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HomeMy WebLinkAbout07-08-2015 Administration Committee Agenda Orange County Sanitation District Wednesday, July 8, 2015 Regular Meeting of the 5:30 P.M. Administration Committee - Administration Building Board Room 10844 Ellis Avenue Fountain Valley, CA 714 593-7433 AGENDA PLEDGE OF ALLEGIANCE: DECLARATION OF QUORUM: PUBLIC COMMENTS: If you wish to speak,please complete a Speaker's Form and give it to the Clerk of the Board. Speakers are requested to limit comments to three minutes. REPORTS: The Committee Chair and the General Manager may present verbal reports on miscellaneous matters of general interest to the Committee Members. These reports are for information only and require no action by the Committee. REPORT OF DIRECTOR OF FINANCE AND ADMINISTRATIVE SERVICES: CONSENT CALENDAR: 1. Approve Minutes of the June 10, 2015, Administration Committee Meeting. 2. A. Award Purchase Order Contract to Prudential Overall Supply for Uniform and Janitorial Articles Rental Service, Specification No. S-2015-675BD, for one 3-year period (11/1/2015 — 10/31/18) for an amount not to exceed $180,273.60 with one 3-year renewal option; and B. Approve a contingency of$18,027 (10%). 07/0a/15 Administration Committee Agenda Page 1 of 3 3. Recommend to the Board of Directors: Adopt Resolution No. OCSD 15-XX, entitled; "A Resolution of the Orange County Sanitation District Board of Directors Adopting the Records Management Program Policy and Procedures, Updated Retention Schedule, Authorizing Destruction of Obsolete Records, and Repealing Resolution No. OCSD 10-12." NON-CONSENT CALENDAR: 4. Recommend to the Board of Directors: Receive and file the Independent Accountants' Report on Applying Agreed-Upon Procedures from White Nelson Diehl Evans, LLP. CLOSED SESSION: None. OTHER BUSINESS AND COMMUNICATIONS OR SUPPLEMENTAL AGENDA ITEMS, IF ANY: ADJOURNMENT: The next Administration Committee meeting is scheduled for Wednesday, September 9, 2015 at 5:30 p.m. 071OW15 Administration Committee Agenda Page 2 of 3 Accommodations for the Disabled: Meeting Rooms are wheelchair accessible. If you require any special disability related accommodations, please contact the Orange County Sanitation District Clerk of the Board's office at (714)593-7433 at least 72 hours prior to the scheduled meeting. Requests must specify the nature of the disability and the type of accommodation requested. 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 Sanitation District's Administration Building located at 10844 Ellis Avenue, Fountain Valley, California, 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 majority of the Board of Directors,are available for public inspection in the office of the Clerk of the Board. NOTICE TO DIRECTORS: To place items on the agenda for the Committee Meeting, items must be submitted to the Clerk of the Board 14 days before the meeting. Kelly A.Lore Clerk of the Board (714)593-7433 klore(a)ocsd.com For any questions on the agenda, Committee members may contact staff at: General Manager James Herberg (714)593-7300 iherbero(c),ocsd.com Assistant General Manager Bob Ghirelli (714)593-7400 rohirelli(gloced.com Director of Finance and Lorenzo Tyner (714)593-7550 Ityner(&ocsd.com Administrative Services 07/08/15 Administration Committee Agenda Page 3 of 3 ITEM NO. 1 MINUTES OF THE ADMINISTRATION COMMITTEE Orange County Sanitation District Wednesday, June 10, 2015, at 5:30 P.M. A regular meeting of the Administration Committee of the Orange County Sanitation District was called to order by Committee Chair Withers on June 10, 2015, at 5:30 p.m., in the Administration Building of the Orange County Sanitation District. Director Choi led the Flag Salute. A quorum was declared present, as follows: COMMITTEE MEMBERS PRESENT: STAFF PRESENT: John Withers, Chair Bob Ghirelli, Assistant General Manager Keith Curry, Vice-Chair Lorenzo Tyner, Director of Finance Steven Choi Rob Thompson, Director of Engineering Tyler Diep Ed Torres, Director of Operations & James Ferryman Maintenance Peter Kim Kelly Lore, Clerk of the Board Greg Mills Jeff Armstrong Glenn Parker Rich Castillon Erik Peterson (Alternate) Ron Coss Sal Tinajero Norbert Gaia Tom Beamish, Board Chair Rob Gamber John Nielsen, Board Vice-Chair Al Garcia Lori Klinger COMMITTEE MEMBERS ABSENT: Canh Nguyen Teresa Smith Carrie Robles Richard Spencer OTHERS PRESENT: Brad Hogin, General Counsel PUBLIC COMMENTS: None. REPORT OF COMMITTEE CHAIR: Committee Chair Withers did not provide a report. 