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
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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
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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
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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
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Orange County Sanitation District 1 of 11 Specification No. CS-2021-1266BD
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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.
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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
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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
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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.
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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.
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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
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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.
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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.
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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
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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
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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
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Retention Number
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(Years Unless
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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
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(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
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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
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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
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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
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Retention Number
Retention
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(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
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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
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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
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CCP CL
CCR
CFR
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LC NN
PC OB
PRC S
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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
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CCR
CFR
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LC NN
PC OB
PRC S
OMB T
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SOS
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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
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PRC S
OMB T
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SOS
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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
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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
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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
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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
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C P Paper
H TA
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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
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SOS
USC CD
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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
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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
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CCR
CFR
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LC NN
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OMB T
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FD Floppy Disk
C P Paper
H TA
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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
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C P Paper
H TA
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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
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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
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CCP CL
CCR
CFR
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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
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C P Paper
H TA
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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
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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
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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
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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
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CCP CL
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CFR
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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
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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
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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
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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
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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
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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.
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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
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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
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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
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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
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3/1/2022
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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
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2
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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
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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
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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
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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.