records relating to employee work related injuries 'Files ------------ -------------------------------------------------------------------_-------------------------I-----—-———— H:\dept\gmo\150\151\BS\Resolutions\2008\08-06.RecordsRetention-Appdx-B.doex/skillman Page 12 7/28/2008 12