Loading...
HomeMy WebLinkAbout03-09-2022 Administration Committee Meeting Complete Agenda Packet.pdfORANGE COUNTY SANITATION DISTRICT SPECIAL NOTICE REGARDING CORONAVIRUS (COVID-19) AND ATTENDANCE AT PUBLIC MEETINGS Governor Newsom signed Assembly Bill (AB) 361 on September 16, 2021, which, in part, addresses the conduct of public meetings in light of the continued State of Emergency order. Effective October 1, 2021, AB 361 suspends the requirements located in California Government Code, Section 54953, Subdivision (b), Paragraph (3) specifically pertaining to the conduct of public meetings. As such, the Orange County Sanitation District (OC San) Board of Directors has determined that due to the size of OC San’s Board of Directors (25), and the health and safety of the members, the Board of Directors will be participating in meetings of the Board telephonically and via Internet accessibility. PUBLIC PARTICIPATION Your participation is always welcome. OC San offers several ways in which to interact during meetings. You will find information as to these opportunities below. ONLINE MEETING PARTICIPATION You may join the meeting live via Teams on your computer or similar device or web browser by using the link below: Click here to join the meeting We suggest testing joining a Teams meeting on your device prior to the commencement of the meeting. For recommendations, general guidance on using Teams, and instructions on joining a Teams meeting, please click here. Please mute yourself upon entry to the meeting. Please raise your hand if you wish to speak during the public comment section of the meeting. The Clerk of the Board will call upon you by using the name you joined with. Meeting attendees are not provided the ability to make a presentation during the meeting. Please contact the Clerk of the Board at least 48 hours prior to the meeting if you wish to present any items. Additionally, camera feeds may be controlled by the meeting moderator to avoid inappropriate content. HOW TO PARTICIPATE IN THE MEETING BY TELEPHONE To join the meeting from your phone: Dial (213) 279-1455 When prompted, enter the Phone Conference ID: 276 833 72# All meeting participants may be muted during the meeting to alleviate background noise. If you are muted, please use *6 to unmute. You may also mute yourself on your device. Please raise your hand to speak by using *5 during the public comment section of the meeting. The Clerk of the Board will call upon you by using the last 4 digits of your phone number as identification. NOTE: All attendees will be disconnected from the meeting at the beginning of Closed Session. If you would like to return to the Open Session portion of the meeting, please login or dial-in to the Teams meeting again and wait in the Lobby for admittance. VIEW THE MEETING ONLINE ONLY The meeting will be available for online viewing only at: https://ocsd.legistar.com/Calendar.aspx HOW TO SUBMIT A COMMENT You may provide verbal comment in real time during the meeting. In order to provide a verbal comment, please raise your hand as described above or alert the Clerk of the Board before or during the public comment period. You may also submit your comments and questions in writing for consideration in advance of the meeting by using the eComment feature available online at: https://ocsd.legistar.com/Calendar.aspx or sending them to OCSanClerk@ocsan.gov with the subject line “PUBLIC COMMENT ITEM # (insert the item number relevant to your comment)” or “PUBLIC COMMENT NON-AGENDA ITEM”. You may also submit comments and questions for consideration during the meeting by using the eComment feature available online at: https://ocsd.legistar.com/Calendar.aspx. The eComment feature will be available for the duration of the meeting. All written public comments will be provided to the legislative body and may be read into the record or compiled as part of the record. TECHNICAL SUPPORT PRIOR TO AND DURING MEETINGS For technical assistance before and during the meeting, please call 714-593-7431. For any other questions and/or concerns, please contact the Clerk of the Board’s office at 714-593-7433. Thank you, in advance, for your patience in working with these technologies. We appreciate your interest in OC San! March 2, 2022 NOTICE OF REGULAR MEETING ADMINISTRATION COMMITTEE ORANGE COUNTY SANITATION DISTRICT Wednesday, March 9, 2022 – 5:00 P.M. ACCESSIBILITY FOR THE GENERAL PUBLIC Your participation is always welcome. Specific information as to how to participate in this meeting is detailed in the Special Notice attached to this agenda. In general, OC San offers several ways in which to interact during meetings: you may join the meeting live via Teams on your computer or similar device or web browser, join the meeting live via telephone, view the meeting online, and/or submit comments for consideration before or during the meeting. The Regular Meeting of the Administration Committee of the Orange County Sanitation District will be held at the above location and in the manner indicated on Wednesday, March 9, 2022 at 5:00 p.m. ADMINISTRATION COMMITTEE MEETING DATE BOARD MEETING DATE 03/09/22 03/23/22 04/13/22 04/27/22 05/11/22 05/25/22 06/08/22 06/22/22 07/13/22 07/27/22 AUGUST DARK 08/24/22 09/14/22 09/28/22 10/12/22 10/26/22 11/09/22 11/16/22 * 12/14/22 12/21/22 * JANUARY DARK 01/25/23 02/08/23 02/22/23 *Meeting will be held on the third Wednesday of the month ROLL CALL ADMINISTRATION COMMITTEE Finance, Information Technology, Environmental Services and Human Resources Meeting Date: March 9, 2022 Time: 5:00 p.m. Adjourn: COMMITTEE MEMBERS (13) Glenn Parker, Chair Anthony Kuo, Vice-Chair Brad Avery Ron Bates Art Brown Kim Carr Rose Espinoza Marshall Goodman Patrick Harper Andrew Nguyen David Shawver John Withers (Board Chair) Chad Wanke (Board Vice-Chair) OTHERS Brad Hogin, General Counsel STAFF Jim Herberg, General Manager Rob Thompson, Assistant General Manager Lorenzo Tyner, Assistant General Manager Celia Chandler, Director of Human Resources Kathy Millea, Director of Engineering Riaz Moinuddin, Director of Operations & Maintenance Lan Wiborg, Director of Environmental Services Kelly Lore, Clerk of the Board ORANGE COUNTY SANITATION DISTRICT Effective 1/25/2022 BOARD OF DIRECTORS Complete Roster AGENCY/CITIES ACTIVE DIRECTOR ALTERNATE DIRECTOR Anaheim Stephen Faessel Gloria Ma’ae Brea Glenn Parker Cecilia Hupp Buena Park Art Brown Connor Traut Cypress Paulo Morales Anne Hertz Fountain Valley Patrick Harper Ted Bui Fullerton Jesus J. Silva Nick Dunlap Garden Grove Steve Jones John O’Neill Huntington Beach Kim Carr Dan Kalmick Irvine Anthony Kuo Farrah N. Khan La Habra Rose Espinoza Steve Simonian La Palma Marshall Goodman Nitesh Patel Los Alamitos Ron Bates NONE Newport Beach Brad Avery Joy Brenner Orange Kim Nichols Chip Monaco Placentia Chad Wanke Ward Smith Santa Ana Johnathan Ryan Hernandez Nelida Mendoza Seal Beach Sandra Massa-Lavitt Schelly Sustarsic Stanton David Shawver Carol Warren Tustin Ryan Gallagher Austin Lumbard Villa Park Chad Zimmerman Robert Collacott Sanitary/Water Districts Costa Mesa Sanitary District Bob Ooten Art Perry Midway City Sanitary District Andrew Nguyen Mark Nguyen Irvine Ranch Water District John Withers Douglas Reinhart Yorba Linda Water District Brooke Jones Ted Lindsey County Areas Board of Supervisors Donald P. Wagner Doug Chaffee ADMINISTRATION COMMITTEE Regular Meeting Agenda Wednesday, March 9, 2022 - 5:00 PM Board Room Administration Building 10844 Ellis Avenue Fountain Valley, CA 92708 (714) 593-7433 AGENDA POSTING: In accordance with the requirements of California Government Code Section 54954.2, this agenda has been posted outside the main gate of the OC San's Administration Building located at 10844 Ellis Avenue, Fountain Valley, California, and on the OC San’s website at www.ocsan.gov not less than 72 hours prior to the meeting date and time above. All public records relating to each agenda item, including any public records distributed less than 72 hours prior to the meeting to all, or a majority of the Board of Directors, are available for public inspection in the office of the Clerk of the Board. AGENDA DESCRIPTION: The agenda provides a brief general description of each item of business to be considered or discussed. The recommended action does not indicate what action will be taken. The Board of Directors may take any action which is deemed appropriate. MEETING AUDIO: An audio recording of this meeting is available within 24 hours after adjournment of the meeting at https://ocsd.legistar.com/Calendar.aspx or by contacting the Clerk of the Board at (714) 593-7433. NOTICE TO DIRECTORS: To place items on the agenda for a Committee or Board Meeting, the item must be submitted in writing to the Clerk of the Board: Kelly A. Lore, MMC, (714) 593-7433 / klore@ocsan.gov at least 14 days before the meeting. FOR ANY QUESTIONS ON THE AGENDA, BOARD MEMBERS MAY CONTACT STAFF AT: General Manager: Jim Herberg, jherberg@ocsan.gov / (714) 593-7300 Asst. General Manager: Lorenzo Tyner, ltyner@ocsan.gov / (714) 593-7550 Asst. General Manager: Rob Thompson, rthompson@ocsan.gov / (714) 593-7310 Director of Human Resources: Celia Chandler, cchandler@ocsan.gov / (714) 593-7202 Director of Engineering: Kathy Millea, kmillea@ocsan.gov / (714) 593-7365 Director of Environmental Services: Lan Wiborg, lwiborg@ocsan.gov / (714) 593-7450 Director of Operations & Maintenance: Riaz Moinuddin, rmoinuddin@ocsan.gov / (714) 593-7269 ADMINISTRATION COMMITTEE Regular Meeting Agenda Wednesday, March 9, 2022 CALL TO ORDER PLEDGE OF ALLEGIANCE ROLL CALL AND DECLARATION OF QUORUM: Clerk of the Board PUBLIC COMMENTS: Your participation is always welcome. Specific information as to how to participate in a meeting is detailed in the Special Notice attached to this agenda. In general, OC San offers several ways in which to interact during meetings: you may join the meeting live via Teams on your computer or similar device or web browser, join the meeting live via telephone, view the meeting online, and/or submit comments for consideration before or during the meeting. You may provide verbal comment in real time during the meeting. In order to provide a verbal comment, please raise your hand (directions provided in the Special Notice attached to this agenda) or alert the Clerk of the Board before or during the public comment period. You may submit your comments and questions in writing for consideration in advance of the meeting by using the eComment feature available online at: https://ocsd.legistar.com/Calendar.aspx or sending them to OCSanClerk@ocsan.gov with the subject line “PUBLIC COMMENT ITEM # (insert the item number relevant to your comment)” or “PUBLIC COMMENT NON-AGENDA ITEM”. You may also submit comments and questions for consideration during the meeting by using the eComment feature available online at: https://ocsd.legistar.com/Calendar.aspx. The eComment feature will be available for the duration of the meeting. All written public comments will be provided to the legislative body and may be read into the record or compiled as part of the record. REPORTS: The Committee Chairperson and the General Manager may present verbal reports on miscellaneous matters of general interest to the Directors. These reports are for information only and require no action by the Directors. CONSENT CALENDAR: Consent Calendar Items are considered to be routine and will be enacted, by the Committee, after one motion, without discussion. Any items withdrawn from the Consent Calendar for separate discussion will be considered in the regular order of business. 1.2022-2151APPROVAL OF MINUTES RECOMMENDATION: Approve Minutes of the Regular Meeting of the Administration Committee held February 9, 2022. Originator:Kelly Lore Page 1 of 4 ADMINISTRATION COMMITTEE Regular Meeting Agenda Wednesday, March 9, 2022 Agenda Report 02-09-2022 Administration Committee Minutes Attachments: 2.2022-2155STRATEGIC PROCESS STUDY FOR MEIOFAUNA BASELINE ASSESSMENT RECOMMENDATION: Recommend to the Board of Directors to: A. Approve a Professional Consultant Services Agreement to Florida State University to provide a Meiofauna Baseline Strategic Process Study (Specification No. CS-2021-1266BD) for a total amount not to exceed $277,946; and B. Approve a contingency of 27,795 (10%). Originator:Lan Wiborg Agenda Report CS-2021-1266BD Draft PCSA Attachments: 3.2022-2072UPDATE TO RECORDS MANAGEMENT PROGRAM PROCEDURES AND RECORDS RETENTION SCHEDULE RESOLUTION RECOMMENDATION: Recommend to the Board of Directors to: Adopt Resolution No. OC SAN 22-XX entitled: “A Resolution of the Board of Directors of the Orange County Sanitation District Adopting the Records Management Program Procedures and Records Retention Schedule, Authorizing Destruction of Obsolete Records, and Repealing Resolution No. OC SAN 21-08”. Originator:Kelly Lore Agenda Report Resolution No. OC SAN 22-XX Records Management Procedure Manual - Redlined Draft Records Retention Schedule Attachments: NON-CONSENT: 4.2022-2160REPLACE SERVER AND STORAGE INFRASTRUCTURE FOR PLANT NO. 1 INDUSTRIAL CONTROL SYSTEM RECOMMENDATION: Recommend to the Board of Directors to: A. Approve a Purchase Order to ePlus Technology, Inc. for the purchase of software, hardware, and services to implement and configure the Nutanix metro clusters for Plant No. 1 Industrial Control System, Specification No. E-2022-1300BD, for a total amount not to exceed $560,195, plus applicable sales tax and shipping; and Page 2 of 4 ADMINISTRATION COMMITTEE Regular Meeting Agenda Wednesday, March 9, 2022 B. Approve a contingency in the amount of $56,019 (10%). Originator:Lorenzo Tyner Agenda ReportAttachments: INFORMATION ITEMS: 5.2022-2159FY 2022-23 AND FY 2023-24 ORANGE COUNTY SANITATION DISTRICT BUDGET REVENUES AND RESERVES OVERVIEW RECOMMENDATION: Information Item. Originator:Lorenzo Tyner Agenda Report FY2022-23 and FY2023-24 Budget Revenue Detail Reserve Summary - FY 2021-22 Presentation - FY2022-23_2023-24 Revenues_Reserves Overview Attachments: 6.2022-2178STAFFING STRATEGY TO DELIVER CAPITAL IMPROVEMENT PROGRAM RECOMMENDATION: Information Item. Originator:Kathy Millea Agenda Report Presentation - CIP Delivery Strategy Attachments: DEPARTMENT HEAD REPORTS: CLOSED SESSION: None. OTHER BUSINESS AND COMMUNICATIONS OR SUPPLEMENTAL AGENDA ITEMS, IF ANY: BOARD OF DIRECTORS INITIATED ITEMS FOR A FUTURE MEETING: At this time Directors may request staff to place an item on a future agenda. Page 3 of 4 ADMINISTRATION COMMITTEE Regular Meeting Agenda Wednesday, March 9, 2022 ADJOURNMENT: Adjourn the Committee meeting until the Regular Meeting of the Administration Committee on April 13, 2022 at 5:00 p.m. Page 4 of 4 ADMINISTRATION COMMITTEE Agenda Report Administration Building 10844 Ellis Avenue Fountain Valley, CA 92708 (714) 593-7433 File #:2022-2151 Agenda Date:3/9/2022 Agenda Item No:1. FROM:James D. Herberg, General Manager Originator: Kelly A. Lore, Clerk of the Board SUBJECT: APPROVAL OF MINUTES GENERAL MANAGER'S RECOMMENDATION RECOMMENDATION: Approve Minutes of the Regular Meeting of the Administration Committee held February 9, 2022. BACKGROUND In accordance with the Board of Directors Rules of Procedure,an accurate record of each meeting will be provided to the Directors for subsequent approval at the following meeting. RELEVANT STANDARDS ·Resolution No. OC SAN 21-04 ATTACHMENT The following attachment(s)may be viewed on-line at the OC San website (www.ocsan.gov)with the complete agenda package: ·Minutes of the Administration Committee held February 9, 2022 Orange County Sanitation District Printed on 3/1/2022Page 1 of 1 powered by Legistar™ Orange County Sanitation District Minutes for the ADMINISTRATION COMMITTEE Wednesday, February 9, 2022 5:00 PM Board Room Administration Building 10844 Ellis Avenue Fountain Valley, CA 92708 (714) 593-7433 CALL TO ORDER A regular meeting of the Administration Committee of the Orange County Sanitation District was called to order by Committee Chair Glenn Parker on Wednesday, February 9, 2022 at 5:00 p.m. in the Administration Building of the Orange County Sanitation District. Chair Parker stated that the meeting was being held telephonically and via Internet accessibility in accordance with new provisions in California Government Code Section 54953 and Resolution No. OC SAN 22-02, due to the continued State of Emergency Order. Chair Parker announced the teleconference meeting guidelines and led the flag salute. ROLL CALL AND DECLARATION OF QUORUM: Roll call was taken and a quorum was declared present, as follows: PRESENT:Glenn Parker, Anthony Kuo, Ron Bates, Art Brown, Kim Carr, Rose Espinoza, Marshall Goodman, Patrick Harper, Andrew Nguyen, David Shawver, Chad Wanke and John Withers ABSENT:Brad Avery STAFF PRESENT: Kelly Lore, Clerk of the Board, and Joshua Martinez were present in the Board Room. Jim Herberg, General Manager; Rob Thompson, Assistant General Manager; Lorenzo Tyner, Assistant General Manager; Celia Chandler, Director of Human Resources; Kathy Millea, Director of Engineering; Lan Wiborg, Director of Environmental Services; Mo Abiodun; Jennifer Cabral; Sam Choi; Tina Knapp; Laura Maravilla; John Preston; Wally Ritchie; Thomas Vu; and Ruth Zintzun were in attendance telephonically. OTHERS PRESENT: Brad Hogin, General Counsel; Audrey Donovan and Roger Alfaro, Eide Bailey; Bill Dennehy, Chandler Asset Management; and Dennis Mulqueeney, Alliant, were in attendance telephonically. PUBLIC COMMENTS: None. At the request of staff, Chair Parker announced that Item No. 9 would be heard directly after Item No. 7. REPORTS: Chair Parker and General Manager Jim Herberg did not provide reports. Page 1 of 7 OC ~SAN ORANGE COUNTY SANITATION DISTRICT ADMINISTRATION COMMITTEE Minutes February 9, 2022 CONSENT CALENDAR: 1.APPROVAL OF MINUTES 2022-2097 Originator: Kelly Lore MOVED, SECONDED, AND DULY CARRIED TO: Approve Minutes of the Regular Meeting of the Administration Committee held December 8, 2021. AYES:Glenn Parker, Anthony Kuo, Ron Bates, Art Brown, Kim Carr, Rose Espinoza, Marshall Goodman, Patrick Harper, Andrew Nguyen, David Shawver and John Withers NOES:None ABSENT:Brad Avery and Chad Wanke ABSTENTIONS:None 2.MID-YEAR CONSOLIDATED FINANCIAL REPORT FOR THE PERIOD ENDED DECEMBER 31, 2021 2021-1950 Originator: Lorenzo Tyner MOVED, SECONDED, AND DULY CARRIED TO: Recommend to the Board of Directors to: Receive and file the Orange County Sanitation District Mid-Year Consolidated Financial Report for the period ended December 31, 2021. AYES:Glenn Parker, Anthony Kuo, Ron Bates, Art Brown, Kim Carr, Rose Espinoza, Marshall Goodman, Patrick Harper, Andrew Nguyen, David Shawver and John Withers NOES:None ABSENT:Brad Avery and Chad Wanke ABSTENTIONS:None 3.DESIGNATION OF APPLICANT’S AGENT FOR DISASTER RELIEF 2021-2021 Originator: Kelly Lore MOVED, SECONDED, AND DULY CARRIED TO: Recommend to the Board of Directors to: Page 2 of 7 ADMINISTRATION COMMITTEE Minutes February 9, 2022 Adopt Resolution No. OC SAN 22-XX, entitled: “A Resolution of the Board of Directors of the Orange County Sanitation District authorizing the General Manager or either Assistant General Manager to Execute State Office of Emergency Services and/or Federal Emergency Management Agency Documents and Relevant Permit Applications for Present and Future Disaster Relief Applications; and Repealing Resolution No. OCSD 19-01”. AYES:Glenn Parker, Anthony Kuo, Ron Bates, Art Brown, Kim Carr, Rose Espinoza, Marshall Goodman, Patrick Harper, Andrew Nguyen, David Shawver and John Withers NOES:None ABSENT:Brad Avery and Chad Wanke ABSTENTIONS:None 4.GENERAL MANAGER APPROVED PURCHASES AND ADDITIONS TO THE PRE-APPROVED OEM SOLE SOURCE LIST 2022-2114 Originator: Lorenzo Tyner MOVED, SECONDED, AND DULY CARRIED TO: Recommend to the Board of Directors to: A. Receive and file Orange County Sanitation District purchases made under the General Manager’s authority for the period of October 1, 2021 to December 31, 2021; and B. Approve the following additions to the pre-approved OEM Sole Source List for the period of October 1, 2021 to December 31, 2021: ·ACOEM - Vibralign Fixture Laser Alignment Training ·BEAMEX - Beamex Instrumentation Test Equipment Hardware and Software Training ·HAYWORD-GORDON - Hayward-Gordon Pumps, Mixers, and Parts ·INTERTECH - Modicon PLC Hardware, Software, and Network Training ·MIDWAY MFG. & MACHINE COMPANY - Rechargeable Carbon Canisters ·WSG & SOLUTIONS, INC. - Grit Classifier Repair Parts AYES:Glenn Parker, Anthony Kuo, Ron Bates, Art Brown, Kim Carr, Rose Espinoza, Marshall Goodman, Patrick Harper, Andrew Nguyen, David Shawver and John Withers NOES:None ABSENT:Brad Avery and Chad Wanke ABSTENTIONS:None Page 3 of 7 ADMINISTRATION COMMITTEE Minutes February 9, 2022 5.UNIFORM AND JANITORIAL ARTICLES RENTAL SERVICE 2022-2115 Originator: Rob Thompson MOVED, SECONDED, AND DULY CARRIED TO: Recommend to the Board of Directors to: A. Approve a service contract to Cintas Corporation to provide Uniform and Janitorial Articles Rental Service, Specification No. S-2021-1277BD, for a total amount not to exceed $839,512 for the period beginning April 1, 2022, through March 31, 2025, with one (1) three-year renewal period option; and B. Approve a three-year contingency of $83,951 (10%). AYES:Glenn Parker, Anthony Kuo, Ron Bates, Art Brown, Kim Carr, Rose Espinoza, Marshall Goodman, Patrick Harper, Andrew Nguyen, David Shawver and John Withers NOES:None ABSENT:Brad Avery and Chad Wanke ABSTENTIONS:None 6.AMENDMENT TO OCSD PERSONNEL POLICIES AND PROCEDURES 2022-2120 Originator: Celia Chandler MOVED, SECONDED, AND DULY CARRIED TO: Recommend to the Board of Directors to: Adopt Resolution No. OC SAN 22-XX entitled: “A Resolution of the Board of Directors of the Orange County Sanitation District amending the Board of Directors Personnel Policies and Procedures Manual providing for classification, compensation, and other terms, conditions, policies, and procedures governing employment of District employees to include the addition of Policy No. 6.6, Diversity, Equity, and Inclusion; and Amending Resolution No. OCSD 18-18”. AYES:Glenn Parker, Anthony Kuo, Ron Bates, Art Brown, Kim Carr, Rose Espinoza, Marshall Goodman, Patrick Harper, Andrew Nguyen, David Shawver and John Withers NOES:None ABSENT:Brad Avery and Chad Wanke ABSTENTIONS:None NON-CONSENT: 7.INTERNAL AUDIT UPDATE 2022-2102 Originator: Lorenzo Tyner Page 4 of 7 ADMINISTRATION COMMITTEE Minutes February 9, 2022 Audrey Donovan, Eide Bailey, provided a brief overview of the audit process and details of the recent audit completed. MOVED, SECONDED, AND DULY CARRIED TO: Recommend to the Board of Directors to: Receive and file the Orange County Sanitation District Contracts Procurement Process Internal Audit Report dated January 4, 2022. AYES:Glenn Parker, Anthony Kuo, Ron Bates, Art Brown, Kim Carr, Rose Espinoza, Marshall Goodman, Patrick Harper, Andrew Nguyen, David Shawver and John Withers NOES:None ABSENT:Brad Avery and Chad Wanke ABSTENTIONS:None Board Vice-Chair Chad Wanke arrived at the meeting at approximately 5:12 p.m. 9.INVESTMENT PERFORMANCE RESULTS 2022-2101 Originator: Lorenzo Tyner Controller Wally Ritchie provided a presentation regarding OC San reserves & investments which included the seven reserve criteria, investment objectives, portfolios (long-term and short-term), and asset allocation. Bill Dennehy, Chandler Asset Management, provided a presentation regarding OC San’s investments which included an overview of the firm, economic update, and account profile. ITEM RECEIVED AS AN: Information Item. 8.CONSIDERATION OF BUDGET ASSUMPTIONS AND BUDGET CALENDAR FOR PREPARATION OF THE FISCAL YEAR 2022-23 and FY 2023-24 BUDGET 2022-2093 Originator: Lorenzo Tyner Mr. Ritchie provided a presentation regarding the budget development assumptions including economics, revenue, and reserves; operations; staffing; the Capital Improvement Program, and debt financing. A budget summary and key meeting dates were provided. MOVED, SECONDED, AND DULY CARRIED TO: Page 5 of 7 ADMINISTRATION COMMITTEE Minutes February 9, 2022 Approve the FY 2022-23 and FY 2023-24 budget assumptions and direct staff to incorporate these parameters in preparing the FY 2022-23 and FY 2023-24 budget. AYES:Glenn Parker, Anthony Kuo, Ron Bates, Art Brown, Kim Carr, Rose Espinoza, Marshall Goodman, Patrick Harper, Andrew Nguyen, David Shawver, Chad Wanke and John Withers NOES:None ABSENT:Brad Avery ABSTENTIONS:None INFORMATION ITEMS: 10.RISK MANAGEMENT AND INSURANCE UPDATE 2022-2095 Originator: Lorenzo Tyner John Preston, OC San Contractor, provided a presentation regarding risk management and an insurance update which included: claim data, insurance program coverage and retentions, topics of interest, future considerations, and a calendar of events leading up to the renewal period in July. ITEM RECEIVED AS AN: Information Item. 11.COVID-19 SEWAGE SURVEILLANCE PROJECT UPDATE 2022-2117 Originator: Lan Wiborg Lab and Ocean Monitoring Manager Samuel Choi provided a PowerPoint presentation regarding OC San's COVID-19 Sewage Surveillance Efforts which included a description of sewage surveillance (WBE), how it is used during COVID-19, the unknowns of the early days, OC San efforts, California and National efforts, future efforts, statewide recognition received, and acknowledgments. ITEM RECEIVED AS AN: Information Item. DEPARTMENT HEAD REPORTS: None. CLOSED SESSION: None. Page 6 of 7 ADMINISTRATION COMMITTEE Minutes February 9, 2022 OTHER BUSINESS AND COMMUNICATIONS OR SUPPLEMENTAL AGENDA ITEMS, IF ANY: None. BOARD OF DIRECTORS INITIATED ITEMS FOR A FUTURE MEETING: Chair Parker requested a future presentation from OCERS. ADJOURNMENT: Chair Parker declared the meeting adjourned at 6:09 p.m. to the next Regular Administration Committee meeting to be held on Wednesday, March 9, 2022 at 5:00 p.m. Submitted by: __________________ Kelly A. Lore, MMC Clerk of the Board Page 7 of 7 ADMINISTRATION COMMITTEE Agenda Report Administration Building 10844 Ellis Avenue Fountain Valley, CA 92708 (714) 593-7433 File #:2022-2155 Agenda Date:3/9/2022 Agenda Item No:2. FROM:James D. Herberg, General Manager Originator: Lan C. Wiborg, Director of Environmental Services SUBJECT: STRATEGIC PROCESS STUDY FOR MEIOFAUNA BASELINE ASSESSMENT GENERAL MANAGER'S RECOMMENDATION RECOMMENDATION: Recommend to the Board of Directors to: A. Approve a Professional Consultant Services Agreement to Florida State University to provide a Meiofauna Baseline Strategic Process Study (Specification No. CS-2021-1266BD) for a total amount not to exceed $277,946; and B. Approve a contingency of 27,795 (10%). BACKGROUND The Orange County Sanitation District (OC San)is required,under its current ocean discharge permit,to conduct a Baseline Strategic Process Study to investigate the potential impacts of increased reverse osmosis concentrate flows from the Groundwater Replenishment System (GWRS) Final Expansion Project on the marine animals in the receiving water.This study will focus on meiofauna,which are very small sediment-dwelling animals less than one millimeter in size.They are known to be more sensitive to pollution than larger animals which are monitored as part of OC San’s Ocean Monitoring Program.This project will require the contractor to collect samples within OC San’s coastal monitoring area,and to then process/analyze the samples and provide a report on the findings.This work will characterize the existing meiofauna population around OC San’s ocean discharge and evaluate the suitability of using these animals to study the potential environmental impacts of the GWRS Final Expansion Project. RELEVANT STANDARDS ·Ensure the public’s money is wisely spent ·Sustain 1, 5, 20-year planning horizons ·Comply with environmental permit requirements ·Maintain collaborative and cooperative relationships with regulators,stakeholders,and neighboring communities Orange County Sanitation District Printed on 3/1/2022Page 1 of 3 powered by Legistar™ File #:2022-2155 Agenda Date:3/9/2022 Agenda Item No:2. PROBLEM OC San does not have the specialized expertise to collect,extract,sort,identify,and analyze meiofauna samples. PROPOSED SOLUTION Approve an Agreement with Florida State University to conduct the Meiofauna Baseline Strategic Process Study.Florida State University has research staff with 18 years of experience with meiofauna taxonomy,ecology,and biology,particularly in the context of biodiversity studies and the use of meiofauna and free-living nematodes (marine worms)as indicators of environmental change and human caused impacts. TIMING CONCERNS The first phase of this study involving sample collection must be completed before the GWRS Final Expansion Project is completed in early 2023.Otherwise,using meiofauna for a before-after control- impact study to assess any potential effects of the Final Expansion will not be possible. RAMIFICATIONS OF NOT TAKING ACTION By not acting on this Baseline Strategic Process Study,OC San is at risk of violating its ocean discharge permit. PRIOR COMMITTEE/BOARD ACTIONS N/A ADDITIONAL INFORMATION OC San released a Request for Proposals (RFP)on October 27,2021,via PlanetBids.A non- mandatory pre-bid meeting was conducted on November 10,2021 via Microsoft Teams.Proposals were due on December 2,2021.OC San received three proposals valid for 180 calendar days from the RFP opening date. A Staff Evaluation Committee consisting of three representatives from the Environmental Laboratory and Ocean Monitoring Division was formed to review and rank each of the proposals.On December 8,2021,the evaluation team met to discuss the policies and procedures for the evaluation process. The proposals were then evaluated based on pre-defined minimum qualifications and cost in accordance with OC San’s Purchasing Ordinance.A representative from the Purchasing and Contracts Administration Division chaired the team and participated in the evaluation process as a non-voting member. Individual scoring was the chosen method of evaluation for this procurement.Members of the team performed an independent review of the proposals and later met as a group with the Buyer to discuss their preliminary scores and discuss any questions/concerns they had.Proposals were evaluated based on the following criteria: CRITERION WEIGHT 1. Qualifications & Experience of Firm 15% 2. Proposed Staffing & Project Organization 15% 3. Work Plan 50% 4. Cost 20% Orange County Sanitation District Printed on 3/1/2022Page 2 of 3 powered by Legistar™ File #:2022-2155 Agenda Date:3/9/2022 Agenda Item No:2. CRITERION WEIGHT 1. Qualifications & Experience of Firm 15% 2. Proposed Staffing & Project Organization 15% 3. Work Plan 50% 4. Cost 20% The evaluation team first reviewed and scored the proposals based upon the criteria listed above, other than cost.All proposals were accompanied by a sealed cost proposal.Only the cost proposal for the highest ranked firm was opened. Rank Proposer Criterion 1 (Max 15%) Criterion 2 (Max 15%) Criterion 3 (Max 50%) Subtotal Score (Max 80%) 1 Florida State University 14%14%45%73% 2 INES Integrated Environmental Solutions UG 10%10%37%57% 3 Miller Marine Science & Consulting 9%10%28%47% References were contacted and verified for the top-ranking firm.Based on their review of the proposal,references,and cost proposal,the Evaluation Committee unanimously scored Florida State University as the most qualified firm. CEQA N/A FINANCIAL CONSIDERATIONS This request complies with authority levels of OC San’s Purchasing Ordinance.This item has been budgeted (Line item: Section 6,Page 48). ATTACHMENT The following attachment(s)may be viewed on-line at the OC San website (www.ocsan.gov)with the complete agenda package: ·Draft Professional Consultant Services Agreement Orange County Sanitation District Printed on 3/1/2022Page 3 of 3 powered by Legistar™ Orange County Sanitation District 1 of 11 Specification No. CS-2021-1266BD Revision 031021 PROFESSIONAL CONSULTANT SERVICES AGREEMENT MEIOFAUNA BASELINE STUDY SPECIFICATION NO. CS-2021-1266BD This AGREEMENT is made and entered into as of the date fully executed below, by and between Orange County Sanitation District, with a principal place of business at 10844 Ellis Avenue, Fountain Valley, CA 92708 (hereinafter referred to as "OC San") and [______________________] with a principal place of business at [___________________________] (hereinafter referred to as "Consultant") collectively referred to as the “Parties”. W I T N E S S E T H WHEREAS, based on Consultant’s expertise and experience, OC San desires to temporarily engage Consultant to provide services for a Meiofauna Baseline Study ("Services”) as described in Exhibit “A”; and WHEREAS, Consultant submitted its Proposal, dated [_______], which is attached hereto as Exhibit “B”; and WHEREAS, on [____________________], the [Board of Directors or Operations Committee] of OC San, by minute order, authorized execution of this Agreement between OC San and Consultant; and WHEREAS, OC San has chosen Consultant to conduct Services in accordance with Ordinance No. OC SAN-56; and NOW, THEREFORE, in consideration of the mutual promises and mutual benefits exchanged between the Parties, the Parties mutually agree as follows: 1. Introduction 1.1 This Agreement and all exhibits hereto (called the "Agreement") are made by OC San and the Consultant. The terms and conditions herein exclusively govern the purchase of Services as described in Exhibit “A”. 1.2 Exhibits to this Agreement are incorporated by reference and made a part of this Agreement as though fully set forth at length herein. Exhibit “A” Scope of Work Exhibit “B” Proposal Exhibit “C” Determined Insurance Requirement Form Exhibit “D” Contractor Safety Standards Exhibit “E” Human Resources Policies 1.3 In the event of any conflict or inconsistency between the provisions of this Agreement and any of the provisions of the exhibits hereto, the provisions of this Agreement shall in all respects govern and control. 1.4 This Agreement may not be modified, changed, or supplemented, nor may any obligations hereunder be waived or extensions of time for performance granted, except by written instrument signed by both Parties. Orange County Sanitation District 2 of 11 Specification No. CS-2021-1266BD Revision 031021 1.5 The various headings in this Agreement are inserted for convenience only and shall not affect the meaning or interpretation of this Agreement or any section or provision hereof. 1.6 The term “days”, when used in the Agreement, shall mean calendar days, unless otherwise noted as workdays. 1.7 The term “workday”. Workdays are defined as all days that are not Saturday, Sunday, or OC San observed holidays. Meetings with OC San staff shall be scheduled from Monday through Thursday between the hours of 8 a.m. and 4 p.m. (exception is Operations staff who maintain plant operations 24/7 and work a rotated 12-hour shift) and shall conform to OC San work schedules. 1.8 OC San holidays (non-working days) are as follows: New Year’s Day, Lincoln’s Birthday, Presidents’ Day, Memorial Day, Independence Day, Labor Day, Veterans Day, Thanksgiving Day, Day after Thanksgiving, Christmas Eve, and Christmas Day. 1.9 Work Hours: The work required under this Agreement may include normal business hours, evenings, and weekends. OC San will not pay for travel time. 1.10 Work Hours: All work shall be scheduled with OC San staff Monday through Thursday, between the hours of 7:00 a.m. and 5:30 p.m. 1.11 Consultant shall provide OC San with all required premiums and/or overtime work at no charge beyond the total amount of the Agreement. 1.12 Except as expressly provided otherwise, OC San accepts no liability for any expenses, losses, or action incurred or undertaken by Consultant as a result of work performed in anticipation of purchases of said Services by OC San. 2. Scope of Work Subject to the terms of this Agreement, Consultant shall perform the Services identified in Exhibit “A”. Consultant warrants that all of its Services shall be performed in a competent, professional, and satisfactory manner. 3. Modifications to Scope of Work Requests for modifications to the Scope of Work hereunder can be made by OC San at any time. All modifications must be made in writing and signed by both Parties. A review of the time required for the modification will be made by OC San and Consultant and the Agreement period adjusted accordingly. 4. Compensation Compensation to be paid by OC San to Consultant for the Services provided under this Agreement shall be a total amount not to exceed [________________] Dollars ($[________].00). 5. California Department of Industrial Relations (DIR)Registration and Record of Wages 5.1 To the extent Consultant’s employees and/or subconsultants who will perform work for which Prevailing Wage Determinations have been issued by the DIR and as more specifically defined under Labor Code Section 1720 et seq, Consultant and subconsultants shall comply with the registration requirements of Labor Code Section 1725.5. Pursuant to Labor Code Section 1771.4, the work is subject to compliance monitoring and enforcement by the DIR. 5.2 The Consultant and subconsultants shall maintain accurate payroll records and shall comply with all the provisions of Labor Code Section 1776, and shall submit payroll records to the Orange County Sanitation District 3 of 11 Specification No. CS-2021-1266BD Revision 031021 Labor Commissioner pursuant to Labor Code 1771.4(a)(3). Penalties for non-compliance with the requirements of Section 1776 may be deducted from progress payments per Section 1776. 5.3 Pursuant to Labor Code Section 1776, the Consultant and subconsultants shall furnish a copy of all certified payroll records to OC San and/or general public upon request, provided the public request is made through OC San, the Division of Apprenticeship Standards, or the Division of Labor Standards Enforcement of the Department of Industrial Relations. 5.4 The Consultant and subconsultants shall comply with the job site notices posting requirements established by the Labor Commissioner per Title 8, California Code of Regulation Section 16461(e). 6. Payment and Invoicing 6.1 OC San shall pay, net thirty (30) days, upon receipt and approval, by OC San’s Project Manager or designee, of itemized invoices submitted for Milestones completed as follows: 10% Milestone No. 1 – Project Schedule and Kick-off Meeting 15% Milestone No. 2 – Sample Collection 20% Milestone No. 3 – Sorting and Identifying First Set of Meiofauna Samples 20% Milestone No. 4 – Sorting and Identifying Second Set of Meiofauna Samples 15% Milestone No. 5 – Draft Report 20% Milestone No. 6 – Final Report 6.2 OC San, at its sole discretion, shall be the determining party as to whether the Milestones have been satisfactorily completed. 6.3 Invoices shall be emailed by Consultant to OC San Accounts Payable at APStaff@OCSan.gov and “INVOICE” with the Purchase Order Number and CS-2021- 1266BD shall be referenced in the subject line. 7. Audit Rights Consultant agrees that, during the term of this Agreement and for a period of three (3) years after its termination, OC San shall have access to and the right to examine any directly pertinent books, documents, and records of Consultant relating to the invoices submitted by Consultant pursuant to this Agreement. 8. Commencement and Term The Services provided under this Agreement shall be completed within 730 calendar days from the effective date of the Notice to Proceed. 9. Extensions The term of this Agreement may be extended only by written instrument signed by both Parties. 10. Performance Time is of the essence in the performance of the provisions hereof. 11. Termination 11.1 OC San reserves the right to terminate this Agreement for its convenience, with or without cause, in whole or in part, at any time, by written notice from OC San. Upon receipt of a termination notice, Consultant shall immediately discontinue all work under this Agreement (unless the notice directs otherwise). OC San shall thereafter, within thirty (30) days, pay Consultant for work performed (cost and fee) to the date of termination. Consultant expressly waives any claim to receive anticipated profits to be earned during the uncompleted portion of this Agreement. Such notice of termination shall terminate this Agreement and release OC San from any further fee, cost or claim hereunder by Consultant Orange County Sanitation District 4 of 11 Specification No. CS-2021-1266BD Revision 031021 other than for work performed to the date of termination. 11.2 OC San reserves the right to terminate this Agreement immediately upon OC San’s determination that Consultant is not complying with the Scope of Work requirements, if the level of service is inadequate, or any other default of this Agreement. 11.3 OC San may also immediately terminate for default of this Agreement in whole or in part by written notice to Consultant:  if Consultant becomes insolvent or files a petition under the Bankruptcy Act; or  if Consultant sells its business; or  if Consultant breaches any of the terms of this Agreement; or  if total amount of compensation exceeds the amount authorized under this Agreement. 11.4 All OC San property in the possession or control of Consultant shall be returned by Consultant to OC San on demand, or at the termination of this Agreement, whichever occurs first. 12. Indemnification and Hold Harmless Provision Consultant shall assume all responsibility for damages to property and/or injuries to persons, including accidental death, which may arise out of or be caused by Consultant's Services under this Agreement, or by its subconsultant(s) or by anyone directly or indirectly employed by Consultant, and whether such damage or injury shall accrue or be discovered before or after the termination of the Agreement. Except as to the sole active negligence of or willful misconduct of OC San, Consultant shall indemnify, protect, defend and hold harmless OC San, its elected and appointed officials, officers, agents and employees, from and against any and all claims, liabilities, damages or expenses of any nature, including attorneys' fees: (a) for injury to or death of any person or damage to property or interference with the use of property, arising out of or in connection with Consultant's performance under the Agreement, and/or (b) on account of use of any copyrighted or uncopyrighted material, composition, or process, or any patented or unpatented invention, article or appliance, furnished or used under the Agreement, and/or (c) on account of any goods and services provided under this Agreement. This indemnification provision shall apply to any acts or omissions, willful misconduct, or negligent misconduct, whether active or passive, on the part of Consultant or anyone employed by or working under Consultant. To the maximum extent permitted by law, Consultant's duty to defend shall apply whether or not such claims, allegations, lawsuits, or proceedings have merit or are meritless, or which involve claims or allegations that any of the parties to be defended were actively, passively, or concurrently negligent, or which otherwise assert that the parties to be defended are responsible, in whole or in part, for any loss, damage, or injury. Consultant agrees to provide this defense immediately upon written notice from OC San, and with well qualified, adequately insured, and experienced legal counsel acceptable to OC San. This section shall survive the expiration or early termination of the Agreement. 13. Insurance Consultant and all subconsultants shall purchase and maintain, throughout the life of this Agreement and any periods of warranty or extensions, insurance in amounts equal to the requirements set forth in the signed Determined Insurance Requirement Form, Exhibit “C“. Consultant shall not commence work under this Agreement until all required insurance is obtained in a form acceptable to OC San, nor shall Consultant allow any subconsultant to commence service pursuant to a subcontract until all insurance required of the subconsultant has been obtained. Failure to maintain required insurance coverage shall result in termination of this Agreement. Orange County Sanitation District 5 of 11 Specification No. CS-2021-1266BD Revision 031021 14. Key Personnel Personnel, as provided in Exhibit “B”, are considered “key” to the work under this Agreement and will be available for the term of the Agreement. No person designated as key under this Agreement shall be removed or replaced without prior written consent of OC San. If OC San asks Consultant to remove a person designated as key under this Agreement, Consultant agrees to do so immediately regardless of the reason, or the lack of reason, for OC San's request. Consultant shall assign only competent personnel to perform Services pursuant to this Agreement. 15. Confidentiality and Non-Disclosure 15.1 Consultant acknowledges that in performing the Services hereunder, OC San may have to disclose to Consultant orally and in writing certain confidential information that OC San considers proprietary and has developed at great expense and effort. 15.2 Consultant agrees to maintain in confidence and not disclose to any person, firm, or corporation, without OC San's prior written consent, any trade secret or confidential information, knowledge or data relating to the products, process, or operation of OC San. 15.3 Consultant further agrees to maintain in confidence and not to disclose to any person, firm, or corporation any data, information, technology, or material developed or obtained by Consultant during the term of this Agreement. 15.4 Consultant agrees as follows:  To use the confidential information only for the purposes described herein; to not reproduce the confidential information; to hold in confidence and protect the confidential information from dissemination to and use by anyone not a party to this Agreement; and to not use the confidential information to benefit itself or others.  To restrict access to the confidential information to its subconsultant or personnel of Consultant who (1) have a need to have such access and (2) have been advised of and have agreed in writing to treat such information in accordance with the terms of this Agreement.  To return all confidential information in Consultant's possession upon termination of this Agreement or upon OC San's request, whichever occurs first.  To hold in confidence information and materials, if any, developed pursuant to the Services hereunder. 15.5 The provisions of this section shall survive termination or expiration of this Agreement and shall continue for so long as the material remains confidential. 16. Ownership of Documents All drawings, specifications, reports, records, documents, memoranda, correspondence, computations, and other materials prepared by Consultant, its employees, subconsultants, and agents in the performance of this Agreement shall be the property of OC San and shall be promptly delivered to OC San upon request of OC San’s Project Manager or designee, or upon the termination of this Agreement, and Consultant shall have no claim for further employment or additional compensation as a result of the exercise by OC San of its full rights of ownership of the documents and materials hereunder. Any use of such completed documents for other projects and/or use of incomplete documents without specific written authorization by the Consultant will be at OC San's sole risk and without liability to Consultant. Consultant shall ensure that all its subconsultants shall provide for assignment to OC San of any documents or materials prepared by them. Orange County Sanitation District 6 of 11 Specification No. CS-2021-1266BD Revision 031021 17. Ownership of Intellectual Property 17.1 Consultant agrees that all designs, plans, reports, specifications, drawings, schematics, prototypes, models, inventions, and all other information and items made during the course of this Agreement and arising from the Services (hereinafter referred to as "New Developments") shall be and are assigned to OC San as its sole and exclusive property. 17.2 Consultant agrees to promptly disclose to OC San all such New Developments. Upon OC San's request, Consultant agrees to assist OC San, at OC San's expense, to obtain patents or copyrights for such New Developments, including the disclosure of all pertinent information and data with respect thereto, the execution of all applications, specifications, assignments, and all other instruments and papers which OC San shall deem necessary to apply for and to assign or convey to OC San, its successors and assigns, the sole and exclusive right, title and interest in such New Developments. Consultant agrees to obtain or has obtained written assurances from its employees and contract personnel of their agreement to the terms hereof with regard to New Developments and confidential information. 17.3 Consultant warrants that Consultant has good title to any New Developments, and the right to assign New Developments to OC San free of any proprietary rights of any other party or any other encumbrance whatever. 17.4 The originals of all computations, drawings, designs, graphics, studies, reports, manuals, photographs, videotapes, data, computer files, and other documents prepared or caused to be prepared by Consultant or its subconsultants in connection with these Services shall be delivered to and shall become the exclusive property of OC San. OC San may utilize these documents for OC San applications on other projects or extensions of this project, at its own risk. 18. No Solicitation of Employees 18.1 Consultant agrees that it shall not, during the term of this Agreement and for a period of one (1) year immediately following termination of this Agreement, or any extension hereof, call on, solicit, or take away any of the employees whom Consultant became aware of as a result of Consultant's Services to OC San. 18.2 Consultant acknowledges that OC San’s employees are critical to its business and OC San expends significant resources to hire, employ, and train employees. Should Consultant employ or otherwise engage OC San’s employees during the term of this Agreement and for a period of one (1) year following termination of this Agreement, Consultant will pay OC San fifty percent (50%) of the former employee’s most recent annual salary earned at OC San to accurately reflect the reasonable value of OC San’s time and costs. This payment is in addition to any other rights and remedies OC San may have at law. 19. Independent Contractor Capacity 19.1 The relationship of Consultant to OC San is that of an independent contractor and nothing herein shall be construed as creating an employment or agency relationship. 19.2 Consultant shall act independently and not as an officer or employee of OC San. OC San assumes no liability for Consultant’s action and performance, nor assumes responsibility for taxes, funds, payments or other commitments, implied or expressed, by or for Consultant. 19.3 Consultant shall not be considered an agent of OC San for any purpose whatsoever, nor shall Consultant have the right to, and shall not, commit OC San to any agreement, contract or undertaking. Consultant shall not use OC San’s name in its promotional material or for Orange County Sanitation District 7 of 11 Specification No. CS-2021-1266BD Revision 031021 any advertising or publicity purposes without expressed written consent. 19.4 Consultant shall not be entitled to any benefits accorded to those individuals listed on OC San’s payroll as regular employees including, without limitation, worker's compensation, disability insurance, vacation, holiday or sick pay. Consultant shall be responsible for providing, at Consultant’s expense, disability, workers’ compensation or other insurance as well as licenses and permits usual or necessary for conducting the Services hereunder. 19.5 Consultant shall be obligated to pay any and all applicable Federal, State and local payroll and other taxes incurred as a result of fees hereunder. Consultant hereby indemnifies OC San for any claims, losses, costs, fees, liabilities, damages or penalties suffered by OC San arising out of Consultant's breach of this provision. 19.6 Consultant shall not be eligible to join or participate in any benefit plans offered to those individuals listed on OC San's payroll as regular employees. Consultant shall remain ineligible for such benefits or participation in such benefit plans even if a court later decides that OC San misclassified Consultant for tax purposes. 20. Licenses, Permits Consultant represents and warrants to OC San that it has obtained all licenses, permits, qualification and approvals of whatever nature that are legally required to engage in this work. Any and all fees required by Federal, State, County, City and/or municipal laws, codes and/or tariffs that pertain to work performed under the terms of this Agreement will be paid by Consultant. 21. Consultant's Representations In the performance of duties under this Agreement, Consultant shall adhere to the highest fiduciary standards, ethical practices and standards of care and competence for their trade/profession. Consultant agrees to comply with all applicable Federal, State and local laws and regulations. 22. Familiarity with Work By executing this Agreement, Consultant warrants that: 1) it has investigated the work to be performed; 2) it has investigated the site of the work and is aware of all conditions there; and 3) it understands the facilities, difficulties and restrictions of the work under this Agreement. Should Consultant discover any latent or unknown conditions materially differing from those inherent in the work or as represented by OC San, it shall immediately inform OC San of this and shall not proceed, except at Consultant’s risk, until written instructions are received from OC San. 23. Right to Review Services, Facilities, and Records 23.1 OC San reserves the right to review any portion of the Services performed by Consultant under this Agreement, and Consultant agrees to cooperate to the fullest extent possible. 23.2 Consultant shall furnish to OC San such reports, statistical data, and other information pertaining to Consultant's Services as shall be reasonably required by OC San to carry out its rights and responsibilities under its agreements with its bondholders or noteholders and any other agreement relating to the development of the project(s) and in connection with the issuance of its official statements and other prospectuses with respect to the offering, sale, and issuance of its bonds and other obligations. 23.3 The right of OC San to review or approve drawings, specifications, procedures, instructions, reports, test results, calculations, schedules, or other data that are developed by Consultant shall not relieve Consultant of any obligation set forth herein. Orange County Sanitation District 8 of 11 Specification No. CS-2021-1266BD Revision 031021 24. Force Majeure Neither party shall be liable for delays caused by accident, flood, acts of God, fire, labor trouble, war, acts of government or any other cause beyond its control, but said party shall use reasonable efforts to minimize the extent of the delay. Work affected by a Force Majeure condition may be rescheduled by mutual consent or may be eliminated from the Agreement. 25. Severability If any section, subsection, or provision of this Agreement, or any agreement or instrument contemplated hereby, or the application of such section, subsection, or provision is held invalid, the remainder of this Agreement or instrument in the application of such section, subsection or provision to persons or circumstances other than those to which it is held invalid, shall not be affected thereby, unless the effect of such invalidity shall be to substantially frustrate the expectations of the Parties. 26. Waiver The waiver of either party of any breach or violation of, or default under, any provision of this Agreement, shall not be deemed a continuing waiver by such party of any other provision or of any subsequent breach or violation of this Agreement or default thereunder. Any breach by Consultant to which OC San does not object shall not operate as a waiver of OC San’s rights to seek remedies available to it for any subsequent breach. 27. Remedies In addition to other remedies available in law or equity, if the Consultant fails to make delivery of the goods or Services or repudiates its obligations under this Agreement, or if OC San rejects the goods or Services or revokes acceptance of the goods or Services, OC San may (1) terminate the Agreement; (2) recover whatever amount of the purchase price OC San has paid, and/or (3) “cover” by purchasing, or contracting to purchase, substitute goods or services for those due from Consultant. In the event OC San elects to “cover” as described in (3), OC San shall be entitled to recover from Consultant as damages the difference between the cost of the substitute goods or services and the Agreement price, together with any incidental or consequential damages. 28. Governing Law This Agreement shall be governed by and interpreted under the laws of the State of California and the Parties submit to jurisdiction in Orange County, in the event any action is brought in connection with this Agreement or the performance thereof. 29. Environmental Compliance Consultant shall, at its own cost and expense, comply with all Federal, State, and local environmental laws, regulations, and policies which apply to the Consultant, its sub-consultants, and the Services, including, but not limited to, all applicable Federal, State, and local air pollution control laws and regulations. 30. Attorney’s Fees If any action at law or in equity or if any proceeding in the form of an Alternative Dispute Resolution (ADR) is necessary to enforce or interpret the terms of this Agreement, the prevailing party shall be entitled to reasonable attorney's fees, costs and necessary disbursements in addition to any other relief to which it may be entitled. 31. Dispute Resolution 31.1 In the event of a dispute as to the construction or interpretation of this Agreement, or any rights or obligations hereunder, the Parties shall first attempt, in good faith, to resolve the dispute by mediation. The Parties shall mutually select a mediator to facilitate the resolution of the dispute. If the Parties are unable to agree on a mediator, the mediation shall be conducted in accordance with the Commercial Mediation Rules of the American Arbitration Agreement, through the alternate dispute resolution procedures of Judicial Arbitration through Mediation Services of Orange County ("JAMS"), or any similar organization or entity conducting an alternate dispute resolution process. Orange County Sanitation District 9 of 11 Specification No. CS-2021-1266BD Revision 031021 31.2 In the event the Parties are unable to timely resolve the dispute through mediation, the issues in dispute shall be submitted to arbitration pursuant to California Code of Civil Procedure, Part 3, Title 9, Sections 1280 et seq. For such purpose, an agreed arbitrator shall be selected, or in the absence of agreement, each party shall select an arbitrator, and those two (2) arbitrators shall select a third. Discovery may be conducted in connection with the arbitration proceeding pursuant to California Code of Civil Procedure Section 1283.05. The arbitrator, or three (3) arbitrators acting as a board, shall take such evidence and make such investigation as deemed appropriate and shall render a written decision on the matter in question. The arbitrator shall decide each and every dispute in accordance with the laws of the State of California. The arbitrator's decision and award shall be subject to review for errors of fact or law in the Superior Court for the County of Orange, with a right of appeal from any judgment issued therein. 32. Damage to OC San's Property Any OC San property damaged by Consultant will be subject to repair or replacement by Consultant at no cost to OC San. 33. Contractor Safety Standards and Human Resources Policies OC San requires Consultant and its subconsultants to follow and ensure their employees follow all Federal, State and local regulations as well as Contractor Safety Standards while working at OC San locations. If during the course of the Agreement it is discovered that Contractor Safety Standards do not comply with Federal, State or local regulations, then the Consultant is required to follow the most stringent regulatory requirement at no additional cost to OC San. Consultant and all of its employees and subconsultants, shall adhere to all applicable Contractor Safety Standards attached hereto in Exhibit “D” and the Human Resources Policies in Exhibit “E”. 34. Freight (F.O.B. Destination) Consultant assumes full responsibility for all transportation, transportation scheduling, packing, handling, insurance, and other services associated with delivery of all products deemed necessary under this Agreement. 35. Assignments Consultant shall not delegate any duties nor assign any rights under this Agreement without the prior written consent of OC San. Any such attempted delegation or assignment shall be void. 36. Conflict of Interest and Reporting 36.1 Consultant shall at all times avoid conflicts of interest or appearance of conflicts of interest in performance of this Agreement. 36.2 Consultant affirms that to the best of its knowledge there exists no actual or potential conflict between Consultant’s families, business or financial interest or its Services under this Agreement, and in the event of change in either its private interests or Services under this Agreement, it will raise with OC San any question regarding possible conflict of interest which may arise as a result of such change. 37. Third Party Rights Nothing in this Agreement shall be construed to give any rights or benefits to anyone other than OC San and Consultant. 38. Non-Liability of OC San Officers and Employees No officer or employee of OC San shall be personally liable to Consultant, or any successor-in-interest, in the event of any default or breach by OC San or for any amount which may become due to Consultant or to its successor, or for breach of any obligation of the terms of this Agreement. Orange County Sanitation District 10 of 11 Specification No. CS-2021-1266BD Revision 031021 39. Authority to Execute The persons executing this Agreement on behalf of the Parties warrant that they are duly authorized to execute this Agreement and that by executing this Agreement, the Parties are formally bound. 40. Read and Understood By signing this Agreement, Consultant represents that it has read and understood the terms and conditions of the Agreement. 41. Entire Agreement This Agreement constitutes the entire agreement of the Parties and supersedes all prior written or oral and all contemporaneous oral agreements, understandings, and negotiations between the Parties with respect to the subject matter hereof. 42. Notices All notices under this Agreement must be in writing. Written notice shall be delivered by personal service or sent by registered or certified mail, postage prepaid, return receipt requested, or by any other overnight delivery service which delivers to the noticed destination and provides proof of delivery to the sender. Any facsimile notice must be followed within three (3) days by written notice. Rejection or other refusal to accept or the inability to deliver because of changed address for which no notice was given as provided hereunder shall be deemed to be receipt of the notice, demand or request sent. All notices shall be effective when first received at the following addresses: OC San: Jackie Lagade, Principal Buyer Orange County Sanitation District 10844 Ellis Avenue Fountain Valley, CA 92708-7018 Consultant: [Contact Name] [Contact Title] [Company Name] [Street Address] [City, State, Zip Code] Each party shall provide the other party written notice of any change in address as soon as practicable. [Intentionally left blank. Signatures follow on the next page.] Orange County Sanitation District 11 of 11 Specification No. CS-2021-1266BD Revision 031021 IN WITNESS WHEREOF, intending to be legally bound, the Parties hereto have caused this Agreement to be signed by the duly authorized representatives. ORANGE COUNTY SANITATION DISTRICT Dated: _________________ By: ___________________________________ John B. Withers Chair, Board of Directors Brooke Jones Chair, Operations Committee Dated: _________________ By: ___________________________________ Kelly A. Lore Clerk of the Board Dated: _________________ By: ___________________________________ Ruth Zintzun Purchasing & Contracts Manager [COMPANY] Dated: _________________ By: ___________________________________ ______________________________________ Print Name and Title of Officer CMM ADMINISTRATION COMMITTEE Agenda Report Administration Building 10844 Ellis Avenue Fountain Valley, CA 92708 (714) 593-7433 File #:2022-2072 Agenda Date:3/9/2022 Agenda Item No:3. FROM:James D. Herberg, General Manager Originator: Kelly A. Lore, Clerk of the Board SUBJECT: UPDATE TO RECORDS MANAGEMENT PROGRAM PROCEDURES AND RECORDS RETENTION SCHEDULE RESOLUTION GENERAL MANAGER'S RECOMMENDATION RECOMMENDATION: Recommend to the Board of Directors to: Adopt Resolution No.OC SAN 22-XX entitled:“A Resolution of the Board of Directors of the Orange County Sanitation District Adopting the Records Management Program Procedures and Records Retention Schedule,Authorizing Destruction of Obsolete Records,and Repealing Resolution No.OC SAN 21-08”. BACKGROUND The Orange County Sanitation District’s (OC San)Records Management Program is being updated to meet new statutory regulations and agency changes to better serve the operational needs of OC San.General Counsel’s Office,departmental subject matter experts,the Clerk of the Board,and Assistant Clerk of the Board have reviewed the minor updates and recommend the proposed changes. OC San’s Records Management Program documents how long various types of information are to be kept,as dictated by the legal,fiscal,operational,and audit needs of OC San.As a public agency, there is an obligation to effectively manage and maintain OC San’s information,most of which is classified as public information. RELEVANT STANDARDS ·Maintain and adhere to appropriate internal planning documents: Resolution No. OC SAN 21- 08 (Current Records Management Program Procedures and Records Retention Schedule) ·Comply with Government Code §60200 through 60204 ·Comply with Government Code §6250 et seq. PROBLEM There are current legal regulatory requirements that are not reflected in OC San’s existing Records Management Program Procedures and Records Retention Schedule. Orange County Sanitation District Printed on 3/2/2022Page 1 of 2 powered by Legistar™ File #:2022-2072 Agenda Date:3/9/2022 Agenda Item No:3. PROPOSED SOLUTION Adopt the updated OC San Records Management Program Procedures and updated Records Retention Schedule to reflect the current legal regulatory requirements. TIMING CONCERNS Destruction of some records may not be authorized until the updated Records Retention Schedule is approved. RAMIFICATIONS OF NOT TAKING ACTION Records will be kept longer than legally required which will impact compliance with the current retention regulations as well as the need and cost associated with additional storage space. PRIOR COMMITTEE/BOARD ACTIONS May 2021 -Adopted Resolution No.OC SAN 21-08 Adopting the Records Management Program Procedures and Records Retention Schedule,Authorizing Destruction of Obsolete Records,and Repealing Resolution No. OCSD 20-10. ADDITIONAL INFORMATION As dictated by the current legal,audit,business,and operational needs of OC San,changes were made to existing record types,which include the retention length,record descriptions,and legal citations. ATTACHMENT The following attachment(s)may be viewed on-line at the OC San website (www.ocsan.gov)with the complete agenda package: ·Resolution No. OC SAN 22-XX ·Records Management Procedure Manual Redline ·Draft Records Retention Schedule Orange County Sanitation District Printed on 3/2/2022Page 2 of 2 powered by Legistar™ OC SAN 21- 0822-XX-1   RESOLUTION NO. OC SAN 21-08 22-XX A RESOLUTION OF THE BOARD OF DIRECTORS OF THE ORANGE COUNTY SANITATION DISTRICT ADOPTING THE RECORDS MANAGEMENT PROGRAM PROCEDURES & RECORDS RETENTION SCHEDULE, AUTHORIZING DESTRUCTION OF OBSOLETE RECORDS, AND REPEALING RESOLUTION NO. OCSD 20-10OC SAN 21-08 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 Orange County Sanitation District; and WHEREAS, said Program ensures that all the Orange County Sanitation District records are created, received, maintained, and destroyed in a legal and cost-effective manner, in accordance with operating requirements for the Orange County Sanitation District business and applicable statutes and regulations; and WHEREAS, the Board of Directors of the Orange County Sanitation District are 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 defined period of time, that are copies of originals on file with the Orange County Sanitation 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 the Current Records Management Procedures. The Board of Directors of the Orange County Sanitation District hereby adopts the currently established Records Management Procedure Manual. Section 2: Adoption of Updated Records Retention Schedule. The Board of Directors of the Orange County Sanitation 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 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 OC SAN 21- 0822-XX-2   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 copy of which is in the files of any office or Department of the Orange County Sanitation District) may be destroyed after confirmation with Records Management that such original or permanent copy remains on file in the Orange County Sanitation 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. OCSD 20-10OC SAN 21-08 is hereby repealed. PASSED AND ADOPTED at a regular meeting of the Board of Directors of the Orange County Sanitation District held May 26, 2021February 23, 2022. ________________________________ David John ShawverJohn B. Withers Board Chairman ATTEST: ___________________________ Kelly A. Lore, MMC Clerk of the Board OC SAN 21- 0822-XX-3   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. OC SAN 21-08 was passed and adopted at a regular meeting of said Board on the 26th day of May 2021, by the following vote, to wit: AYES: NOES: ABSTENTIONS: ABSENT: IN WITNESS WHEREOF, I have hereunto set my hand and affixed the official seal of Orange County Sanitation District this 26th day of May 2021. Kelly A. Lore, MMC Clerk of the Board of Directors Orange County Sanitation District Formatted: Highlight Formatted: Highlight Orange County Sanitation District Adopted March23, 2022 Resolution OC SAN 22-XX RECORDS MANAGEMENT PROCEDURE MANUAL MARCH 2022 Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Procedure Number: 00 Effective Date: 9/23/2020xx-xx-xxxx Supersedes: /23/2020 SUBJECT: TABLE OF CONTENTS Approved by: OC San Board of Directors Table of Contents 1 Adopted 5/26/2021XX- XX-XXXX POLICY CONTACT: Clerk of the Board (Custodian of Records) REGULATORY REFERENCES: Resolution No. OCSD 20-10OC SAN 21-XX California Government Code §34090 (How Long Records are Held-Records Retention) California Government Code §6250 (California Public Records Act) SECTION TITLE 1.0 RECORDS MANAGEMENT PROGRAM POLICY 2.0 PROGRAM GUIDELINES 3.0 STAFF RESPONSIBILITIES 4.0 4.0 Exhibit A 4.0 Exhibit B 4.0 Exhibit C RECORDS RETENTION Records Retention Change Form Records Retention Schedule Records Retention Schedule Definitions 5.0 RECORDS DISPOSITION & CONFIDENTIALITYDESTRUCTION 6.0 VITAL RECORDS 7.0 HISTORICAL RECORDS 8.0 9.0 10.0 RECORDS MANAGEMENT PROGRAM AUDIT & COMPLIANCE REVIEW RECORD HOLD AND RELEASE PUBLIC RECORDS ACT – RELEASE OF RECORDS Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Procedure Number: 00 Effective Date: 9/23/2020xx-xx-xxxx Supersedes: /23/2020 SUBJECT: TABLE OF CONTENTS Approved by: OC San Board of Directors Table of Contents 2 Adopted 5/26/2021XX- XX-XXXX SECTION 11.0 12.0 13.0 TO THE PUBLIC TITLE ELECTRONIC COMMUNICATIONS POLICY ESCROW OF BID DOCUMENTS DIGITIZATION OF RECORDS Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Procedure Number: 1.0 Effective Date: 9/23/2020xx/xx/xxx Supersedes: 9/23/2020 SUBJECT: RECORDS MANAGEMENT PROGRAM POLICY Approved by: OC San Board of Directors Records Management Policy 1 Adopted 05/26/2021xx/xx/xxx 1.0 POLICY STATEMENT 1.1 The Board of Directors shall annually adopt a Resolution updating the Records Management Procedure Manual as presented by the Custodian of Records (Clerk of the Board). The Orange County Sanitation District (Sanitation DistrictOC San) is committed to effective records management including but not limited to: A.Meeting legal requirements for records retention, B.Identifying and protecting all records, C.Managing record holds, D.Protecting privacy, E.Optimizing the use of space, F.Minimizing the cost of records retention, G.Providing open access to public records, and H.Disposing of outdated records properly. 2.0 PURPOSE 2.1 The purpose of the Records Management Program Policy is to establish a Records Management Program (the Program) that will develop a systematic method for managing the Sanitation DistrictOC San records. The Program ensures that all OC San Sanitation District records are created, received, maintained, and dispositioned in a cost-effective manner, in accordance with operating requirements for Sanitation District OC San business and applicable statutes and regulations. Failure to follow the Records Management Program may result in excessive costs, litigation, loss of productivity, etc. 3.0 PROGRAM RESPONSIBILITY 3.1 Under the authority of the Sanitation District’s OC San’s Board of Directors, the General Manager and the Executive Management Team oversee the Records Management Program. The Clerk of the Board is responsible for oversight, implementation, administration, and operation of OC San’s the Sanitation District’s Records Management Program. Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Procedure Number: 1.0 Effective Date: 9/23/2020xx/xx/xxx Supersedes: 9/23/2020 SUBJECT: RECORDS MANAGEMENT PROGRAM POLICY Approved by: OC San Board of Directors Records Management Policy 2 Adopted 05/26/2021xx/xx/xxx 3.2 A Record Retention Schedule Review Committee (RRSRC), made up of the Sanitation District’s Assistant General Managers,The Administration Manager, Clerk of the Board, Assistant Clerk of the Board, Risk Manager, IT Manager and Records Management Specialist and General Counsel will meet as needed to review Record Retention Schedule change requests and approve changes which are then presented to the Board of Directors. 3.3 Departments/Divisions that maintain Agency records are responsible for understanding appropriate records management procedures and practices. Each Department/Division Manager, or a designee must: A. Ensure compliance with the approved Record Retention Schedule. B. Be familiar with the Agency’s Records Management Policy; C. Develop the department’s procedures and practices, consistent with this policy; D. Educate staff within the department about sound record management practices; E. Coordinate the disposition of records as provided in the Sanitation District’s Retention Schedule; and F. Restrict access to confidential records and information appropriately. 4.0 APPLICABILITY 4.1 This Policy applies to all Sanitation District OC San and Contract staff who create, receive, or maintain Sanitation District OC San records. OC SanThe Sanitation District requires the maintenance of Agency records in a consistent and logical manner so that the Agency: A. Meets legal standards for public examination, protection, storage and retrieval; B. Protects the privacy of customers, ratepayers and staff; C. Optimizes the use of space; D. Minimizes the cost of record retention; and E. Disposes of outdated records in accordance with the Agency’s Retention Schedule applicable statutes. 4.2 Record policies apply to all records, whether they are maintained in hard (paper) copy, electronically, or in some other fashion. Each Department/Division shall appoint a Records Coordinator/s who serves as Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Procedure Number: 1.0 Effective Date: 9/23/2020xx/xx/xxx Supersedes: 9/23/2020 SUBJECT: RECORDS MANAGEMENT PROGRAM POLICY Approved by: OC San Board of Directors Records Management Policy 3 Adopted 05/26/2021xx/xx/xxx a liaison to Records Management to assist in the development, implementation, maintenance, and adherence to a records management plan appropriate for the particular records it maintains, in cooperation with the Clerk of the Board. 4.3 The Division Records Coordinator facilitates program compliance within their respective Divisions in applying the Records Management Program policy. 4.4 The Sanitation District OC San is subject to a range of statutes and rules regarding record retention and disclosure. All Sanitation District OC San employees are responsible for complying with the requirements of the Records Management Program policy and the Sanitation District’s OC San ‘s Record Retention Schedule. 4.0 HISTORY OF PROGRAM 4.1 The Sanitation District OC San, through an outside consultant, conducted the initial records inventory from February through August of 2000. The inventory consisted of a physical inventory of records stored in active office work areas and various storage areas within the Plant No. 1 and Plant No. 2 facilities. The purpose of the inventory was to describe, identify, locate, and quantify Sanitation District OC San records. To supplement the data gathered during the physical inventory, the consultant conducted interviews with staff members from each Division who were most familiar with records creation and maintenance. 4.2 Based on the physical inventory of records and the data gathered during the interviews, the initial RRS was developed. Files were identified by their record titles and classified into record series based on having similar business functions (purposes) and retention requirements. 4.3 Extensive legal research was performed to ensure that all legal requirements were met in assigning the records retention periods to each records series. Other attributes were also assigned to each records series to ensure that vital, historical, and confidential records are properly protected and processed for retention. Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Procedure Number: 2.0 Effective Date: 9/23/2020xx/xx/xxxx Supersedes: /23/2020 SUBJECT: PROGRAM GUIDELINES Approved by: OC San Board of Directors Program Guidelines 1 Adopted 05/26/2021xx/xx/xxxx 1.0 INTRODUCTION 1.1 The Orange County Sanitation District-wide Records Management Program (the Program) is intended to effectively identify, manage, store, and destroy records that have been created and received by the Sanitation District OC San. 1.2 Records received and created by OC San the Sanitation District in fulfillment of its responsibility to the public and in compliance with government regulations are identified in the Record Retention Schedule (RRS), and accurate retention periods are assigned. 1.3 Sanitation District OC San records that are no longer needed to be in the immediate office of each Division for convenient access, are processed for storage, retrieval, or disposition in accordance with the guidelines established by the Program. 1.4 Records that have met the retention requirements identified in the RRS are processed for destruction in accordance with this Program. 1.5 Historical and vital records are identified and processed in accordance with the guidelines established by the Program. 1.6 Records management activities are completed in a cost-effective manner. 1.7 The Program promotes an increase in productivity by decreasing the volume of obsolete records stored; thus, reducing the amount of time necessary for document retrieval. 1.8 The Program contributes to industry best practices by ensuring accountability, efficiency, and compliance in a cost-effective manner. 2.0 PURPOSE 2.1 Identify Sanitation District OC San records to facilitate access to information required to conduct Sanitation District OC San business and to provide appropriate access by the public. Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Procedure Number: 2.0 Effective Date: 9/23/2020xx/xx/xxxx Supersedes: /23/2020 SUBJECT: PROGRAM GUIDELINES Approved by: OC San Board of Directors Program Guidelines 2 Adopted 05/26/2021xx/xx/xxxx 2.2 Maintain Sanitation District OC San records for the duration of the approved retention period. 2.3 Provide access to Sanitation District OC San records for operational, legal or public access requirements. 2.4 Digitize records per procedure no. 13.0 2.42.5 Protect Sanitation District OC San records. 2.52.6 Ensure compliance with legal statutes and governmental regulations regarding recordkeeping and public access requirements. 2.62.7 Destroy Sanitation District OC San records in accordance with the approved RRS or process those deemed historical records for long-term retention. 3.0 SCOPE 3.1 Create, receive, maintain, and dispose of Sanitation District OC San Records. 3.2 Maintain approved RRS. 3.3 Ensure use of appropriate technology in facilitating records and information storage and retrieval. 3.4 Provide systematic control of all Sanitation District OC San records through processing, distribution, maintenance, retrieval, and disposition. 4.0 RECORDS 4.1 Sanitation District OC San records must be managed throughout their “life cycle”. 4.2 The life cycle of a record is the time period from the creation or receipt of a record to its final disposition. 4.3 Final disposition can be either destruction or perpetual retention. Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Procedure Number: 2.0 Effective Date: 9/23/2020xx/xx/xxxx Supersedes: /23/2020 SUBJECT: PROGRAM GUIDELINES Approved by: OC San Board of Directors Program Guidelines 3 Adopted 05/26/2021xx/xx/xxxx 4.4 Life cycle of a record is inclusive of five (5) stages: •Stage 1 – Creation or receipt of records •Stage 2 – Use or distribution •Stage 3 – Storage or maintenance •Stage 4 – Retention or disposition •Stage 5 – Archival preservation 4.5 Some records do not require managing throughout their “life cycle”. Such records are termed “transitory records”. The value of transitory records is limited to a very short time, i.e., a day, a week, or no more than three months. These records do not require digitization. 4.6 Transitory records do not carry the requirement to retain the documentation of any transaction. Transitory records include: •Extra copies of publications, pamphlets, blank forms. These are considered “supplies” rather than records. •Reference materials not produced by the District. •Working copies of documents used solely until the finished record is declared or declined. •Notices of meetings, events, office or holiday gatherings, or employee meetings which do not relate directly to the functional responsibility of the organization. •Informational copies of widely distributed District materials. •Preliminary drafts of documents such as letters, memoranda, reports, and worksheets, which do not represent significant steps in the preparation of District records, and which do not record decisions. Once the completed record is included in the filing system (in the appropriate medium), the working materials (drafts) are considered transitory records. •Catalogs, trade journals, and other published materials received from other organizations, commercial firms, vendors, or private institutions, which require no action and are not needed for documentary purposes. Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Procedure Number: 2.0 Effective Date: 9/23/2020xx/xx/xxxx Supersedes: /23/2020 SUBJECT: PROGRAM GUIDELINES Approved by: OC San Board of Directors Program Guidelines 4 Adopted 05/26/2021xx/xx/xxxx These materials are usually considered “reference materials” and should be controlled as such but are not Sanitation District records. • Incorrect versions of documents, forms, or reports that had to be regenerated in order to correct errors in typing, data entry, spelling, grammar, or format. 5.0 RECORD RETENTION SCHEDULE 5.1 The Record Retention Schedule (RRS) is a list of Sanitation District records organized by record series to which are assigned retention periods and other attributes. 5.2 The retention periods identified in the RRS have been established after extensive legal research of all government regulations applicable to the Sanitation District OC San. 5.3 The RRS has been reviewed and has received concurrence of the various Sanitation District Divisions, Clerk of the Board, Records Management SpecialistAssistant Clerk of the Board, Administration Manager, Executive Management, Legal Counsel, (Review Team) and the Administrative Committee, as well as the approval of the District OC San Board of Directors for implementation. 5.4 The RRS has been developed to ensure that each Department maintains its records for the duration of the period legally required by applicable legal statutes and government regulations, and until all the operational business functions are met. 6.0 HISTORICAL RECORDS 6.1 Historical records are identified and preserved. 6.2 The program ensures that records with permanent historical value are identified, documented, and preserved for the life of the Sanitation District. 6.3 The Records Management SpecialistClerk of the Board/Assistant Clerk, prior to processing records for destruction, shall identify records having historical significance. Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Procedure Number: 2.0 Effective Date: 9/23/2020xx/xx/xxxx Supersedes: /23/2020 SUBJECT: PROGRAM GUIDELINES Approved by: OC San Board of Directors Program Guidelines 5 Adopted 05/26/2021xx/xx/xxxx 6.4 Historical records are retrieved, prepared, and processed for preservation in accordance with Procedure 7.0. 6.4 7.0 VITAL RECORDS 7.1 Vital records are those documents identified by each Division as necessary to enable the Sanitation District OC San to continue vital operations in the event of a disaster or major interruption to business. 7.2 Vital records enable the Sanitation District OC San to reconstruct its legal obligations and rights. 7.3 Vital records enable the Sanitation District OC San to reconstruct its financial position. 7.4 Vital records enable the Sanitation District OC San to satisfy the District’sit’s obligations to its employees. 7.5 Vital records enable OC San the Sanitation District to protect employee and public health and safety. 7.6 Vital records enable OC San the Sanitation District to reconstruct its assets and ownership. 8.0 CONFIDENTIAL RECORDS 8.1 Records containing proprietary or sensitive information to which access must be restricted are considered confidential. 8.2 Confidential information must be protected and preserved to avoid unauthorized disclosure that could be harmful to a person, to the Sanitation District OC San, or to an Sanitation District OC San business process. 8.3 Confidential records shall be managed, controlled, and disposed of separately from records containing non-confidential information. Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Procedure Number: 2.0 Effective Date: 9/23/2020xx/xx/xxxx Supersedes: /23/2020 SUBJECT: PROGRAM GUIDELINES Approved by: OC San Board of Directors Program Guidelines 6 Adopted 05/26/2021xx/xx/xxxx 8.4 Confidentiality of information shall be protected until it is destroyed or until the Sanitation District OC San has changed the status of the confidentiality of information. Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Procedure Number: 3.0 Effective Date: 9/23/2020xx/xx/xxxx Supersedes: /23/2020 SUBJECT: STAFF RESPONSIBILITIES Approved by: OC San Board of Directors Staff Responsibilities 1 Adopted 05/26/2021xx/xx/xxxx 1.0 INTRODUCTION 1.1 The Records Management Program is a decentralized administrative program. As such, Program activities are carried out by the Orange County Sanitation District (OC San) Clerk of the Board (Custodian of Records); Records Management SpecialistAssistant Clerk of the Board; and by OC San Sanitation District staff in each Division. The Sanitation District OC San’s Records Management SpecialistAssistant Clerk of the Board is responsible for coordinating and overseeing the Program and Program procedures, and Division staff is are responsible for complying with the Program requirements for records in their respective Divisions. In the procedures that follow, the individual responsible for running the daily operations of the Program is identified as the Records Management Specialist. Assistant Clerk of the Board. 2.0 PURPOSE: The purpose of this procedure is to describe the roles and responsibilities of Records Management and OC SanSanitation Division Staff. 3.0 STAFFING AND RESPONSIBILITIES Responsibility Action CLERK OF THE BOARD Custodian of Records of the Sanitation DistrictOC San ASSISTANT CLERK OF THE BOARD • Under the direction of the Clerk of the Board: Serve as the Public Records / Freedom of Information Officer and coordinate public requests for information. Maintain Public Records Act Log and PRA information in the Records Management Software. Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Procedure Number: 3.0 Effective Date: 9/23/2020xx/xx/xxxx Supersedes: /23/2020 SUBJECT: STAFF RESPONSIBILITIES Approved by: OC San Board of Directors Staff Responsibilities 2 Adopted 05/26/2021xx/xx/xxxx Responsibility Action RECORDS MANAGEMENT SPECIALIST • Under the direction of the Clerk of the Board: Oversee the Records Management Program and act as a liaison between Division Records Coordinators, Management and the Record Retention Schedule Review Committee, General Counsel, and the Sanitation District’s Board of Directors. • Act as an advisor on all records and information management issues and related projects. • Maintain the Record Retention Schedule. • Develop and conduct training sessions on appropriate Records Management Program activities, including the any Records Management Software. • Maintain the Records Management Procedure Manual and update as needed. • Coordinate record destruction suspension (“holds”) and destruction resumption (“releases”) with legal counsel, auditors, and the Office of Record to ensure that records are available as required. • Manage the record retention, offsite transfer, and destruction activities of the Program. Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Procedure Number: 3.0 Effective Date: 9/23/2020xx/xx/xxxx Supersedes: /23/2020 SUBJECT: STAFF RESPONSIBILITIES Approved by: OC San Board of Directors Staff Responsibilities 3 Adopted 05/26/2021xx/xx/xxxx Responsibility Action •Conduct periodic audits of the Program to ensure compliance. •In accordance with Risk Management and IT, Ccoordinate Vital Record protection and ensure that the Vital Records Program supports the Integrated Emergency Response Plan. •Serve as Administrator for the Record Management Software, manage the program database and content for the Intranet site. DIVISION RECORDS COORDINATORS A list of Division Records Coordinators can be found in the above link. •Review Division records and the Record Retention Schedule periodically to ensure compliance with the Program. Forward any requests for changes to the Record Retention Schedule to the Records Management Specialist.Assistant Clerk of the Board. •Ensure that records are maintained and protected in compliance with the Program. •Coordinate preparation of records for transfer to offsite storage. •Coordinate managing pertinent records after receipt of a Records Hold or Records Release. •Coordinate records disposition activities, including the preparation of a Records Disposition Form and obtaining approvals to destroy records in any format (hard copy Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Procedure Number: 3.0 Effective Date: 9/23/2020xx/xx/xxxx Supersedes: /23/2020 SUBJECT: STAFF RESPONSIBILITIES Approved by: OC San Board of Directors Staff Responsibilities 4 Adopted 05/26/2021xx/xx/xxxx Responsibility Action or digital). Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Procedure Number: 4.0 Effective Date: 9/23/2020xx-xx-xxxx Supersedes: /28/2010 SUBJECT: RECORDS RETENTION & OFFSITE STORAGE Approved by: OC San Board of Directors Records Retention 1 Adopted 05/26/2021xx-xx-xxxx 1.0 INTRODUCTION 1.1 Records retention activities of the Records Management Program (RMP) control the maintenance and storage of Orange County Sanitation District (OC San) records. Following the retention procedures ensures compliance with pertinent statutory, regulatory, operating, and administrative recordkeeping requirements. In addition, it ensures that records needed to conduct Sanitation District OC San business are protected and accessible. The Record Retention Schedule (RRS) is the foundation of the RMProgram and defines the period required to maintain Sanitation DistrictOC San records. 1.2 Records Management Terms: Term Definition Active Records that are required for current day-to-day business and are subject to frequent use; generally located near the user (if hardcopy); can easily be accessible on a networked server (if electronic); generally referred to more than once per month. Administrative Value A record that assists in the operation of the business, and ensures administrative consistency and continuity, serving a particular purpose for that office at that particular time. In appraisal, the usefulness of records for the conduct of current or future administrative business needs. Appraisal The process of determining the value and thus the disposition of records based on their current administrative, fiscal, and legal value; their evidential and informational value; their arrangement and condition; their intrinsic value; and their relationship to other records. Archival Records (also called Historical Records) Records identified as having archival value or potential archival value and designated as Historical on the OC San Records Retention Schedule. Audit Review for acceptance of records relating to operations, policies and procedures, financial documentation, and historical documents by regulating agencies. Closed / Completed A file or record on which action has been completed and to which an audit or further action is not likely to occur. Copy (also called Duplicate) A reproduction of the contents of an original document which is not the official file copy of the agency. Copies are usually identified by their function, i.e., action copy, reading file copy, tickler file copy, etc. In most instances, copies will have a shorter retention than the Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Procedure Number: 4.0 Effective Date: 9/23/2020xx-xx-xxxx Supersedes: /28/2010 SUBJECT: RECORDS RETENTION & OFFSITE STORAGE Approved by: OC San Board of Directors Records Retention 2 Adopted 05/26/2021xx-xx-xxxx official file copy (see Official Copy) of a rRecord seriesType. Current When specified as the “minimum retention period” means that superseded, rescinded, expired, or no longer useful records may be removed from the files and may be destroyed. Disposition The predetermined action taken with regard to records including form of retention (hard copy or image), period of time retained (archive or destroy), where to store (on-site or off-site), and method of destruction (recycle, burn, or shred). Duplicate A document that is a copy of the original or official version of a record. A duplicate may be a paper version or an electronic version of the official record. Evidential Value In appraisal, the value of a record that documents the activities of an organization or agency. File Integrity Accuracy and completeness of the file or records collection. Fiscal Value Documents and accounts for receipt of or expenditure of public funds; such as budget, ledgers of accounts receivable and payable, payrolls, and vouchers. Documents availability of funds for operational purposes. In appraisal, records required until a financial audit is completed, or financial obligations are fulfilled. Historical Value In appraisal, the value attributed to a record which preserves documentation on significant historical events including the agency’sCity's operations, origin, policies, authorities, functions, and organizations, as well as significant administrative decisions. Legal Value In appraisal, value attributed to a records series which documents business ownership, agreements, and transactions. Life The retention period assigned to a record that has continuing value to the organization throughout its existence. Minimum Retention Period The least amount of time a record must be kept determined by assessment of administrative, legal, fiscal, and historical values. Office of Record The Division that created or is responsible for retaining the official copy until it is dispositioned. Official Copy The original or official copy of a record maintained by the Office of Record. Record Any documentary material, regardless of physical form or characteristic, made, or received by an organization in pursuance of law or in connection with the transaction of business and used by that organization as evidence of activities or because of informational value. Records Retrieval Locating records and delivering them for use. Retention Period The period of time that records must be kept according to legal or organizational requirements. Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Procedure Number: 4.0 Effective Date: 9/23/2020xx-xx-xxxx Supersedes: /28/2010 SUBJECT: RECORDS RETENTION & OFFSITE STORAGE Approved by: OC San Board of Directors Records Retention 3 Adopted 05/26/2021xx-xx-xxxx Retention Schedule A list describing the rRecord Typeseries, the length of time records are retained (may include active and inactive storage detail), the Office of Record, and the final disposition. Supersede The replacement of an existing document. Termination Designates the end of a specific term, e.g., appointed, elected official's terms; employment; training, course, program; use or ownership. Transitory Records Documents retained for a short time having no long-term administrative, fiscal, legal, or archival value. These records are kept for a very short time and are not necessary to document the completion of a business transaction. Vital Records Those records containing information necessary to continue the operation of government, affirm the powers and duties of government and to protect the rights and interest of persons. 1.3 Retention Length Event Codes: The RRSrecords retention schedule provides information to guide the organization in maintenance of business records. Some retention periods are assigned a number representing the length of time (stated in years) for which the records must be maintained and accessible (retrievable). Others are based on the occurrence of an event or a transaction, or a combination of both. The following table describes the meaning of each event as it pertains to records retention and disposition. Event Code Event Definition AR Annual Review Maintain records for at least one year. At the end of that and each subsequent year, review the records to determine whether or not they have continuing value to the organization. If so, retain the records for one more year. If not, destroy the records in accordance with procedures. AA After Audit Maintain records until the audit, inspection, examination, or investigation is complete. Then destroy in accordance with procedures. CL Closed or, Completed Maintain records until the transaction or the terms of the activity, the project, assignment, contract, etc. is closed or completed. Then destroy in accordance with procedures. CL + A Closed plus Term of the Agreement Certain agreements, particularly grants, have a specified retention time built into the agreement. Keep according to term of the agreement. EX Expired Maintain records until the term, period, permit, or license is expired. Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Procedure Number: 4.0 Effective Date: 9/23/2020xx-xx-xxxx Supersedes: /28/2010 SUBJECT: RECORDS RETENTION & OFFSITE STORAGE Approved by: OC San Board of Directors Records Retention 4 Adopted 05/26/2021xx-xx-xxxx Then destroy in accordance with procedures. LO LP Life of Organization Project Maintain records for the "life" of the organization, project, physical plant or building, a building system or sub-system, asset, piece of equipment, or component. Then destroy in accordance with procedures. RE Revised Maintain records until the record is changed or modified. Then destroy in accordance with procedures. SU Superseded Maintain records until record is superseded or made obsolete by a newer version or edition. Then destroy in accordance with procedures. TE Terminated Maintain records until activity is concluded or employee is terminated, retires, or otherwise leaves the employ of the organization. Then destroy in accordance with procedures. 1.4 Characteristic Codes: Some retention periods are assigned a "characteristic" to identify any special handling required for documents classified in that records series. The following table describes the meaning of each "characteristic" as it pertains to records retention and disposition. Code Characteristics Definition V Vital Vital Records are required to be available in the event of an emergency or major interruption to normal business operations to continue to provide safe treatment of wastewater during the event. Vital Records may protect the Sanitation DistrictOC San's rights and interests, ensure that it can continue to effectively protect the environment, the public, and meet its obligation to its employees. Identifying records as "vital records" ensures that they are handled in a manner that protects them and makes them readily accessible during the time period that the information is vital. This characteristic does not affect the length of the retention period. H Historical Historical Records potentially have historical significance. Records may document the formation of OC San, annexations, consolidation, major projects, and strategic direction. Historical Records may have intrinsic value due to their age, author, or special nature. Identifying records as "historical records" ensures that they are handled in a manner that protects them and preserves them for long-term storage and research purposes. This characteristic may affect the length of the retention period as historical records are usually maintained for the life of the Sanitation DistrictOC San. C Confidential Confidential Records contain confidential, sensitive, or proprietary information that would be harmful to an employee or would harm the Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Procedure Number: 4.0 Effective Date: 9/23/2020xx-xx-xxxx Supersedes: /28/2010 SUBJECT: RECORDS RETENTION & OFFSITE STORAGE Approved by: OC San Board of Directors Records Retention 5 Adopted 05/26/2021xx-xx-xxxx District's OC San’s business if assessed by unauthorized individuals. Confidential Records may be confidential throughout their useful life, or only during a portion of their useful life. Identifying records as "confidential records" ensures that they are handled in a manner that protects them from unauthorized access. This characteristic does not affect the length of the retention period. 2.0 RECORDS CLASSIFICATION 2.1 Records are classified into Records Series to facilitate assignment of retention times, legal citations, and the overall maintenance of Sanitation District OC San records. 2.2 Classifications contain like records grouped together based on similar business function, usage, and retention time. 3.0 RECORDS RETENTION SCHEDULE MAINTENANCE 3.1 The Record Retention Schedule is a list of Sanitation DistrictOC San records organized by record series to which are assigned retention periods and other attributes. 3.2 A record series is comprised of similar or related record titles that have a similar business function (purpose), are normally used and filed as a unit, and are retained for a similar time period. 3.3 Following the retention standards of the schedule ensures that the Sanitation District OC San maintains appropriate records of Sanitation District OC San transactions and meets its legal obligations cost effectively, by storing records as long as is operationally and legally required. The RRS shall be reviewed, evaluated, and updated periodically by Clerk of the Board, Records Management SpecialistAssistant Clerk of the Board, OC San Management, and General Counsel (RRS Review Team). 3.4 The retention periods assigned to each record series shall be maintained and updated as needed, to meet changing business, legal, and regulatory requirements. Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Procedure Number: 4.0 Effective Date: 9/23/2020xx-xx-xxxx Supersedes: /28/2010 SUBJECT: RECORDS RETENTION & OFFSITE STORAGE Approved by: OC San Board of Directors Records Retention 6 Adopted 05/26/2021xx-xx-xxxx Responsibility Action Records Management SpecialistAssistant Clerk of the Board •Coordinate the periodic update of the Record Retention Schedule and Record Series Definitions. Provide training on RRS use and maintenance. Division Records Coordinator •Periodically (but not less than annually) review the RRS associated with records in the Division. •Match the RRS against records stored in the office, shop, field, and other storage locations. •Mark for deletion any records that are no longer maintained by the Division. •Note any new records that are not represented. Include a description of the record, the business function, the operating record retention requirements, and special records characteristics (vital, historical, or confidential). •Using a Record Retention Schedule Change Form (Exhibit A), identify any updates or changes requested and forward to the Records Management SpecialistAssistant Clerk of the Board for presentation to the Record Retention Schedule Review Committee. Records Management SpecialistAssistant Clerk of the Board •Review the Record Retention Schedule Change Form completed by the Division Records Coordinators. Determine in which records series the record titles logically belong. •Create a new Record Series if the record title does not logically belong to an existing series. In cooperation with the requesting Division, develop a definition for the Records Series. Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Procedure Number: 4.0 Effective Date: 9/23/2020xx-xx-xxxx Supersedes: /28/2010 SUBJECT: RECORDS RETENTION & OFFSITE STORAGE Approved by: OC San Board of Directors Records Retention 7 Adopted 05/26/2021xx-xx-xxxx • Assign to the new Record Series the applicable characteristics (if any): vital, historical, or confidential, as indicated by the Division Records Coordinator. • • Determine legal retention requirements by reviewing pertinent legal citations. • Provide direction to the Division Records Coordinators for proper management of historical, vital, and confidential records. 4.0 RECORD RETENTION SCHEDULE CHANGES 4.1 The Division Records Coordinator may request a change to the RRS at any time. 4.2 Examples of changes that may initiate a change to the RRS include: • Change in the assigned Office of Record due to reorganization. • Change in the characteristics associated with the records: vital, historical, or confidential. • Change in the retention event associated with the records, for example: closed, complete, expired, or superseded. • Change in the legal and administrative requirements. • New record types that are generated or used in performing business functions. • Change in the definition of the record series that applies to Division records. Responsibility Action Division • Complete Record Retention Schedule Change Request Form Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Procedure Number: 4.0 Effective Date: 9/23/2020xx-xx-xxxx Supersedes: /28/2010 SUBJECT: RECORDS RETENTION & OFFSITE STORAGE Approved by: OC San Board of Directors Records Retention 8 Adopted 05/26/2021xx-xx-xxxx Responsibility Action Records Coordinator (Exhibit A). Use one form for each records series to be amended. For a change to the legal retention period, provide the text of the applicable statue or regulation. • Secure the Division Manager’s approval. • Forward the approved Record Retention Schedule Change Request Form to Records Management. Records Management SpecialistAssistant Clerk of the Board • Review the completed and Division-approved Record Retention Schedule Change Request Form and ensure that required information is provided. • For a change to the legal retention period of an existing record series, ensure that the legal retention requirements of the record series are met and secure the approval of Legal Counsel. • If management does not agree with the change request, return the change request to the Division Records Coordinator with an explanation. • For a change to add a new Record Series, ensure that an appropriate definition of the Record Series is provided, that the retention periods are identified, and that an applicable legal citation is identified, if applicable. • For a change to the official or duplicate retention periods, ensure that the change is in accordance with the DistrictOC San’s RMP policies and applicable legal requirements. • Update the RRS and prepare a revised RRS for approval by the RRS Review Team at their next meeting. • When approved by the RRS Review Team, annually send a copy of the newly revised RRS for review and concurrence by the Administrative Administration Committee and Board of Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Procedure Number: 4.0 Effective Date: 9/23/2020xx-xx-xxxx Supersedes: /28/2010 SUBJECT: RECORDS RETENTION & OFFSITE STORAGE Approved by: OC San Board of Directors Records Retention 9 Adopted 05/26/2021xx-xx-xxxx Responsibility Action Directors. • Periodically review the text of the statutes and regulations governing recordkeeping requirements of the DistrictOC San and update the RRS as required. • Update the Program database and intranet site as required. • Distribute the updated Record Retention Schedule (RRS). 5.0 RECORDS PURGE 5.1 Eliminate records from active files and facilitate their timely destruction after all legal and business requirements have been met. 5.2 Only records that are useful in current business activities are retained, enabling timely retrieval of frequently used records. 5.3 Records with research or historical value are preserved in a controlled environment. 5.4 Records stored offsite are reviewed semi-annually and a list of retention expired records prepared by the Records Management SpecialistAssistant Clerk of the Board for each Division. Responsibility Action Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Procedure Number: 4.0 Effective Date: 9/23/2020xx-xx-xxxx Supersedes: /28/2010 SUBJECT: RECORDS RETENTION & OFFSITE STORAGE Approved by: OC San Board of Directors Records Retention 10 Adopted 05/26/2021xx-xx-xxxx Records Management SpecialistAssistant Clerk of the Board •Issue a report of records stored offsite that are eligible for destruction to all Division Records Coordinators with the following information specific to each Division: •Records Series & Definitions •Retention Period Division Records Coordinator •Review the report received from the Records Management SpecialistAssistant Clerk of the Board. •Match the active (in office) files with the record definitions listed in the report and the Records Series assigned to it. •If there are records identified that have met their established retention periods, these are now considered obsolete records. Follow the instructions described in Procedures 5.0 for disposition of obsolete records. •If there are records identified that have not met their retention period but are no longer required to be maintained in the immediate office area, complete Disposition form for transfer to the offsite storage facility. •Records may be transferred to offsite storage at any time during their mandated retention period. Determining when, if ever, to transfer records, is based on the amount of storage area in the office or work area, and the type and frequency of access required. 6.0 INACTIVE RECORDS TRANSFER AND STORAGE 6.1 Inactive records are those records that have not met their required retention periods but are no longer current or frequently referenced. 6.2 Inactive files management standards are established by the DistrictOC San to ensure that District OC San records remain accessible and protected throughout the duration of their required retention periods. Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Procedure Number: 4.0 Effective Date: 9/23/2020xx-xx-xxxx Supersedes: /28/2010 SUBJECT: RECORDS RETENTION & OFFSITE STORAGE Approved by: OC San Board of Directors Records Retention 11 Adopted 05/26/2021xx-xx-xxxx 6.3 Active files are periodically reviewed to identify those records that are inactive. 6.4 Inactive records that are identified during the review are purged from active file areas and processed for offsite storage. 6.4 Systematic control of inactive records consists of: • Properly packing the records in records storage boxes obtained from the warehouse, that are properly labeled • Preparing an index of the contents of the box using a Disposition Form. • Contacting the Records Management SpecialistAssistant Clerk of the Board for a barcode. • Follow the guidelines below when packing the records: • Each box shall only contain official inactive records. Non- records and duplicate records should not be transferred to offsite storage. They are destroyed in the active office area as appropriate. Do not pack different record series in the same box. Record series packed together should have the same destruction date. Schedule the pick-up and transfer of the box(s) to the offsite storage by contacting the Records Management SpecialistAssistant Clerk of the Board. 7.0 PURGING TRANSITORY RECORDS Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Procedure Number: 4.0 Effective Date: 9/23/2020xx-xx-xxxx Supersedes: /28/2010 SUBJECT: RECORDS RETENTION & OFFSITE STORAGE Approved by: OC San Board of Directors Records Retention 12 Adopted 05/26/2021xx-xx-xxxx 7.1 Transitory records can be purged from file storage equipment and destroyed as soon as their usefulness in the performance of business functions are met. 7.2 Do not send transitory records to offsite storage. 8.0 RETRIEVING BOXES FROM OFFSITE STORAGE 8.1 Inactive records may be retrieved from the offsite storage center at any time by contacting Records Management. 8.2 Records may be retrieved only by staff from the Division designated as “owner” of the records. 8.3 In the event that staff from a Division other than the owner, requires access to the records, the retrieval request shall be approved by the Assistant Clerk of the Board Records Management Specialist and the Division that owns the records. 8.4 Boxes retrieved from the offsite storage center shall be returned to the center with the same records and in the same order as when they were received. 8.5 Records should not be removed, nor should additional records be added. 8.6 If the box contents must be altered, complete a new Disposition Form, and contact the Records Management Specialist Assistant Clerk of the Board. Procedure 4.0.1 Records Retention Schedule Change Form Exhibit A OCSD Record Retention Schedule Change Request Form Date: Division # & Name: Submitted by: Approved by: Manager Approved by: Dept Head Record Series Number:Name: Definition: Official Retention:Office of Record: Format:Vital:Historical: REASON FOR ADDITION OR CHANGE: ACTION TAKEN:Date of Action: Approved: New Record Series Number and Name : New Definition : New Official Retention:New Office of Record: Modified Approval: Explain Change : Denied: Reason for Denial: Record Retention Review Committee:Added to RRS: (Date) Board Approval: (Date) Clerk of the Board:Records Management: AGM:Risk Management:Legal: Form Revised 05-12-2020 Add Change Delete Check One: Confidential: Procedure 4.0.2 Records Retention Schedule Exhibit B Procedure 4.0.3 Records Retention Schedule Definitions Exhibit C PLACEHOLDER Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Procedure Number: 5.0 Effective Date: 9/23/2020xx/xx/xxx Supersedes: /23/2020 SUBJECT: RECORDS DESTRUCTIONDISPOSITION AND CONFIDENTIALITY Approved by: OC San Board of Directors Records Disposition & Confidentiality 1 Adopted 05/26/2021xx/xx/xxxx 1.0 INTRODUCTION 1.1 Records disposition is a specific set of actions taken with regard to inactive records as determined through records appraisal. 1.2 Records disposition includes determining whether OC San records are eligible for destruction (records have been determined to be retention expired) or for longer-term preservation (records have been determined to be Historical Records or Inactive Records). 2.0 PURPOSE 2.1 The purpose of this procedure is to describe the procedures for dispositioning OC San rRetention eExpired Records, Inactive Records, and hHistorical OC San rRecords in an organized and efficient manner. 2.2 This procedure ensures that appropriate review and approval are completed prior to destruction or longer-term storage of OC San records. 2.3 2.3 This procedure ensures that records that have an expired retention, but that are subject to a Records Hold of any sort (legal, or audit, or other holds), are maintained until resolution of the legal matter or conclusion of the reason necessitating the Records Holdaudit. 2.4 This procedure applies to all OC San records regardless of whether or not the records contain sensitive information (confidential). Should a unique process for disposition be required for any record, please contact the Clerk of the Board/Assistant Clerk of the Board and a process will be established that is mutually acceptable for all business purposes. 3.0 PROCEDURES 3.1 Records are periodically reviewed in order to identify those records that have met the required retention periods established in the Records Retention Schedule (RRS). Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Procedure Number: 5.0 Effective Date: 9/23/2020xx/xx/xxx Supersedes: /23/2020 SUBJECT: RECORDS DESTRUCTIONDISPOSITION AND CONFIDENTIALITY Approved by: OC San Board of Directors Records Disposition & Confidentiality 2 Adopted 05/26/2021xx/xx/xxxx 3.2 The review activity usually groups records into the following frequestfrequently usedthree disposition groups: 3.2.1 Retention Expired Records: Records that have met the required retention are considered obsolete and are processed for destruction. 3.2.2 Inactive Records: Records that have not met their retention periods, butperiods but are no longer required to be in the immediate office area, are considered inactive and are processed for offsite storage. See Procedure 4.0. 3.2.3 Historical Records: Records that have met their business function retention requirements, but have historical or intrinsic value, are considered Historical Records, and are digitized and processed for long-term storage. See Procedures 7.0 and 13.0. 3.2.4 Active Records: Records that are required for current day-to- day business and are subject to frequent use; generally located near the user (if hardcopy); can easily be accessible on a networked server (if electronic); generally referred to more than once per month. May also be stored offsite. 4.0 PROCESSING OFFICIAL DISTRICT RECORDS FOR DESTRUCTION 4.1 Destruction of the official version of OC San records requires the approval of the following, as applicable: •Submitter •Department/Division Records Coordinator •Department/Division Supervisor •Department/Division Manager •Department/Division Director •Assistant Clerk of the Board (or designee) •Legal Counsel 4.2 Procedures to process retention expired records for destruction are included in the following chart: Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Procedure Number: 5.0 Effective Date: 9/23/2020xx/xx/xxx Supersedes: /23/2020 SUBJECT: RECORDS DESTRUCTIONDISPOSITION AND CONFIDENTIALITY Approved by: OC San Board of Directors Records Disposition & Confidentiality 3 Adopted 05/26/2021xx/xx/xxxx Responsibility Action Assistant Clerk of the Board •Annually, at the start of the calendar year and the fiscal years,year, issue a call to all Records Coordinators requesting a review and purge of their aActive, Inactive, and Historical rRecords. Division Records Coordinators (may also be a Submitter separate from the Records Coordinator) •Review existing records currently maintained in the office area or stored offsite. Review can be done annually at the start of the calendar year and fiscal years based on the call from the Assistant Clerk of the Board (step above), or as business needs warrant. Review should be conducted using the appropriate RRS, using all components of any given Record Type (Record Type description, Retention Length, etc.).Check the definitions for the Record Type listed in the RRS. Calculate destruction dates using the example in the chart Records Management Disposition Form (Exhibit A). below. Cross-reference records with any active Requests for Records Holds on file. The Clerk of the Board or Assistant Clerk of the Board should be contacted for any questions pertaining to Records Holds. •Purge the files in accordance with the process outlined below and Procedure 4.0. Do not purge any documents subject to a Records Hold. •If there are records identified that have met the required retention periods, and are not subject to a Records Hold, complete a Records Management Disposition Form (Exhibit A). The Assistant Clerk of the Board or designee will prepare the Request for Authorization to Destroy Records (Exhibit B) and route the documents for digital signatures/approval. •The Submitter and Records Coordinator are first and second, respectively, in the approval routing sequence. Assistant Clerk of the Board •Review the submitted Disposition Form and validate all information on the Disposition Form, including confirming the records are eligible for destruction (checking historical value, Records Holds, etc.). Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Procedure Number: 5.0 Effective Date: 9/23/2020xx/xx/xxx Supersedes: /23/2020 SUBJECT: RECORDS DESTRUCTIONDISPOSITION AND CONFIDENTIALITY Approved by: OC San Board of Directors Records Disposition & Confidentiality 4 Adopted 05/26/2021xx/xx/xxxx Responsibility Action •If there arethe records identified are not eligible for destruction, advise the Records Coordinator and Submitter and handle according to the type of record. •Prepare the Request for Authorization to Destroy Records, ensuring the appropriate RRS is included in the information that is routed, and route for signature/approval. Digitally sign the forms approving destruction (in the approval routing sequence after Department/Division Director). Department/Division Supervisor •Review the submitted forms and authorize approval to destroy records by digitally signing/approving the forms. •If you do not approve, please contact the Assistant Clerk of the Board. The Assistant Clerk of the Board will coordinate with the Submitter and Records Coordinator, as appropriate, to resolve any issues. Department/Division Manager •Review the submitted completed forms and authorize approval to destroy OC San records by digitally signing/approving the forms. •If you do not approve, please contact the Assistant Clerk of the Boardstate the reason, and return the forms to Division Records Coordinator. The Assistant Clerk of the Board will coordinate with the Submitter and Records Coordinator, as appropriate, to resolve any issues. Department/Division Director •Review the submitted forms and authorize approval to destroy records by digitally signing/approving the forms. •If you do not approve, please contact the Assistant Clerk of the Board. The Assistant Clerk of the Board will coordinate with the Submitter and Records Coordinator, as appropriate, to resolve any issues. Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Procedure Number: 5.0 Effective Date: 9/23/2020xx/xx/xxx Supersedes: /23/2020 SUBJECT: RECORDS DESTRUCTIONDISPOSITION AND CONFIDENTIALITY Approved by: OC San Board of Directors Records Disposition & Confidentiality 5 Adopted 05/26/2021xx/xx/xxxx Responsibility Action Division Records Coordinator •If the request for destruction is not been approved, contact the Assistant Clerk of the Board. Reasons for postponing scheduled destruction may include ongoing or pending audits, investigations, or litigation. Assistant Clerk of the Board •Review the submitted Disposition Form and determine if the records have historical value or are subject to an existing Record Hold. •If there are records identified that contain historical value toOC San, process the records as detailed in RMP Procedure 7.0, Historical Records Program. •If there are no historical records identified, and none of the records are subject to an existing Record Hold, prepare the Request for Authorization to Destroy Records and route for signature/approval. Digitally sign the forms approving destruction. Legal Counsel •Review the submitted forms and determine whether to approve or disapprove the request for destruction of records. •If you do not approve, please contact the Assistant Clerk of the Board. The Assistant Clerk of the Board will coordinate with the Submitter and Records Coordinator, as appropriate, to resolve any issues. •Authorize approval to destroy records by digitally signing/approving the forms. •Determine whether to approve or disapprove the request for destruction of records. •If approved, digitially sign the forms approving destruction. •If not approved due to a Legal Hold: Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Procedure Number: 5.0 Effective Date: 9/23/2020xx/xx/xxx Supersedes: /23/2020 SUBJECT: RECORDS DESTRUCTIONDISPOSITION AND CONFIDENTIALITY Approved by: OC San Board of Directors Records Disposition & Confidentiality 6 Adopted 05/26/2021xx/xx/xxxx Responsibility Action •State the reason for the Legal Hold (pending audit, investigation, or litigation) •Provide an estimated length of time to hold the records •Complete “Request for Record Hold” portion of Record Hold and Release Form. Return the completed forms, along with any special instructions, to theAssistant Clerk of the Board. Assistant Clerk of the Board •Upon complete approval, the Assistant Clerk of the Board will send a If approved, send a signed copy of the approved forms to the Division Records Coordinator. •If the request for destruction of records is disapproved: •Advise the Division of the decision. •Resolve any problems. Division Records Coordinator & Assistant Clerk of the Board •Upon approval of the destruction request, the Records Coordinator and Assistant Clerk of the Board will If approved, proceed with destruction procedures. •If request for destruction is not approved for any reason, records will be maintained until resolution of the matter or conclusion of the reason necessitating the Records Hold. •If not approved due to Legal Hold, maintain records until notification of the release of the records from Legal Hold is received. •If not approved due to Historical Records designation, box records and transfer to theAssistant Clerk of the Board. Assistant Clerk of the Board •Coordinate destruction of records. If the records are digital, notify IT of the necessary destruction or handle in other appropriate manner. If the records are confidential, arrange for destruction that will protect the confidentiality of the information. Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Procedure Number: 5.0 Effective Date: 9/23/2020xx/xx/xxx Supersedes: /23/2020 SUBJECT: RECORDS DESTRUCTIONDISPOSITION AND CONFIDENTIALITY Approved by: OC San Board of Directors Records Disposition & Confidentiality 7 Adopted 05/26/2021xx/xx/xxxx Responsibility Action •After destruction, ensure that a Certificate of Destruction is properly completed and signed. •Maintain the Certificate of Destruction in the appropriate files. •Update the Master Records Inventory and GRM database as applicable. 5.0 PROCESSING DUPLICATE RECORDS FOR DESTRUCTION 5.1 Duplicate records are documents that are copies of the original or official version of a record. A duplicate may be a paper version or an electronic version of the official record.the Record Types maintained by Divisions that are not identified as the Office of Record in the RRS. 5.2 Retention periods of original or official versions of a record do not apply to duplicate files are identified in the RRS. These are the maximum retention periods allowed for the duplicate records. 5.3 Duplicate records may be destroyed at any time, upon confirmation that the record is a duplicate. during and up to the end of the assigned duplicate retention time. 5.45.2 Duplicate records should not be transferred or stored offsite. They are destroyed when the retention requirements of these records are met as established in the RRS. 5.55.3 Duplicate records are destroyed in the office or work area. To destroy a duplicate record, please contact the Assistant Clerk of the Board for determination and confirmation that records are, in fact, duplicate records. 5.65.4 No fFormal destruction authorization is may be required to destroy duplicate records. Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Procedure Number: 5.0 Effective Date: 9/23/2020xx/xx/xxx Supersedes: /23/2020 SUBJECT: RECORDS DESTRUCTIONDISPOSITION AND CONFIDENTIALITY Approved by: OC San Board of Directors Records Disposition & Confidentiality 8 Adopted 05/26/2021xx/xx/xxxx 5.75.5 If the duplicate records contain confidential information, they should be shredded to protect the confidentiality of the information. If the records are not confidential, they may be recycled or discarded. 6.0 PRESERVATION, PROTECTION AND DESTRUCTION OF CONFIDENTIAL RECORDS 6.1 Confidential records are those records containing information that is proprietary or sensitive, and to which access must be restricted. This includes recorded information about an identifiable individual including: •The individual’s name, home, or business address or home or business telephone •The individual’s race, national or ethnic origin, color, or religious or political beliefs or associations •The individual’s age, sex, marital status, or family status •An identifying number or symbol assigned to the individual •The individual’s fingerprints, other biometric information, blood type, or genetic information •Information about the individual’s health and health care history, including information about a physical or mental disability •Information about the individual’s educational, financial, or employment or criminal history, including criminal records where a pardon has been given 6.2 Confidential information must be protected and preserved to avoid unauthorized disclosure that could be harmful to a person, to the OC San, or to an OC San business process. Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Procedure Number: 5.0 Effective Date: 9/23/2020xx/xx/xxx Supersedes: /23/2020 SUBJECT: RECORDS DESTRUCTIONDISPOSITION AND CONFIDENTIALITY Approved by: OC San Board of Directors Records Disposition & Confidentiality 9 Adopted 05/26/2021xx/xx/xxxx 6.3 Confidential records shall be managed, controlled, and disposed of separately from records containing non-confidential information. All confidential records disposed of by OC San must be shredded. 6.4 The Office of Record for records designated as confidential shall destroy. The official copy of confidential records following the approved destruction procedures. The Records Disposition Form (Exhibit A) should be clearly marked as confidential records. Any duplicate copies of records designated as confidential will also be shredded after review and approval, when these records are no longer needed, to ensure their confidentiality. 6.5 Confidentiality of information shall be protected until it is destroyed or until OC San has changed the status of the confidentiality of information. It is suggested that: •Active confidential records should be maintained in Red folders. Confidential records should be distributed in sealed Red Envelopes or those that specify confidential material. •Confidential records sent to offsite storage must be in securely taped boxes, or safes, and designated as confidential on the Records Disposition Form. Red Confidential labels should be placed on the outside of the box. •The Disposition Form should also indicate who is allowed to retrieve and review the confidential boxes. Escrow records usually require that both parties to the escrow are present when the material is reviewed. Both parties must also sign off on the destruction notice. Date:12/30/2021 Division Number Media Format(select all that apply)RecordType Record Description FromYear ToYear User Box Number(optional)Submitted By Disposition Special Storage Consideration(select all that apply)GRM Barcode Retention Number Retention Length Trigger Year Trigger Month Eligible for Destruction Select Record Type Select Record Type 0 Not Applicable, Life Select Record Type Select Record Type 0 Not Applicable, Life Select Record Type Select Record Type 0 Not Applicable, Life Select Record Type Select Record Type 0 Not Applicable, Life Select Record Type Select Record Type 0 Not Applicable, Life Select Record Type Select Record Type 0 Not Applicable, Life Select Record Type Select Record Type 0 Not Applicable, Life Select Record Type Select Record Type 0 Not Applicable, Life Select Record Type Select Record Type 0 Not Applicable, Life Select Record Type Select Record Type 0 Not Applicable, Life Select Record Type Select Record Type 0 Not Applicable, Life Select Record Type Select Record Type 0 Not Applicable, Life Select Record Type Select Record Type 0 Not Applicable, Life Select Record Type Select Record Type 0 Not Applicable, Life Select Record Type Select Record Type 0 Not Applicable, Life Select Record Type Select Record Type 0 Not Applicable, Life Select Record Type Select Record Type 0 Not Applicable, Life Select Record Type Select Record Type 0 Not Applicable, Life Select Record Type Select Record Type 0 Not Applicable, Life Select Record Type Select Record Type 0 Not Applicable, Life Select Record Type Select Record Type 0 Not Applicable, Life Select Record Type Select Record Type 0 Not Applicable, Life Select Record Type Select Record Type 0 Not Applicable, Life Select Record Type Select Record Type 0 Not Applicable, Life Select Record Type Select Record Type 0 Not Applicable, Life Select Record Type Select Record Type 0 Not Applicable, Life Select Record Type Select Record Type 0 Not Applicable, Life Select Record Type Select Record Type 0 Not Applicable, Life Select Record Type Select Record Type 0 Not Applicable, Life Select Record Type Select Record Type 0 Not Applicable, Life Records Management Disposition Form Districtwide Please send completed form to: recordsmanagement@ocsan.gov These fields are for reference only and will autopopulate and/orbe entered by Records Management Returnto User Guide 1. Identify records that are eligible for destruction. 2.Complete a Disposition Form indicating which records are requested for destruction. 3. Email the completed Disposition Form to Records Management. 4. Records Management will prepare the Request for Authorization to Destroy Records and attach it to the completed Disposition Form and route it for approval. 5. Records Management will obtain all required approvals & finalize request for destruction. Records Coordinators will receive a copy for reference. Please contact Tina Knapp at ext. 7190 for questions/assistance or you may send an email to RecordsManagement@OCSD.com. Division Number Total Number of Boxes for Destruction Name (Print)Signature Date Name (Print)Signature Date Name (Print)Signature Date Name (Print)Signature Date Name (Print)Signature Date Name (Print)Signature Date Name (Print)Signature Date I certify that the OFFICIAL RECORDS AND COPIES identified on the corresponding Disposition Form are past the retention period specified by OC San’s Records Retention Schedule and that all audit, business, and administrative requirements have been satisfied. Further,I certify that no HOLD has been placed on these OFFICIAL RECORDS AND COPIES due to any litigation, claim,negotiation, audit, or public records request and all legal,business, and administrative requirements have been satisfied.I certify that all information on this form is accurate and true to my knowledge by providing my signature. Department/Division ManagerName & Signature: Records CoordinatorName & Signature: Records Management Name & Signature: Request for Authorization to Destroy Records Complete this section for authorization to destroy records Required Approval Instructions Legal Counsel Name & Signature: Submitter's Name & Signature: (If different from Records Coordinator) Department/Division Director Name & Signature: Department/Division Supervisor Name & Signature: Page 1 Destruction Authorization Form TEMPLATE 2021-02-04 Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Procedure Number: 6.0 Effective Date: 9/23/2020 Supersedes: 7/28/2010 SUBJECT: VITAL RECORDS Approved by: OC San Board of Directors Vital Records 1 Adopted 05/26/2021 1.0 INTRODUCTION 1.1 Vital records are those documents that contain information that enables the Orange County Sanitation District (Sanitation DistrictOC San) to continue vital and critical operations in the event of a major interruption to business. 1.2 Such interruptions could be natural disasters (for example, earthquake, pandemic, sudden and severe energy shortage, or flood) or man-made disasters (for example, accidental fire, cyberterrorism, arson, or civil unrest) which result in the loss of the normal means of access to vital records. 1.3 In most organizations, vital records comprise between two and five percent of the total record volume. During the initial records inventory, vital records titles were identified and assigned to Records Series. Vital records are identified with a “V” on the Record Retention Schedule. 2.0 PURPOSE 2.1 The purpose of the vital records management is to ensure that vital records are identified, protected, and accessible during or shortly following a disaster or major interruption to business. 3.0 SCOPE 3.1 Vital records are either irreplaceable or very difficult to replace. 3.2 Absence of vital records, or the inability to locate or translate vital records (in the case of machine-readable or digital records) means that the Sanitation District OC San could not provide critical services to the public and its employees during a disaster or shortly thereafter. Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Procedure Number: 6.0 Effective Date: 9/23/2020 Supersedes: 7/28/2010 SUBJECT: VITAL RECORDS Approved by: OC San Board of Directors Vital Records 2 Adopted 05/26/2021 3.3 Vital records are maintained and protected in the format (paper, digital, Bold Planning, etc.) that is most appropriate for efficient retrieval. 3.4 Vital records include records that enable the Sanitation District OC San to: 3.4.1 Provide required Sanitation District OC San safety and health services during and immediately following a disaster or other major interruption to business. 3.4.2 Meet the obligations to Sanitation District OC San employees and retirees. 3.4.3 Reconstruct legal obligations and rights. 3.4.4 Establish the financial position of OC Santhe Sanitation District. 3.4.5 Reconstruct the Sanitation District’s OC San’s assets and ownership. 4.0 PROCEDURES Responsibility ________ Action____________________________ Clerk of the Board/ Assistant Clerk of the Board Develop procedures for protecting vital records, either digitization and/or storing them onsite in fire- resistive equipment or by sending copies offsite. Identify viable onsite or remote storage sites for records protection. Coordinate vital records protection procedures with the Sanitation District’s OC San’s Integrated Emergency Response Plan. Develop procedures for retrieving vital records within the identified time requirements following a disaster. Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Procedure Number: 6.0 Effective Date: 9/23/2020 Supersedes: 7/28/2010 SUBJECT: VITAL RECORDS Approved by: OC San Board of Directors Vital Records 3 Adopted 05/26/2021 Coordinate, identify, and develop agreements with vendors to provide records retrieval or recovery services required following a disaster. Work with the IT and Risk Managers to ensure the Vital Records Management Program meets the Sanitation DistrictOC San’s needs. Risk /IT Manager Review the vital records procedures to ensure that the Sanitation District OC San’s interests are protected and to ensure minimum exposure to risk in the event of a disaster. Division Records Identify vital records based on an evaluation of Coordinator division business functions. Comply with procedures that protect vital records. Determine the frequency with which vital records must be stored both onsite and offsite. Routinely copy and forward vital records to onsite or offsite protective storage facilities. 5.0 VITAL RECORDS CATEGORIES 5.1 The following is a list of the record categories that are usually considered vital. The Records Series containing vital records are identified as such on the Records Retention Schedule. Financial Accounts Receivable Fixed Asset Inventories General Ledger Loan Payments Registers Proving Payment Statements Stock Certificates Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Procedure Number: 6.0 Effective Date: 9/23/2020 Supersedes: 7/28/2010 SUBJECT: VITAL RECORDS Approved by: OC San Board of Directors Vital Records 4 Adopted 05/26/2021 Tax Returns Negotiable Instruments Benefits Bonds Checks Claims Notes Payroll Retiree Benefits Ownership Capital Investments Deeds District Charter or Formation Records Leases Titles OC San Administration Board Meeting Minutes Delegation of Authority Ordinances Resolutions Major capital improvements or construction contracts or other major agreements Insurance Policies and Endorsements Engineering Drawings Maps Specifications Computer Software Applications Code Manuals (if created by DistrictOC San) Software Licenses Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Procedure Number: 6.0 Effective Date: 9/23/2020 Supersedes: 7/28/2010 SUBJECT: VITAL RECORDS Approved by: OC San Board of Directors Vital Records 5 Adopted 05/26/2021 6.0 VITAL RECORDS FORMAT 6.1 Select the format for protecting and maintaining vital records that ensures accessibility and usability during a disaster or emergency response: 6.1.1 Source document (original or designated official version, regardless of format). 6.1.2 Distributed copy (copy of record that is routinely distributed). 6.1.3 Reproduced copy (hard copy of record that is copied for Vital Records Program needs). 6.1.4 Scan (Scanned for Vital Records Program needs). 6.1.5 Magnetic Tape (digital version of vital record). 6.2 Select Vital Records Protection Methods 6.2.1 Select the method most appropriate to protect the vital record. 6.2.2 Verify existing dispersal of record, ensure that vital records are available in multiple, geographically separate locations as part of normal business activities. 6.2.3 Improve dispersal by initiating distribution of copies of vital records to a secure location at the time of document creation. 6.2.4 Duplicate records by reproducing copies of vital records in a medium appropriate to efficient storage and use and send to a secure location. Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Procedure Number: 6.0 Effective Date: 9/23/2020 Supersedes: 7/28/2010 SUBJECT: VITAL RECORDS Approved by: OC San Board of Directors Vital Records 6 Adopted 05/26/2021 6.2.5 Move electronic vital records to Electronic Content Management System (Laserfiche). 6.2.5 6.2.6 Move hard copy vital records from active use areas once digitized and when no longer needed for active reference and send to a secure location. 6.2.66.2.7 Store vital records onsite in a secure location, such as the vault, that meets NFPA standards for fire-resistance. 6.3 Select Vital Records Update Frequency 6.3.1 Determine how often it is necessary to update vital records to ensure that the information is current. Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Procedure Number: 7.0 Effective Date: 9/23/2020xx/xx/xxxx Supersedes: /23/2020 SUBJECT: HISTORICAL RECORDS Approved by: OC San Board of Directors Historical Records 1 Adopted 05/26/2021xx/xx/xxxx 1.0 INTRODUCTION 1.1 It is the policy of the Orange County Sanitation District (Sanitation DistrictOC San) to identify and preserve records that have historical significance for the Sanitation DistrictOC San. 2.0 PURPOSE 2.1 The purpose is to ensure that all Sanitation District OC San records are reviewed for historical value prior to destruction through the application of well-accepted appraisal criteria. 2.2 Historical records are processed according to standard archival practice to ensure their preservation. 3.0 RESPONSIBILITY 3.1 The identification and review of Historical Records is administered under the authority of the Sanitation District’s OC San’s Records Management Program. 3.2 Both the Office of Record and the District’s OC San’s Records Management Specialist Custodian of Records’s have a direct role in the implementation of identifying Historical Records. 4.0 OBJECTIVES 4.1 The objectives are: 4.1.1 Identify Sanitation District OC San records of historical value. 4.1.2 Process Sanitation District OC San records of historical value in a manner that will ensure that they are properly preserved. 4.1.3 Prepare a finding guide to the Sanitation District’s OC San’s historical records to facilitate access to the records Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Procedure Number: 7.0 Effective Date: 9/23/2020xx/xx/xxxx Supersedes: /23/2020 SUBJECT: HISTORICAL RECORDS Approved by: OC San Board of Directors Historical Records 2 Adopted 05/26/2021xx/xx/xxxx by Sanitation District OC San’s staff and outside researchers. 4.1.4 Promote the use of the Sanitation District’s OC San’s historical records in such areas as agency planning, management, development, public relations, and litigation support. 5.0 SCOPE 5.1 The scope includes the identification of records designated as historical on the retention schedule, the application of standard appraisal criteria at the end of the official retention period, and the processing and arrangement of historical records. 5.1.1 Processing and arrangement for paper records include: 5.1.1.1 Removal of hardware (staples, brads, and other fasteners) 5.1.1.2 Placing documents in acid free folders and boxes that meet the standards for archival preservation. 5.1.1.3 Preparation of inventories and finding guides to the historical records. 6.0 PROCEDURE 6.1 The policy applies to all Sanitation District OC San and contract staff who create, receive, or maintain Sanitation District OC San records. Orange County Sanitation District RECORDS MANAGEMENT PROCEDURE MANUAL Procedure Number: 8.0 Effective Date: 9/23/2020xx/xx/xxxx Supersedes: /23/2020 SUBJECT: RECORDS MANAGEMENT PROGRAM AUDIT AND COMPLIANCE REVIEW Approved by: OC San Board of Directors Audit & Compliance Review 1 Adopted 05/26/2021xx/xx/xxxx 1.0 INTRODUCTION 1.1 The Records Management Program Compliance Audit reviews and monitors compliance with the Orange County Sanitation District’s (Sanitation District OC San) Records Management Program. 1.2 Periodically, the Records Management Specialist conducts a compliance audit with several Divisions. 1.3 All Divisions should complete the audit process every two years. 2.0 PURPOSE 2.1 The purpose of the Records Management Program Compliance Audit is to ensure that all OC San Sanitation District records are created, received, maintained, and disposed of in accordance with the Board of Directors approved Records Management Policy and Procedure. 3.0 PROGRAM PROCEDURES Responsibility Action Records Management SpecialistAssistant Clerk of the Board Review how Division records are kept, where they are located, in what format (hardcopy or electronic), and security (who has access). Compare records eligible to be destroyed with those actually destroyed by the Division. Note any records series destroyed prematurely or that have been retained beyond the approved destruction date. Review with staff, their knowledge and understanding of the Sanitation District OC San Records Management Program, particularly the Records Retention Schedule and Records Disposition Policy. Orange County Sanitation District RECORDS MANAGEMENT PROCEDURE MANUAL Procedure Number: 8.0 Effective Date: 9/23/2020xx/xx/xxxx Supersedes: /23/2020 SUBJECT: RECORDS MANAGEMENT PROGRAM AUDIT AND COMPLIANCE REVIEW Approved by: OC San Board of Directors Audit & Compliance Review 2 Adopted 05/26/2021xx/xx/xxxx Write Run a summary report of findings with recommended corrective action, if necessary, such as additional training or revisions to existing documentation. Submit the report to the Division Manager and Department Head. Division Records Coordinator Assist Records Management Specialist the Assistant Clerk of the Board in conducting the records compliance review in the designated Divisions. Respond to the summary audit report findings by identifying which corrective actions are planned or have been completed. Inform Records Management of changes within the Division and business practices that potentially may have an effect on the Records Management Program. Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Procedure Number: 9.0 Effective Date: xx/xx/xxxx Supersedes: /23/2020 SUBJECT: RECORD HOLD AND RELEASE Approved by: OC San Board of Directors Record Hold and Release 1 Adopted 05/26/2021xx/xx/xxxx 1.0 INTRODUCTION 1.1 At any time during the life of a record or record series, there may be circumstances that require the “holding” or suspension of destruction of certain record series or types of records from being disposed of due to reasons specified by the legal counsel, auditors, or department managers. 1.2 Destruction suspension is a hold placed on the scheduled destruction of records that may be relevant to foreseeable or pending litigation, governmental investigation, audit, special organizational requirements, or other business needs not contemplated when the records were originally scheduled for disposal. 1.21 The five types of holds are: A. RIM Hold – used when there is cause for Records Management to research records for inconsistent, missing or incorrect information B. Legal/Regulatory Hold - Financial Audits and Anticipated or Pending Litigation C. Department Hold – Request from a department with justification D. Historical Hold – Preservation with justification E. Retention Schedule Change Hold – used when a change, addition, or deletion is required until the time the RRS can be changed 1.3 Depending upon the circumstances, a “Record Hold” may require the retention of all documents of a certain kind, whether they are hard copy records, electronic records, or non-records, as defined in Procedure 4.0. Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Procedure Number: 9.0 Effective Date: xx/xx/xxxx Supersedes: /23/2020 SUBJECT: RECORD HOLD AND RELEASE Approved by: OC San Board of Directors Record Hold and Release 2 Adopted 05/26/2021xx/xx/xxxx 1.4 Once a “Record Hold” has been placed on particular records or record series, the records will not be disposed of until a “Record Release” has been issued by a Record Hold Requestor. 2.0 PURPOSE 2.1 The purpose of this procedure is to describe the procedures for suspending destruction or placing a hold on the destruction of records that may be relevant to foreseeable or pending litigation, governmental investigations, audits, or other special Sanitation District OC San requirements, and for releasing the hold when it is no longer necessary. 2.2 This procedure requires that the Clerk of the Board, Records Management SpecialistAssistant Clerk of the Board, and Division Records Coordinators be notified when holds on the destruction of certain records are necessary. 2.3 This procedure ensures that records subject to holds for any purpose, are maintained until resolution or conclusion of the matter. 3.0 SCOPE 3.1 This Procedure documents the process of suspending destruction or placing a hold on the destruction of records. 3.2 This Procedure applies to any record, non-record, or transitory record, in any format, at any time during the life of the record or transitory record. Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Procedure Number: 9.0 Effective Date: xx/xx/xxxx Supersedes: /23/2020 SUBJECT: RECORD HOLD AND RELEASE Approved by: OC San Board of Directors Record Hold and Release 3 Adopted 05/26/2021xx/xx/xxxx 4.0 PROCEDURES FOR REQUESTING RECORDS DESTRUCTION HOLD Responsibility Action Legal Counsel Division Managers •Upon becoming aware of the need for the suspension of destruction of certain Sanitation DistrictOC San records that may be relevant to foreseeable or pending litigation, governmental investigations, audits, other special District OC San requirements, or other business reasons, notify the Clerk of the Board. Clerk of the Board/Records Management SpecialistAssistant Clerk of the Board •Review all documentation submitted by Record Hold Requestor. Contact Record Hold Requestor to clarify scope of requested Hold if necessary. •Upload all information to GovQA Legal Holds to reflect the Hold and the Estimated Date of Release. •Route Legal Hold to EMT, IT, Manager, and Records Coordinators in all affected Divisions along with any specific instructions. Division Records Coordinators •Review and file all Record Hold & Release Forms forwarded by GovQA portal. •Prior to purging files in accordance with Procedure 4.0 or completing a Request for Authorization to Destroy Records, cross-reference records identified to be purged or destroyed against Record Hold Requests on file. Identify documents subject to a Record Hold. Do not purge or request destruction of any documents subject to a Record Hold. •The EDMS Administrator (IT) will place a Legal Hold on relevant records in the EDMS System. Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Procedure Number: 9.0 Effective Date: xx/xx/xxxx Supersedes: /23/2020 SUBJECT: RECORD HOLD AND RELEASE Approved by: OC San Board of Directors Record Hold and Release 4 Adopted 05/26/2021xx/xx/xxxx 5.0 PROCEDURES FOR REQUESTING RELEASE OF RECORDS DESTRUCTION HOLD Responsibility Action Clerk of the Board/Records Management SpecialistAssistant Clerk of the Board • Periodically review Record Hold & Release GovQA portal and identify Estimated Dates of Release for previously placed Records Destruction Holds. • If the Estimated Date of Release on a Record Hold has passed, contact the Record Hold Requestor to inquire whether release of the Hold is appropriate. If the Record Hold Requestor indicates that release of the Hold is appropriate, route a Release Form through GovQA to the Record Hold Requestor and request completion. If the Record Hold Requestor indicates that release of the Hold is not yet appropriate, obtain and note the new Estimated Date of Release. Legal Counsel and Division Managers • Upon determining that a Hold on the destruction of certain District OC San records is no longer needed, the originator of the Record Hold shall notify the Clerk of the Board through the GovQA portal with any specific instructions. Records Management SpecialistAssistant Clerk of the Board • Review Authorization for Release and update GovQA. Route release to Records Coordinators in all affected Divisions, along with any specific instructions. Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Procedure Number: 9.0 Effective Date: xx/xx/xxxx Supersedes: /23/2020 SUBJECT: RECORD HOLD AND RELEASE Approved by: OC San Board of Directors Record Hold and Release 5 Adopted 05/26/2021xx/xx/xxxx Responsibility Action Division Records Coordinators • Review Authorization for Release forwarded by the Records Management SpecialistAssistant Clerk of the Board. • Identify documents within scope of Authorization for Release and remove any notation of prior Hold. Any transitory records or records falling within the scope of the Authorization for Release may be purged or destroyed in accordance with Procedures 4.0 and 5.0, respectively. • The EDMS Administrator will manually release the Administrative Hold in the EDMS System. Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Procedure Number: 10.0 Effective Date: 9/23/2020xx/xx/xxxx Supersedes: /22/2010 SUBJECT: PUBLIC RECORDS ACT - RELEASE OF RECORDS TO THE PUBLIC Approved by: OC San Board of Directors Public Records Act 1 Adopted 9/23/2020xx/xx/xxxx 1.0 STATEMENT OF POLICY AND LAW The California Public Records Act (Government Code §6250 et seq.) (the “CPRA” or “Act”) declares that access to information concerning the conduct of the people’s business is a fundamental and necessary right of every person. In furtherance of that policy, the Act mandates, with specified exceptions, that public records are open to inspection at all times during the office hours of state and local agencies. The Act, however, recognizes a number of specific statutory exemptions to the general rule of public disclosure. The Act also authorizes local agencies to adopt procedures for making records available and for recovering the direct costs of duplicating those records. The spirit of the Act, and the policy of the Orange County Sanitation District (Sanitation DistrictOC San), is to permit access to all disclosable public records in the possession of OC Santhe Sanitation District, unless doing so would constitute an unwarranted invasion of personal privacy or the request calls for the production of records that are exempt from disclosure under the Act. Other records may be kept confidential on a case-by-case basis only after an OC SanSanitation District determination that the public interest served by non-disclosure clearly outweighs the public interest served by disclosure. An example of that type of record would be preliminary drafts of agreements prepared to facilitate discussion and/or negotiations, if disclosure prior to final agreement would have an adverse effect on the negotiation process. However, such analysis will usually involve the assistance of General Counsel. In addition, California courts have also recognized that certain records need not be disclosed if disclosure would reveal the public agency’s decision-making process in such a way as to discourage candid discussion within the agency, which would thereby undermine the agency’s ability to perform its functions. Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Procedure Number: 10.0 Effective Date: 9/23/2020xx/xx/xxxx Supersedes: /22/2010 SUBJECT: PUBLIC RECORDS ACT - RELEASE OF RECORDS TO THE PUBLIC Approved by: OC San Board of Directors Public Records Act 2 Adopted 9/23/2020xx/xx/xxxx 2.0 PROCEDURE 1.1 The Clerk of the Board/Custodian of Records (PRA Team) receives and processes all Public Records requests in accordance with Government Code Section 6250 - 6270.7. California Public Records Act and Sanitation District OC San Board approved Policy Resolution No. OCSD 18-22OC SAN 21-08. The PRA Team interprets each public record request in accordance with Government Code Section 6253.1 and attempts to assist members of the public to identify the record that contains the information they request. 1.2 The Sanitation District OC San uses the GovQA Public Records Request Management Software (GovQA) to receive, correspond, route, track, and respond to Public Records requests. 1.3 To ensure consistency with the process of records requests, if a Department/Division receives a request from the public or agency to provide public records, the Department/Division should direct the requestor to the OC San Public Records Portal on the ocsan.gov website so that the request may be routed and tracked in the GovQA portal for response. The PRA team should be notified and will be able to assist. 2.0 PROCESS 2.1 Requests are received by the Sanitation District OC San and placed in GovQA by either the requestor or in a few cases the PRA Team; and the Sanitation District OC San Staff users/approvers enter the portal to respond or upload documents to fulfill the request. 2.2 When a request is initially received, the PRA Team immediately responds to the requestor, via GovQA, with an email receipt of request that provides a legal explanation of the PRA process. The PRA Team determines if the request is complete or requires clarification (e.g., too broad; apparent typographical errors; etc.). If necessary, the PRA Team contacts the requestor for clarification. Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Procedure Number: 10.0 Effective Date: 9/23/2020xx/xx/xxxx Supersedes: /22/2010 SUBJECT: PUBLIC RECORDS ACT - RELEASE OF RECORDS TO THE PUBLIC Approved by: OC San Board of Directors Public Records Act 3 Adopted 9/23/2020xx/xx/xxxx If the PRA Team and Department Head believe that employee rights or significant interests of the Sanitation District OC San could be compromised by the requested disclosure, the PRA team and Department Head shall discuss the request with General Counsel prior to making such disclosure. 2.3 TIMELINESS. Although Sanitation District OC San policy encourages a quicker response, the CPRA requires that the person requesting copies of Sanitation District OC San records be notified within ten (10) calendar days of OC San’s the Sanitation District’s determination as to whether the request, in whole or in part, calls for the production of disclosable, non-privileged records that are in the possession of the Sanitation District OC San. Occasionally, where assistance of General Counsel is appropriate for example, the full ten (10) calendar days may be required in order to make the requisite determination. Under the Act, the Sanitation District may also be entitled to an additional fourteen (14) calendar days in which to make its initial determination under the following four (4) circumstances: 2.3.1. There is a need to search for and collect the requested documents from other offices, or offsite storage, separate from the office processing the request; 2.3.2. There is a need to search for, collect, and examine a voluminous amount of separate and distinct records which are demanded in a single request; or 2.3.3. There is a need to consult with another Agency or Department having a substantial interest in the determination of the request. This includes requests for Certified Payrolls from an OC San Sanitation District Contractor or Sub- Contractor. Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Procedure Number: 10.0 Effective Date: 9/23/2020xx/xx/xxxx Supersedes: /22/2010 SUBJECT: PUBLIC RECORDS ACT - RELEASE OF RECORDS TO THE PUBLIC Approved by: OC San Board of Directors Public Records Act 4 Adopted 9/23/2020xx/xx/xxxx 2.3.4. In the case of electronic records, there is a need to compile data, write programming language or a computer program, or to construct a computer report to extract data. If the additional fourteen (14) calendar days are needed, either the General Counsel or PRA Team must notify the Requestor, in writing, of the reason or reasons for the fourteen (14) day extension and the date on which the determination is expected. If the final determination is to deny a request to inspect or copy OC San Sanitation District records, the General Counsel or the PRA Team shall notify the Requestor, in writing, of the reasons for the denial. 2.4 PARTIAL DISCLOSURE. If portions of the requested record(s) are determined to be exempt from disclosure and those portions can be reasonably segregated from the rest of the record(s) by deletion, redaction or other means, the non-exempt portion shall be provided to the Requestor. 2.5 COST OF COPIES. Under the Act, the Sanitation District OC San is entitled to be reimbursed by the Requestor for the direct costs of duplication. The Sanitation District OC San has, however, made a policy determination to not charge the Requestor for the first ten (10) pages. If a Public Records Act request calls for the production of records in excess of ten (10) pages, then the Requestor shall be required to pay twenty-five cents per page for each additional page, which shall be reimbursement of OC San’s the Sanitation District’s direct costs for duplication. The reimbursement rate shall not include recovery of costs for staff time spent searching for, retrieving, reviewing, evaluating and/or handling of responsive records. At the sole discretion of the Sanitation District OC San, the Sanitation District OC San may require the Requestor to Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Procedure Number: 10.0 Effective Date: 9/23/2020xx/xx/xxxx Supersedes: /22/2010 SUBJECT: PUBLIC RECORDS ACT - RELEASE OF RECORDS TO THE PUBLIC Approved by: OC San Board of Directors Public Records Act 5 Adopted 9/23/2020xx/xx/xxxx submit, in advance, a check based on the estimated direct duplication costs. Electronic records, which can easily be transmitted to the Requestor via GovQA will not be subject to the twenty-five cents per page copying charge. At the sole discretion of the Sanitation District OC San, and depending on the estimated number of responsive records, the Requestor or the Sanitation District OC San may retain the professional reprographic services of a bonded copy service. The Requestor shall be required to pay for or reimburse the Sanitation District OC San for the direct costs of duplication associated with the use of a bonded copying service. In the event the Sanitation District OC San approves of the use of a bonded copying service, the Requestor may select and retain a bonded copying service; however, such selection shall be subject to the Sanitation District’s OC San’s approval. 2.6 COST OF VIDEOTAPES, AUDIOTAPES, COMPACT DISCS OR THUMB DRIVE. The charge to the Requestor for copies of videotapes, audiotapes, compact disc, DVD recordings, or thumb drives shall be at OC San’s the District’s actual cost of reproduction. 2.7. MEDIA CONTACTS. Employees are encouraged to refer all media contacts and media inquiries to the PAO Officer/Administration Manager. All information requests requiring production of records shall be processed in accordance with the terms of this Policy, and upon completion of the preparation of the copies, shall be delivered to the requesting media representative by the Administration Manager. Department Heads shall report any and all media contacts to the Administration Manager as soon as possible. The Administration Manager shall coordinate any action required by such contact with the Clerk of the Board and keep the appropriate Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Procedure Number: 10.0 Effective Date: 9/23/2020xx/xx/xxxx Supersedes: /22/2010 SUBJECT: PUBLIC RECORDS ACT - RELEASE OF RECORDS TO THE PUBLIC Approved by: OC San Board of Directors Public Records Act 6 Adopted 9/23/2020xx/xx/xxxx Department Head, General Manager, and General Counsel informed. 2.8. FORMS. GovQA generated forms and letters shall be used by Sanitation District OC San staff for purposes of complying with this administrative policy. 2.9 ACCESS TO FILES. No member of the public and no OC San Sanitation District employee, other than an employee of the Department processing records, shall enter GovQA or any file cabinets, record storage areas or containers that hold Sanitation District OC San records, except when authorized by the PRA Team or Department head. When a requestor is reviewing physical files, a member of the Sanitation District OC San staff must be present during the entire file review. This may be the Clerk of the Board or staff member of the Department that owns the records. The Requestor may not remove any records during the file review. 2.10. REMOVAL OF RECORDS. The unauthorized removal of any record of the Sanitation District OC San is a violation of California Government Code Section 6201, and is punishable by imprisonment, or fine, or both. 2.11 LITIGATION DOCUMENTS. The charge for all copies of any Sanitation District OC San document or record produced pursuant to a subpoena or request for production of documents issued by a Court or an authorized administrative or regulatory agency or tribunal, shall be twenty-five ($.25) cents per page to reimburse the Sanitation District OC San Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Procedure Number: 10.0 Effective Date: 9/23/2020xx/xx/xxxx Supersedes: /22/2010 SUBJECT: PUBLIC RECORDS ACT - RELEASE OF RECORDS TO THE PUBLIC Approved by: OC San Board of Directors Public Records Act 7 Adopted 9/23/2020xx/xx/xxxx for its costs of research, retrieval, examination, handling, copying, and certification of the documents. In the event, due to size or volume of the responsive records, special reproduction services are required, the person making the request shall pay the actual charges incurred for either the Sanitation District’s OC San’s in-house copy service, or an outside copy service. For large records request, the Sanitation DistrictOC San shall require an advance deposit based on the estimated direct copying costs. Said deposit shall be paid by the Requestor prior to the Sanitation District OC San commencing any work to obtain and copy the requested records. Litigation document requests shall be handled by the General Counsel and the Clerk of the Board. 3.0 ROUTINE REQUESTS 3.1 If the PRA Team determines the nature of the request to be routine (e.g., Site Assessments, stale check data requests, contract documents etc.), the team will then determine which Department should receive the request and route it accordingly via GovQA. The following types of requests route directly to the staff liaison that has been pre-designated by the Manager or Department head: A. Contracts and Purchasing If a request is made to either division, the entire division including the Supervisor and Manager are notified. The request is fulfilled, and the Supervisor or Manager approves prior to release. This prevents delays in turn around due to absenteeism. Routine requests include RFP/RFQ bidder information; cumulative purchase order lists; and contract compliance. B. Environmental Services requests for Site Assessment data are routed to a designated staff members in Environmental Services Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Procedure Number: 10.0 Effective Date: 9/23/2020xx/xx/xxxx Supersedes: /22/2010 SUBJECT: PUBLIC RECORDS ACT - RELEASE OF RECORDS TO THE PUBLIC Approved by: OC San Board of Directors Public Records Act 8 Adopted 9/23/2020xx/xx/xxxx and is only escalated to a Supervisor or Manager when there is an underlying issue with the property or a permittee. C. Finance Department routine requests for stale check data and Sewer Service Fees/Rebate requests automatically route to a designated staff member as determined by the Assistant General Manager/Director of Finance and Administrative Services. D. Planning/Engineering requests for Sewer connection/lateral maps and requests for Certified Payroll route to a designated staff member as determined by Assistant General Manager/Director of Operations and Maintenance. E. Human Resources requests are sent to a designated staff member as determined by the Human Resources Manager. 4.0 NON-ROUTINE REQUESTS: 4.1 Non-routine requests consist of a variety of things. Examples of these are: All emails/correspondence for a certain staff member, which requires IT assistance for e-Discovery, requests from law offices, or any request that the Clerk of the Board believes or determines is related to anticipated or current litigation. 4.2 Non-routine requests are sent to the affected Manager, Executive Management and/or General Counsel before beginning the process. Each department will assist with the process for research and retrieval and approval of what is released to the public. 5.0 COMPLETION 5.1 Once a request has been completed by the affected department/division, the request routes back to the PRA Team for final review before release. The review consists of checks for accuracy, confidentiality, or personal information, and redaction prior to its release. Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Procedure Number: 10.0 Effective Date: 9/23/2020xx/xx/xxxx Supersedes: /22/2010 SUBJECT: PUBLIC RECORDS ACT - RELEASE OF RECORDS TO THE PUBLIC Approved by: OC San Board of Directors Public Records Act 9 Adopted 9/23/2020xx/xx/xxxx 5.2 The Clerk of the Board will provide a weekly summary containing the number of PRA’s received and processed with assigned department detail to the Administration Manager and/or General Manager. Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Procedure Number: 11.0 Effective Date: xx/xx/xxxx Supersedes: 2021 SUBJECT: ELECTRONIC COMMUNICATIONS POLICY Approved by: OC San Board of Directors Electronic Communications Policy 1 Adopted 05/26/2021xx/xx/xxxx 1.0 INTRODUCTION 1.1 The Electronic Communications Policy of the Records Management Program controls the maintenance and storage of Orange County Sanitation District (Sanitation District OC San) electronic mail records, text messages, instant messages, voicemail, and social media. Following the retention procedures ensures compliance with pertinent statutory, regulatory, operating, and administrative recordkeeping requirements. In addition, it ensures that records needed to conduct Sanitation District OC San business are protected and accessible. The Records Retention Schedule (RRS) is the foundation of the Program and defines the periods required to maintain Sanitation District OC San records, including all electronic communications. See Records Management Policy No. 4.0 for Records Classification. 2.0 PURPOSE 2.1 POLICY OBJECTIVES: 2.1.1 Provide clear and concise direction regarding use and retention of the Sanitation District's electronic communications systems, including electronic mail (email), text messaging, instant messages, and voicemail. 2.1.2 Comply with all applicable State and Federal laws and Sanitation District Personnel Policy 5.10 related to the use of email and all other forms of electronic communication. 2.1.3 Address the California Supreme Court's 2017 decision in City of San Jose v. Superior Court of Santa Clara County, holding that a Public Agency employee's communications related to the conduct of public business are subject to the California Public Records Act, even if they were sent or received using a personal account or personal device. 3.0 SCOPE/BACKGROUND 3.1 This policy applies to all persons (including employees, appointed officials, interns, and contractors) who are permitted to use the Sanitation District's Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Procedure Number: 11.0 Effective Date: xx/xx/xxxx Supersedes: 2021 SUBJECT: ELECTRONIC COMMUNICATIONS POLICY Approved by: OC San Board of Directors Electronic Communications Policy 2 Adopted 05/26/2021xx/xx/xxxx computing or network resources, particularly the email functions of the system ("Authorized Users"). “Email" means any electronic communication to or from any Authorized Users using the Email System, including all information, data, and attachments to the electronic communication. “Email System" means the system of devices (including hardware, software, and other equipment) owned and controlled by the Sanitation District or the Authorized User for the purpose of facilitating the electronic transmission. "Electronic Communications” includes any and all electronic transmission, and every other means of recording upon any tangible thing in any form of communication or representation, including letters, words, pictures, sounds, symbols, or combinations thereof, and any record thereby created, regardless of the manner in which the record has been stored. Without limiting the nature of the foregoing, electronic communications include email, texts, instant messages, voicemails, and include communications on or within applications (apps) such as Facebook Messenger, Twitter, Microsoft Teams, etc. 4.0 POLICY 4.1 ROLES AND RESPONSIBILITIES 4.1.1 The Board Services and Information Technology (IT) divisions are responsible for administering this policy and procedure. 4.1.2 The Sanitation DistrictOC San Clerk of the Board and/or the Records Management SpecialistAssistant Clerk of the Board or Designee (Clerk), with the advice of General Counsel, will monitor compliance and make the final determination of official records of the Sanitation DistrictOC San. 4.1.3 All Authorized Users are responsible for compliance with this policy and procedure. 4.2 DEFINITION OF "OFFICIAL SANITATION DISTRICTOC SAN RECORD": Under this Policy, the definition of "Official Sanitation DistrictOC San Record" is the same as the definition provided in the California Public Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Procedure Number: 11.0 Effective Date: xx/xx/xxxx Supersedes: 2021 SUBJECT: ELECTRONIC COMMUNICATIONS POLICY Approved by: OC San Board of Directors Electronic Communications Policy 3 Adopted 05/26/2021xx/xx/xxxx Records Act (Cal. Gov. Code§ 6250 et seq.) (Public Records Act) for "public records" and "writing": "... ‘Public records” include any writing containing information relating to the conduct of the public's business prepared, owned, used, or retained by any state or local agency regardless of physical form or characteristics ..." "... 'Writing' means any handwriting, typewriting, printing, photostating, photographing, photocopying, transmitting by electronic mail or facsimile, and every other means of recording upon any tangible thing any form of communication or representation, including letters, words, pictures, sounds, or symbols, or combinations thereof, and any record thereby created, regardless of the manner in which the record has been stored." 4.3 ELECTRONIC COMMUNICATION RELATED TO SANITATION DISTRICTOC SAN BUSINESS IS AN OFFICIAL SANITATION DISTRICTOC SAN RECORD 4.3.1 Email and other forms of electronic communication, such as voicemail, texts, instant messaging and social media posts, generate correspondence and other types of records that can be recognized as Official Sanitation DistrictOC San Records and may be subject to disclosure under the Public Records Act. In addition, any Official Sanitation DistrictOC San Record created through email and other forms of electronic communication must be protected and retained in accordance with records retention laws. 4.3.2 Messages transmitted using the Sanitation DistrictOC San's Email System or Sanitation DistrictOC San-owned equipment with capabilities for text messaging and/or voicemail, should be messages which involve Sanitation DistrictOC San business activities and contain information essential to accomplishment of business-related tasks, or can otherwise be recognized as Official Sanitation District OC San Records. Any incidental (personal) email, text, instant message, or voice messages are not considered public records but may still be discoverable. All electronic communications are the property of the Sanitation DistrictOC San. Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Procedure Number: 11.0 Effective Date: xx/xx/xxxx Supersedes: 2021 SUBJECT: ELECTRONIC COMMUNICATIONS POLICY Approved by: OC San Board of Directors Electronic Communications Policy 4 Adopted 05/26/2021xx/xx/xxxx 4.4 SANITATION DISTRICTOC SAN EMAIL SYSTEM IS NOT FOR STORAGE The Sanitation DistrictOC San reserves the right to retrieve and make proper and lawful use of any and all electronic communications transmitted through the Sanitation DistrictOC San's Email System and any Sanitation DistrictOC San-owned and subsidized equipment. Although the use of electronic communications is considered official Sanitation DistrictOC San business, the Sanitation DistrictOC San's communications systems, including email, text messaging, instant messaging, and voicemail, are intended as a medium of communication only. Therefore, the Email System and any Sanitation DistrictOC San-owned or subsidized equipment such as cell phones should not be used for the electronic storage or maintenance of documentation, including, but not limited to, Official Sanitation DistrictOC San Records. Regarding email, the system administrator performs regular electronic back- up of the Sanitation DistrictOC San's Email System; however, the back-up is not a copy of all Sanitation DistrictOC San email activity that occurred during any given period. 5.0 GUIDELINES FOR PROPER EMAIL USAGE 5.1 Authorized Users are responsible for managing their mailboxes, including organizing and deleting any non-Sanitation DistrictOC San related messages that do not constitute Official Sanitation DistrictOC San Records. Authorized Users are responsible for determining if emails contain substantive information regarding Sanitation DistrictOC San business or may later be important or useful for carrying out Sanitation DistrictOC San business, and thus could be considered as Official Sanitation DistrictOC San Records. 6.0 USE OF SANITATION DISTRICT ELECTRONIC COMMUNICATIONS VIA PERSONAL ACCOUNTS 6.1 Sanitation DistrictOC San accounts shall be used to conduct Sanitation DistrictOC San business. Authorized Users should not use personal accounts Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Procedure Number: 11.0 Effective Date: xx/xx/xxxx Supersedes: 2021 SUBJECT: ELECTRONIC COMMUNICATIONS POLICY Approved by: OC San Board of Directors Electronic Communications Policy 5 Adopted 05/26/2021xx/xx/xxxx for the creation, transmission, or storage of electronic communications regarding Sanitation DistrictOC San business. 6.2 All Authorized Users shall, within 90 days following the adoption of this updated policy, search all private, non-governmental electronic messaging accounts to which they have user access and locate any electronic communications that might constitute an Official Sanitation DistrictOC San Record. All such communications shall be forwarded to the Authorized User's Sanitation DistrictOC San-provided account. To the extent the Authorized User believes that any part of such communications contains personal matter not related to the conduct of the public's business, the Authorized User shall provide a declaration, as set forth in Exhibit A. 6.3 If an Authorized User receives an electronic message regarding Sanitation DistrictOC San business on his/her non-Sanitation DistrictOC San electronic messaging account, or circumstances require such person to conduct Sanitation DistrictOC San business on a non-Sanitation DistrictOC San account, the Authorized User shall either: (a) copy ("cc") any communication from an Authorized User's personal electronic messaging account to his/her Sanitation DistrictOC San electronic messaging account; or (b) forward the associated electronic communication to his/her Sanitation DistrictOC San account no later than 10 days after the original creation or transmission of the electronic communication. 6.4 Authorized Users shall endeavor to ask persons sending electronic communications regarding Sanitation DistrictOC San business to a personal account to instead utilize the Authorized User's business account and, likewise, shall endeavor to ask a person sending an electronic communication regarding non-Sanitation DistrictOC San business to use the Authorized User's personal or non-Sanitation DistrictOC San electronic messaging account. 7.0 ELECTRONIC COMMUNICATIONS AND PRIVACY 7.1 NO EXPECTATION OF PRIVACY 7.1.1 Personnel Policy 5.10 states that Sanitation DistrictOC San Electronic Communication devices are the exclusive property of the Sanitation Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Procedure Number: 11.0 Effective Date: xx/xx/xxxx Supersedes: 2021 SUBJECT: ELECTRONIC COMMUNICATIONS POLICY Approved by: OC San Board of Directors Electronic Communications Policy 6 Adopted 05/26/2021xx/xx/xxxx DistrictOC San. Authorized Users have no right or expectation of privacy or confidentiality in any message created, sent, received, deleted, or stored using the Sanitation DistrictOC San Email System or any Sanitation DistrictOC San-owned or subsidized communication devices. All messages and any attachments on the Sanitation District'sOC San’s computer network, Email System, Sanitation DistrictOC San-owned system or device, or Sanitation DistrictOC San subsidized communication device are subject to Sanitation DistrictOC San review and disclosure of electronic communications regarding Sanitation DistrictOC San business. 7.1.2 Electronic communications regarding Sanitation DistrictOC San business that are created, sent, received, or stored on an electronic messaging account may be subject to the Public Records Act, even if created, sent, received, or stored on a personal account or personal device. Most communications that include Authorized Users are not confidential communications; however, certain communications such as investigations, personnel records, or attorney-client communications may be confidential or contain confidential information. Questions about whether communications are confidential, and how they are to be preserved, should be discussed with the Clerk. 7.2 USE CAUTION WITH CONFIDENTIAL INFORMATION All Authorized Users must exercise a greater degree of caution in sending confidential information on the Sanitation DistrictOC San's electronic communications systems than they take with other media because of the risk that such information may be copied and/or retransmitted. All email correspondence containing confidential information should be tagged as such and stored in a clearly labeled confidential folder to protect and preserve the privacy and confidentiality of the record. When in doubt, do not use email, text messaging, instant messaging, or voicemail as a means of confidential communication. 8.0 PUBLIC RECORDS REQUESTS, RETENTION, AND DESTRUCTION Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Procedure Number: 11.0 Effective Date: xx/xx/xxxx Supersedes: 2021 SUBJECT: ELECTRONIC COMMUNICATIONS POLICY Approved by: OC San Board of Directors Electronic Communications Policy 7 Adopted 05/26/2021xx/xx/xxxx Electronic communications are a business tool which shall be used in accordance with generally accepted business practices and all Federal and State laws, including the California Public Records Act, to provide an efficient and effective means of intra- agency and interagency communication. Under most circumstances, communications sent electronically are public records, subject to disclosure under the California Public Records Act and subject to records retention laws applicable to a variety of government agencies. 8.1 PRESERVING ELECTRONIC MESSAGES - PUBLIC RECORDS ACT REQUESTS, SUBPOENAS, CLAIMS, AND POTENTIAL CLAIMS AGAINST THE SANITATION DISTRICTOC SAN The Sanitation DistrictOC SAN receives requests for inspection or production of documents pursuant to the Public Records Act, as well as subpoenas or court orders for documents. In the event such a request or demand includes electronic messages, Authorized Users who have control over or access to any such messages, once they become aware of the request or demand, shall use their best efforts, by reasonable means available, to temporarily preserve any such message until it is determined whether the message is subject to preservation, public inspection, or disclosure. Authorized Users shall contact the Clerk regarding any such messages that are within their control. 8.2 CALIFORNIA PUBLIC RECORDS ACT 8.2.1 In the event a Public Records Act request is received by the Sanitation DistrictOC San seeking electronic communications of Authorized Users, the Clerk shall promptly transmit the request to the applicable Authorized User whose electronic communications are sought. The Clerk shall communicate the scope of the information requested to the applicable Authorized User, and an estimate of the time within which the Clerk intends to provide any responsive electronic communications to the requesting party. 8.2.2 It shall be the duty of each Authorized User receiving such a request from the Clerk to promptly conduct a good faith and diligent search of all Business and Personal electronic messaging accounts and devices for responsive electronic communications. The Authorized User shall then Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Procedure Number: 11.0 Effective Date: xx/xx/xxxx Supersedes: 2021 SUBJECT: ELECTRONIC COMMUNICATIONS POLICY Approved by: OC San Board of Directors Electronic Communications Policy 8 Adopted 05/26/2021xx/xx/xxxx promptly transmit any responsive electronic communications to the Clerk. Such transmission shall be provided in sufficient time to enable the Clerk to adequately review and provide the disclosable electronic communications to the requesting party. If the Authorized User is unable to transmit the responsive communications, the IT division has the ability to extract the pertinent communications and ensure the appropriate metadata is preserved. 8.2.3 Based on the nature of the Public Records Act request, the Clerk may also request an eDiscovery of all electronic email records and instant messages through the IT division. 8.2.4 In the event an Authorized User does not possess responsive electronic communications from the Sanitation DistrictOC San’s owned or subsidized electronic messaging account, the Authorized User shall so notify the Clerk by way of a written declaration (Exhibit A). 8.3 AUTOMATIC DELETION OF EMAIL The Sanitation DistrictOC San's email system automatically deletes Sanitation DistrictOC San emails, including any text messages that become emails, which are more than 24 months old from “Inbox” and "Sent" email folders of each Sanitation DistrictOC San email user. Email in "Deleted" folders will be automatically removed after ninety (90) days. 8.4 EMAIL FOLDER MANAGEMENT 8.4.1 Authorized Users are responsible for the daily management of their email boxes and associated folders. To ensure maximum efficiency in the operation of the Email System, Authorized Users are directed to delete email messages that are NOT Official Sanitation DistrictOC San Records from their inboxes on a weekly basis. These Transitory email records, based on the content of the information which only have a retention value of a few days or weeks, can be deleted from the Email Inbox upon review and determination when the purpose of the information has been fulfilled - which can be any time up to 90 days. All email records moved to Deleted will be automatically purged by IT after 90 days. Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Procedure Number: 11.0 Effective Date: xx/xx/xxxx Supersedes: 2021 SUBJECT: ELECTRONIC COMMUNICATIONS POLICY Approved by: OC San Board of Directors Electronic Communications Policy 9 Adopted 05/26/2021xx/xx/xxxx Examples of such messages are personal emails, solicitations, email advertisements/ announcements, or newsletters. 8.4.2 If email messages that are not Official Sanitation DistrictOC San Records are necessary for transitory work, preliminary drafts, or preparation of work product or personal notes, Authorized Users should either move the record to a dedicated email (working) folder, print the email and maintain the paper copy, or create a PDF version of the email (save as PDF) and store the file in an electronic folder on the Sanitation DistrictOC San's network drive (OneDrive, SharePoint and SharePoint Online) to be deleted when no longer needed. 8.4.3 Attachments to email messages should be retained or disposed of according to the content of the attachment itself, not according to the email transmitting the attachment. Many email attachments are duplicates of existing documents or are draft versions of documents that might not be retained by the Sanitation DistrictOC San after the final version of the document is complete. If you need help in determining whether an attachment to an email message must be retained, please contact the Clerk. 8.5 DETERMINATION OF RECORD In accordance with Records Management Policy 4.0, it is the responsibility of Authorized Users to determine if an electronic communication is an Official Sanitation DistrictOC San Record which must be retained in accordance with the Sanitation DistrictOC San's Records Retention Policy. Electronic communication messages (including any attachments) that are deemed to be Official Sanitation DistrictOC San Records shall be preserved. Authorized Users shall consider the content of an electronic communication when determining if it is an Official Sanitation DistrictOC San Record. The Clerk can assist in making such a determination. In addition, following is a general guideline for determining whether an electronic communication is an Official Sanitation DistrictOC San Record: Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Procedure Number: 11.0 Effective Date: xx/xx/xxxx Supersedes: 2021 SUBJECT: ELECTRONIC COMMUNICATIONS POLICY Approved by: OC San Board of Directors Electronic Communications Policy 10 Adopted 05/26/2021xx/xx/xxxx Electronic Communications that are generally considered as Public Records Electronic Communications that are generally NOT considered as Public Records (Retention time is 2 years or more) (Retention time is no more than 90 days) Electronic Communication that is created or received in connection with official Sanitation District OC San business. Personal messages and announcements not related to official Sanitation District OC San business. Electronic Communication that shows how an Sanitation District OC San policy was created or how a decision was made by Sanitation District OC San staff and/or the Sanitation District OC San Board of Directors. Duplicate documents (copies or excerpts) distributed for convenience or reference. Electronic Communication that begins, authorizes, or completes an item or a transaction of official Sanitation District OC San business. Transmittal messages that merely assist the flow of work. Electronic Communication that documents significant official decisions or commitments reached verbally (person-to-person, by phone, or in conference) and not otherwise documented in Sanitation District OC San files. Electronic Communications containing preliminary drafts, notes, or interagency or intra-agency memos that are not retained in the ordinary course of business. Gov. Code § 6254(a). Records that are normally retained do not qualify for this exemption. Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Procedure Number: 11.0 Effective Date: xx/xx/xxxx Supersedes: 2021 SUBJECT: ELECTRONIC COMMUNICATIONS POLICY Approved by: OC San Board of Directors Electronic Communications Policy 11 Adopted 05/26/2021xx/xx/xxxx 8.6 ELECTRONIC COMMUNICATIONS UPON TERMINATION Upon an Authorized User’s retirement or termination, IT will forward the user’s Electronic communications to the immediate supervisor for review. In accordance with the policy herein, it is the Supervisor’s duty to review and determine which email/text messages, voicemails etc. should be preserved, retained, or disposed of according to the content of the email and following the approved Sanitation District OC San’s Records Retention Schedule. Once determined, the Supervisor should either transfer the records to a dedicated email (working) folder in their email inbox, print the communication and maintain the paper copy, or create a PDF version of the email (save as PDF) and store the file in an electronic folder on OC San the Sanitation District's network drive (OneDrive, SharePoint and SharePoint Online) to be retained or to be deleted when no longer needed. Once completed, IT will dispose of the entire mailbox after 90 days unless otherwise requested by supervisor. Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Procedure Number: 11.0 Effective Date: xx/xx/xxxx Supersedes: 2021 SUBJECT: ELECTRONIC COMMUNICATIONS POLICY Approved by: OC San Board of Directors Electronic Communications Policy 12 Adopted 05/26/2021xx/xx/xxxx Exhibit “A” In the matter of: California Public Records Act Request Pursuant to Gov. Code § 6250 et seq. Re: __________________________________ _____________________________________ Insert name of record request Request #: _________________ Declaration of: ______________________________ Print or type name of user DECLARATION REGARDING SEARCH OF PERSONAL ELECTRONIC MESSAGING ACCOUNTS STATE OF CALIFORNIA COUNTY OF ORANGE ORANGE COUNTY SANITATION DISTRICT I, ______________________________________________________ declare: Print name 1. I received notice of a California Public Records Act (“CPRA”) request regarding a search of my personal electronic messaging account(s). 2. I understand that the CPRA request seeks: _____________________________________________________________________ Insert text of CPRA request. Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Procedure Number: 11.0 Effective Date: xx/xx/xxxx Supersedes: 2021 SUBJECT: ELECTRONIC COMMUNICATIONS POLICY Approved by: OC San Board of Directors Electronic Communications Policy 13 Adopted 05/26/2021xx/xx/xxxx 3. I am the owner or authorized user of the following personal electronic messaging account and have the authority to certify the records: ______________________________________________________________________ Insert description of personal electronic messaging account(s). 4. I have made a good faith, diligent, thorough, and complete search of the above mentioned personal electronic messaging account(s) for all electronic communications potentially responsive to the above mentioned CPRA request. 5. Any responsive electronic communications discovered, and referenced below, were prepared, or used by me in the ordinary course of business at or near the time of the act, condition, or event. 6. Any responsive electronic communications discovered, and referenced below, are true copies of all records described in the above mentioned CPRA request. Check the applicable box:  I certify that I do not possess responsive electronic communications.  I certify that I cannot reasonably recover responsive electronic communications without technical assistance. ______________________________________________________________________ ______________________________________________________________________ ______________________________________________________________________ ______________________________________________________________________ ______________________________________________________________________ ______________________________________________________________________ Explain efforts to retrieve responsive electronic communications and why you were unable to recover responsive electronic communications. Add technical assistance required.  I certify that I discovered potentially responsive electronic communications from my personal electronic messaging account, but I am withholding that information because the information is “personal” business. This is for the following reasons: ______________________________________________________________________ ______________________________________________________________________ Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Procedure Number: 11.0 Effective Date: xx/xx/xxxx Supersedes: 2021 SUBJECT: ELECTRONIC COMMUNICATIONS POLICY Approved by: OC San Board of Directors Electronic Communications Policy 14 Adopted 05/26/2021xx/xx/xxxx ______________________________________________________________________ ______________________________________________________________________ ______________________________________________________________________ Describe with sufficient facts why the contested information is personal business and not subject to the CPRA. Attach additional pages, if necessary.  I certify that I discovered potentially responsive electronic communications from my personal electronic messaging account. I am providing all responsive information. However, some information is non-responsive, and I am withholding that information, because the information is personal business. This is for the following reasons: ______________________________________________________________________ ______________________________________________________________________ ______________________________________________________________________ ______________________________________________________________________ ______________________________________________________________________ Describe with sufficient facts why the contested information is personal business and not subject to the CPRA. Attach additional pages, if necessary. I declare under penalty of perjury under the laws of the State of California that the foregoing is true and correct and that I have personal knowledge of the facts set forth above. Executed this ___ day of _______________ 20___ , in ______________________, California. By:________________________________ Print Name:_________________________ Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Procedure Number: 12.0 Effective Date: 5/26/2021xx-xx-xxxx Supersedes: 5/26/2021 SUBJECT: ESCROW OF BID DOCUMENTS Approved by: OC San Board of Directors Escrow of Bid Documents 1 Adopted 05/26/2021xx-xx-xxxx This Procedure applies only to Invitation for Bids (IFBs) with an award amount of $10,000,000 or more, to the lowest responsive, responsible bidder. 1.0 PRE-BID 1.1 If Escrow of Bid Documents (Escrow) is required (per Bid Requirements Form), Contracts Administrator (CA) will notify Records Management the need for escrow and will establish a time and date for Bidders to submit their Bid Documents for escrow as specified in the Special Provisions, “Escrow of Bid Documents.” a. This date and time of submission will be within the date and time set forth in the Contract’s Special Provisions. b. The date must also be coordinated with Records Management’s schedule (e.g., check to see that if the Escrow Bid Document submission date is on a Friday, Records Management is available). 1.2 CA submits a Meeting Planner to reserve a room in the Administration Building for receipt of the Bid Documents for escrow. 1.3 CA schedules a meeting with Records Management, via Outlook Calendar, on the date and time scheduled for receipt of Bid Documents for escrow. 1.4 Upon receipt of the Outlook meeting request, Records Management schedules the date for Offsite Storage (GRM) to transfer the Escrow Bid Documents to offsite storage. 1.5 GRM requires 24 hours’ notice for pick-up, and usually picks up between 11:00 a.m. and 2:00 p.m. (Therefore, it is best to schedule receipt of the Bid Documents in the morning) 2.0 BID OPENING 2.1 At Bid Opening, OC San announces the two (2) lowest Bidders who will be required to submit their Bid Documents for escrow within the date and time set forth in the Special Provisions. 2.1 Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Procedure Number: 12.0 Effective Date: 5/26/2021xx-xx-xxxx Supersedes: 5/26/2021 SUBJECT: ESCROW OF BID DOCUMENTS Approved by: OC San Board of Directors Escrow of Bid Documents 2 Adopted 05/26/2021xx-xx-xxxx 2.2 At the Bid Opening, Bidders shall be reminded that: 2.2.1 Failure to timely submit Bid Documents for escrow may result in a Bidder being deemed non-responsive. 2.2.2 Escrowed Bid Documents must be delivered in a sealed container, marked with the project name and the words "Escrowed Bid Documents." If Bidders are not using a safe, Bidders should use a regular document storage size box (10”x12”x15”). 2.3 The Escrowed Bid Documents shall be accompanied with a Bid Document Certification, signed by an individual authorized by the Bidder to execute the Bidding proposal, stating that the material in the Escrowed Bid Documents constitutes the complete, only, and all documentary information used in preparation of the Bid and that he or she has personally examined the contents of the Escrowed Bid Documents container and has found that the documents in the container are complete. Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Procedure Number: 12.0 Effective Date: 5/26/2021xx-xx-xxxx Supersedes: 5/26/2021 SUBJECT: ESCROW OF BID DOCUMENTS Approved by: OC San Board of Directors Escrow of Bid Documents 3 Adopted 05/26/2021xx-xx-xxxx 3.0 POST BID OPENING 3.1 After Bid Opening, but no later than the date and time for receipt of Escrow Bid Documents, Records Management will prepare a “Records Storage Facility Transfer Request,” for each Bidder’s Escrowed Bid Documents. A separate form is required for each Bidder’s Escrowed Bid Documents due to the fact each Bidder’s escrow box is assigned a separate bar Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Procedure Number: 12.0 Effective Date: 5/26/2021xx-xx-xxxx Supersedes: 5/26/2021 SUBJECT: ESCROW OF BID DOCUMENTS Approved by: OC San Board of Directors Escrow of Bid Documents 4 Adopted 05/26/2021xx-xx-xxxx code to be affixed to the Form. Also, each Bidder must sign the Records Storage Facility Transfer Request Form applicable to their documents. After the meeting – scan and save a copy of all documents. 3.2 In preparation for the arrival of Bidders on the date set for receipt of Escrowed Bid Documents, the CA shall prepare an attendance sign-in record form for record of attendance. The representative of each company and all the OC San staff in attendance must fill out. A copy should be made and provided to each representative of the company delivering documents and the original kept on file with Record Management. 3.3 3.43.3 At the time and date for submission of Bid Documents for escrow, the two lowest Bidders will hand deliver their Bid Documents to OC San Records Management and the CA. OC San Staff /Contractor will open and review the contents together at OC San. Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Procedure Number: 12.0 Effective Date: 5/26/2021xx-xx-xxxx Supersedes: 5/26/2021 SUBJECT: ESCROW OF BID DOCUMENTS Approved by: OC San Board of Directors Escrow of Bid Documents 5 Adopted 05/26/2021xx-xx-xxxx 3.53.4 Each Bidder will fill out and sign an “Intake of Escrow Bid Documents” previously filled out by Records Management. 3.63.5 After OC San approves of the documentation in the Bidders’ Bid Documents, OC San Records Management will affix GRM bar codes and ID numbers on Records Storage Transfer form and to each Bidder’s Escrowed Bid Document box. The Bidders and Records Management shall all sign the completed Records Storage Facility Transfer Request. Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Procedure Number: 12.0 Effective Date: 5/26/2021xx-xx-xxxx Supersedes: 5/26/2021 SUBJECT: ESCROW OF BID DOCUMENTS Approved by: OC San Board of Directors Escrow of Bid Documents 6 Adopted 05/26/2021xx-xx-xxxx 3.73.6 Each Bidder, the CA, and Records Management will receive a copy of the completed form for their records and future reference. 3.83.7 GRM will thereafter take possession of the apparent two low bidder’s Escrowed Bid Documents and transfer them to its document storage facility. 4.0 AFTER CONTRACT AWARD 4.1 Following the Award of the Contract, OC San will return the Escrowed Bid Documents to the unsuccessful Bidder(s). The CA and Records Management will complete the Release of Escrow Bid Documents Record of Release and obtain receipt signatures from the Bidder(s) and Records Management. 5.0 EXCEPTIONS 5.1 In the event of a bid protest or other problem with the apparent low bid, the CA will contact the third and perhaps fourth apparent low bidders and complete procedure numbers 9 and 10 above. 5.2 For Design-Build (DB) Projects, only the Proposal Documents of the successful proposer will be escrowed, after the award of contract by the Board of Directors. Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Procedure Number: 13.0 Effective Date: xx/xx/xxxx Supersedes: SUBJECT: DIGITIZATION OF RECORDS Approved by: OC San Board of Directors Digitization of Records 1 Adopted xx/xx/xxxx 1.0 POLICY OBJECTIVES AND BACKGROUND 1.01 The Orange County Sanitation District (OC San) has identified the following objectives for digitizing records: 1.01.1 Provide online access to OC San records 1.01.2 Make digitized material and metadata available 1.01.3 Advance the preservation of records by reducing wear and tear on the originals 1.01.4 Maintain a reduction in paper 1.02. To ensure that users have the ability to access digitized records, OC San has implemented an Electronic Content Management System (Laserfiche) which will be made available on ocsan.gov. Utilizing this management system ensures the authenticity, reliability, usability, and integrity of the digital copies. 1.03 The implementation of a paper reduced environment, including the incorporation of the Electronic Content Management System and implementation of a fully digital process to reduce the use of paper by June 30, 2022, was included in the General Manager’s Fiscal Year 2021-22 Work Plan. 1.04 OC San is pursuing a reduction in paper in the office environment. Digitization provides a means for preserving at-risk physical materials (including paper documents, maps, photos, etc.) as well as providing greater accessibility and security for those documents. To the extent practicable, OC San promotes electronic systems, electronic records, and paperless transactions to support OC San’s transition to electronic government and enhanced transparency. 1.05 Digitization refers to the process that includes the following activities: 1.05.1 Identifying, selecting, and documenting physical materials for digitization; 1.05.2 Preparing physical materials for scanning (including locating, Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Procedure Number: 13.0 Effective Date: xx/xx/xxxx Supersedes: SUBJECT: DIGITIZATION OF RECORDS Approved by: OC San Board of Directors Digitization of Records 2 Adopted xx/xx/xxxx preserving, gathering, reviewing and organizing for access, and screening for suitability to be digitized); 1.05.3 Collecting basic descriptive and technical metadata sufficient to allow retrieval and management of the digital copies and to provide basic contextual information for the user; 1.05.4 Scanning the physical materials (also referred to as digital conversion), re-filing, or disposing; 1.05.5 Quality control (validation) of digital copies and metadata; 1.05.6 Providing access to reliable and authentic copies for business purposes to internal users as well as the public; and 1.05.7 Maintaining digital copies and metadata. 2.0 POLICY RESPONSIBILITY 2.1 Board Services and Information Technology (IT) Divisions have overall responsibility for this policy. The OC San Board of Directors adopts this policy, IT manages the Electronic Document Management System, and the Custodian of Records implements and oversees this policy on behalf of the Board of Directors. 3.0 APPLICABILITY 3.1 This policy provides guidance and requirements for digitizing physical media. 3.2 This policy applies to all record collections of physical materials being considered for digitization. These record collections fall into three categories: 3.2.1 Record Collections of vital or historical records with permanent or life of organization retention. 3.2.2 Record Collections of inactive records that have not met their retention schedule (especially record collections that are voluminous or have a long retention schedule) and are not regularly accessed. Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Procedure Number: 13.0 Effective Date: xx/xx/xxxx Supersedes: SUBJECT: DIGITIZATION OF RECORDS Approved by: OC San Board of Directors Digitization of Records 3 Adopted xx/xx/xxxx These may be considered for digitization due to constraints of physical storage space or costs of maintaining the physical record collection; and 3.2.3 Record Collections of active records that are initially produced in paper or similar physical media as part of the business process, e.g., requiring a physical signature, and are regularly accessed for a continuing business purpose. Digitization may provide for access among multiple users across multiple locations. 4.0 TERMS AND DEFINITIONS 4.1 As used in this policy, the following terms and definitions apply: 4.1.1 Record Collection: A series of records (whether in physical or digital form) that have a consistent organizing principle, e.g., subject matter, author, or business process. 4.1.2 Custodian of Records: The custodian of records for OC San is the Clerk of the Board. 4.1.3 Digitization: The act of scanning an analog document into digital form, as well as the series of activities that results in a digital copy being made available to end users via the intranet, internet or other means for a sustained length of time. 4.1.4 Electronic Content Management System (ECMS): Computerized/digital means for collecting, organizing, and categorizing information to facilitate its preservation, retrieval, use, and disposition. 4.1.5 Electronic Signature: A method of signing an electronic document that identifies and authenticates a particular person as the source of the signature and indicates such person’s intent to sign the document. 4.1.6 Office of Record: The Department/Division that, by definition of its mission or function, has primary responsibility for maintenance and retention of the record. Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Procedure Number: 13.0 Effective Date: xx/xx/xxxx Supersedes: SUBJECT: DIGITIZATION OF RECORDS Approved by: OC San Board of Directors Digitization of Records 4 Adopted xx/xx/xxxx 5.0 POLICY GOAL AND CONSIDERATIONS 5.01 The goal of this policy is to expand public and internal access to our important vital, historical, and long term documents through digitization. OC San does not require all records in physical media be digitized unless they are at risk of damage or destruction, which may result in the loss of the record. However, based upon business analysis by the Office of Record and Custodian of Records, digitization may be an effective way to maintain and manage a record collection that exists only in physical media form. 5.02 Before undertaking a digitization project, the Office of Record should consider the following: A. Volume of the record collection; B. Cost to digitize (budgeted in each Division); C. Need/Demand for availability (sharing) of the documents; D. Quality of the originals (including handwritten notes, degradation of original medium, etc.); and E. Need to preserve the originals after digitization for historical or other purposes. 5.03 The legal validity of electronic signatures in the context of electronic transactions (i.e., actions between two or more persons relating to the conduct of business, consumer, commercial, or governmental affairs) must be well recognized and approved by the Secretary of State of the California. 6.0 POLICY EXCEPTIONS 6.01 Exceptions to this policy may be necessary based on legitimate business needs, legal or compliance requirements. Any exceptions must be documented, reviewed, and approved by the Custodian of Records, Management, and General Counsel. 6.02 This policy guidance does not apply when the digitization is merely to provide a reference or convenience copy in limited circumstances, i.e. a single document rather than conversion of an entire collection for purposes of lifecycle management. Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Procedure Number: 13.0 Effective Date: xx/xx/xxxx Supersedes: SUBJECT: DIGITIZATION OF RECORDS Approved by: OC San Board of Directors Digitization of Records 5 Adopted xx/xx/xxxx 7.0 RESPONSIBILITES 7.01 Board Services Division: Coordinates the overall program. Provides guidance and assistance to all OC San organizations with lifecycle management, and coordinates required records reviews, evaluations, and reports. 7.02 Reprographic Center: Provides digitization/scanning services to the Office of Record for their paper document record collections. For larger projects the need for additional services may be required. 7.03 Managers/Supervisors: Effectively manage information assets within their area of responsibility in a consistent manner to ensure the integrity, security, and availability of information assets. Managers/supervisors are also responsible, through their organization, for documenting a digitization plan that ensures their digitization projects meet the requirements of this policy. 8.0 STANDARDS AND PROCEDURES 8.01 The Office of Record, under the direction of the Custodian of Records, must develop a digitization plan to meet the following requirements: 8.01.1 Authorization. Digital record collections may be maintained as the only copy of a record if approved by General Counsel and the Board of Directors following the laws of California. They are viewed as being functionally equivalent to the original paper version if the intent to preserve the document only in digital form is documented and authorized by the Custodian of Records and General Counsel. Once approved this authorization and notation must be included in the Records Retention Schedule. 8.01.2 Document Preparation. This includes a review of the documents to be digitized to ensure that digitization will not compromise the readability of the content. This is particularly important for documents that include “marginalia” (handwritten notes or additions to the content of the document). Moreover, an inventory of the records collection must be prepared, especially in instances where the actual digitization is performed by someone else. Finally, in some instances, a clean copy may be necessary if the original paper has been degraded to the point that, in its original form, a valid digital Commented [JC1]: Should this be added to the definitions? Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Procedure Number: 13.0 Effective Date: xx/xx/xxxx Supersedes: SUBJECT: DIGITIZATION OF RECORDS Approved by: OC San Board of Directors Digitization of Records 6 Adopted xx/xx/xxxx copy would not be possible. 8.01.3 Digitization. As part of the actual digitization process, a single scanned image type must be chosen for the records collection. Consideration must be given to the ability of a particular scanned image type to be searched. In addition, a consistent set of metadata should be incorporated into the scanned image to assist in organizing and managing the digital collection. “Scanned image” types include: a) gif – graphics interchange format; b) tiff – tagged image file format; c) biif – basic image interchange format; d) png – portable network graphics; or e) pdf – portable document format. 8.01.4 Validation. Throughout the digitization process, the scanned images must be validated to ensure that a clean, readable image has been produced, that the content of the document set is the same as the original - number of pages, and that the metadata attached is accurate. The Office of Record may choose to do an initial series of documents from the records collection as a test case. If so, choose a sample from the records collection that will cover the range of quality and other attributes of the originals, e.g., differing font sizes or layouts. It is recommended that every scanned image be validated. However, if the original documents are of highly consistent quality, format, and content, sampling validation may be appropriate. 8.01.5 Disposition of Originals. Once the records collection has been digitized and validated, the paper original may be destroyed as long as the destruction is documented as part of the digitization plan, in accordance with the Records Retention Schedule and has been authorized by the Office of Record, Manager, Executive Director, General Counsel, and the Custodian of Records. Special consideration must be given to physical records with historical value content. OC San’s Custodian of Records can provide assistance and guidance to divisions in determining the historical value of original physical media records. 8.01.6 Digital Storage. The Electronic Content Management System (ECMS) Laserfiche - designated for maintenance and management Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Procedure Number: 13.0 Effective Date: xx/xx/xxxx Supersedes: SUBJECT: DIGITIZATION OF RECORDS Approved by: OC San Board of Directors Digitization of Records 7 Adopted xx/xx/xxxx of OC San’s digital records collections meets the integrity, security, and availability requirements. Using Laserfiche for digital records collections is preferred because this system prevents manipulation and unauthorized deletion of the scanned images. In addition, Laserfiche provides enhanced security and permission restrictions to aid management of the digital collection. 9.0 PERFORMANCE & MONITORING 9.01 The Custodian of Records and IT Division are responsible for the performance standards and monitoring plans contained in this policy. 9.02 Performance Standards 9.02.1 Cost effectiveness of digitization projects: 9.02.1.1 Increased availability of OC San records to the public and appropriate personnel with a need for access. 9.02.1.2 Reduced risk of damage or inaccessibility to OC San records currently maintained in paper format. 9.03 Monitoring Plans 9.03.1 Sampling and validating digitized collections for integrity, security, and availability. 9.03.1.1 Scheduling (for retention) and reviewing ECMS used to maintain digitized collections. CCP CL CCR CFR GC EX H&S LF IRS LO LC NN PC OB PRC S OMB T R&TC SOS USC CD EL Electronic FD Floppy Disk C P Paper H TA V Retention Number Retention Length (Years Unless Specified) Special Storage Consideration Media Type DW001 LO DW002 LO H DW003 NN Historical Records: Photos, Slides Used by O&M, Videos, Correspondence Business value for LO retention Need to discuss determination of Historical with management No citations? Non-Historical Photos & Videos This category is very broad. Need to discuss narrowing it. Removing it may also be an option. No citations? Districtwide Record Type Retention Citations / Comments Published Articles Written/Contribution by OC San Staff SOS C-24, SOS C-40  This Records Retention Schedule (RRS) pertains to any and all Official Records of OC San regardless of Media Type and is adopted in compliance with GC §60201 and additional specific citations as noted.  Public Records Act requests, litigation, audits, claims, and investigations may suspend the stated retention periods and notification of such will be made. As stated in OC San's Records Retention Policy, authorization and proper destruction methods are required prior to destroying all Official Records, regardless of Media Type. When original records have reached their retention length, all copies and duplicates must be destroyed, along with the original, regardless of Media Type.  Copies/duplicate records shall be determined as "duplicate" or "copy" in conjunction with Records Management. Upon determination by Record Management that a record is a duplicate or copy, OC San may destroy the duplicate record if the original or a permanent photographic record exists is in OC San's files (GC §60200).  Notes, preliminary drafts, and transitory records are not considered Official Records and may be destroyed without complying with OC San's RRS (SOS 2-1030). Such records may be destroyed when no longer needed for OC San business and do not require authorization for destruction.  Official Records cannot be discarded in trash bins. They must be submitted to Records Management for secure destruction. Labor Code (CA)When No Longer Needed Penal Code (CA)Obsolete Public Resources Code Superseded Office of Management & Budget Terminated Revenue & Taxation Code Secretary of State United States Code Historical Tapes Vital Orange County Sanitation District Records Retention Schedule Citation Codes Retention Codes Code of Civil Procedure (CA)Closed or Completed California Code of Regulations Code of Federal Regulations Government Code (California) General Retention Schedule Information Health & Safety Code Life of Facility, Equip. or Software Internal Revenue Service Life of Organization or Permanent Confidential CU Current Year (Calendar or Fiscal As Appropriate) Media Types CD Expired or Expiration Special Storage Consideration 1 Districtwide Adopted: XX/XX/2022 DRAF T CCP CL CCR CFR GC EX H&S LF IRS LO LC NN PC OB PRC S OMB T R&TC SOS USC CD EL Electronic FD Floppy Disk C P Paper H TA V Retention Number Retention Length (Years Unless Specified) Special Storage Consideration Media Type Districtwide Record Type Retention Citations / Comments  This Records Retention Schedule (RRS) pertains to any and all Official Records of OC San regardless of Media Type and is adopted in compliance with GC §60201 and additional specific citations as noted.  Public Records Act requests, litigation, audits, claims, and investigations may suspend the stated retention periods and notification of such will be made. As stated in OC San's Records Retention Policy, authorization and proper destruction methods are required prior to destroying all Official Records, regardless of Media Type. When original records have reached their retention length, all copies and duplicates must be destroyed, along with the original, regardless of Media Type.  Copies/duplicate records shall be determined as "duplicate" or "copy" in conjunction with Records Management. Upon determination by Record Management that a record is a duplicate or copy, OC San may destroy the duplicate record if the original or a permanent photographic record exists is in OC San's files (GC §60200).  Notes, preliminary drafts, and transitory records are not considered Official Records and may be destroyed without complying with OC San's RRS (SOS 2-1030). Such records may be destroyed when no longer needed for OC San business and do not require authorization for destruction.  Official Records cannot be discarded in trash bins. They must be submitted to Records Management for secure destruction. Labor Code (CA)When No Longer Needed Penal Code (CA)Obsolete Public Resources Code Superseded Office of Management & Budget Terminated Revenue & Taxation Code Secretary of State United States Code Historical Tapes Vital Orange County Sanitation District Records Retention Schedule Citation Codes Retention Codes Code of Civil Procedure (CA)Closed or Completed California Code of Regulations Code of Federal Regulations Government Code (California) General Retention Schedule Information Health & Safety Code Life of Facility, Equip. or Software Internal Revenue Service Life of Organization or Permanent Confidential CU Current Year (Calendar or Fiscal As Appropriate) Media Types CD Expired or Expiration Special Storage Consideration DW005 S+5 EL, P DW006 CU+2 H DW007 CU+2 DW008 90 Days DW009 CU+2 Various Internal Meeting Minutes Includes Minutes Not Otherwise Indicated Herein, Including Executive Management Team (EMT) Meeting Minutes, Managers Meeting Minutes, Administrative Support Meeting Minutes EMT Meeting Minutes previously GMO017 SOS C-19 c24 GC §53161 GC §60201(d)(11); SOS C-23, SOS C-19 Speeches and Non-Marketing Related Presentations & Supporting Documents (Includes PowerPoints) Presentations Not Made at Board/Committee Meetings Incorporates previous DW004 SOS C-24 Some records may be kept for historical value Email in Outlook Inbox & Sent Folders This pertains to all email not specifically addressed or related to another Retention Number contained in the whole Records Retention Schedule No citations? Non-Records in Email Format in Outlook Deleted Folder These records fail to meet the definition of a public record under Government Code §6252(e) Ben reviewing bold language in Record Type fieldNo citations? Reference Files:Equipment Manuals, Process Workflows, Budget Planning Documents, Training Material, Standby Assignments/Stormwatch The citation for manuals is GC 60201(d)(11) and SOS C-23; retention period of S+2. Depending on what records are in this Type, could also be SOS C-19 with a S+5 retention period if the document is classified as Departmental Policies & Procedures. We may need to reclassify the "process workflows", "budget planning documents", and "standby assignments/stormwatch" if these are documents that relate to a specific project. We may want to break this Type into additional Types for more accurate retention. Needs further discussion. 2 Districtwide Adopted: XX/XX/2022 DRAF T CCP CL CCR CFR GC EX H&S LF IRS LO LC NN PC OB PRC S OMB T R&TC SOS USC CD EL Electronic FD Floppy Disk C P Paper H TA V Retention Number Retention Length (Years Unless Specified) Special Storage Consideration Media Type BSD001 LO EL, P BSD002 LO EL, P BSD003 LO EL, P BSD004 LO EL, P BSD005 LO EL, P BSD006 CU+2 EL, PBids - Unsuccessful Unaccepted (Board ApprovedReviewed) Includes unsuccessful and rejected bids GC §34090, GC §60201(d)(6); GC §602010(d)(11); SOS C-30 Bids - Awarded (Board Reviewed)GC §60201(d)(6); SOS c27, SOS C-30 Board Services Record Type Retention Citations / Comments Affidavits of Publications Notices GC §54960.1(c)(1); SOS C-22, SOS C-23 Required retention is CU+2; business value for LO retention Board and Committee Meeting Agenda Packets and Meeting-Related Materials: Agenda, Agenda Reports & Attachments, Presentations, GM Monthly Report GC §34090; SOS C-22, SOS c42 Agreements & Contracts, Political & Outside Jurisdictions/Agencies:Cooperative Agreements, JPAs (Joint Powers Authorities), JFAs (Joint Finance Authorities), Interagency, Reimbursement Agreements GC §60201(d)(1), GC §60201(d)(9) Annexation Files GC §34090, GC §60201(d)(1); SOS C-28 Orange County Sanitation District Records Retention Schedule Citation Codes Retention Codes Code of Civil Procedure (CA)Closed or Completed California Code of Regulations CU Current Year (Calendar or Fiscal As Appropriate)Code of Federal Regulations Government Code (California)Expired or Expiration General Retention Schedule Information Health & Safety Code Life of Facility, Equip. or Software Internal Revenue Service Life of Organization or Permanent  This Records Retention Schedule (RRS) pertains to any and all Official Records of OC San regardless of Media Type and is adopted in compliance with GC §60201 and additional specific citations as noted.  Public Records Act requests, litigation, audits, claims, and investigations may suspend the stated retention periods and notification of such will be made. As stated in OC San's Records Retention Policy, authorization and proper destruction methods are required prior to destroying all Official Records, regardless of Media Type. When original records have reached their retention length, all copies and duplicates must be destroyed, along with the original, regardless of Media Type.  Copies/duplicate records shall be determined as "duplicate" or "copy" in conjunction with Records Management. Upon determination by Record Management that a record is a duplicate or copy, OC San may destroy the duplicate record if the original or a permanent photographic record exists is in OC San's files (GC §60200).  Notes, preliminary drafts, and transitory records are not considered Official Records and may be destroyed without complying with OC San's RRS (SOS 2-1030). Such records may be destroyed when no longer needed for OC San business and do not require authorization for destruction.  Official Records cannot be discarded in trash bins. They must be submitted to Records Management for secure destruction. Labor Code (CA)When No Longer Needed Penal Code (CA)Obsolete Public Resources Code Superseded Office of Management & Budget Terminated Revenue & Taxation Code Secretary of State Media Types United States Code CD Special Storage Consideration Confidential Historical Tapes Vital 3 Board Services Adopted: XX/XX/2022 DRAF T CCP CL CCR CFR GC EX H&S LF IRS LO LC NN PC OB PRC S OMB T R&TC SOS USC CD EL Electronic FD Floppy Disk C P Paper H TA V Retention Number Retention Length (Years Unless Specified) Special Storage Consideration Media Type Board Services Record Type Retention Citations / Comments Orange County Sanitation District Records Retention Schedule Citation Codes Retention Codes Code of Civil Procedure (CA)Closed or Completed California Code of Regulations CU Current Year (Calendar or Fiscal As Appropriate)Code of Federal Regulations Government Code (California)Expired or Expiration General Retention Schedule Information Health & Safety Code Life of Facility, Equip. or Software Internal Revenue Service Life of Organization or Permanent  This Records Retention Schedule (RRS) pertains to any and all Official Records of OC San regardless of Media Type and is adopted in compliance with GC §60201 and additional specific citations as noted.  Public Records Act requests, litigation, audits, claims, and investigations may suspend the stated retention periods and notification of such will be made. As stated in OC San's Records Retention Policy, authorization and proper destruction methods are required prior to destroying all Official Records, regardless of Media Type. When original records have reached their retention length, all copies and duplicates must be destroyed, along with the original, regardless of Media Type.  Copies/duplicate records shall be determined as "duplicate" or "copy" in conjunction with Records Management. Upon determination by Record Management that a record is a duplicate or copy, OC San may destroy the duplicate record if the original or a permanent photographic record exists is in OC San's files (GC §60200).  Notes, preliminary drafts, and transitory records are not considered Official Records and may be destroyed without complying with OC San's RRS (SOS 2-1030). Such records may be destroyed when no longer needed for OC San business and do not require authorization for destruction.  Official Records cannot be discarded in trash bins. They must be submitted to Records Management for secure destruction. Labor Code (CA)When No Longer Needed Penal Code (CA)Obsolete Public Resources Code Superseded Office of Management & Budget Terminated Revenue & Taxation Code Secretary of State Media Types United States Code CD Special Storage Consideration Confidential Historical Tapes Vital BSD007 T+10 EL, P BSD008 T+7 EL, P BSD009 LO EL, P BSD011 EX+5 EL, P BSD012 LO EL, P BSD013 LO EL, P Land Records:Easements, Grant Deeds, Quit Claim Deeds, Abandonments, Condemnations, Real Estate Purchase & Sale, Property Agreements, Encroachment Permits, Etc.GC §34090(a), GC §60201(d)(8) Purchasing, Contracts & Agreement Files - Capital Improvement Projects (CIP) & Non-CIP - Committee or Board Approved: Includes Authorization Documents; Change Orders; Amendments; Notices; Published Invitation for Bid (IFB) Documents, including Specifications & Drawings, Solicitation Addenda and Bulletins Issued; Notices of Intent to Award; Notices of Award; Notices to Proceed; Notices of Completion; Property & Other Lease Agreements CCP §335, CCP §337, CCP §337.15; GC §4000; H&S §19850; SOS C-22, SOS C-27, SOS C-30 Ethics Training:Sexual Harassment Board Only, Ethics Training Board & Employee GC §53235.2(b) Formation Files GC §60201(d)(1) Board Administration Files:Loyalty Oaths, Election Records, Directors Lists, Contact Information GC §34090(d)(1); PC §801.5 22; SOS C-18; 29 USC §1113 Conflict of Interest (FPPC Filings)GC §81009(e); SOS C-18 4 Board Services Adopted: XX/XX/2022 DRAF T CCP CL CCR CFR GC EX H&S LF IRS LO LC NN PC OB PRC S OMB T R&TC SOS USC CD EL Electronic FD Floppy Disk C P Paper H TA V Retention Number Retention Length (Years Unless Specified) Special Storage Consideration Media Type Board Services Record Type Retention Citations / Comments Orange County Sanitation District Records Retention Schedule Citation Codes Retention Codes Code of Civil Procedure (CA)Closed or Completed California Code of Regulations CU Current Year (Calendar or Fiscal As Appropriate)Code of Federal Regulations Government Code (California)Expired or Expiration General Retention Schedule Information Health & Safety Code Life of Facility, Equip. or Software Internal Revenue Service Life of Organization or Permanent  This Records Retention Schedule (RRS) pertains to any and all Official Records of OC San regardless of Media Type and is adopted in compliance with GC §60201 and additional specific citations as noted.  Public Records Act requests, litigation, audits, claims, and investigations may suspend the stated retention periods and notification of such will be made. As stated in OC San's Records Retention Policy, authorization and proper destruction methods are required prior to destroying all Official Records, regardless of Media Type. When original records have reached their retention length, all copies and duplicates must be destroyed, along with the original, regardless of Media Type.  Copies/duplicate records shall be determined as "duplicate" or "copy" in conjunction with Records Management. Upon determination by Record Management that a record is a duplicate or copy, OC San may destroy the duplicate record if the original or a permanent photographic record exists is in OC San's files (GC §60200).  Notes, preliminary drafts, and transitory records are not considered Official Records and may be destroyed without complying with OC San's RRS (SOS 2-1030). Such records may be destroyed when no longer needed for OC San business and do not require authorization for destruction.  Official Records cannot be discarded in trash bins. They must be submitted to Records Management for secure destruction. Labor Code (CA)When No Longer Needed Penal Code (CA)Obsolete Public Resources Code Superseded Office of Management & Budget Terminated Revenue & Taxation Code Secretary of State Media Types United States Code CD Special Storage Consideration Confidential Historical Tapes Vital BSD014 LO EL, P BSD015 CL+6 EL, P BSD016 LO EL, P BSD017 LO EL, P BSD018 LO EL, P BSD019 LO EL, PResolutions GC §34090, GC §60201(d)(2) Meeting Minutes:Board & Board Committees GC §60201(d)(3) Ordinances GC §60201(d)(2) Recorded Project Documents:Notices of Completion, Easements, Deeds, etc.GC §60201(d)(8); SOS C-26 Legal Opinions SOS C-23; GC §6254 Litigation Files GC §60201(d)(4) 5 Board Services Adopted: XX/XX/2022 DRAF T CCP CL CCR CFR GC EX H&S LF IRS LO LC NN PC OB PRC S OMB T R&TC SOS USC CD EL Electronic FD Floppy Disk C P Paper H TA V Retention Number Retention Length (Years Unless Specified) Special Storage Consideration Media Type Board Services Record Type Retention Citations / Comments Orange County Sanitation District Records Retention Schedule Citation Codes Retention Codes Code of Civil Procedure (CA)Closed or Completed California Code of Regulations CU Current Year (Calendar or Fiscal As Appropriate)Code of Federal Regulations Government Code (California)Expired or Expiration General Retention Schedule Information Health & Safety Code Life of Facility, Equip. or Software Internal Revenue Service Life of Organization or Permanent  This Records Retention Schedule (RRS) pertains to any and all Official Records of OC San regardless of Media Type and is adopted in compliance with GC §60201 and additional specific citations as noted.  Public Records Act requests, litigation, audits, claims, and investigations may suspend the stated retention periods and notification of such will be made. As stated in OC San's Records Retention Policy, authorization and proper destruction methods are required prior to destroying all Official Records, regardless of Media Type. When original records have reached their retention length, all copies and duplicates must be destroyed, along with the original, regardless of Media Type.  Copies/duplicate records shall be determined as "duplicate" or "copy" in conjunction with Records Management. Upon determination by Record Management that a record is a duplicate or copy, OC San may destroy the duplicate record if the original or a permanent photographic record exists is in OC San's files (GC §60200).  Notes, preliminary drafts, and transitory records are not considered Official Records and may be destroyed without complying with OC San's RRS (SOS 2-1030). Such records may be destroyed when no longer needed for OC San business and do not require authorization for destruction.  Official Records cannot be discarded in trash bins. They must be submitted to Records Management for secure destruction. Labor Code (CA)When No Longer Needed Penal Code (CA)Obsolete Public Resources Code Superseded Office of Management & Budget Terminated Revenue & Taxation Code Secretary of State Media Types United States Code CD Special Storage Consideration Confidential Historical Tapes Vital BSD020 LO EL BSD021 CU+3 EL, P BSD023 CL+2 EL, P BSD024 LO EL, P BSD025 LO EL, P BSD026 LO EL, PRecords Destruction Records:Approvals, Certificates, Requests SOS C-23 Public Records Act Requests GC §60201(d)(5); SOS C-23 Grand Jury Reports/Responses GC §60201 Records Retention Schedules CCP §343; SOS C-23 Schedules are superseded when updated Tapes & Digital Recordings (Audio & Video):Board or Committee Meetings GC §54953.5(b) Minimum retention 30 days or until adoption of the minutes per Brown Act Director Communications: General Board Correspondence PC 801.5 22; 29 USC §1113 6 Board Services Adopted: XX/XX/2022 DRAF T CCP CL CCR CFR GC EX H&S LF IRS LO LC NN PC OB PRC S OMB T R&TC SOS USC CD EL Electronic FD Floppy Disk C P Paper H TA V Retention Number Retention Length (Years Unless Specified) Special Storage Consideration Media Type Board Services Record Type Retention Citations / Comments Orange County Sanitation District Records Retention Schedule Citation Codes Retention Codes Code of Civil Procedure (CA)Closed or Completed California Code of Regulations CU Current Year (Calendar or Fiscal As Appropriate)Code of Federal Regulations Government Code (California)Expired or Expiration General Retention Schedule Information Health & Safety Code Life of Facility, Equip. or Software Internal Revenue Service Life of Organization or Permanent  This Records Retention Schedule (RRS) pertains to any and all Official Records of OC San regardless of Media Type and is adopted in compliance with GC §60201 and additional specific citations as noted.  Public Records Act requests, litigation, audits, claims, and investigations may suspend the stated retention periods and notification of such will be made. As stated in OC San's Records Retention Policy, authorization and proper destruction methods are required prior to destroying all Official Records, regardless of Media Type. When original records have reached their retention length, all copies and duplicates must be destroyed, along with the original, regardless of Media Type.  Copies/duplicate records shall be determined as "duplicate" or "copy" in conjunction with Records Management. Upon determination by Record Management that a record is a duplicate or copy, OC San may destroy the duplicate record if the original or a permanent photographic record exists is in OC San's files (GC §60200).  Notes, preliminary drafts, and transitory records are not considered Official Records and may be destroyed without complying with OC San's RRS (SOS 2-1030). Such records may be destroyed when no longer needed for OC San business and do not require authorization for destruction.  Official Records cannot be discarded in trash bins. They must be submitted to Records Management for secure destruction. Labor Code (CA)When No Longer Needed Penal Code (CA)Obsolete Public Resources Code Superseded Office of Management & Budget Terminated Revenue & Taxation Code Secretary of State Media Types United States Code CD Special Storage Consideration Confidential Historical Tapes Vital BSD027 S+3 EL, P BSD028 LO H EL, PPublic Records Act Requests Log Required retention is the same as BSD023 (CL+2); business value in LO retention No citations? Records Management Annual Audits:Inventory, Storage, Destruction SOS C-23 7 Board Services Adopted: XX/XX/2022 DRAF T CCP CL CCR CFR GC EX H&S LF IRS LO LC NN PC OB PRC S OMB T R&TC SOS USC CD EL Electronic FD Floppy Disk C P Paper H TA V Retention Number Retention Length (Years Unless Specified) Special Storage Consideration Media Type CPM001 LO EL, P Contracts, Purchasing, and Materials Management Record Type Retention Citations / Comments Purchasing, Contracts & Agreement Files - Capital Improvement Projects (CIP) - Not Committee or Board Approved:Includes Insurance Certificates; Authorization Documents; Change Orders; Amendments; Notices; Pre-Award Bid/Proposal Package; Bid/Proposal Evaluation Materials; Protest Documents; Project Documents; Published Invitation for Bid (IFB) Documents, including Specifications & Drawings, Addenda and Bulletins Issued, Bid Requirements Form, Question & Answer Logs, Outreach Materials, Evaluator Certifications, Responsiveness & Responsibility Review Documents (Safety, Finance, Experience Requirements), Clarification Requests & Responses, and Bid/Proposal Evaluation Memorandum; Notice of Award Recommendations; Protest and Associated Documents; Determination on Protests; Appeals; Determination of Appeals; Preliminary Notices; Stop Notices; Notices of Completion; Property & Other Lease Agreements For Purchasing, Contracts & Agreement Files that are Committee or Board approved, please see BSD009 CCP §335, CCP §337, CCP §337.15; GC §4000; H&S §19850; SOS C-22, SOS C-27, SOS C-30 Orange County Sanitation District Records Retention Schedule Citation Codes Retention Codes Code of Civil Procedure (CA)Closed or Completed California Code of Regulations CU Current Year (Calendar or Fiscal As Appropriate)Code of Federal Regulations Government Code (California)Expired or Expiration General Retention Schedule Information Health & Safety Code Life of Facility, Equip. or Software Internal Revenue Service Life of Organization or Permanent  This Records Retention Schedule (RRS) pertains to any and all Official Records of OC San regardless of Media Type and is adopted in compliance with GC §60201 and additional specific citations as noted.  Public Records Act requests, litigation, audits, claims, and investigations may suspend the stated retention periods and notification of such will be made. As stated in OC San's Records Retention Policy, authorization and proper destruction methods are required prior to destroying all Official Records, regardless of Media Type. When original records have reached their retention length, all copies and duplicates must be destroyed, along with the original, regardless of Media Type.  Copies/duplicate records shall be determined as "duplicate" or "copy" in conjunction with Records Management. Upon determination by Record Management that a record is a duplicate or copy, OC San may destroy the duplicate record if the original or a permanent photographic record exists is in OC San's files (GC §60200).  Notes, preliminary drafts, and transitory records are not considered Official Records and may be destroyed without complying with OC San's RRS (SOS 2-1030). Such records may be destroyed when no longer needed for OC San business and do not require authorization for destruction.  Official Records cannot be discarded in trash bins. They must be submitted to Records Management for secure destruction. Labor Code (CA)When No Longer Needed Penal Code (CA)Obsolete Public Resources Code Superseded Office of Management & Budget Terminated Revenue & Taxation Code Secretary of State Media Types United States Code CD Special Storage Consideration Confidential Historical Tapes Vital 8 Contracts, Purchasing, and Materials Management Adopted: XX/XX/2022 DRAF T CCP CL CCR CFR GC EX H&S LF IRS LO LC NN PC OB PRC S OMB T R&TC SOS USC CD EL Electronic FD Floppy Disk C P Paper H TA V Retention Number Retention Length (Years Unless Specified) Special Storage Consideration Media Type Contracts, Purchasing, and Materials Management Record Type Retention Citations / Comments Orange County Sanitation District Records Retention Schedule Citation Codes Retention Codes Code of Civil Procedure (CA)Closed or Completed California Code of Regulations CU Current Year (Calendar or Fiscal As Appropriate)Code of Federal Regulations Government Code (California)Expired or Expiration General Retention Schedule Information Health & Safety Code Life of Facility, Equip. or Software Internal Revenue Service Life of Organization or Permanent  This Records Retention Schedule (RRS) pertains to any and all Official Records of OC San regardless of Media Type and is adopted in compliance with GC §60201 and additional specific citations as noted.  Public Records Act requests, litigation, audits, claims, and investigations may suspend the stated retention periods and notification of such will be made. As stated in OC San's Records Retention Policy, authorization and proper destruction methods are required prior to destroying all Official Records, regardless of Media Type. When original records have reached their retention length, all copies and duplicates must be destroyed, along with the original, regardless of Media Type.  Copies/duplicate records shall be determined as "duplicate" or "copy" in conjunction with Records Management. Upon determination by Record Management that a record is a duplicate or copy, OC San may destroy the duplicate record if the original or a permanent photographic record exists is in OC San's files (GC §60200).  Notes, preliminary drafts, and transitory records are not considered Official Records and may be destroyed without complying with OC San's RRS (SOS 2-1030). Such records may be destroyed when no longer needed for OC San business and do not require authorization for destruction.  Official Records cannot be discarded in trash bins. They must be submitted to Records Management for secure destruction. Labor Code (CA)When No Longer Needed Penal Code (CA)Obsolete Public Resources Code Superseded Office of Management & Budget Terminated Revenue & Taxation Code Secretary of State Media Types United States Code CD Special Storage Consideration Confidential Historical Tapes Vital CPM002 CL+7 EL, P CPM003 LF C, VEscrow Bid Documents CCP §337.15 Unsuccessful Escrow Bid Documents are returned to Contractor after Contract is awarded. The Escrow Bid Documents for the Awarded Contractor are returned at the end of the life of the facility (business preference to retain these documents longer than required by §CCP 337.15, which indicates CL+10). OC San acts as a temporary custodian of the documents, which remain the property of the bidders. Purchasing, Contracts & Agreement Files - Non-CIP Projects - Not Committee or Board Approved:Includes Insurance Certificates; Authorization Documents; Change Orders; Amendments; Notices; Pre-Award Bid/Proposal Packages; Bid/Proposal Evaluation Materials; Protest Documents; Project Documents; Published Invitation for Bid (IFB) Documents, including Specifications & Drawings, Addenda and Bulletins Issued, Bid Requirements Form, Question & Answer Logs, Outreach Materials, Evaluator Certifications, Responsiveness & Responsibility Review Documents (Safety, Finance, Experience Requirements), Clarification Requests & Responses, and Bid/Proposal Evaluation Memorandum; Notice of Award Recommendations; Protest and Associated Documents; Determination on Protests; Appeals; Determination of Appeals; Preliminary Notices; Stop Notices; Notices of Completion; Property & Other Lease Agreements For Purchasing, Contracts & Agreement Files that are Committee or Board approved, please see BSD009 CCP §335; SOS C-22, SOS C-30 9 Contracts, Purchasing, and Materials Management Adopted: XX/XX/2022 DRAF T CCP CL CCR CFR GC EX H&S LF IRS LO LC NN PC OB PRC S OMB T R&TC SOS USC CD EL Electronic FD Floppy Disk C P Paper H TA V Retention Number Retention Length (Years Unless Specified) Special Storage Consideration Media Type Contracts, Purchasing, and Materials Management Record Type Retention Citations / Comments Orange County Sanitation District Records Retention Schedule Citation Codes Retention Codes Code of Civil Procedure (CA)Closed or Completed California Code of Regulations CU Current Year (Calendar or Fiscal As Appropriate)Code of Federal Regulations Government Code (California)Expired or Expiration General Retention Schedule Information Health & Safety Code Life of Facility, Equip. or Software Internal Revenue Service Life of Organization or Permanent  This Records Retention Schedule (RRS) pertains to any and all Official Records of OC San regardless of Media Type and is adopted in compliance with GC §60201 and additional specific citations as noted.  Public Records Act requests, litigation, audits, claims, and investigations may suspend the stated retention periods and notification of such will be made. As stated in OC San's Records Retention Policy, authorization and proper destruction methods are required prior to destroying all Official Records, regardless of Media Type. When original records have reached their retention length, all copies and duplicates must be destroyed, along with the original, regardless of Media Type.  Copies/duplicate records shall be determined as "duplicate" or "copy" in conjunction with Records Management. Upon determination by Record Management that a record is a duplicate or copy, OC San may destroy the duplicate record if the original or a permanent photographic record exists is in OC San's files (GC §60200).  Notes, preliminary drafts, and transitory records are not considered Official Records and may be destroyed without complying with OC San's RRS (SOS 2-1030). Such records may be destroyed when no longer needed for OC San business and do not require authorization for destruction.  Official Records cannot be discarded in trash bins. They must be submitted to Records Management for secure destruction. Labor Code (CA)When No Longer Needed Penal Code (CA)Obsolete Public Resources Code Superseded Office of Management & Budget Terminated Revenue & Taxation Code Secretary of State Media Types United States Code CD Special Storage Consideration Confidential Historical Tapes Vital CPM005 LO EL, P CPM008 CL+4 EL, P CPM009 CL+1 CPM019 LO EL, P CPM020 LO EL, P Procurement Card Documentation Reconciliation, Requisition Credit Card Purchases, Reports, Agreement, Correspondence SOS C-30 The retention requirement for these records might be CU+2. Are these records employee held? Where are the original records held? Certificates of Insurance CCP §337.15; SOS C-24 Purchasing & Contracts Support Documents - CIP & Non-CIP - Committee or Board Approved:Includes Pre-Award Bid/Proposal Packages; Bid/Proposal Evaluation Materials; Project Documents; Bid Requirements Forms; Question & Answer Logs; Outreach Materials; Evaluator Certifications; Responsiveness & Responsibility Review Documents (Safety, Finance, Experience Requirements), Clarification Requests and Responses; Bid/Proposal Evaluation Memorandum; Notice of Award Recommendations; Protest and Associated Documents, Determination of Protests; Appeals; Determination of Appeals; Preliminary CCP §337, CCP §337.15; SOS C-22, SOS C- 30 Purchase Order & Requisition Files (Including Committee or Board Approved):Open Annual (OA), Open Blanket (OB), Open Purchase (OP), and Open Service (OS)CCP §337; GC §60201(d)(12); SOS C-30 Warehouse and Materials Management Records: Sales Orders, Discrepancies, Add To Stores, Receivers, Return To Vendors (RTV), Shipping Records, Inventories, Disposal of Surplus Assets CCP §337; GC §34090; SOS C-29, SOS C-30 10 Contracts, Purchasing, and Materials Management Adopted: XX/XX/2022 DRAF T CCP CL CCR CFR GC EX H&S LF IRS LO LC NN PC OB PRC S OMB T R&TC SOS USC CD EL Electronic FD Floppy Disk C P Paper H TA V Retention Number Retention Length (Years Unless Specified) Special Storage Consideration Media Type Contracts, Purchasing, and Materials Management Record Type Retention Citations / Comments Orange County Sanitation District Records Retention Schedule Citation Codes Retention Codes Code of Civil Procedure (CA)Closed or Completed California Code of Regulations CU Current Year (Calendar or Fiscal As Appropriate)Code of Federal Regulations Government Code (California)Expired or Expiration General Retention Schedule Information Health & Safety Code Life of Facility, Equip. or Software Internal Revenue Service Life of Organization or Permanent  This Records Retention Schedule (RRS) pertains to any and all Official Records of OC San regardless of Media Type and is adopted in compliance with GC §60201 and additional specific citations as noted.  Public Records Act requests, litigation, audits, claims, and investigations may suspend the stated retention periods and notification of such will be made. As stated in OC San's Records Retention Policy, authorization and proper destruction methods are required prior to destroying all Official Records, regardless of Media Type. When original records have reached their retention length, all copies and duplicates must be destroyed, along with the original, regardless of Media Type.  Copies/duplicate records shall be determined as "duplicate" or "copy" in conjunction with Records Management. Upon determination by Record Management that a record is a duplicate or copy, OC San may destroy the duplicate record if the original or a permanent photographic record exists is in OC San's files (GC §60200).  Notes, preliminary drafts, and transitory records are not considered Official Records and may be destroyed without complying with OC San's RRS (SOS 2-1030). Such records may be destroyed when no longer needed for OC San business and do not require authorization for destruction.  Official Records cannot be discarded in trash bins. They must be submitted to Records Management for secure destruction. Labor Code (CA)When No Longer Needed Penal Code (CA)Obsolete Public Resources Code Superseded Office of Management & Budget Terminated Revenue & Taxation Code Secretary of State Media Types United States Code CD Special Storage Consideration Confidential Historical Tapes Vital CPM021 CU+2 EL, PBids - Unaccepted (NOT Committee or Board Approved) Includes unsuccessful and rejected bids GC §60201(d)(11); SOS C-30 11 Contracts, Purchasing, and Materials Management Adopted: XX/XX/2022 DRAF T CCP CL CCR CFR GC EX H&S LF IRS LO LC NN PC OB PRC S OMB T R&TC SOS USC CD EL Electronic FD Floppy Disk C P Paper H TA V Retention Number Retention Length (Years Unless Specified) Special Storage Consideration Media Type ENG001 LO ENG003 CU+20 ENG004 CL+2 ENG005 CL+10 ENG006 LO Engineering Record Type Retention Citations / Comments Utility Requests:Received Plans, OC San Response Requests for Underground Utility Information (From City, Utility, Public Agency or Contractor Working On Behalf of Same): Original Inquiry/Plans Received from Utility, OC San Response SOS C-29More thorough description provided in Record Type so that appropriate citations can be determined General Correspondence: Internal and/or Project-Related Meeting Discussions, Correspondence, Meeting Minutes CCP §337.15 Agreements, Annexations, Land Records, Connection Permits, Encroachment Permit Supporting Documentation:Letters, Meeting Minutes GC §60201(d)(8) CEQA Documents: Includes Environmental Impact Reports and Addenda, Negative Declarations, Notices of Completion and Determination, Comments on Environmental Documents, Statements of Overriding Considerations, Exemptions, Technical Studies, Initial Studies, Mitigation and Monitoring Reports 14 CCR §15062, 14 CCR §15075, 14 CCR §15094, 14 CCR §15095(c), 14 CCR §15112, 14 CCR §15208; GC §60201(d)(10); SOS C-27 City or County Plans:Specific Plan, Master Plan GC §60201(d)(10); SOS C-26, SOS C-27, SOS C-28OC San is not the custodian of these records; however there is a business value to the retention of these records & 20 years has shown to be appropriate Special Storage Consideration Confidential Historical Orange County Sanitation District Records Retention Schedule Citation Codes Retention Codes Code of Civil Procedure (CA)Closed or Completed California Code of Regulations CU Current Year (Calendar or Fiscal As Appropriate)Code of Federal Regulations Government Code (California)Expired or Expiration Tapes Vital General Retention Schedule Information Health & Safety Code Life of Facility, Equip. or Software Internal Revenue Service Life of Organization or Permanent  This Records Retention Schedule (RRS) pertains to any and all Official Records of OC San regardless of Media Type and is adopted in compliance with GC §60201 and additional specific citations as noted.  Public Records Act requests, litigation, audits, claims, and investigations may suspend the stated retention periods and notification of such will be made. As stated in OC San's Records Retention Policy, authorization and proper destruction methods are required prior to destroying all Official Records, regardless of Media Type. When original records have reached their retention length, all copies and duplicates must be destroyed, along with the original, regardless of Media Type.  Copies/duplicate records shall be determined as "duplicate" or "copy" in conjunction with Records Management. Upon determination by Record Management that a record is a duplicate or copy, OC San may destroy the duplicate record if the original or a permanent photographic record exists is in OC San's files (GC §60200).  Notes, preliminary drafts, and transitory records are not considered Official Records and may be destroyed without complying with OC San's RRS (SOS 2-1030). Such records may be destroyed when no longer needed for OC San business and do not require authorization for destruction.  Official Records cannot be discarded in trash bins. They must be submitted to Records Management for secure destruction. Labor Code (CA)When No Longer Needed Penal Code (CA)Obsolete Public Resources Code Superseded Office of Management & Budget Terminated Revenue & Taxation Code Secretary of State Media Types United States Code CD 12 Engineering Adopted: XX/XX/2022 DRAF T CCP CL CCR CFR GC EX H&S LF IRS LO LC NN PC OB PRC S OMB T R&TC SOS USC CD EL Electronic FD Floppy Disk C P Paper H TA V Retention Number Retention Length (Years Unless Specified) Special Storage Consideration Media Type Engineering Record Type Retention Citations / Comments Special Storage Consideration Confidential Historical Orange County Sanitation District Records Retention Schedule Citation Codes Retention Codes Code of Civil Procedure (CA)Closed or Completed California Code of Regulations CU Current Year (Calendar or Fiscal As Appropriate)Code of Federal Regulations Government Code (California)Expired or Expiration Tapes Vital General Retention Schedule Information Health & Safety Code Life of Facility, Equip. or Software Internal Revenue Service Life of Organization or Permanent  This Records Retention Schedule (RRS) pertains to any and all Official Records of OC San regardless of Media Type and is adopted in compliance with GC §60201 and additional specific citations as noted.  Public Records Act requests, litigation, audits, claims, and investigations may suspend the stated retention periods and notification of such will be made. As stated in OC San's Records Retention Policy, authorization and proper destruction methods are required prior to destroying all Official Records, regardless of Media Type. When original records have reached their retention length, all copies and duplicates must be destroyed, along with the original, regardless of Media Type.  Copies/duplicate records shall be determined as "duplicate" or "copy" in conjunction with Records Management. Upon determination by Record Management that a record is a duplicate or copy, OC San may destroy the duplicate record if the original or a permanent photographic record exists is in OC San's files (GC §60200).  Notes, preliminary drafts, and transitory records are not considered Official Records and may be destroyed without complying with OC San's RRS (SOS 2-1030). Such records may be destroyed when no longer needed for OC San business and do not require authorization for destruction.  Official Records cannot be discarded in trash bins. They must be submitted to Records Management for secure destruction. Labor Code (CA)When No Longer Needed Penal Code (CA)Obsolete Public Resources Code Superseded Office of Management & Budget Terminated Revenue & Taxation Code Secretary of State Media Types United States Code CD ENG007 CL+10 ENG008 CL+10 ENG009 CL+10 ENG010 CL+10 ENG011 CL+10 ENG012 CL+10 Construction and Installation:Consultant Monthly Report, Contract Submittal, Correspondence, Gate Review, Inspection Documentation, Meeting Agendas and Minutes, Project Photos, Public Outreach, Requests and Changes (Bulletin, Contractor Cost Proposal, Delay and Schedule Analysis, Field Change Order, Request for Change, Request for Information, Request for Proposal, Time and Materials Report), Safety Documentation, ETAP Documents CCP §337.15 Commissioning: Correspondence, Gate Review, Meeting Agendas and Minutes, Project Photos, Substantial Completion-Beneficial Use, Use Prior to Completion, Substantial Completion, Final Completion, Testing Documentation CCP §337.15 Closeout:Correspondence, Gate Review, Meeting Agendas and Minutes, Project Photos, Final Acceptance and Release of Retention, Warranty Documentation CCP §337.15; GC §60201(d)(12) Project Development:Correspondence, Feasibility Study, Gate Review, Meeting Agendas and Minutes, Project Photos, Handoff Documents, Consultant Monthly Report CCP §337.15 Preliminary Design: Correspondence, Design Submittal, Gate Review, Meeting Agendas and Minutes, PDR Documentation, Project Photos, Public Outreach, Consultant Monthly Report CCP §337.15 Design: Consultant Monthly Report, Correspondence, Design Submittal, FDS, Gate Review, Meeting Agendas and Minutes, Project Photos, Public Outreach, Handoff Documents, ETAP Documents CCP §337.15 13 Engineering Adopted: XX/XX/2022 DRAF T CCP CL CCR CFR GC EX H&S LF IRS LO LC NN PC OB PRC S OMB T R&TC SOS USC CD EL Electronic FD Floppy Disk C P Paper H TA V Retention Number Retention Length (Years Unless Specified) Special Storage Consideration Media Type Engineering Record Type Retention Citations / Comments Special Storage Consideration Confidential Historical Orange County Sanitation District Records Retention Schedule Citation Codes Retention Codes Code of Civil Procedure (CA)Closed or Completed California Code of Regulations CU Current Year (Calendar or Fiscal As Appropriate)Code of Federal Regulations Government Code (California)Expired or Expiration Tapes Vital General Retention Schedule Information Health & Safety Code Life of Facility, Equip. or Software Internal Revenue Service Life of Organization or Permanent  This Records Retention Schedule (RRS) pertains to any and all Official Records of OC San regardless of Media Type and is adopted in compliance with GC §60201 and additional specific citations as noted.  Public Records Act requests, litigation, audits, claims, and investigations may suspend the stated retention periods and notification of such will be made. As stated in OC San's Records Retention Policy, authorization and proper destruction methods are required prior to destroying all Official Records, regardless of Media Type. When original records have reached their retention length, all copies and duplicates must be destroyed, along with the original, regardless of Media Type.  Copies/duplicate records shall be determined as "duplicate" or "copy" in conjunction with Records Management. Upon determination by Record Management that a record is a duplicate or copy, OC San may destroy the duplicate record if the original or a permanent photographic record exists is in OC San's files (GC §60200).  Notes, preliminary drafts, and transitory records are not considered Official Records and may be destroyed without complying with OC San's RRS (SOS 2-1030). Such records may be destroyed when no longer needed for OC San business and do not require authorization for destruction.  Official Records cannot be discarded in trash bins. They must be submitted to Records Management for secure destruction. Labor Code (CA)When No Longer Needed Penal Code (CA)Obsolete Public Resources Code Superseded Office of Management & Budget Terminated Revenue & Taxation Code Secretary of State Media Types United States Code CD ENG013 CL+10 ENG014 CL+10 ENG015 CL+10 ENG016 CL+10 Construction Agreement:Solicitation (Addendum and Question Answer Document, Award Document, Bid and Evaluation, Invitation for Bid Document, Meeting Agendas and Minutes, Protect Document, Sole Source) Contract Administration (Certified Payroll, Change Order, Claims Documentation, Conformed Contract Package, Contract Closeout, Contractor Progress Payment, Other Agreement, Stop Notice Request-Release CCP §337.15; GC §60201(d)(12) Professional Service Agreement: Solicitation (Addendum and Question Answer Document, Award Document, Meeting Agendas and Minutes, Proposal and Evaluation, Protest Document, Request for Proposal, Request for Qualification, Scope of Work, Sole Source, Statement of Qualification and Evaluation), Contract Administration (Agreement Closeout, Amendment and Reallocation, Conformed Agreement Package, Consultant Invoice) CCP §337.15; GC §60201(d)(12) Professional Design Service Agreement:Solicitation (Addendum and Question Answer Document, Award Document, Meeting Agendas and Minutes, Proposal and Evaluation, Protest Document, Request for Proposal, Request for Qualification, Scope of Work, Sole Source, Statement of Qualification and Evaluation), Contract Administration (Agreement Closeout, Amendment and Reallocation, Conformed Agreement Package, Consultant Invoice) CCP §337.15; GC §60201(d)(12) Professional Construction Service Agreement:Solicitation (Addendum and Question Answer Document, Award Document, Meeting Agendas and Minutes, Proposal and Evaluation, Protest Document, Request for Proposal, Request for Qualification, Scope of Work, Sole Source, Statement of Qualification and Evaluation), Contract Administration (Agreement Closeout, Amendment and Reallocation, Conformed Agreement Package, Consultant Invoice) CCP §337.15; GC §60201(d)(12) 14 Engineering Adopted: XX/XX/2022 DRAF T CCP CL CCR CFR GC EX H&S LF IRS LO LC NN PC OB PRC S OMB T R&TC SOS USC CD EL Electronic FD Floppy Disk C P Paper H TA V Retention Number Retention Length (Years Unless Specified) Special Storage Consideration Media Type Engineering Record Type Retention Citations / Comments Special Storage Consideration Confidential Historical Orange County Sanitation District Records Retention Schedule Citation Codes Retention Codes Code of Civil Procedure (CA)Closed or Completed California Code of Regulations CU Current Year (Calendar or Fiscal As Appropriate)Code of Federal Regulations Government Code (California)Expired or Expiration Tapes Vital General Retention Schedule Information Health & Safety Code Life of Facility, Equip. or Software Internal Revenue Service Life of Organization or Permanent  This Records Retention Schedule (RRS) pertains to any and all Official Records of OC San regardless of Media Type and is adopted in compliance with GC §60201 and additional specific citations as noted.  Public Records Act requests, litigation, audits, claims, and investigations may suspend the stated retention periods and notification of such will be made. As stated in OC San's Records Retention Policy, authorization and proper destruction methods are required prior to destroying all Official Records, regardless of Media Type. When original records have reached their retention length, all copies and duplicates must be destroyed, along with the original, regardless of Media Type.  Copies/duplicate records shall be determined as "duplicate" or "copy" in conjunction with Records Management. Upon determination by Record Management that a record is a duplicate or copy, OC San may destroy the duplicate record if the original or a permanent photographic record exists is in OC San's files (GC §60200).  Notes, preliminary drafts, and transitory records are not considered Official Records and may be destroyed without complying with OC San's RRS (SOS 2-1030). Such records may be destroyed when no longer needed for OC San business and do not require authorization for destruction.  Official Records cannot be discarded in trash bins. They must be submitted to Records Management for secure destruction. Labor Code (CA)When No Longer Needed Penal Code (CA)Obsolete Public Resources Code Superseded Office of Management & Budget Terminated Revenue & Taxation Code Secretary of State Media Types United States Code CD ENG017 CL+10 ENG018 CL+10 ENG019 CL+10 ENG020 CL+5 ENG021 S Task Order: Solicitation (Addendum and Question Answer Document, Award Document, Meeting Agendas and Minutes, Proposal and Evaluation, Protest Document, Request for Proposal, Request for Qualification, Scope of Work, Sole Source, Statement of Qualification and Evaluation), Contract Administration (Agreement Closeout, Amendment and Reallocation, Conformed Agreement Package, Consultant Invoice) CCP §337.15; GC §60201(d)(12) Budget Documentation:Budget Table and Schedule Documentation (Construction Schedule Documentation)CCP §337.15 CEQA Correspondence, Including Correspondence with Outside Cities/Agencies: Includes Written and Electronic Correspondence Incorporates previous ENG002 at the direction of Legal Counsel 14 CCR §15062, 14 CCR §15075, 14 CCR §15094, 14 CCR §15095(c), 14 CCR §15112, 14 CCR §15208; GC §60201(d)(10); PRC §21167.6; SOS C-27 Project-Related Permit Documentation:AQMD, Army Corps of Engineers, CEQA Permits, Certification of Environmental Compliance, Contaminated Soil Manifest, Dewatering Data, Encroachment/Right of Way, Mitigation Measure Monitoring Reporting, Permit for Construction, RWQCB, Storm Water Compliance Reporting, City/County Permits, CalTrans Permits, OSHA Excavation Permits, EPA, CA Dept. of Fish & Game, OCFCD Permit for Construction, Railway Permit for Construction Does this Type include the actual Permit or is it limited to Permit applications & correspondence? GC needs to know so that appropriate Citations can be noted. SOS C-25, SOS C-26 Engineering Drawing: Conformed Set Drawings Conformed Set Drawings are superseded by Record Drawings & retained pursuant to ENG031 No citations? 15 Engineering Adopted: XX/XX/2022 DRAF T CCP CL CCR CFR GC EX H&S LF IRS LO LC NN PC OB PRC S OMB T R&TC SOS USC CD EL Electronic FD Floppy Disk C P Paper H TA V Retention Number Retention Length (Years Unless Specified) Special Storage Consideration Media Type Engineering Record Type Retention Citations / Comments Special Storage Consideration Confidential Historical Orange County Sanitation District Records Retention Schedule Citation Codes Retention Codes Code of Civil Procedure (CA)Closed or Completed California Code of Regulations CU Current Year (Calendar or Fiscal As Appropriate)Code of Federal Regulations Government Code (California)Expired or Expiration Tapes Vital General Retention Schedule Information Health & Safety Code Life of Facility, Equip. or Software Internal Revenue Service Life of Organization or Permanent  This Records Retention Schedule (RRS) pertains to any and all Official Records of OC San regardless of Media Type and is adopted in compliance with GC §60201 and additional specific citations as noted.  Public Records Act requests, litigation, audits, claims, and investigations may suspend the stated retention periods and notification of such will be made. As stated in OC San's Records Retention Policy, authorization and proper destruction methods are required prior to destroying all Official Records, regardless of Media Type. When original records have reached their retention length, all copies and duplicates must be destroyed, along with the original, regardless of Media Type.  Copies/duplicate records shall be determined as "duplicate" or "copy" in conjunction with Records Management. Upon determination by Record Management that a record is a duplicate or copy, OC San may destroy the duplicate record if the original or a permanent photographic record exists is in OC San's files (GC §60200).  Notes, preliminary drafts, and transitory records are not considered Official Records and may be destroyed without complying with OC San's RRS (SOS 2-1030). Such records may be destroyed when no longer needed for OC San business and do not require authorization for destruction.  Official Records cannot be discarded in trash bins. They must be submitted to Records Management for secure destruction. Labor Code (CA)When No Longer Needed Penal Code (CA)Obsolete Public Resources Code Superseded Office of Management & Budget Terminated Revenue & Taxation Code Secretary of State Media Types United States Code CD ENG023 S+10 ENG024 LF ENG025 LF ENG027 LO ENG028 LO ENG029 S+2 Code and StandardsNeed to know what Code & Standards we are referring to so that GC can provide appropriate Citations.CCP §337.15 Design Documentation: Engineering Study and Analysis, Final Planning Study Report, Preliminary Design Report/Technical Memoranda, Engineering Calculations, Geotechnical and Geophysical Reports, Hazardous Materials Report, Hydrogeologic Report, Seismic Report SOS C-19, SOS C-25, SOS C-26, SOS C-27 Construction Specialty: Electrical Test Report, Geotechnical Report, Instrumentation Testing, Materials Testing Report, Mechanical Testing, Other Test Report, Soil Report, Structural Testing, Survey Report, Commissioning Procedure, Inspection Daily Report and Construction Photo SOS C-19, SOS C-25, SOS C-26, SOS C-27 Facility Reports:CIP Annual Report, OC San Master Plan (Generated by Eng. Dept.), Strategic or Facility-Wide Planning Study Report (Seismic, Climate, Capacity, etc.) SOS C-19, SOS C-25, SOS C-26, SOS C-27 Specification Conformed:Final Record of the Precise Details and Description of the Service or Project Once Completed No citations? Connection Permit:Trunk Sewer Connection Permit GC §60201(d)(10); SOS C-29, SOS C-43, SOS C-44 16 Engineering Adopted: XX/XX/2022 DRAF T CCP CL CCR CFR GC EX H&S LF IRS LO LC NN PC OB PRC S OMB T R&TC SOS USC CD EL Electronic FD Floppy Disk C P Paper H TA V Retention Number Retention Length (Years Unless Specified) Special Storage Consideration Media Type Engineering Record Type Retention Citations / Comments Special Storage Consideration Confidential Historical Orange County Sanitation District Records Retention Schedule Citation Codes Retention Codes Code of Civil Procedure (CA)Closed or Completed California Code of Regulations CU Current Year (Calendar or Fiscal As Appropriate)Code of Federal Regulations Government Code (California)Expired or Expiration Tapes Vital General Retention Schedule Information Health & Safety Code Life of Facility, Equip. or Software Internal Revenue Service Life of Organization or Permanent  This Records Retention Schedule (RRS) pertains to any and all Official Records of OC San regardless of Media Type and is adopted in compliance with GC §60201 and additional specific citations as noted.  Public Records Act requests, litigation, audits, claims, and investigations may suspend the stated retention periods and notification of such will be made. As stated in OC San's Records Retention Policy, authorization and proper destruction methods are required prior to destroying all Official Records, regardless of Media Type. When original records have reached their retention length, all copies and duplicates must be destroyed, along with the original, regardless of Media Type.  Copies/duplicate records shall be determined as "duplicate" or "copy" in conjunction with Records Management. Upon determination by Record Management that a record is a duplicate or copy, OC San may destroy the duplicate record if the original or a permanent photographic record exists is in OC San's files (GC §60200).  Notes, preliminary drafts, and transitory records are not considered Official Records and may be destroyed without complying with OC San's RRS (SOS 2-1030). Such records may be destroyed when no longer needed for OC San business and do not require authorization for destruction.  Official Records cannot be discarded in trash bins. They must be submitted to Records Management for secure destruction. Labor Code (CA)When No Longer Needed Penal Code (CA)Obsolete Public Resources Code Superseded Office of Management & Budget Terminated Revenue & Taxation Code Secretary of State Media Types United States Code CD ENG030 LF+5 ENG031 LO ENG032 LO ENG033 LOCEQA Related Documentation Pertaining to Meeting Agendas and Meeting Minutes GC §60201(d)(3) Facility Permits:AQMD, Permit to Operate, CA Coastal Commission/Coastal Development, Building Permit, Fire Department Permit SOS C-45 Engineering Drawing: Record Drawings (Tunnel Cross-Section, Vault Detail)SOS C-26, SOS C-44 Shop Drawings SOS C-25 17 Engineering Adopted: XX/XX/2022 DRAF T CCP CL CCR CFR GC EX H&S LF IRS LO LC NN PC OB PRC S OMB T R&TC SOS USC CD EL Electronic FD Floppy Disk C P Paper H TA V Retention Number Retention Length (Years Unless Specified) Special Storage Consideration Media Type ESD001 LO ESD002 OB+7 ESD003 LO ESD004 CU+7 ESD006 LO ESD009 LO Environmental Services Record Type Retention Citations / Comments Air Emissions Permitting Files (AQMD, CARB, Other):Final Permit, Testing Reports, Permit Applications, Correspondence CCP §338(k); SOS c17, SOS C-27 Biosolids Management Records:Biosolids Hauling, Use, EMS Activities 40 CFR §122.21, 40 CFR §122.41(j)(2), 40 CFR §503.17; SOS C-47 Chain of Custody - Laboratory 40 CFR §122.21(j)(4)-(6), 40 CFR §122.41(j)(2), 40 CFR §403.12(o), 40 CFR §503.17(a)(3)(i), (a)(4); SOS C-22 Asset Specific Emission Records: Various Equipment and Operational Information, Including Logs Please see OMD014 & OMD016 for retention of some records within ESD002 SOS c26 SOS C-27 Compliance Program Documentation:Storm Water, SSO, Post Construction Mitigation, SSMP (WDR)40 CFR §122.41, 40 CFR Part 141, 40 CFR §141.33; SOS C-25, SOS C-27, SOS C-45 Environmental Audit Records:Conducted By OC San SOS C-42, SOS C-45, SOS C-46 Orange County Sanitation District Records Retention Schedule Citation Codes Retention Codes Code of Civil Procedure (CA)Closed or Completed California Code of Regulations CU Current Year (Calendar or Fiscal As Appropriate)Code of Federal Regulations Government Code (California)Expired or Expiration General Retention Schedule Information Health & Safety Code Life of Facility, Equip. or Software Internal Revenue Service Life of Organization or Permanent  This Records Retention Schedule (RRS) pertains to any and all Official Records of OC San regardless of Media Type and is adopted in compliance with GC §60201 and additional specific citations as noted.  Public Records Act requests, litigation, audits, claims, and investigations may suspend the stated retention periods and notification of such will be made. As stated in OC San's Records Retention Policy, authorization and proper destruction methods are required prior to destroying all Official Records, regardless of Media Type. When original records have reached their retention length, all copies and duplicates must be destroyed, along with the original, regardless of Media Type.  Copies/duplicate records shall be determined as "duplicate" or "copy" in conjunction with Records Management. Upon determination by Record Management that a record is a duplicate or copy, OC San may destroy the duplicate record if the original or a permanent photographic record exists is in OC San's files (GC §60200).  Notes, preliminary drafts, and transitory records are not considered Official Records and may be destroyed without complying with OC San's RRS (SOS 2-1030). Such records may be destroyed when no longer needed for OC San business and do not require authorization for destruction.  Official Records cannot be discarded in trash bins. They must be submitted to Records Management for secure destruction. Labor Code (CA)When No Longer Needed Penal Code (CA)Obsolete Public Resources Code Superseded Office of Management & Budget Terminated Revenue & Taxation Code Secretary of State Media Types United States Code CD Special Storage Consideration Confidential Historical Tapes Vital 18 Environmental Services Adopted: XX/XX/2022 DRAF T CCP CL CCR CFR GC EX H&S LF IRS LO LC NN PC OB PRC S OMB T R&TC SOS USC CD EL Electronic FD Floppy Disk C P Paper H TA V Retention Number Retention Length (Years Unless Specified) Special Storage Consideration Media Type Environmental Services Record Type Retention Citations / Comments Orange County Sanitation District Records Retention Schedule Citation Codes Retention Codes Code of Civil Procedure (CA)Closed or Completed California Code of Regulations CU Current Year (Calendar or Fiscal As Appropriate)Code of Federal Regulations Government Code (California)Expired or Expiration General Retention Schedule Information Health & Safety Code Life of Facility, Equip. or Software Internal Revenue Service Life of Organization or Permanent  This Records Retention Schedule (RRS) pertains to any and all Official Records of OC San regardless of Media Type and is adopted in compliance with GC §60201 and additional specific citations as noted.  Public Records Act requests, litigation, audits, claims, and investigations may suspend the stated retention periods and notification of such will be made. As stated in OC San's Records Retention Policy, authorization and proper destruction methods are required prior to destroying all Official Records, regardless of Media Type. When original records have reached their retention length, all copies and duplicates must be destroyed, along with the original, regardless of Media Type.  Copies/duplicate records shall be determined as "duplicate" or "copy" in conjunction with Records Management. Upon determination by Record Management that a record is a duplicate or copy, OC San may destroy the duplicate record if the original or a permanent photographic record exists is in OC San's files (GC §60200).  Notes, preliminary drafts, and transitory records are not considered Official Records and may be destroyed without complying with OC San's RRS (SOS 2-1030). Such records may be destroyed when no longer needed for OC San business and do not require authorization for destruction.  Official Records cannot be discarded in trash bins. They must be submitted to Records Management for secure destruction. Labor Code (CA)When No Longer Needed Penal Code (CA)Obsolete Public Resources Code Superseded Office of Management & Budget Terminated Revenue & Taxation Code Secretary of State Media Types United States Code CD Special Storage Consideration Confidential Historical Tapes Vital ESD010 LO ESD011 LO ESD012 LO ESD013 CU+7 ESD014 CU+6 ESD015 LO Environmental Audit Records:Conducted By Outside Parties SOS c17, SOS c27 SOS C-42, SOS C-45, SOS C-46 Interagency (Outside) Agreements and Documentation MOU GC §60201(d)(9) GC §60201(d)(1); SOS c-24 Laboratory Standard Operating Procedures SOS C-19 Laboratory Records: Sample Preparation Records, Raw Data, Data Logs, Data Packets, QA/QC Reports, Final Processed Data, LIMS Reports, Lab Equipment Maintenance and Sterilization SOS c22, SOS c33 SOS C-46 Non Permittee Files:Inspection Reports Data, Correspondence SOS C-19, SOS C-42 OMP Field Datasheets: Field Data and Collection Documentation, Animal Counts, Fish Collection Observations 40 CFR §141.33; SOS C-46 19 Environmental Services Adopted: XX/XX/2022 DRAF T CCP CL CCR CFR GC EX H&S LF IRS LO LC NN PC OB PRC S OMB T R&TC SOS USC CD EL Electronic FD Floppy Disk C P Paper H TA V Retention Number Retention Length (Years Unless Specified) Special Storage Consideration Media Type Environmental Services Record Type Retention Citations / Comments Orange County Sanitation District Records Retention Schedule Citation Codes Retention Codes Code of Civil Procedure (CA)Closed or Completed California Code of Regulations CU Current Year (Calendar or Fiscal As Appropriate)Code of Federal Regulations Government Code (California)Expired or Expiration General Retention Schedule Information Health & Safety Code Life of Facility, Equip. or Software Internal Revenue Service Life of Organization or Permanent  This Records Retention Schedule (RRS) pertains to any and all Official Records of OC San regardless of Media Type and is adopted in compliance with GC §60201 and additional specific citations as noted.  Public Records Act requests, litigation, audits, claims, and investigations may suspend the stated retention periods and notification of such will be made. As stated in OC San's Records Retention Policy, authorization and proper destruction methods are required prior to destroying all Official Records, regardless of Media Type. When original records have reached their retention length, all copies and duplicates must be destroyed, along with the original, regardless of Media Type.  Copies/duplicate records shall be determined as "duplicate" or "copy" in conjunction with Records Management. Upon determination by Record Management that a record is a duplicate or copy, OC San may destroy the duplicate record if the original or a permanent photographic record exists is in OC San's files (GC §60200).  Notes, preliminary drafts, and transitory records are not considered Official Records and may be destroyed without complying with OC San's RRS (SOS 2-1030). Such records may be destroyed when no longer needed for OC San business and do not require authorization for destruction.  Official Records cannot be discarded in trash bins. They must be submitted to Records Management for secure destruction. Labor Code (CA)When No Longer Needed Penal Code (CA)Obsolete Public Resources Code Superseded Office of Management & Budget Terminated Revenue & Taxation Code Secretary of State Media Types United States Code CD Special Storage Consideration Confidential Historical Tapes Vital ESD016 LO EL ESD017 EX+6 ESD019 LO ESD020 LO P ESD021 CU+3 ESD022 LO H, V NPDES Permitting Files:Final Permit, Permit Applications, Special Studies & Reports, CorrespondenceSee Special Note in ESD020 40 CFR §122.41(j)(2), 40 CFR §403.12(o); SOS C-46 Non-Hazardous Waste Waste Hauler Manifests SOS C-42 Unprocessed Instrumentation Files & Lab Reports 40 CFR §122.41(j) Permittee Files: Discharge Permits and Urban Runoff 40 CFR §122.41(j)(2), 40 CFR §403.12(o); SOS C-46 Cleanup, Abatement, and Remediation of Underground Storage Tanks 23 CCR §2772; SOS C-33 Compliance and Annual Reports:Discharge Monitoring Reports (DMR), Marine Monitoring Annual Report (MMAR), Biosolids Annual ReportSpecial Note: The MMAR contains information from NPDES permits so should be used as a resource to ESD016 40 CFR §122.41(j) 20 Environmental Services Adopted: XX/XX/2022 DRAF T CCP CL CCR CFR GC EX H&S LF IRS LO LC NN PC OB PRC S OMB T R&TC SOS USC CD EL Electronic FD Floppy Disk C P Paper H TA V Retention Number Retention Length (Years Unless Specified) Special Storage Consideration Media Type FAD001 CU+4 FAD002 CL+7 FAD003 CL+7 Financial Management and Administrative Services Record Type Retention Citations / Comments Accounting Reports:Quarterly and Monthly Reports SOS A-1, SOS C-30 Accounts Payable Files: Vendor and Contractor Invoices, Bills, Statements, Any Non-Discharged Debt GC §60201(d)(7), GC §60201(d)(12); SOS C-29CL refers to final payment Freeze on all FAD002 records for the timeframe of 1/1/2010 through 12/31/2013. Freeze until 1/1/2048 for the purposes of fulfilling Build America Bonds IRS requirements. OC San issued Build America Bonds in 2010 (outstanding through 2044) for which we are receiving a federal subsidy to offset our interest costs. The IRS guidance found states that all issuers should have records retention policies that maintain bond documents & related records (including documents supporting the disposition of funds) for at least the life of the bonds plus three years (through 2047). Accounts Receivable Files CCP §337; GC §60201(d)(7), GC §60201(d)(12); SOS C-29 CL refers to final payment Special Storage Consideration Confidential Historical Orange County Sanitation District Records Retention Schedule Citation Codes Retention Codes Code of Civil Procedure (CA)Closed or Completed California Code of Regulations CU Current Year (Calendar or Fiscal As Appropriate)Code of Federal Regulations Government Code (California)Expired or Expiration Tapes Vital General Retention Schedule Information Health & Safety Code Life of Facility, Equip. or Software Internal Revenue Service Life of Organization or Permanent  This Records Retention Schedule (RRS) pertains to any and all Official Records of OC San regardless of Media Type and is adopted in compliance with GC §60201 and additional specific citations as noted.  Public Records Act requests, litigation, audits, claims, and investigations may suspend the stated retention periods and notification of such will be made. As stated in OC San's Records Retention Policy, authorization and proper destruction methods are required prior to destroying all Official Records, regardless of Media Type. When original records have reached their retention length, all copies and duplicates must be destroyed, along with the original, regardless of Media Type.  Copies/duplicate records shall be determined as "duplicate" or "copy" in conjunction with Records Management. Upon determination by Record Management that a record is a duplicate or copy, OC San may destroy the duplicate record if the original or a permanent photographic record exists is in OC San's files (GC §60200).  Notes, preliminary drafts, and transitory records are not considered Official Records and may be destroyed without complying with OC San's RRS (SOS 2-1030). Such records may be destroyed when no longer needed for OC San business and do not require authorization for destruction.  Official Records cannot be discarded in trash bins. They must be submitted to Records Management for secure destruction. Labor Code (CA)When No Longer Needed Penal Code (CA)Obsolete Public Resources Code Superseded Office of Management & Budget Terminated Revenue & Taxation Code Secretary of State Media Types United States Code CD 21 Financial Management and Administrative Services Adopted: XX/XX/2022 DRAF T CCP CL CCR CFR GC EX H&S LF IRS LO LC NN PC OB PRC S OMB T R&TC SOS USC CD EL Electronic FD Floppy Disk C P Paper H TA V Retention Number Retention Length (Years Unless Specified) Special Storage Consideration Media Type Financial Management and Administrative Services Record Type Retention Citations / Comments Special Storage Consideration Confidential Historical Orange County Sanitation District Records Retention Schedule Citation Codes Retention Codes Code of Civil Procedure (CA)Closed or Completed California Code of Regulations CU Current Year (Calendar or Fiscal As Appropriate)Code of Federal Regulations Government Code (California)Expired or Expiration Tapes Vital General Retention Schedule Information Health & Safety Code Life of Facility, Equip. or Software Internal Revenue Service Life of Organization or Permanent  This Records Retention Schedule (RRS) pertains to any and all Official Records of OC San regardless of Media Type and is adopted in compliance with GC §60201 and additional specific citations as noted.  Public Records Act requests, litigation, audits, claims, and investigations may suspend the stated retention periods and notification of such will be made. As stated in OC San's Records Retention Policy, authorization and proper destruction methods are required prior to destroying all Official Records, regardless of Media Type. When original records have reached their retention length, all copies and duplicates must be destroyed, along with the original, regardless of Media Type.  Copies/duplicate records shall be determined as "duplicate" or "copy" in conjunction with Records Management. Upon determination by Record Management that a record is a duplicate or copy, OC San may destroy the duplicate record if the original or a permanent photographic record exists is in OC San's files (GC §60200).  Notes, preliminary drafts, and transitory records are not considered Official Records and may be destroyed without complying with OC San's RRS (SOS 2-1030). Such records may be destroyed when no longer needed for OC San business and do not require authorization for destruction.  Official Records cannot be discarded in trash bins. They must be submitted to Records Management for secure destruction. Labor Code (CA)When No Longer Needed Penal Code (CA)Obsolete Public Resources Code Superseded Office of Management & Budget Terminated Revenue & Taxation Code Secretary of State Media Types United States Code CD FAD004 LO H FAD005 LO H FAD006 S+7 FAD007 CU+6 FAD008 LO FAD009 LO H, V during current FY Bank Signature Cards GC §60201(d)(12) Banking Records:Deposit Receipts, Bank Statements, Checking Account Reconciliation, Cash Transfer Report (LAIF, Wire Transfers, and Intrabank Transfers), Adjustments - Returned Checks (NSF), ACH Returns, Positive Pay Exceptions SOS C-29, SOS C-30 Bonds: Certificates of Participation, Transcripts, Disclosure Reports, Registers, Issue Records, Determination of Allocation CCP §336(a), CCP §337.5; GC §43900, GC §53921 Annual Report - Financial SOS C-30 Audit Records: Financial Statements, Audit Management Letters, Comprehensive Annual Financial Report (CAFR) SOS C-30 Budgets (Adopted)SOS -29 22 Financial Management and Administrative Services Adopted: XX/XX/2022 DRAF T CCP CL CCR CFR GC EX H&S LF IRS LO LC NN PC OB PRC S OMB T R&TC SOS USC CD EL Electronic FD Floppy Disk C P Paper H TA V Retention Number Retention Length (Years Unless Specified) Special Storage Consideration Media Type Financial Management and Administrative Services Record Type Retention Citations / Comments Special Storage Consideration Confidential Historical Orange County Sanitation District Records Retention Schedule Citation Codes Retention Codes Code of Civil Procedure (CA)Closed or Completed California Code of Regulations CU Current Year (Calendar or Fiscal As Appropriate)Code of Federal Regulations Government Code (California)Expired or Expiration Tapes Vital General Retention Schedule Information Health & Safety Code Life of Facility, Equip. or Software Internal Revenue Service Life of Organization or Permanent  This Records Retention Schedule (RRS) pertains to any and all Official Records of OC San regardless of Media Type and is adopted in compliance with GC §60201 and additional specific citations as noted.  Public Records Act requests, litigation, audits, claims, and investigations may suspend the stated retention periods and notification of such will be made. As stated in OC San's Records Retention Policy, authorization and proper destruction methods are required prior to destroying all Official Records, regardless of Media Type. When original records have reached their retention length, all copies and duplicates must be destroyed, along with the original, regardless of Media Type.  Copies/duplicate records shall be determined as "duplicate" or "copy" in conjunction with Records Management. Upon determination by Record Management that a record is a duplicate or copy, OC San may destroy the duplicate record if the original or a permanent photographic record exists is in OC San's files (GC §60200).  Notes, preliminary drafts, and transitory records are not considered Official Records and may be destroyed without complying with OC San's RRS (SOS 2-1030). Such records may be destroyed when no longer needed for OC San business and do not require authorization for destruction.  Official Records cannot be discarded in trash bins. They must be submitted to Records Management for secure destruction. Labor Code (CA)When No Longer Needed Penal Code (CA)Obsolete Public Resources Code Superseded Office of Management & Budget Terminated Revenue & Taxation Code Secretary of State Media Types United States Code CD FAD010 CU+5 FAD011 CU+7 FAD012 LO H EL, P FAD013 CU+7 FAD014 CU+10 FAD015 LO Capital Facility Capacity Charges (CFCC) CCP §337; GC §60201(d)(12); SOS C-29 Changed to LO as it is beneficial for OC San to maintain copies of permits for fee calculations in the future and historical reference for fees paid for parcels Expense Reports CCP §337; GC §60201(d)(12); SOS A-1 Financial Statements SOS c39 SOS C-29 Budgets vs. Actual:Supporting Documentation Summaries, Worksheets, Goals and Objectives, Milestones GC §34090; SOS C-29 Check Records: Cancelled Payroll Checks, Voided Copies For Automatic Deposits, Registers, Requests for Hand Checks & Interim Payroll Checks CCP §337; GC §60201(d)(12); SOS C-29 Financial System:ERP Database, Access Database, Utility Billing Data is interrelated across platforms GC needs to know what records these systems generate/house to determine citations Citations pending more info on Record Type 23 Financial Management and Administrative Services Adopted: XX/XX/2022 DRAF T CCP CL CCR CFR GC EX H&S LF IRS LO LC NN PC OB PRC S OMB T R&TC SOS USC CD EL Electronic FD Floppy Disk C P Paper H TA V Retention Number Retention Length (Years Unless Specified) Special Storage Consideration Media Type Financial Management and Administrative Services Record Type Retention Citations / Comments Special Storage Consideration Confidential Historical Orange County Sanitation District Records Retention Schedule Citation Codes Retention Codes Code of Civil Procedure (CA)Closed or Completed California Code of Regulations CU Current Year (Calendar or Fiscal As Appropriate)Code of Federal Regulations Government Code (California)Expired or Expiration Tapes Vital General Retention Schedule Information Health & Safety Code Life of Facility, Equip. or Software Internal Revenue Service Life of Organization or Permanent  This Records Retention Schedule (RRS) pertains to any and all Official Records of OC San regardless of Media Type and is adopted in compliance with GC §60201 and additional specific citations as noted.  Public Records Act requests, litigation, audits, claims, and investigations may suspend the stated retention periods and notification of such will be made. As stated in OC San's Records Retention Policy, authorization and proper destruction methods are required prior to destroying all Official Records, regardless of Media Type. When original records have reached their retention length, all copies and duplicates must be destroyed, along with the original, regardless of Media Type.  Copies/duplicate records shall be determined as "duplicate" or "copy" in conjunction with Records Management. Upon determination by Record Management that a record is a duplicate or copy, OC San may destroy the duplicate record if the original or a permanent photographic record exists is in OC San's files (GC §60200).  Notes, preliminary drafts, and transitory records are not considered Official Records and may be destroyed without complying with OC San's RRS (SOS 2-1030). Such records may be destroyed when no longer needed for OC San business and do not require authorization for destruction.  Official Records cannot be discarded in trash bins. They must be submitted to Records Management for secure destruction. Labor Code (CA)When No Longer Needed Penal Code (CA)Obsolete Public Resources Code Superseded Office of Management & Budget Terminated Revenue & Taxation Code Secretary of State Media Types United States Code CD FAD016 LF FAD017 LO FAD018 LO FAD019 LO FAD020 LO FAD021 CL+7 Investment Records: Investment Policy, Custodian Bank Transaction Records, Asset Detail, Asset Summary, Yield, Statements, LAIF Withdrawals/Deposits, Portfolio Withdrawals/Deposits, Treasurer’s Report, GASB 40 Report, GASB 72 Report CCP §337; GC §34090, GC §53607; SOS C-30 Journal Entries CCP §337; SOS C-29 Local Resources Program Reports (LRP)/Water CertificationsGC needs to know what documents fall into this Type to determine citations 40 CFR §141.91 Fixed Asset Records SOS C-29 General Ledger GC §60201(d)(12); SOS C-29 OCERS Files:Copies of OCERS Payments, Statements 29 CFR §516.6(a)(1); GC §60201(d)(12) CL refers to final payment 24 Financial Management and Administrative Services Adopted: XX/XX/2022 DRAF T CCP CL CCR CFR GC EX H&S LF IRS LO LC NN PC OB PRC S OMB T R&TC SOS USC CD EL Electronic FD Floppy Disk C P Paper H TA V Retention Number Retention Length (Years Unless Specified) Special Storage Consideration Media Type Financial Management and Administrative Services Record Type Retention Citations / Comments Special Storage Consideration Confidential Historical Orange County Sanitation District Records Retention Schedule Citation Codes Retention Codes Code of Civil Procedure (CA)Closed or Completed California Code of Regulations CU Current Year (Calendar or Fiscal As Appropriate)Code of Federal Regulations Government Code (California)Expired or Expiration Tapes Vital General Retention Schedule Information Health & Safety Code Life of Facility, Equip. or Software Internal Revenue Service Life of Organization or Permanent  This Records Retention Schedule (RRS) pertains to any and all Official Records of OC San regardless of Media Type and is adopted in compliance with GC §60201 and additional specific citations as noted.  Public Records Act requests, litigation, audits, claims, and investigations may suspend the stated retention periods and notification of such will be made. As stated in OC San's Records Retention Policy, authorization and proper destruction methods are required prior to destroying all Official Records, regardless of Media Type. When original records have reached their retention length, all copies and duplicates must be destroyed, along with the original, regardless of Media Type.  Copies/duplicate records shall be determined as "duplicate" or "copy" in conjunction with Records Management. Upon determination by Record Management that a record is a duplicate or copy, OC San may destroy the duplicate record if the original or a permanent photographic record exists is in OC San's files (GC §60200).  Notes, preliminary drafts, and transitory records are not considered Official Records and may be destroyed without complying with OC San's RRS (SOS 2-1030). Such records may be destroyed when no longer needed for OC San business and do not require authorization for destruction.  Official Records cannot be discarded in trash bins. They must be submitted to Records Management for secure destruction. Labor Code (CA)When No Longer Needed Penal Code (CA)Obsolete Public Resources Code Superseded Office of Management & Budget Terminated Revenue & Taxation Code Secretary of State Media Types United States Code CD FAD022 LO FAD023 T+7 FAD024 CU+7 FAD025 CU+10 FAD026 CU+7 FAD027 LO Petty Cash Records 26 CFR §1.6001-1; CCP §337; GC §60201(d)(12); SOS A-1 Rate Studies Business value for longer retentionNo citations? Rebates and Refunds: Sewer Service Fees 26 CFR §1.6001-1 OCERS Retirement Report 29 CFR §516.6(a)(1); GC §60201(d)(12)Business value for LO retention Payroll Records (Generated from Payroll Taxes): Timesheets; Payroll Registers and Reports; Unemployment Claims; Garnishments; Payment of Labor Costs Including Salaries, Wages, Compensation, and Deductions For Employees, Board Members, and Contractors (DE-6 & 941 Forms - Quarterly and Annual Payroll Tax Returns) CCP §337; 26 CFR §1.6001-1, 29 CFR §516.5, 29 CFR §516.5(a)-(b), 29 CFR §516.6(a)(1); GC §60201(d)(12); SOS C-30; IRS Reg. §31.6001-1(e)(2); R&TC §19530 State Controller's Reports SOS C-30 25 Financial Management and Administrative Services Adopted: XX/XX/2022 DRAF T CCP CL CCR CFR GC EX H&S LF IRS LO LC NN PC OB PRC S OMB T R&TC SOS USC CD EL Electronic FD Floppy Disk C P Paper H TA V Retention Number Retention Length (Years Unless Specified) Special Storage Consideration Media Type Financial Management and Administrative Services Record Type Retention Citations / Comments Special Storage Consideration Confidential Historical Orange County Sanitation District Records Retention Schedule Citation Codes Retention Codes Code of Civil Procedure (CA)Closed or Completed California Code of Regulations CU Current Year (Calendar or Fiscal As Appropriate)Code of Federal Regulations Government Code (California)Expired or Expiration Tapes Vital General Retention Schedule Information Health & Safety Code Life of Facility, Equip. or Software Internal Revenue Service Life of Organization or Permanent  This Records Retention Schedule (RRS) pertains to any and all Official Records of OC San regardless of Media Type and is adopted in compliance with GC §60201 and additional specific citations as noted.  Public Records Act requests, litigation, audits, claims, and investigations may suspend the stated retention periods and notification of such will be made. As stated in OC San's Records Retention Policy, authorization and proper destruction methods are required prior to destroying all Official Records, regardless of Media Type. When original records have reached their retention length, all copies and duplicates must be destroyed, along with the original, regardless of Media Type.  Copies/duplicate records shall be determined as "duplicate" or "copy" in conjunction with Records Management. Upon determination by Record Management that a record is a duplicate or copy, OC San may destroy the duplicate record if the original or a permanent photographic record exists is in OC San's files (GC §60200).  Notes, preliminary drafts, and transitory records are not considered Official Records and may be destroyed without complying with OC San's RRS (SOS 2-1030). Such records may be destroyed when no longer needed for OC San business and do not require authorization for destruction.  Official Records cannot be discarded in trash bins. They must be submitted to Records Management for secure destruction. Labor Code (CA)When No Longer Needed Penal Code (CA)Obsolete Public Resources Code Superseded Office of Management & Budget Terminated Revenue & Taxation Code Secretary of State Media Types United States Code CD FAD028 CU+7 FAD029 CU+7 FAD030 CU+7 FAD031 LO FAD032 LO Trial Balance Records GC §60201(d)(12); GC §60201(d)(4); SOS c22 SOS C-29 Claims (Excluding Workers Comp Claims): Claims Against OC San/OC San Employees (Wrongdoing by OC San/OC San Employees, Project Related Injury), Employment Claims (Wrongful Termination, Harassment, Discrimination) SOS C-22 Redevelopment Agency (RDA) Records:Records Regarding Member Agency RDA Required Payment to OC San SOS C-29 Tax Records - Employee & Retirees:W-2's, 1099R, Annual Information Returns for Employees and Retirees 29 CFR §31.600-1(d), 29 CFR §31.605-1, 29 CFR §516.5 - 516.6; GC §60201(d)(12); SOS C-30, SOS C-29; USC §436; IRS Reg. §31.6001-1(e)(2); R&TC §19530 Tax Records (Generated From A/P & Vendor Files):Vendor No citations? 26 Financial Management and Administrative Services Adopted: XX/XX/2022 DRAF T CCP CL CCR CFR GC EX H&S LF IRS LO LC NN PC OB PRC S OMB T R&TC SOS USC CD EL Electronic FD Floppy Disk C P Paper H TA V Retention Number Retention Length (Years Unless Specified) Special Storage Consideration Media Type GMO001 LO H GMO007 CU+2 GMO009 CU+2 GMO016 CU+7 Annual OC San Reports:OC San Strategic Plan No citations? Executive Management Team (EMT) Meeting Files: Agenda, Agenda Report, Handouts SOS A-2 Travel Records No citations? GM Monthly Reports LO in BSD002 as part of Board agenda packet distribution/retention SOS C-19 General Retention Schedule Information Health & Safety Code Life of Facility, Equip. or Software General Manager's Office Record Type Retention Citations / Comments Internal Revenue Service Life of Organization or Permanent  This Records Retention Schedule (RRS) pertains to any and all Official Records of OC San regardless of Media Type and is adopted in compliance with GC §60201 and additional specific citations as noted.  Public Records Act requests, litigation, audits, claims, and investigations may suspend the stated retention periods and notification of such will be made. As stated in OC San's Records Retention Policy, authorization and proper destruction methods are required prior to destroying all Official Records, regardless of Media Type. When original records have reached their retention length, all copies and duplicates must be destroyed, along with the original, regardless of Media Type.  Copies/duplicate records shall be determined as "duplicate" or "copy" in conjunction with Records Management. Upon determination by Record Management that a record is a duplicate or copy, OC San may destroy the duplicate record if the original or a permanent photographic record exists is in OC San's files (GC §60200).  Notes, preliminary drafts, and transitory records are not considered Official Records and may be destroyed without complying with OC San's RRS (SOS 2-1030). Such records may be destroyed when no longer needed for OC San business and do not require authorization for destruction.  Official Records cannot be discarded in trash bins. They must be submitted to Records Management for secure destruction. Labor Code (CA)When No Longer Needed Penal Code (CA)Obsolete Public Resources Code Superseded Office of Management & Budget Orange County Sanitation District Records Retention Schedule Citation Codes Retention Codes Code of Civil Procedure (CA)Closed or Completed California Code of Regulations CU Current Year (Calendar or Fiscal As Appropriate)Code of Federal Regulations Government Code (California)Expired or Expiration Terminated Revenue & Taxation Code Secretary of State Media Types United States Code Vital CD Special Storage Consideration Confidential Historical Tapes 27 General Manager's Office Adopted: XX/XX/2022 DRAF T CCP CL CCR CFR GC EX H&S LF IRS LO LC NN PC OB PRC S OMB T R&TC SOS USC CD EL Electronic FD Floppy Disk C P Paper H TA V Retention Number Retention Length (Years Unless Specified) Special Storage Consideration Media Type HRD001 LO HRD002 CL+7 HRD003 LO HRD004 LO HRD005 CL+3 HRD006 LO Employee & Labor Relations Files:Memorandums of Understanding (MOU), Arbitration, Grievances, Union Requests, Employee Rights, Appeals, Investigations, Performance Improvement Plans (PIP), Disciplinary Actions and Complaints, Sexual Harassment, Civil Rights 29 CFR §516.5, 29 CFR §1602.31, 29 CFR §1627.3(b)(1)(ii); GC §12946 Deferred Compensation Records:Participation Agreements 26 CFR §31.6001-1(e)(2); 26 CFR §16001-1, 29 CFR §1627.3; SOS C-30 District Benefit Contracts: Health, Dental, Vision, Other Benefit Contracts 11 CCR §560; 28 CCR §1300.85.1; 29 CFR §1627.3(b)(2); 29 USC §1027 EEO-4 Reports and Files:Documents Required to Generate EEO-4 Report 29 CFR §1602.30, 29 CFR §1602.31, 29 CFR §1602.32 Temporary Employees: Hiring Documents, Tracking Spreadsheet, Request Forms CCP §336(a); CCP §337, CCP §343; 29 CFR §1627.3; SOS C-21 Human Resources Record Type Retention Citations / Comments Classification & Compensation:Class & Comp Studies, Class Specifications, Salary Surveys, Salary Schedules, Pay Types, Reclass Requests, Desk Audits 29 CFR §1627.3; GC §60201(d)(12), GC §12946; SOS C-21 Orange County Sanitation District Records Retention Schedule Citation Codes Retention Codes Code of Civil Procedure (CA)Closed or Completed California Code of Regulations CU Current Year (Calendar or Fiscal As Appropriate)Code of Federal Regulations Government Code (California)Expired or Expiration General Retention Schedule Information Health & Safety Code Life of Facility, Equip. or Software Internal Revenue Service Life of Organization or Permanent  This Records Retention Schedule (RRS) pertains to any and all Official Records of OC San regardless of Media Type and is adopted in compliance with GC §60201 and additional specific citations as noted.  Public Records Act requests, litigation, audits, claims, and investigations may suspend the stated retention periods and notification of such will be made. As stated in OC San's Records Retention Policy, authorization and proper destruction methods are required prior to destroying all Official Records, regardless of Media Type. When original records have reached their retention length, all copies and duplicates must be destroyed, along with the original, regardless of Media Type.  Copies/duplicate records shall be determined as "duplicate" or "copy" in conjunction with Records Management. Upon determination by Record Management that a record is a duplicate or copy, OC San may destroy the duplicate record if the original or a permanent photographic record exists is in OC San's files (GC §60200).  Notes, preliminary drafts, and transitory records are not considered Official Records and may be destroyed without complying with OC San's RRS (SOS 2-1030). Such records may be destroyed when no longer needed for OC San business and do not require authorization for destruction.  Official Records cannot be discarded in trash bins. They must be submitted to Records Management for secure destruction. Labor Code (CA)When No Longer Needed Penal Code (CA)Obsolete Public Resources Code Superseded Office of Management & Budget Terminated Revenue & Taxation Code Secretary of State Media Types United States Code CD Special Storage Consideration Confidential Historical Tapes Vital 28 Human Resources Adopted: XX/XX/2022 DRAF T CCP CL CCR CFR GC EX H&S LF IRS LO LC NN PC OB PRC S OMB T R&TC SOS USC CD EL Electronic FD Floppy Disk C P Paper H TA V Retention Number Retention Length (Years Unless Specified) Special Storage Consideration Media Type Human Resources Record Type Retention Citations / Comments Orange County Sanitation District Records Retention Schedule Citation Codes Retention Codes Code of Civil Procedure (CA)Closed or Completed California Code of Regulations CU Current Year (Calendar or Fiscal As Appropriate)Code of Federal Regulations Government Code (California)Expired or Expiration General Retention Schedule Information Health & Safety Code Life of Facility, Equip. or Software Internal Revenue Service Life of Organization or Permanent  This Records Retention Schedule (RRS) pertains to any and all Official Records of OC San regardless of Media Type and is adopted in compliance with GC §60201 and additional specific citations as noted.  Public Records Act requests, litigation, audits, claims, and investigations may suspend the stated retention periods and notification of such will be made. As stated in OC San's Records Retention Policy, authorization and proper destruction methods are required prior to destroying all Official Records, regardless of Media Type. When original records have reached their retention length, all copies and duplicates must be destroyed, along with the original, regardless of Media Type.  Copies/duplicate records shall be determined as "duplicate" or "copy" in conjunction with Records Management. Upon determination by Record Management that a record is a duplicate or copy, OC San may destroy the duplicate record if the original or a permanent photographic record exists is in OC San's files (GC §60200).  Notes, preliminary drafts, and transitory records are not considered Official Records and may be destroyed without complying with OC San's RRS (SOS 2-1030). Such records may be destroyed when no longer needed for OC San business and do not require authorization for destruction.  Official Records cannot be discarded in trash bins. They must be submitted to Records Management for secure destruction. Labor Code (CA)When No Longer Needed Penal Code (CA)Obsolete Public Resources Code Superseded Office of Management & Budget Terminated Revenue & Taxation Code Secretary of State Media Types United States Code CD Special Storage Consideration Confidential Historical Tapes Vital HRD007 T+7 Retirees: Death+7 HRD009 LO HRD010 T+3 HRD011 T+30 Retirees: Death+30 HRD012 S+2 HRD013 T+7 V until separation Personnel Files: Includes Application, Awards, Disciplinary Actions, Certifications, Commendations, Employment Verifications, (pre-2011) Evaluations, Licenses, Status Change Forms, Policy Acknowledgements, Waiver of Responsibility for Voluntary Activities, Training Records, Pay Docs, Emergency Contacts, Change of Address, Outside Employment, Development Pay Forms, Computer Loan Forms, Tuition Reimbursement Info, Specific Rideshare Info, Resignation 8 CCR §3204(d)(1); 29 CFR §1602.31, 29 CFR §1627.3(b)(ii); GC §§12946; 29 USC §1113 I-9 Forms & Self-Identification Forms 8 CFR §1274a.2(b)(2)(i)(A); 8 USC §1324a(b)(3)(B); SOS C-20 Medical Files: Fitness for Duty, Leaves of Absence, Interactive Process, Workers Comp Medical Files are excluded from Personnel Files which are retained in HRD013 8 CCR §3204(d)(1); 29 CFR 1910.1020; GC §12946 Organization Charts GC §60201(d)(1) SOS C-19 Employee Benefit Plans and Programs:Health Insurance, Supplemental Life Insurance, Beneficiary Designations, Records, Repayment Agreements, Eligibility Changes, Development Pay, Rideshare 29 CFR §1602.30, 29 CFR §1602.32, 29 CFR §1627.3(b)(2); GC §12946, GC §60201(d)(12); LC §1197.5 Human Resources/ERP Database: Electronic Records Management - JDE, Cornerstone, Workterra (Data Shared Across These Systems/Feed Into Each Other) No citations? 29 Human Resources Adopted: XX/XX/2022 DRAF T CCP CL CCR CFR GC EX H&S LF IRS LO LC NN PC OB PRC S OMB T R&TC SOS USC CD EL Electronic FD Floppy Disk C P Paper H TA V Retention Number Retention Length (Years Unless Specified) Special Storage Consideration Media Type Human Resources Record Type Retention Citations / Comments Orange County Sanitation District Records Retention Schedule Citation Codes Retention Codes Code of Civil Procedure (CA)Closed or Completed California Code of Regulations CU Current Year (Calendar or Fiscal As Appropriate)Code of Federal Regulations Government Code (California)Expired or Expiration General Retention Schedule Information Health & Safety Code Life of Facility, Equip. or Software Internal Revenue Service Life of Organization or Permanent  This Records Retention Schedule (RRS) pertains to any and all Official Records of OC San regardless of Media Type and is adopted in compliance with GC §60201 and additional specific citations as noted.  Public Records Act requests, litigation, audits, claims, and investigations may suspend the stated retention periods and notification of such will be made. As stated in OC San's Records Retention Policy, authorization and proper destruction methods are required prior to destroying all Official Records, regardless of Media Type. When original records have reached their retention length, all copies and duplicates must be destroyed, along with the original, regardless of Media Type.  Copies/duplicate records shall be determined as "duplicate" or "copy" in conjunction with Records Management. Upon determination by Record Management that a record is a duplicate or copy, OC San may destroy the duplicate record if the original or a permanent photographic record exists is in OC San's files (GC §60200).  Notes, preliminary drafts, and transitory records are not considered Official Records and may be destroyed without complying with OC San's RRS (SOS 2-1030). Such records may be destroyed when no longer needed for OC San business and do not require authorization for destruction.  Official Records cannot be discarded in trash bins. They must be submitted to Records Management for secure destruction. Labor Code (CA)When No Longer Needed Penal Code (CA)Obsolete Public Resources Code Superseded Office of Management & Budget Terminated Revenue & Taxation Code Secretary of State Media Types United States Code CD Special Storage Consideration Confidential Historical Tapes Vital HRD014 CL+4 3 HRD015 T+7 HRD016 T+7 HRD017 CL+3 EL HRD018 EX+5 HRD019 LO H ELOC San U (Formerly Known as BLAST & OCSD U) Development Records:Research Material, Timeline SOS C-28 Background Checks:Candidate Background Checks SOS C-21 Human Resources Programs:Rideshare, Tuition Reimbursement, Computer Loan, Development Pay Need to identify what these documents are; they might the blank forms & system info that supports the programs or policies/procedures. Need to ensure proper citations (retention). GC §12946; SOS C-20 Citations pending description of Record Type District Benefit Plans: Benefits Summary Plan Descriptions (Health, Dental, Vision, Other)SOS C-21 Recruitment Records: Includes Applications, Resumes, Certifications, and Other Recruitment Related Documents; Advertisements; Job Brochures; Test Data; Rating Sheets; Questions; Eligibility Lists; Electronic/NEOGOV Records Retention begins after hiring decision 2 CCR §1101, 8 CCR §11040; 29 CFR §1602 et seq., 29 CFR §1607.29, 29 CFR §1627.3(a)(b); GC §6250 et seq., 12946, GC §12946 37287.0(c)(2); SOS C-21 Training Program Records: Class Attendance Sheets, Schedules, Classes Offered, Curriculum or Syllabus, Training Materials Development (Data Shared Across These Systems/Feed Into Each Other) SOS C-21 30 Human Resources Adopted: XX/XX/2022 DRAF T CCP CL CCR CFR GC EX H&S LF IRS LO LC NN PC OB PRC S OMB T R&TC SOS USC CD EL Electronic FD Floppy Disk C P Paper H TA V Retention Number Retention Length (Years Unless Specified) Special Storage Consideration Media Type Human Resources Record Type Retention Citations / Comments Orange County Sanitation District Records Retention Schedule Citation Codes Retention Codes Code of Civil Procedure (CA)Closed or Completed California Code of Regulations CU Current Year (Calendar or Fiscal As Appropriate)Code of Federal Regulations Government Code (California)Expired or Expiration General Retention Schedule Information Health & Safety Code Life of Facility, Equip. or Software Internal Revenue Service Life of Organization or Permanent  This Records Retention Schedule (RRS) pertains to any and all Official Records of OC San regardless of Media Type and is adopted in compliance with GC §60201 and additional specific citations as noted.  Public Records Act requests, litigation, audits, claims, and investigations may suspend the stated retention periods and notification of such will be made. As stated in OC San's Records Retention Policy, authorization and proper destruction methods are required prior to destroying all Official Records, regardless of Media Type. When original records have reached their retention length, all copies and duplicates must be destroyed, along with the original, regardless of Media Type.  Copies/duplicate records shall be determined as "duplicate" or "copy" in conjunction with Records Management. Upon determination by Record Management that a record is a duplicate or copy, OC San may destroy the duplicate record if the original or a permanent photographic record exists is in OC San's files (GC §60200).  Notes, preliminary drafts, and transitory records are not considered Official Records and may be destroyed without complying with OC San's RRS (SOS 2-1030). Such records may be destroyed when no longer needed for OC San business and do not require authorization for destruction.  Official Records cannot be discarded in trash bins. They must be submitted to Records Management for secure destruction. Labor Code (CA)When No Longer Needed Penal Code (CA)Obsolete Public Resources Code Superseded Office of Management & Budget Terminated Revenue & Taxation Code Secretary of State Media Types United States Code CD Special Storage Consideration Confidential Historical Tapes Vital HRD020 S+2 EL HRD021 NN EL HRD022 S+2 EL HRD023 S EL HRD024 LO OC San U (Formerly Known as BLAST & OCSD U) Program Files:Minutes, Marketing Material, Program/Training Evaluations, Quarterly Reports SOS C-19 OC San U (Formerly Known as BLAST & OCSD U) Working Documents: Member Rosters - Active & Inactive No citations? Workers Compensation Files, Including Claims 8 CCR §14300.4, CCR §14311, 8 CCR §15400.2; LC §110-139.6; SOS C-24 OC San U (Formerly Known as BLAST & OCSD U) Procedures SOS C-23 OC San U (Formerly Known as BLAST & OCSD U) Professional Development Articles From External Sources No citations? 31 Human Resources Adopted: XX/XX/2022 DRAF T CCP CL CCR CFR GC EX H&S LF IRS LO LC NN PC OB PRC S OMB T R&TC SOS USC CD EL Electronic FD Floppy Disk C P Paper H TA V Retention Number Retention Length (Years Unless Specified) Special Storage Consideration Media Type ITD001 T+3 ITD002 LF+2 ITD003 S+2 ITD004 S ITD005 CU+2 ITD006 CL+3IT Help Desk System:Service Tickets, Change Requests and Releases SOS C-22 System and Software Documentation: Network Design, Instruction, Licenses, License Codes, Agreements, Systems List, Permission to Directories, SharePoint Lists, Hardware and Software Documentation, Source Code, IT Manuals GC §34090; SOS C-22 GIS (Geographic Information System) Database: Layers Data is interrelated across platforms SOS C-22 Information/Activity Logs:Internet, Phone, Badge, Visitors SOS C-22 Wiring Specs and Test Results - Loop Drawings Active until revised/rescinded/superseded SOS A-1, SOS C-22 Information Technology Record Type Retention Citations / Comments Access Authorization Forms:Email Access Requests, Internet Access Requests, Mobile Devices Access No citations? Orange County Sanitation District Records Retention Schedule Citation Codes Retention Codes Code of Civil Procedure (CA)Closed or Completed California Code of Regulations CU Current Year (Calendar or Fiscal As Appropriate)Code of Federal Regulations Government Code (California)Expired or Expiration General Retention Schedule Information Health & Safety Code Life of Facility, Equip. or Software Internal Revenue Service Life of Organization or Permanent  This Records Retention Schedule (RRS) pertains to any and all Official Records of OC San regardless of Media Type and is adopted in compliance with GC §60201 and additional specific citations as noted.  Public Records Act requests, litigation, audits, claims, and investigations may suspend the stated retention periods and notification of such will be made. As stated in OC San's Records Retention Policy, authorization and proper destruction methods are required prior to destroying all Official Records, regardless of Media Type. When original records have reached their retention length, all copies and duplicates must be destroyed, along with the original, regardless of Media Type.  Copies/duplicate records shall be determined as "duplicate" or "copy" in conjunction with Records Management. Upon determination by Record Management that a record is a duplicate or copy, OC San may destroy the duplicate record if the original or a permanent photographic record exists is in OC San's files (GC §60200).  Notes, preliminary drafts, and transitory records are not considered Official Records and may be destroyed without complying with OC San's RRS (SOS 2-1030). Such records may be destroyed when no longer needed for OC San business and do not require authorization for destruction.  Official Records cannot be discarded in trash bins. They must be submitted to Records Management for secure destruction. Labor Code (CA)When No Longer Needed Penal Code (CA)Obsolete Public Resources Code Superseded Office of Management & Budget Terminated Revenue & Taxation Code Secretary of State Media Types United States Code CD Special Storage Consideration Confidential Historical Tapes Vital 32 Information Technology Adopted: XX/XX/2022 DRAF T CCP CL CCR CFR GC EX H&S LF IRS LO LC NN PC OB PRC S OMB T R&TC SOS USC CD EL Electronic FD Floppy Disk C P Paper H TA V Retention Number Retention Length (Years Unless Specified) Special Storage Consideration Media Type Information Technology Record Type Retention Citations / Comments Orange County Sanitation District Records Retention Schedule Citation Codes Retention Codes Code of Civil Procedure (CA)Closed or Completed California Code of Regulations CU Current Year (Calendar or Fiscal As Appropriate)Code of Federal Regulations Government Code (California)Expired or Expiration General Retention Schedule Information Health & Safety Code Life of Facility, Equip. or Software Internal Revenue Service Life of Organization or Permanent  This Records Retention Schedule (RRS) pertains to any and all Official Records of OC San regardless of Media Type and is adopted in compliance with GC §60201 and additional specific citations as noted.  Public Records Act requests, litigation, audits, claims, and investigations may suspend the stated retention periods and notification of such will be made. As stated in OC San's Records Retention Policy, authorization and proper destruction methods are required prior to destroying all Official Records, regardless of Media Type. When original records have reached their retention length, all copies and duplicates must be destroyed, along with the original, regardless of Media Type.  Copies/duplicate records shall be determined as "duplicate" or "copy" in conjunction with Records Management. Upon determination by Record Management that a record is a duplicate or copy, OC San may destroy the duplicate record if the original or a permanent photographic record exists is in OC San's files (GC §60200).  Notes, preliminary drafts, and transitory records are not considered Official Records and may be destroyed without complying with OC San's RRS (SOS 2-1030). Such records may be destroyed when no longer needed for OC San business and do not require authorization for destruction.  Official Records cannot be discarded in trash bins. They must be submitted to Records Management for secure destruction. Labor Code (CA)When No Longer Needed Penal Code (CA)Obsolete Public Resources Code Superseded Office of Management & Budget Terminated Revenue & Taxation Code Secretary of State Media Types United States Code CD Special Storage Consideration Confidential Historical Tapes Vital ITD007 CU+4 ITD008 S+2 ITD013 S+2 ITD015 CU+1 System Log (Database):Transaction Logs, Error Logs SOS C-22 Video Surveillance Files and System Security Database GC §53160, GC §53161 Recordings of routine video surveillance must be retained for at least one (1) year. Recordings of telephone and radio communications must be retained for at least 100 days. In the event that the recordings are evidence in any claim filed or any pending litigation, they shall be preserved until pending litigation is resolved. Notwithstanding the foregoing, if written minutes or an audio recording of the video surveillance is taken, the video surveillance can be destroyed after 90 days. The written minutes and audio recording can be destroyed after two (2) years. Network Diagrams/System Configurations/Maps/Plans GC §34090; SOS C-22 IT Asset Inventory Database: IT Assets, Printers, Hardware, SCCM, Server Lists, Asset Explorer GC §34090 SOS C-22 33 Information Technology Adopted: XX/XX/2022 DRAF T CCP CL CCR CFR GC EX H&S LF IRS LO LC NN PC OB PRC S OMB T R&TC SOS USC CD EL Electronic FD Floppy Disk C P Paper H TA V Retention Number Retention Length (Years Unless Specified) Special Storage Consideration Media Type Information Technology Record Type Retention Citations / Comments Orange County Sanitation District Records Retention Schedule Citation Codes Retention Codes Code of Civil Procedure (CA)Closed or Completed California Code of Regulations CU Current Year (Calendar or Fiscal As Appropriate)Code of Federal Regulations Government Code (California)Expired or Expiration General Retention Schedule Information Health & Safety Code Life of Facility, Equip. or Software Internal Revenue Service Life of Organization or Permanent  This Records Retention Schedule (RRS) pertains to any and all Official Records of OC San regardless of Media Type and is adopted in compliance with GC §60201 and additional specific citations as noted.  Public Records Act requests, litigation, audits, claims, and investigations may suspend the stated retention periods and notification of such will be made. As stated in OC San's Records Retention Policy, authorization and proper destruction methods are required prior to destroying all Official Records, regardless of Media Type. When original records have reached their retention length, all copies and duplicates must be destroyed, along with the original, regardless of Media Type.  Copies/duplicate records shall be determined as "duplicate" or "copy" in conjunction with Records Management. Upon determination by Record Management that a record is a duplicate or copy, OC San may destroy the duplicate record if the original or a permanent photographic record exists is in OC San's files (GC §60200).  Notes, preliminary drafts, and transitory records are not considered Official Records and may be destroyed without complying with OC San's RRS (SOS 2-1030). Such records may be destroyed when no longer needed for OC San business and do not require authorization for destruction.  Official Records cannot be discarded in trash bins. They must be submitted to Records Management for secure destruction. Labor Code (CA)When No Longer Needed Penal Code (CA)Obsolete Public Resources Code Superseded Office of Management & Budget Terminated Revenue & Taxation Code Secretary of State Media Types United States Code CD Special Storage Consideration Confidential Historical Tapes Vital ITD016 EX+2 ITD018 NN ITD023 CU+3 Virtual Computer Files:Replication for Disaster Recovery Purposes GC §34090.7; SOS C-22 DigSmart/DigAlert Database/Tickets (Formerly Known as USA Tickets)No citations? Two-Way Radio Licensing and Information:Walkie Talkies (Industry Term is HT or Handy Talkies), Vehicle Mounted Two-Way Radios, Base Station Radios in Plant No. 1 Control Center & Plant No. 2 Operations Center, and Radio Repeaters Records of Services (Kept in Request to Purchase IT List), FCC License GC §34090 Updated description in Record Type for citations to be provided 34 Information Technology Adopted: XX/XX/2022 DRAF T CCP CL CCR CFR GC EX H&S LF IRS LO LC NN PC OB PRC S OMB T R&TC SOS USC CD EL Electronic FD Floppy Disk C P Paper H TA V Retention Number Retention Length (Years Unless Specified) Special Storage Consideration Media Type OMD001 2 CU+3 OMD002 CU+2 EL OMD004 LO OMD005 CU+30 OMD006 CU+3 OMD007 CU+2 EL Complaint Files and Problem Reports (OPERATIONS): Related to Organization's Operations - Odor, Noise, Call Center Complaints SOS C-42 Operations & Maintenance Record Type Retention Citations / Comments Chemical Inventory Records (OPERATIONS):Delivery, Transfer, Usage, Manifest Worksheet, Inventory Logs 49 CFR §172.704 (d), 49 CFR §199.117; 49 CFR §172.201; SOS C-33 Flow Records (OPERATIONS)40 CFR §122.41(j)(2) Logs (OPERATIONS): Control Center Plant Operations 40 CFR §122.41(j)(2) Logs (OPERATIONS):Operations Monthly Logs, Inspector Diaries, Control Center Visitor Logs 40 CFR §122.41(j)(2) Monthly Reports:Operating and Status Reports, Key Performance Indicator Reports (Generated by 810)No citations? Orange County Sanitation District Records Retention Schedule Citation Codes Retention Codes Code of Civil Procedure (CA)Closed or Completed California Code of Regulations CU Current Year (Calendar or Fiscal As Appropriate)Code of Federal Regulations Government Code (California)Expired or Expiration General Retention Schedule Information Health & Safety Code Life of Facility, Equip. or Software Internal Revenue Service Life of Organization or Permanent  This Records Retention Schedule (RRS) pertains to any and all Official Records of OC San regardless of Media Type and is adopted in compliance with GC §60201 and additional specific citations as noted.  Public Records Act requests, litigation, audits, claims, and investigations may suspend the stated retention periods and notification of such will be made. As stated in OC San's Records Retention Policy, authorization and proper destruction methods are required prior to destroying all Official Records, regardless of Media Type. When original records have reached their retention length, all copies and duplicates must be destroyed, along with the original, regardless of Media Type.  Copies/duplicate records shall be determined as "duplicate" or "copy" in conjunction with Records Management. Upon determination by Record Management that a record is a duplicate or copy, OC San may destroy the duplicate record if the original or a permanent photographic record exists is in OC San's files (GC §60200).  Notes, preliminary drafts, and transitory records are not considered Official Records and may be destroyed without complying with OC San's RRS (SOS 2-1030). Such records may be destroyed when no longer needed for OC San business and do not require authorization for destruction.  Official Records cannot be discarded in trash bins. They must be submitted to Records Management for secure destruction. Labor Code (CA)When No Longer Needed Penal Code (CA)Obsolete Public Resources Code Superseded Office of Management & Budget Terminated Revenue & Taxation Code Secretary of State Media Types United States Code CD Special Storage Consideration Confidential Historical Tapes Vital 35 Operations and Maintenance Adopted: XX/XX/2022 DRAF T CCP CL CCR CFR GC EX H&S LF IRS LO LC NN PC OB PRC S OMB T R&TC SOS USC CD EL Electronic FD Floppy Disk C P Paper H TA V Retention Number Retention Length (Years Unless Specified) Special Storage Consideration Media Type Operations & Maintenance Record Type Retention Citations / Comments Orange County Sanitation District Records Retention Schedule Citation Codes Retention Codes Code of Civil Procedure (CA)Closed or Completed California Code of Regulations CU Current Year (Calendar or Fiscal As Appropriate)Code of Federal Regulations Government Code (California)Expired or Expiration General Retention Schedule Information Health & Safety Code Life of Facility, Equip. or Software Internal Revenue Service Life of Organization or Permanent  This Records Retention Schedule (RRS) pertains to any and all Official Records of OC San regardless of Media Type and is adopted in compliance with GC §60201 and additional specific citations as noted.  Public Records Act requests, litigation, audits, claims, and investigations may suspend the stated retention periods and notification of such will be made. As stated in OC San's Records Retention Policy, authorization and proper destruction methods are required prior to destroying all Official Records, regardless of Media Type. When original records have reached their retention length, all copies and duplicates must be destroyed, along with the original, regardless of Media Type.  Copies/duplicate records shall be determined as "duplicate" or "copy" in conjunction with Records Management. Upon determination by Record Management that a record is a duplicate or copy, OC San may destroy the duplicate record if the original or a permanent photographic record exists is in OC San's files (GC §60200).  Notes, preliminary drafts, and transitory records are not considered Official Records and may be destroyed without complying with OC San's RRS (SOS 2-1030). Such records may be destroyed when no longer needed for OC San business and do not require authorization for destruction.  Official Records cannot be discarded in trash bins. They must be submitted to Records Management for secure destruction. Labor Code (CA)When No Longer Needed Penal Code (CA)Obsolete Public Resources Code Superseded Office of Management & Budget Terminated Revenue & Taxation Code Secretary of State Media Types United States Code CD Special Storage Consideration Confidential Historical Tapes Vital OMD008 S+5 EL OMD009 CU+2 EL, P OMD010 CU+5 EL, P OMD011 LO EL OMD014 OB+7 P O&M Policies & Procedures:Guidelines, Checklists, Standard Operating Procedures SOS C-19 Operating Journals (OPERATIONS): Alarm Summary (EL), Operations Round Sheets (EL, P), Midnight Readings (EL)GC §53161 40 CFR §122.41 (j)(2) Operating Records (OPERATIONS):Activated Sludge (AS) Plant Reports (EL, P), Operator Schedules (P), Biosolids Hauling Tickets (P), Grit & Screening Tickets (P)40 CFR §122.41 (j)(2) Process Data (OPERATIONS): Monthly Summary of Operations (MSOs) [EL], Treatment Plant Operational Data (TPODs) [EL] 40 CFR §122.41 (j)(2) AQMD:1-Cengen Emissions Reports, 2-AQMD Round Sheets, 3-Flare Reports Some of these records are key records to be retained for ESD002, please forward to ES if storage becomes burdensome CCP §338(k); SOS C-27 Cengen Emissions Reports are used as part of Title V permitting, which is addressed in ESD002. OMD014 needs to match ESD002 for retention as these provide adherence to existing AQMD permit conditions. 36 Operations and Maintenance Adopted: XX/XX/2022 DRAF T CCP CL CCR CFR GC EX H&S LF IRS LO LC NN PC OB PRC S OMB T R&TC SOS USC CD EL Electronic FD Floppy Disk C P Paper H TA V Retention Number Retention Length (Years Unless Specified) Special Storage Consideration Media Type Operations & Maintenance Record Type Retention Citations / Comments Orange County Sanitation District Records Retention Schedule Citation Codes Retention Codes Code of Civil Procedure (CA)Closed or Completed California Code of Regulations CU Current Year (Calendar or Fiscal As Appropriate)Code of Federal Regulations Government Code (California)Expired or Expiration General Retention Schedule Information Health & Safety Code Life of Facility, Equip. or Software Internal Revenue Service Life of Organization or Permanent  This Records Retention Schedule (RRS) pertains to any and all Official Records of OC San regardless of Media Type and is adopted in compliance with GC §60201 and additional specific citations as noted.  Public Records Act requests, litigation, audits, claims, and investigations may suspend the stated retention periods and notification of such will be made. As stated in OC San's Records Retention Policy, authorization and proper destruction methods are required prior to destroying all Official Records, regardless of Media Type. When original records have reached their retention length, all copies and duplicates must be destroyed, along with the original, regardless of Media Type.  Copies/duplicate records shall be determined as "duplicate" or "copy" in conjunction with Records Management. Upon determination by Record Management that a record is a duplicate or copy, OC San may destroy the duplicate record if the original or a permanent photographic record exists is in OC San's files (GC §60200).  Notes, preliminary drafts, and transitory records are not considered Official Records and may be destroyed without complying with OC San's RRS (SOS 2-1030). Such records may be destroyed when no longer needed for OC San business and do not require authorization for destruction.  Official Records cannot be discarded in trash bins. They must be submitted to Records Management for secure destruction. Labor Code (CA)When No Longer Needed Penal Code (CA)Obsolete Public Resources Code Superseded Office of Management & Budget Terminated Revenue & Taxation Code Secretary of State Media Types United States Code CD Special Storage Consideration Confidential Historical Tapes Vital OMD015 LF+2 EL, P OMD016 OB+7 P OMD017 LF+2 EL, P OMD018 LF+2 EL, P OMD019 LF+2 P OMD020 LF+2 EL, P Pressure Vehicle CNG Tank Inspection Certification (FLEET)GC §34090; SOS C-47 DMV & State requirement Facility Maintenance & Repair (MAINTENANCE):LOTO Audits, Underground Storage Tank Permits, Assessment & Testing Results - Data, Corrective & Preventative Maintenance Records (Job Plans, Work Orders)SOS c47 SOS C-42 Generator Operation Logs (OPERATIONS): Fixed or Stationary Some of these records are key records to be retained for ESD002, please forward to ES if storage becomes burdensome GC §34090 Logs are used as part of AQMD Title V permitting, which is addressed in ESD002. OMD016 needs to match ESD002 for retention. Vehicle Smog Check Inspection Report (FLEET)DMV & State requirementNo citations? CHP Commercial Inspection: Bit Inspection (CHP Commercial Vehicle Inspection), CHP Safety Maintenance Inspection 49 CFR §396.11(c)(2) CHP, DMV & State requirement Certifications: Mobile Crane, Vehicles, Equipment Calibration Certification 8 CCR §14300.33(a); LC §6429c SOS C-47 DMV & State requirement 37 Operations and Maintenance Adopted: XX/XX/2022 DRAF T CCP CL CCR CFR GC EX H&S LF IRS LO LC NN PC OB PRC S OMB T R&TC SOS USC CD EL Electronic FD Floppy Disk C P Paper H TA V Retention Number Retention Length (Years Unless Specified) Special Storage Consideration Media Type Operations & Maintenance Record Type Retention Citations / Comments Orange County Sanitation District Records Retention Schedule Citation Codes Retention Codes Code of Civil Procedure (CA)Closed or Completed California Code of Regulations CU Current Year (Calendar or Fiscal As Appropriate)Code of Federal Regulations Government Code (California)Expired or Expiration General Retention Schedule Information Health & Safety Code Life of Facility, Equip. or Software Internal Revenue Service Life of Organization or Permanent  This Records Retention Schedule (RRS) pertains to any and all Official Records of OC San regardless of Media Type and is adopted in compliance with GC §60201 and additional specific citations as noted.  Public Records Act requests, litigation, audits, claims, and investigations may suspend the stated retention periods and notification of such will be made. As stated in OC San's Records Retention Policy, authorization and proper destruction methods are required prior to destroying all Official Records, regardless of Media Type. When original records have reached their retention length, all copies and duplicates must be destroyed, along with the original, regardless of Media Type.  Copies/duplicate records shall be determined as "duplicate" or "copy" in conjunction with Records Management. Upon determination by Record Management that a record is a duplicate or copy, OC San may destroy the duplicate record if the original or a permanent photographic record exists is in OC San's files (GC §60200).  Notes, preliminary drafts, and transitory records are not considered Official Records and may be destroyed without complying with OC San's RRS (SOS 2-1030). Such records may be destroyed when no longer needed for OC San business and do not require authorization for destruction.  Official Records cannot be discarded in trash bins. They must be submitted to Records Management for secure destruction. Labor Code (CA)When No Longer Needed Penal Code (CA)Obsolete Public Resources Code Superseded Office of Management & Budget Terminated Revenue & Taxation Code Secretary of State Media Types United States Code CD Special Storage Consideration Confidential Historical Tapes Vital OMD021 CU+5 OMD022 LO OMD023 CU+10 OMD024 CU+10 OMD026 LF+2 Sewer Line Maintenance Files (COLLECTIONS)No citations? Vehicle Records (FLEET):Equipment Files, Maintenance, Registrations, Vehicle Titles ("Pink Slips"), Vehicle Citations Vehicle Titles/Pink Slips are transferred to new owner upon sale of vehicle; all other records are retained until Disposal of Vehicle or Equipment + 2 years CCP §337; 8 CCR § 3203(b)(1); 49 CFR §396.21(b)(1), 49 CFR §396.3(c); GC §34090 Chain of Custody:Source Control, Split SampleIs this in relation to the NPDES permit? GC needs to know in order to provide citations.8 CCR §14300.33(a); SOS c21 Collection System Process Data (COLLECTIONS): Pump Station, CRISP GC needs additional information as to what these documents are in order to provide citations. What is CRISP? Citations pending description of Record Type Inspection Reports & Photos (COLLECTIONS):Manhole SOS C-45 38 Operations and Maintenance Adopted: XX/XX/2022 DRAF T CCP CL CCR CFR GC EX H&S LF IRS LO LC NN PC OB PRC S OMB T R&TC SOS USC CD EL Electronic FD Floppy Disk C P Paper H TA V Retention Number Retention Length (Years Unless Specified) Special Storage Consideration Media Type PAO001 S+2 PAO002 S+5 PAO003 S+7 PAO006 LO H PAO007 S+2 Outreach/Event File: Tour Documentation, RSVP's, Sign-in Sheets, Other Related Information SOS C-24 Public Affairs Record Type Retention Citations / Comments Education Curriculum:Sewer Science, Water Festival, Other SOS C-24 Marketing Material:Flyers, General Brochure, Marketing Brochures, Newsletters, Email Blasts, Marketing Related Presentations/PowerPoints SOS C-19 Press/Media Releases SOS C-40 SOS allows S+2; however, based on business needs, preferred retention is LO Publication Proofs (Ad in Adjudicated/Circulated Newspaper) (Non-Board and/or CPM Related):General Marketing SOS C-24 Orange County Sanitation District Records Retention Schedule Citation Codes Retention Codes Code of Civil Procedure (CA)Closed or Completed California Code of Regulations CU Current Year (Calendar or Fiscal As Appropriate)Code of Federal Regulations Government Code (California)Expired or Expiration General Retention Schedule Information Health & Safety Code Life of Facility, Equip. or Software Internal Revenue Service Life of Organization or Permanent  This Records Retention Schedule (RRS) pertains to any and all Official Records of OC San regardless of Media Type and is adopted in compliance with GC §60201 and additional specific citations as noted.  Public Records Act requests, litigation, audits, claims, and investigations may suspend the stated retention periods and notification of such will be made. As stated in OC San's Records Retention Policy, authorization and proper destruction methods are required prior to destroying all Official Records, regardless of Media Type. When original records have reached their retention length, all copies and duplicates must be destroyed, along with the original, regardless of Media Type.  Copies/duplicate records shall be determined as "duplicate" or "copy" in conjunction with Records Management. Upon determination by Record Management that a record is a duplicate or copy, OC San may destroy the duplicate record if the original or a permanent photographic record exists is in OC San's files (GC §60200).  Notes, preliminary drafts, and transitory records are not considered Official Records and may be destroyed without complying with OC San's RRS (SOS 2-1030). Such records may be destroyed when no longer needed for OC San business and do not require authorization for destruction.  Official Records cannot be discarded in trash bins. They must be submitted to Records Management for secure destruction. Labor Code (CA)When No Longer Needed Penal Code (CA)Obsolete Public Resources Code Superseded Office of Management & Budget Terminated Revenue & Taxation Code Secretary of State Media Types United States Code CD Special Storage Consideration Confidential Historical Tapes Vital 39 Public Affairs Adopted: XX/XX/2022 DRAF T CCP CL CCR CFR GC EX H&S LF IRS LO LC NN PC OB PRC S OMB T R&TC SOS USC CD EL Electronic FD Floppy Disk C P Paper H TA V Retention Number Retention Length (Years Unless Specified) Special Storage Consideration Media Type Public Affairs Record Type Retention Citations / Comments Orange County Sanitation District Records Retention Schedule Citation Codes Retention Codes Code of Civil Procedure (CA)Closed or Completed California Code of Regulations CU Current Year (Calendar or Fiscal As Appropriate)Code of Federal Regulations Government Code (California)Expired or Expiration General Retention Schedule Information Health & Safety Code Life of Facility, Equip. or Software Internal Revenue Service Life of Organization or Permanent  This Records Retention Schedule (RRS) pertains to any and all Official Records of OC San regardless of Media Type and is adopted in compliance with GC §60201 and additional specific citations as noted.  Public Records Act requests, litigation, audits, claims, and investigations may suspend the stated retention periods and notification of such will be made. As stated in OC San's Records Retention Policy, authorization and proper destruction methods are required prior to destroying all Official Records, regardless of Media Type. When original records have reached their retention length, all copies and duplicates must be destroyed, along with the original, regardless of Media Type.  Copies/duplicate records shall be determined as "duplicate" or "copy" in conjunction with Records Management. Upon determination by Record Management that a record is a duplicate or copy, OC San may destroy the duplicate record if the original or a permanent photographic record exists is in OC San's files (GC §60200).  Notes, preliminary drafts, and transitory records are not considered Official Records and may be destroyed without complying with OC San's RRS (SOS 2-1030). Such records may be destroyed when no longer needed for OC San business and do not require authorization for destruction.  Official Records cannot be discarded in trash bins. They must be submitted to Records Management for secure destruction. Labor Code (CA)When No Longer Needed Penal Code (CA)Obsolete Public Resources Code Superseded Office of Management & Budget Terminated Revenue & Taxation Code Secretary of State Media Types United States Code CD Special Storage Consideration Confidential Historical Tapes Vital PAO008 S+2 PAO009 LO H PAO010 LO PAO011 S+2 PAO012 LO H Social Media Archiving: Facebook, Twitter, YouTube, Instagram PageFreezer provides services; Board Services manages SOS C-22 Annual Reports:OC San Annual Report, Public Affairs Strategic Plan, Legislative Plan All items taken to the Board for approval (annually, every two years) SOS C-19 Website Content Archiving PageFreezer provides services; Board Services manages SOS C-22 Employee Events: Agency Awards, Recognitions, Announcements Legal advice is S+2; however, based on business needs, preferred retention is LO No citations? Legislative Files:Letters of Support, Opposition SOS C-28 Legal advice is S+2; however, based on business needs, preferred retention is LO 40 Public Affairs Adopted: XX/XX/2022 DRAF T CCP CL CCR CFR GC EX H&S LF IRS LO LC NN PC OB PRC S OMB T R&TC SOS USC CD EL Electronic FD Floppy Disk C P Paper H TA V Retention Number Retention Length (Years Unless Specified) Special Storage Consideration Media Type RMS002 CU+5 C RMS003 CU+2 RMS004 LO RMS006 LF RMS007 T+30 C RMS008 LO Special Storage Consideration Confidential Historical Tapes Vital  This Records Retention Schedule (RRS) pertains to any and all Official Records of OC San regardless of Media Type and is adopted in compliance with GC §60201 and additional specific citations as noted.  Public Records Act requests, litigation, audits, claims, and investigations may suspend the stated retention periods and notification of such will be made. As stated in OC San's Records Retention Policy, authorization and proper destruction methods are required prior to destroying all Official Records, regardless of Media Type. When original records have reached their retention length, all copies and duplicates must be destroyed, along with the original, regardless of Media Type.  Copies/duplicate records shall be determined as "duplicate" or "copy" in conjunction with Records Management. Upon determination by Record Management that a record is a duplicate or copy, OC San may destroy the duplicate record if the original or a permanent photographic record exists is in OC San's files (GC §60200).  Notes, preliminary drafts, and transitory records are not considered Official Records and may be destroyed without complying with OC San's RRS (SOS 2-1030). Such records may be destroyed when no longer needed for OC San business and do not require authorization for destruction.  Official Records cannot be discarded in trash bins. They must be submitted to Records Management for secure destruction. Labor Code (CA)When No Longer Needed Penal Code (CA)Obsolete Public Resources Code Superseded Office of Management & Budget Terminated Revenue & Taxation Code Secretary of State Media Types United States Code CD General Retention Schedule Information Health & Safety Code Life of Facility, Equip. or Software Internal Revenue Service Life of Organization or Permanent Orange County Sanitation District Records Retention Schedule Citation Codes Retention Codes Code of Civil Procedure (CA)Closed or Completed California Code of Regulations CU Current Year (Calendar or Fiscal As Appropriate)Code of Federal Regulations Government Code (California)Expired or Expiration Emergency Exercises & Drills, After Action Reports 29 CFR §1910.119(g), 29 CFR §1910.120(q); SOS C-41 Risk Management and Safety Record Type Retention Citations / Comments DOT Random Drug & Alcohol Test Records 49 CFR §199.117; 9 CFR §382.401, 29 CFR §1627.3(b)(v); GC §12946 Emergency Response:Response & Disaster Recovery Files, Emergency Operations Center Activiation Notifications & Records 29 CFR §1910.119(g), 29 CFR §1910.120(q) Industrial Hygiene & Safety Files - Location: Hazard Assessments, Site Assessments, Industrial Hygiene Reports, Surveys, Audits 8 CCR §3204; 29 CFR §1910 Medical Files - Occupational:Fit Testing 8 CCR §3204; 29 CFR §1910 OSHA Compliance Records:Citations, Appeals Related, Correspondence OSHA 300 & 301 Logs retained in RMS012 29 CFR §1904.4; OMB 1220-0029; SOS A-2 41 Risk Management and Safety Adopted: XX/XX/2022 DRAF T CCP CL CCR CFR GC EX H&S LF IRS LO LC NN PC OB PRC S OMB T R&TC SOS USC CD EL Electronic FD Floppy Disk C P Paper H TA V Retention Number Retention Length (Years Unless Specified) Special Storage Consideration Media Type Special Storage Consideration Confidential Historical Tapes Vital  This Records Retention Schedule (RRS) pertains to any and all Official Records of OC San regardless of Media Type and is adopted in compliance with GC §60201 and additional specific citations as noted.  Public Records Act requests, litigation, audits, claims, and investigations may suspend the stated retention periods and notification of such will be made. As stated in OC San's Records Retention Policy, authorization and proper destruction methods are required prior to destroying all Official Records, regardless of Media Type. When original records have reached their retention length, all copies and duplicates must be destroyed, along with the original, regardless of Media Type.  Copies/duplicate records shall be determined as "duplicate" or "copy" in conjunction with Records Management. Upon determination by Record Management that a record is a duplicate or copy, OC San may destroy the duplicate record if the original or a permanent photographic record exists is in OC San's files (GC §60200).  Notes, preliminary drafts, and transitory records are not considered Official Records and may be destroyed without complying with OC San's RRS (SOS 2-1030). Such records may be destroyed when no longer needed for OC San business and do not require authorization for destruction.  Official Records cannot be discarded in trash bins. They must be submitted to Records Management for secure destruction. Labor Code (CA)When No Longer Needed Penal Code (CA)Obsolete Public Resources Code Superseded Office of Management & Budget Terminated Revenue & Taxation Code Secretary of State Media Types United States Code CD General Retention Schedule Information Health & Safety Code Life of Facility, Equip. or Software Internal Revenue Service Life of Organization or Permanent Orange County Sanitation District Records Retention Schedule Citation Codes Retention Codes Code of Civil Procedure (CA)Closed or Completed California Code of Regulations CU Current Year (Calendar or Fiscal As Appropriate)Code of Federal Regulations Government Code (California)Expired or Expiration Risk Management and Safety Record Type Retention Citations / Comments RMS010 CU+4 RMS012 CU+7 RMS014 CL+7 RMS015 LO RMS016 CU+5 RMS017 CU+5 P Risk & Safety Committee and Meeting Documents 8 CCR §3203Retention aligns with Voluntary Protection Program (VPP) OSHA Logs: 300 & 301 Logs 8 CCR §14300.33(a); 29 CFR §1904.33, 29 CFR §1904.44; LC §6429c Accident & Incident Records CCP §338; CFR §1904.6; SOS C-24 Asbestos & Lead Abatement Records CCR §1529(n)6 Hazardous Materials Records:Business Plans, Hazardous Materials Inventory, Disclosures 40 CFR §122.21(p), 40 CFR §122.41 Calibration Gas Detectors Annual Recertification 8 CCR §14300.33(a); 29 CFR §1904.33, 29 CFR §1904.44; LC §6429c 42 Risk Management and Safety Adopted: XX/XX/2022 DRAF T CCP CL CCR CFR GC EX H&S LF IRS LO LC NN PC OB PRC S OMB T R&TC SOS USC CD EL Electronic FD Floppy Disk C P Paper H TA V Retention Number Retention Length (Years Unless Specified) Special Storage Consideration Media Type Special Storage Consideration Confidential Historical Tapes Vital  This Records Retention Schedule (RRS) pertains to any and all Official Records of OC San regardless of Media Type and is adopted in compliance with GC §60201 and additional specific citations as noted.  Public Records Act requests, litigation, audits, claims, and investigations may suspend the stated retention periods and notification of such will be made. As stated in OC San's Records Retention Policy, authorization and proper destruction methods are required prior to destroying all Official Records, regardless of Media Type. When original records have reached their retention length, all copies and duplicates must be destroyed, along with the original, regardless of Media Type.  Copies/duplicate records shall be determined as "duplicate" or "copy" in conjunction with Records Management. Upon determination by Record Management that a record is a duplicate or copy, OC San may destroy the duplicate record if the original or a permanent photographic record exists is in OC San's files (GC §60200).  Notes, preliminary drafts, and transitory records are not considered Official Records and may be destroyed without complying with OC San's RRS (SOS 2-1030). Such records may be destroyed when no longer needed for OC San business and do not require authorization for destruction.  Official Records cannot be discarded in trash bins. They must be submitted to Records Management for secure destruction. Labor Code (CA)When No Longer Needed Penal Code (CA)Obsolete Public Resources Code Superseded Office of Management & Budget Terminated Revenue & Taxation Code Secretary of State Media Types United States Code CD General Retention Schedule Information Health & Safety Code Life of Facility, Equip. or Software Internal Revenue Service Life of Organization or Permanent Orange County Sanitation District Records Retention Schedule Citation Codes Retention Codes Code of Civil Procedure (CA)Closed or Completed California Code of Regulations CU Current Year (Calendar or Fiscal As Appropriate)Code of Federal Regulations Government Code (California)Expired or Expiration Risk Management and Safety Record Type Retention Citations / Comments RMS018 CU+4 RMS019 LO RMS020 LO RMS021 LO RMS024 CU+7 RMS025 LO Confined Space Records & Entries 8 CCR §5157(e)(6); 5157(d)(14); 29 CFR 1910.146(e)(6), 40 CFR §122.41(j)(2); GC §3400, GC §53161; SOS C-42 Retention aligns with VPP Hazardous Waste Records:Manifests, Disposals, Recyclable Non Hazardous Waste Material, Batteries, etc. 22 CCR §66262.40(a), 22 CCR §66264.71(b)(6), 8 CCR §3204(d)(1), 26 CCR §22-64470(a); 40 CFR §122.41(j)(2), 40 CFR §141.33(b); GC §12946; SOS C-33, SOS C-47 HazMat Permits, Environmental Health Permits: Bulk Chemicals, Fire, Battery Storage No citations? Safety Data Sheets (SDS)8 CCR §5194; 29 CFR §1910 Training Records - Safety:Rosters, Syllabus, Schedule, Curriculum Material Only SOS C-21 Applies to paper records Training Database 43 Risk Management and Safety Adopted: XX/XX/2022 DRAF T CCP CL CCR CFR GC EX H&S LF IRS LO LC NN PC OB PRC S OMB T R&TC SOS USC CD EL Electronic FD Floppy Disk C P Paper H TA V Retention Number Retention Length (Years Unless Specified) Special Storage Consideration Media Type Special Storage Consideration Confidential Historical Tapes Vital  This Records Retention Schedule (RRS) pertains to any and all Official Records of OC San regardless of Media Type and is adopted in compliance with GC §60201 and additional specific citations as noted.  Public Records Act requests, litigation, audits, claims, and investigations may suspend the stated retention periods and notification of such will be made. As stated in OC San's Records Retention Policy, authorization and proper destruction methods are required prior to destroying all Official Records, regardless of Media Type. When original records have reached their retention length, all copies and duplicates must be destroyed, along with the original, regardless of Media Type.  Copies/duplicate records shall be determined as "duplicate" or "copy" in conjunction with Records Management. Upon determination by Record Management that a record is a duplicate or copy, OC San may destroy the duplicate record if the original or a permanent photographic record exists is in OC San's files (GC §60200).  Notes, preliminary drafts, and transitory records are not considered Official Records and may be destroyed without complying with OC San's RRS (SOS 2-1030). Such records may be destroyed when no longer needed for OC San business and do not require authorization for destruction.  Official Records cannot be discarded in trash bins. They must be submitted to Records Management for secure destruction. Labor Code (CA)When No Longer Needed Penal Code (CA)Obsolete Public Resources Code Superseded Office of Management & Budget Terminated Revenue & Taxation Code Secretary of State Media Types United States Code CD General Retention Schedule Information Health & Safety Code Life of Facility, Equip. or Software Internal Revenue Service Life of Organization or Permanent Orange County Sanitation District Records Retention Schedule Citation Codes Retention Codes Code of Civil Procedure (CA)Closed or Completed California Code of Regulations CU Current Year (Calendar or Fiscal As Appropriate)Code of Federal Regulations Government Code (California)Expired or Expiration Risk Management and Safety Record Type Retention Citations / Comments RMS026 LO RMS027 CU+4 RMS028 S RMS029 4 RMS030 T+30 RMS032 CU+4 Radiation License & Disposal Records 17 CCR 30293 Job Site Safety Analysis (JSSA), Job Hazard Analysis (JHA), Hot Work Permits 29 CFR §1904.6, 29 CFR §1910.132, 29 CFR §1910.252; OMB 1218-0176 Retention aligns with VPP Vehicle Inspection & Equipment Checks Files:Daily Safety Checks, Pre-Starts, Commercial Vehicle Pre-Starts and Forklift Inspections, Pre- Trip Inspections, CHP Inspections, Daily Vehicle Inspections, Daily Equipment Checks 49 CFR §396.11 (c)(2), 49 CFR §396.21(b)(1) PPE Assessments 29 CFR §1910.132 Lock Out Tag Out Audits (LOTO) 29 CFR §1910.147(c)(6), 29 CFR §1910.147(c)(7), 29 CFR §1910.147(f)(2) Retention aligns with VPP Industrial Hygiene & Safety Files - Personnel:Industrial Hygiene Reports - Air Sampling, Noise Testing and Workplace Contaminants 8 CCR §3204 - (d)(1)(B); 29 CFR §1910.1020; GC §60201 44 Risk Management and Safety Adopted: XX/XX/2022 DRAF T CCP CL CCR CFR GC EX H&S LF IRS LO LC NN PC OB PRC S OMB T R&TC SOS USC CD EL Electronic FD Floppy Disk C P Paper H TA V Retention Number Retention Length (Years Unless Specified) Special Storage Consideration Media Type Special Storage Consideration Confidential Historical Tapes Vital  This Records Retention Schedule (RRS) pertains to any and all Official Records of OC San regardless of Media Type and is adopted in compliance with GC §60201 and additional specific citations as noted.  Public Records Act requests, litigation, audits, claims, and investigations may suspend the stated retention periods and notification of such will be made. As stated in OC San's Records Retention Policy, authorization and proper destruction methods are required prior to destroying all Official Records, regardless of Media Type. When original records have reached their retention length, all copies and duplicates must be destroyed, along with the original, regardless of Media Type.  Copies/duplicate records shall be determined as "duplicate" or "copy" in conjunction with Records Management. Upon determination by Record Management that a record is a duplicate or copy, OC San may destroy the duplicate record if the original or a permanent photographic record exists is in OC San's files (GC §60200).  Notes, preliminary drafts, and transitory records are not considered Official Records and may be destroyed without complying with OC San's RRS (SOS 2-1030). Such records may be destroyed when no longer needed for OC San business and do not require authorization for destruction.  Official Records cannot be discarded in trash bins. They must be submitted to Records Management for secure destruction. Labor Code (CA)When No Longer Needed Penal Code (CA)Obsolete Public Resources Code Superseded Office of Management & Budget Terminated Revenue & Taxation Code Secretary of State Media Types United States Code CD General Retention Schedule Information Health & Safety Code Life of Facility, Equip. or Software Internal Revenue Service Life of Organization or Permanent Orange County Sanitation District Records Retention Schedule Citation Codes Retention Codes Code of Civil Procedure (CA)Closed or Completed California Code of Regulations CU Current Year (Calendar or Fiscal As Appropriate)Code of Federal Regulations Government Code (California)Expired or Expiration Risk Management and Safety Record Type Retention Citations / Comments RMS033 S EL, PContinuity of Operations Plan (COOP) GC §60102(d)(10) 45 Risk Management and Safety Adopted: XX/XX/2022 DRAF T ADMINISTRATION COMMITTEE Agenda Report Administration Building 10844 Ellis Avenue Fountain Valley, CA 92708 (714) 593-7433 File #:2022-2160 Agenda Date:3/9/2022 Agenda Item No:4. FROM:James D. Herberg, General Manager Originator: Lorenzo Tyner, Assistant General Manager SUBJECT: REPLACE SERVER AND STORAGE INFRASTRUCTURE FOR PLANT NO.1 INDUSTRIAL CONTROL SYSTEM GENERAL MANAGER'S RECOMMENDATION RECOMMENDATION: Recommend to the Board of Directors to: A. Approve a Purchase Order to ePlus Technology, Inc. for the purchase of software, hardware, and services to implement and configure the Nutanix metro clusters for Plant No. 1 Industrial Control System, Specification No. E-2022-1300BD, for a total amount not to exceed $560,195, plus applicable sales tax and shipping; and B. Approve a contingency in the amount of $56,019 (10%). BACKGROUND Orange County Sanitation District’s (OC San)current server and storage computing infrastructure for the Industrial Control Systems (ICS)network has reached its end of life.Staff has been incrementally replacing server and storage at the two Plants for the ICS network and this is the last of the replacements.Staff is recommending modernizing the remaining antiquated storage and server infrastructure with a Hyper Converged Infrastructure (HCI)solution called Nutanix to replace the server and storage systems in the ICS network to be compatible with the prior replacements. The Nutanix HCI solution is a merger of computing and storage systems.It provides a simple interface to run workloads,providing a single interface to manage and allocate computer resources. The storage and computer nodes act as one highly reliable pool of resources.Should one node go down,the rest will remain unaffected.This resilience is key to ensuring connectivity and uptime. Nutanix HCI can also be scaled out by adding nodes to match resource demand. RELEVANT STANDARDS ·24/7/365 treatment plant reliability ·Ensure the public’s money is wisely spent ·Maintain a culture of improving efficiency to reduce the cost to provide the current service level or standard ·Protect OC San assets Orange County Sanitation District Printed on 3/1/2022Page 1 of 3 powered by Legistar™ File #:2022-2160 Agenda Date:3/9/2022 Agenda Item No:4. PROBLEM The current server and storage infrastructure of the ICS network is hosted on obsolete hardware. The current infrastructure is not reliable,scalable,and does not provide the redundancy or availability for the current server and storage needs.The obsolete hardware is becoming less reliable and replacement parts are not available from the manufacturer.In addition,the current storage solution has been discontinued by the manufacturer and is no longer supported. PROPOSED SOLUTION To properly maintain the ICS network,the Information Technology (IT)division and Process Control Integration (PCI)request to purchase the Nutanix HCI solution and related professional services to install and configure the system.The proposed Nutanix HCI system is consistent with existing systems in other areas of the ICS network. TIMING CONCERNS Proper maintenance and performance of the ICS network is imperative for the continued support and safety of OC San operations. RAMIFICATIONS OF NOT TAKING ACTION A decision not to purchase the Nutanix HCI solution would result in continued inefficiencies, limitations in deploying new technologies,the inability to provide high availability,and a degradation in service as hardware fails. PRIOR COMMITTEE/BOARD ACTIONS July 2021 -Board approved a Purchase Order to ePlus Technology Inc.for Specification No.E-2021- 1253BD for IT Server Hardware for Outfall Low Flow Pump Station,Contract No.J-117B,for a total amount of $793,882.96, plus applicable sales tax and freight. September 2020 -Administration Committee approved a Professional Services Agreement to ePlus Technology Inc.for the procurement of software,hardware,and services to implement and configure the Hyper Converged Infrastructure,Specification No.CS-2020-1141BD,for a total amount not to exceed $177,950 and approved a contingency in the amount of $17,795 (10%). ADDITIONAL INFORMATION A Notice Inviting Bids was issued on January 18, 2022 via PlanetBids. Bids were due on February 15, 2022. OC San received four (4) bids valid for 180 calendar days from the bid opening date. One bid is noted as non-responsive due to non-notarized Non-Collusion Affidavit Form. Orange County Sanitation District Printed on 3/1/2022Page 2 of 3 powered by Legistar™ File #:2022-2160 Agenda Date:3/9/2022 Agenda Item No:4. The following is a list of the firms that submitted a bid: Company Name Bid Determination ePlus Technology, Inc.$560,194.41 Responsive Nth Generation Computing, Inc.$669,666.56 Responsive Mvation Worldwide Inc $676,176.86 Responsive Axelliant LLC $677,042.66 Non-Responsive Based on these results,staff recommends approving a Purchase Order to ePlus Technology.The term of this Purchase Order will begin upon the effective date of the Notice to Proceed. CEQA N/A FINANCIAL CONSIDERATIONS This request complies with authority levels of OC San’s Purchasing Ordinance.This item has been budgeted.(FY2020-21 &2021-22 Budget,Section 8,Page 49,Information Technology Capital Program (M-MC-IT)). Date of Approval Contract Amount Contingency 03/23/2022 $560,195 $56,019 ATTACHMENT The following attachment(s)may be viewed on-line at the OC San website (www.ocsan.gov)with the complete agenda package: N/A Orange County Sanitation District Printed on 3/1/2022Page 3 of 3 powered by Legistar™ ADMINISTRATION COMMITTEE Agenda Report Administration Building 10844 Ellis Avenue Fountain Valley, CA 92708 (714) 593-7433 File #:2022-2159 Agenda Date:3/9/2022 Agenda Item No:5. FROM:James D. Herberg, General Manager Originator: Lorenzo Tyner, Assistant General Manager SUBJECT: FY 2022-23 AND FY 2023-24 ORANGE COUNTY SANITATION DISTRICT BUDGET REVENUES AND RESERVES OVERVIEW GENERAL MANAGER'S RECOMMENDATION RECOMMENDATION: Information Item. BACKGROUND Staff will provide an informational presentation on the revenues and reserves of the Orange County Sanitation District’s Proposed Fiscal Year 2022-23 and Fiscal Year 2023-24 Budget. The Proposed Budget will be presented for adoption at the June 22,2022 Board of Directors meeting. ATTACHMENT The following attachment(s)may be viewed on-line at the OC San website (www.ocsan.gov)with the complete agenda package: ·FY 2022-23 & FY 2023-24 Budget Revenue Detail ·Reserve Summary - FY 2021-22 ·Presentation Orange County Sanitation District Printed on 3/1/2022Page 1 of 1 powered by Legistar™ 1 Orange County Sanitation District FY 2022-23 and FY 2023-24 Budget Revenue Detail Revenue Summary (in millions) Category 2022-23 Proposed 2023-24 Proposed Revenues: Service Fees 306.5 313.0 Permit User Fees 12.8 13.0 Capital Facility Capacity Charge 17.3 18.7 Property Taxes 106.3 109.5 Interest 14.1 13.4 Other Revenue 43.5 35.7 Debt Proceeds 0.0 0.0 Total Revenue $500.5 $503.3 The Orange County Sanitation District (OC San) has a variety of revenue sources available for operating and capital expenses. The major revenue sources are as follows: • General Sewer Service Fees • Industrial Waste Permit User Fees • Capital Facilities Capacity Charges (CFCC) • Property Taxes • Interest Earnings • Other Miscellaneous Revenue • Debt Proceeds 2022-23 2023-24 General Service Fees – User fees are ongoing fees for service paid by customers connected to the sewer system. A property owner, or user, does not pay user fees until connected to the sewer system and receiving services. Once connected, a user is responsible for his share of the system’s costs, both fixed and variable, in proportion to his demand on the system. These fees are for both Single Family Residences (SFR) and Multiple Family Residences (MFR). FY 2022-23 is the fifth year of the most recent five-year sewer service fee rate schedule approved by the Board. The SFR rate (the underlying basis for all sewer rates) will increase by 1.2 percent ($4) to $347 in FY 2022-23. These rates are still well below the average annual sewer rate currently being charged throughout the state. $306.5M $313.0M 2 2022-23 2023-24 Industrial Waste Permit User Fees – Fees paid by large industrial and commercial properties owners connected to the sewer system. These fees are for the owner’s share of the system’s costs, both fixed and variable, in proportion to his demand on the system. Since the inception of the Permit User Fee program in 1970, users of OC San’s system that discharge high volumes or high strength wastewater are required to obtain a discharge permit and pay for the full cost of service. $12.8M $13.0M Capital Facilities Capacity Charges (CFCC) – Capital Facilities Capacity Charge is a one-time, non- discriminatory charge imposed at the time a building or structure is newly connected to OC San’s system, directly or indirectly, or an existing structure or category of use is expanded or increased. This charge pays for OC San facilities in existence at the time the charge is imposed, or to pay for new facilities to be constructed in the future, that are of benefit to the property being charged. $17.3M $18.7M Property Taxes – The County is permitted by State law (Proposition 13) to levy taxes at 1% of full market value (at time of purchase) and can increase the assessed value no more than 2% per year. OC San receives a share of the basic levy proportionate to what was received in the 1976 to 1978 period less $3.5 million, the amount that represents the State’s permanent annual diversion from special districts to school districts that began in 1992-93. OC San’s share of this revenue is dedicated for the payment of debt service. $106.3M $109.5M Interest Earnings – Interest earnings are generated from the investment of accumulated reserves consisting of a cash flow/contingency, a capital improvement, a renewal/replacement, and a self- insurance reserve. $14.1M $13.4M Other Revenue – Other revenue includes solids handling and capital assessments from the Irvine Ranch Water District (IRWD); and O&M sewer services provided to IRWD, the Santa Ana Watershed Protection Authority (SAWPA), and the Sunset Beach Sanitary District. $43.5M $35.7M 3 2022-23 2023-24 Debt Proceeds – Certificates of Participation (COPs) are OC San’s primary mechanism for financing capital projects. COPs are repayment obligations based on a lease or installment sale agreement. COPs are viewed by the State of California as a share in an installment arrangement where OC San serves as the purchaser. No new debt issuances are projected in the near-term. $0.0M $0.0M Financing If it is necessary that OC San utilize debt financing to meet its total obligations and to meet projected construction schedules, OC San uses long-term borrowing (Certificates of Participation (COP)) for capital improvements that cannot be financed from current revenue. Before any new debt is issued, the impact of debt service payments on total annual fixed costs is analyzed. No new debt issuance is currently being planned. The OC San Maintains its AAA Rating OC San maintains ratings of “AAA” from Standards and Poor and “AA” from Fitch. A triple A rating is the highest obtainable for any governmental agency. In order to maintain this rating, OC San adheres to its 2021 Debt Policy and coverage ratios requirements. This Board-adopted policy serves as the agency’s guide in the management of existing debt and in the issuance of future debt. OC San Has Contractual Covenants OC San has contractual covenants within the existing COP agreements which require minimum coverage ratios of 1.25. The minimum coverage ratio is the ratio of net annual revenues available for debt service requirements to total annual debt service requirements for all senior lien COP debt. The coverage ratio for senior lien COP debt was approved at 4.32 for FY 2022-23. Orange County Sanitation District Reserve Summary - FY 2021-22 Orange County Sanitation District (OC San) has a Board of Directors Reserve Policy that sets forth seven criteria to be used to determine its reserve level. As part of the OC San financial and operating process, we have developed a Reserve Policy which governs the establishment of our reserve level and the use of those funds. To ensure an adequate and diverse reserve policy, we have established seven different criteria. These are not seven different reserves, but seven criteria used to set the total reserve level. Reserves can only be used with the approval of the Board of Directors. Below is a brief summary of the OC San Reserve Criteria. Reserve Policy Summary Non-Discretionary 1) Debt Covenants and Other Requirements – Required by OC San bondholders – $91 million – RESTRICTED This level is set by various bond covenants. As OC San issues debt, it is required to maintain certain levels of reserves held specifically for repayment of that debt and cannot be reduced or used prior to repayment of all outstanding debt issuances. 2) “Dry Period” – Property Tax Payments – 50% of Operating Costs – $92 million The largest portion of OC San revenues are user fees, approximately $300 million. These fees are listed on and collected through the County property tax bill. Since we receive payments twice each year, we hold funds in reserve specifically to pay operating expenses pending receipt of those payments. 3) “Dry Period” – Property Tax Payments – 100% of August Debt Service Costs – $24 million The largest portion of OC San revenues are user fees, approximately $300 million. These fees are listed on and collected through the County property tax bill. Since we receive payments twice each year, we hold funds in reserve specifically to pay debt service pending the receipt of those payments. Discretionary 4) Operating Budget – 10% of the total Operating Budget as a Contingency – $18 million We hold ten percent of our operating budget as an operating contingency for non-recurring and unanticipated expenditures. 5) Capital Improvement Budget – 50% of the average 10-year CIP Program – $149 million OC San currently has a ten-year, $2.7 billion Capital Improvement effort. We hold the equivalent of 5% of that total as a contingency specifically related to these Capital Improvement Program efforts. 6) Rehabilitation and Refurbishment – $75 million In 2002, OC San established a reserve level related to rehabilitation efforts at $50 million based on the rehabilitation or replacement costs at that time. Although the total costs for rehabilitation or replacement has increased substantially since 2002 as a result of the move to Full Secondary Treatment and the Construction of GWRS, this reserve guideline has been increased. It will continue to increase 2% annually. 7) Catastrophic loss / Self-insurance – $100 million OC San is Self-Insured for Catastrophic Loss. $100 million of OC San’s total reserves are related to holding funds for this category. Although OC San now has more than $11 billion in asset replacement value and this level has been increased, it is potentially under-funded. Current 2021-22 Reserve Policy Requirement $549 million 3/1/2022 1 Revenues & Reserves  FY2022‐23 & 2023‐24 Budget Presented by: Wally Ritchie,  Controller Administration  Committee March 9, 2022 Estimated Proposed Revenues FY 21-22 FY 22-23 FY 23-24 Fees & Charges $332 M $338 M $345 M General Income $117 M $120 M $122 M Other / Interagency $  45 M$  43 M$  36 M Debt Proceeds $271 M$    0 M$    0 M  Total Revenues $765 M $501 M $503 M Four Major Revenue Categories 2 1 2 3/1/2022 2 Fees and Charges are Majority of Revenues Fees & Charges, $338M, 67% General Income, $120M, 24% Other / Interagency, $43M, 9% Proposed Revenues FY 2022-23 $501 M Fees & Charges, $345M, 69% General Income, $122M, 24% Other / Interagency, $36M, 7% Proposed Revenues FY 2023-24 $503 M 3 Proposed FY 22-23 FY 23-24 General User Fees $ 307 M $ 313 M Permit User Fees $ 13 M $ 13 M Capital Facilities Capacity $ 18 M $ 19 M Charges (CFCC) General User Fees is the Largest Revenue Source Total Fees & Charges $ 338 M $ 345 M 4 3 4 3/1/2022 3 Company Fee % of Total House Foods America $1,532,692 0.46% Stremicks Heritage Foods 1,150,290 0.35% Pulmuone Wildwood, Inc. 651,887 0.20% Newport Fab, LLC (Jazz Semiconductor) 635,752 0.19% Ameripec Inc. 516,918 0.16% House Foods America Corp. (East) 511,698 0.15% MCP Foods, Inc. 487,078 0.15% Nor‐Cal Beverage, Inc. (NCB)     417,014 0.15% Brea Power II, LLC 405,600 0.12% Nor‐Cal Beverage, Inc. (Main)     390,401 0.12% Top Ten Total Fees & Charges $6,699,330 2.02% Top Ten Industrial Users 5 Proposed FY 22-23 FY 23-24 Property Taxes $ 106 M $ 109 M Interest $ 14 M $ 13 M General & Other Income Total General Income $ 120 M $ 122 M Other / Interagency $ 43 M $ 36 M 6 5 6 3/1/2022 4 Debt Proceeds to Support CIP Program No new money debt issuances are  projected in the near term. 7 Non‐Discretionary Reserves Millions 1) Operating Expense –Dry Period $   92 2) Debt Service –Dry Period $   24 3) Debt Service Requirements $   91 Sub‐Total $ 207 Discretionary Reserves 4) Operating Contingencies $   18 5) Capital Improvement Program $ 149 6) Catastrophe Funds $   75 7) Replacement/Refurbishment $ 100 Sub‐Total $ 342 TOTAL $549 Reserve Policy Summary for Fiscal Year 2021- 22 8 7 8 3/1/2022 5 Discretionary Reserve Criteria Operating Contingencies $   18 M Capital Improvement Program $ 149 M Catastrophe Funds $ 100 M Replacement/Refurbishment $   75 M Total $342 M Total OC San Assets $11 B Percent Coverage 3.1% OC San Reserve Criteria Summary 9 Questions ? 10 9 10 ADMINISTRATION COMMITTEE Agenda Report Administration Building 10844 Ellis Avenue Fountain Valley, CA 92708 (714) 593-7433 File #:2022-2178 Agenda Date:3/9/2022 Agenda Item No:6. FROM:James D. Herberg, General Manager Originator: Kathy Millea, Director of Engineering SUBJECT: STAFFING STRATEGY TO DELIVER CAPITAL IMPROVEMENT PROGRAM GENERAL MANAGER'S RECOMMENDATION RECOMMENDATION: Information Item. BACKGROUND The Orange County Sanitation District’s (OC San)Engineering Department manages the execution of the capital improvement program,as well as many of the more complex repair projects.The department includes 99 full time staff in a variety of engineering,inspection,administrative,and engineering support roles; plus 13 supervisors, four managers, and the Director of Engineering. OC San anticipates capital improvement program expenditures of approximately $1.5 billion from July 2022 through June 2027,with annual expenditures doubling between 2021 and 2023.This program will require a temporary increase in the number of engineering and project support professionals over the next five years.Each year,as part of its program management activities,the Engineering Department forecasts staffing levels needed over time to properly control and deliver the program. Staff will present how estimates are developed for the inspection,engineering,project management, programming,and other project support required for delivering capital projects.The presentation will support a discussion of proposed Supplemental Engineering Services and Programming Services contracts to be presented at the Operations Committee in April 2022. RELEVANT STANDARDS ·Sustain 1, 5, 20-year planning horizons ·Maintain a proactive asset management program Orange County Sanitation District Printed on 2/28/2022Page 1 of 2 powered by Legistar™ File #:2022-2178 Agenda Date:3/9/2022 Agenda Item No:6. ATTACHMENT The following attachment(s)may be viewed on-line at the OC San website (www.ocsan.gov)with the complete agenda package: ·Presentation JM:dm Orange County Sanitation District Printed on 2/28/2022Page 2 of 2 powered by Legistar™ 3/1/2022 1 Capital Improvement Program  Delivery Strategy Jeff Mohr   Engineering  Manager Administration Committee March 9, 2022 Forecasted CIP Expenditures 43 active designs ‐$100 million design fees 46 construction contracts ‐$700 million 2 1 2 3/1/2022 2 Capital Project Delivery Costs Staff Labor ~ 13.5% of constr. cost Design Consultant ~ 17% of constr. cost Other Costs ~ 4% of constr. cost Construction Costs 3 Project  Planning Project  Planning Design 4 Forecasting Staff Workload DesignDesign Construction ConstructionConstructionProject  Development Project  Development Preliminary  Design Preliminary  Design CommissioningCommissioning Template Data Template Data Program Schedule Staff Workload by Year Active Projects Planning Project Specific Staff Requirements Project Specific Staff Requirements 3 4 3/1/2022 3 Forecasted Engineering Workloads Note:  This graph based on on‐going budget reviews and is subject to change 5 Programming Workload Note:  This graph based on on‐going budget reviews and are subject to change 6 5 6 3/1/2022 4 Supplemental Services Contracts • Surges in project staff workloads • Technical Expertise • Structural • Architectural • Subject matter experts • Small or urgent tasks •3rd Party Reviews • Value Engineering • Constructability Reviews 7 • Award two Supplemental Engineering Services Agreements • Award two Professional Programming Services Agreements Next Steps 8 7 8 ORANGE COUNTY SANITATION DISTRICT COMMON ACRONYMS ACWA Association of California Water Agencies LOS Level Of Service RFP Request For Proposal APWA American Public Works Association MGD Million Gallons Per Day RWQCB Regional Water Quality Control Board AQMD Air Quality Management District MOU Memorandum of Understanding SARFPA Santa Ana River Flood Protection Agency ASCE American Society of Civil Engineers NACWA National Association of Clean Water Agencies SARI Santa Ana River Interceptor BOD Biochemical Oxygen Demand NEPA National Environmental Policy Act SARWQCB Santa Ana Regional Water Quality Control Board CARB California Air Resources Board NGOs Non-Governmental Organizations SAWPA Santa Ana Watershed Project Authority CASA California Association of Sanitation Agencies NPDES National Pollutant Discharge Elimination System SCADA Supervisory Control And Data Acquisition CCTV Closed Circuit Television NWRI National Water Research Institute SCAP Southern California Alliance of Publicly Owned Treatment Works CEQA California Environmental Quality Act O & M Operations & Maintenance SCAQMD South Coast Air Quality Management District CIP Capital Improvement Program OCCOG Orange County Council of Governments SOCWA South Orange County Wastewater Authority CRWQCB California Regional Water Quality Control Board OCHCA Orange County Health Care Agency SRF Clean Water State Revolving Fund CWA Clean Water Act OCSD Orange County Sanitation District SSMP Sewer System Management Plan CWEA California Water Environment Association OCWD Orange County Water District SSO Sanitary Sewer Overflow EIR Environmental Impact Report OOBS Ocean Outfall Booster Station SWRCB State Water Resources Control Board EMT Executive Management Team OSHA Occupational Safety and Health Administration TDS Total Dissolved Solids EPA US Environmental Protection Agency PCSA Professional Consultant/Construction Services Agreement TMDL Total Maximum Daily Load FOG Fats, Oils, and Grease PDSA Professional Design Services Agreement TSS Total Suspended Solids gpd gallons per day PFAS Per- and Polyfluoroalkyl Substances WDR Waste Discharge Requirements GWRS Groundwater Replenishment System PFOA Perfluorooctanoic Acid WEF Water Environment Federation ICS Incident Command System PFOS Perfluorooctanesulfonic Acid WERF Water Environment & Reuse Foundation IERP Integrated Emergency Response Plan POTW Publicly Owned Treatment Works WIFIA Water Infrastructure Finance and Innovation Act JPA Joint Powers Authority ppm parts per million WIIN Water Infrastructure Improvements for the Nation Act LAFCO Local Agency Formation Commission PSA Professional Services Agreement WRDA Water Resources Development Act ORANGE COUNTY SANITATION DISTRICT GLOSSARY OF TERMS ACTIVATED SLUDGE PROCESS – A secondary biological wastewater treatment process where bacteria reproduce at a high rate with the introduction of excess air or oxygen and consume dissolved nutrients in the wastewater. BENTHOS – The community of organisms, such as sea stars, worms, and shrimp, which live on, in, or near the seabed, also known as the benthic zone. BIOCHEMICAL OXYGEN DEMAND (BOD) – The amount of oxygen used when organic matter undergoes decomposition by microorganisms. Testing for BOD is done to assess the amount of organic matter in water. BIOGAS – A gas that is produced by the action of anaerobic bacteria on organic waste matter in a digester tank that can be used as a fuel. BIOSOLIDS – Biosolids are nutrient rich organic and highly treated solid materials produced by the wastewater treatment process. This high-quality product can be recycled as a soil amendment on farmland or further processed as an earth-like product for commercial and home gardens to improve and maintain fertile soil and stimulate plant growth. CAPITAL IMPROVEMENT PROGRAM (CIP) – Projects for repair, rehabilitation, and replacement of assets. Also includes treatment improvements, additional capacity, and projects for the support facilities. COLIFORM BACTERIA – A group of bacteria found in the intestines of humans and other animals, but also occasionally found elsewhere, used as indicators of sewage pollution. E. coli are the most common bacteria in wastewater. COLLECTIONS SYSTEM – In wastewater, it is the system of typically underground pipes that receive and convey sanitary wastewater or storm water. CERTIFICATE OF PARTICIPATION (COP) – A type of financing where an investor purchases a share of the lease revenues of a program rather than the bond being secured by those revenues. CONTAMINANTS OF POTENTIAL CONCERN (CPC) – Pharmaceuticals, hormones, and other organic wastewater contaminants. DILUTION TO THRESHOLD (D/T) – The dilution at which the majority of people detect the odor becomes the D/T for that air sample. GREENHOUSE GASES (GHG) – In the order of relative abundance water vapor, carbon dioxide, methane, nitrous oxide, and ozone gases that are considered the cause of global warming (“greenhouse effect”). GROUNDWATER REPLENISHMENT SYSTEM (GWRS) – A joint water reclamation project that proactively responds to Southern California’s current and future water needs. This joint project between the Orange County Water District and OCSD provides 70 million gallons per day of drinking quality water to replenish the local groundwater supply. LEVEL OF SERVICE (LOS) – Goals to support environmental and public expectations for performance. N-NITROSODIMETHYLAMINE (NDMA) – A N-nitrosamine suspected cancer-causing agent. It has been found in the GWRS process and is eliminated using hydrogen peroxide with extra ultra-violet treatment. NATIONAL BIOSOLIDS PARTNERSHIP (NBP) – An alliance of the NACWA and WEF, with advisory support from the EPA. NBP is committed to developing and advancing environmentally sound and sustainable biosolids management practices that go beyond regulatory compliance and promote public participation to enhance the credibility of local agency biosolids programs and improved communications that lead to public acceptance. PER- AND POLYFLUOROALKYL SUBSTANCES (PFAS) – A large group (over 6,000) of human-made compounds that are resistant to heat, water, and oil and used for a variety of applications including firefighting foam, stain and water-resistant clothing, cosmetics, and food packaging. Two PFAS compounds, perfluorooctanesulfonic acid (PFOS) and perfluorooctanoic acid (PFOA) have been the focus of increasing regulatory scrutiny in drinking water and may result in adverse health effects including developmental effects to fetuses during pregnancy, cancer, liver damage, immunosuppression, thyroid effects, and other effects. PERFLUOROOCTANOIC ACID (PFOA) – An ingredient for several industrial applications including carpeting, upholstery, apparel, floor wax, textiles, sealants, food packaging, and cookware (Teflon). PERFLUOROOCTANESULFONIC ACID (PFOS) – A key ingredient in Scotchgard, a fabric protector made by 3M, and used in numerous stain repellents. PLUME – A visible or measurable concentration of discharge from a stationary source or fixed facility. PUBLICLY OWNED TREATMENT WORKS (POTW) – A municipal wastewater treatment plant. SANTA ANA RIVER INTERCEPTOR (SARI) LINE – A regional brine line designed to convey 30 million gallons per day of non-reclaimable wastewater from the upper Santa Ana River basin to the ocean for disposal, after treatment. SANITARY SEWER – Separate sewer systems specifically for the carrying of domestic and industrial wastewater. SOUTH COAST AIR QUALITY MANAGEMENT DISTRICT (SCAQMD) – Regional regulatory agency that develops plans and regulations designed to achieve public health standards by reducing emissions from business and industry. SECONDARY TREATMENT – Biological wastewater treatment, particularly the activated sludge process, where bacteria and other microorganisms consume dissolved nutrients in wastewater. SLUDGE – Untreated solid material created by the treatment of wastewater. TOTAL SUSPENDED SOLIDS (TSS) – The amount of solids floating and in suspension in wastewater. ORANGE COUNTY SANITATION DISTRICT GLOSSARY OF TERMS TRICKLING FILTER – A biological secondary treatment process in which bacteria and other microorganisms, growing as slime on the surface of rocks or plastic media, consume nutrients in wastewater as it trickles over them. URBAN RUNOFF – Water from city streets and domestic properties that carry pollutants into the storm drains, rivers, lakes, and oceans. WASTEWATER – Any water that enters the sanitary sewer. WATERSHED – A land area from which water drains to a particular water body. OCSD’s service area is in the Santa Ana River Watershed.