0&10/2015 Administration Committee Minutes Page 1 of 5 REPORT OF GENERAL MANAGER: Assistant General Manager, Bob Ghirelli did not provide a report. REPORT OF DIRECTOR OF FINANCE AND ADMINISTRATIVE SERVICES: Director of Finance and Administrative Services, Lorenzo Tyner did not provide a report. CONSENT CALENDAR: 1. MOVED, SECONDED and DULY CARRIED TO: Approve Minutes of the May 13, 2015, Administration Committee Meeting. AYES: Beamish, Choi, Curry, Diep, Ferryman, Kim, Mills, Parker, Peterson (Alternate), Tinajero and Withers NOES: None ABSTENTIONS: None ABSENT: Nielsen and T. Smith 2. MOVED, SECONDED and DULY CARRIED TO: Recommend to the Board of Directors: Authorize purchases of software licensing and maintenance agreements for IBM Maximo and WebSphere using GSA Advantage contract # GS-35F-0265X through the expiration date, May 2, 2016 for a total amount not to exceed $200,000, in accordance with Ordinance OCSD-47, Section 2.03(B) Cooperative Purchases. AYES: Beamish, Choi, Diep, Ferryman, Kim, Mills, Parker, Peterson (Alternate), Tinajero and Withers NOES: None ABSTENTIONS: Curry (recused) ABSENT: Nielsen and T. Smith 05/10/2015 Administration Committee Minutes Page 2 of 5 3. MOVED, SECONDED and DULY CARRIED TO: Recommend to the Board of Directors: Authorize purchases of information technology computer and peripheral equipment using the Admin Minnesota Materials Management Division contract release #C-1084(5) through the contract expiration date, December 15, 2015 for a total amount not to exceed $250,000, in accordance with Ordinance OCSD-47, Section 2.03(B) Cooperative Purchases. AYES: Beamish, Choi, Curry, Diep, Ferryman, Kim, Mills, Parker, Peterson (Alternate), Tinajero and Withers NOES: None ABSTENTIONS: None ABSENT: Nielsen and T. Smith 4. MOVED, SECONDED and DULY CARRIED TO: Recommend to the Board of Directors: Authorize purchases of information technology computer and peripheral equipment using the HP WSCA/NASPO contract # B27164 with Nth Generation Computing Inc. through the contract expiration date, September 30, 2015 for a total amount not to exceed $200,000, in accordance with Ordinance OCSD-47, Section 2.03(B) Cooperative Purchases. AYES: Beamish, Choi, Curry, Diep, Ferryman, Kim, Mills, Parker, Peterson (Alternate), Tinajero and Withers NOES: None ABSTENTIONS: None ABSENT: Nielsen and T. Smith 5. MOVED, SECONDED and DULY CARRIED TO: Recommend to the Board of Directors: Adopt Resolution No. OCSD 15-13, entitled, "A Resolution of the Board of Directors of Orange County Sanitation District Establishing Use Charges for the 2015-16 Fiscal Year Pursuant to the Wastewater Treatment and Disposal Agreement with the Santa Ana Watershed Project Authority ("SAWPA")". AYES: Beamish, Choi, Curry, Diep, Ferryman, Kim, Mills, Parker, Peterson (Alternate), Tinajero and Withers 05/10/2015 Administration Committee Minutes Page 3 of 5 NOES: None ABSTENTIONS: None ABSENT: Nielsen and T. Smith 6. MOVED, SECONDED and DULY CARRIED TO: Recommend to the Board of Directors: Adopt Resolution No. OCSD 15-14 entitled, "A Resolution of the Board of Directors of the Orange County Sanitation District Establishing the Annual Appropriations Limit for Fiscal Year 2015-16 for the District in accordance with the Provisions of Division 9 of Title 1 of the California Government Code." AYES: Beamish, Choi, Curry, Diep, Ferryman, Kim, Mills, Parker, Peterson (Alternate), Tinajero and Withers NOES: None ABSTENTIONS: None ABSENT: Nielsen and T. Smith 7. MOVED, SECONDED and DULY CARRIED TO: Recommend to the Board of Directors: Approve the FY 2015-16 "not-to-exceed" quotes for the following insurance vendors: A. Employee Benefit Specialists (medical, dental, and vision plans; Employee Assistance Program)— Not to Exceed $11,305,763 B. Prudential (basic life, long-term disability, short-term disability) — Not to Exceed $494,290 C. The Standard (EMT & Manager disability)— Not to Exceed $30,000 AYES: Beamish, Choi, Curry, Diep, Ferryman, Kim, Mills, Parker, Peterson (Alternate), Tinajero and Withers NOES: None ABSTENTIONS: None ABSENT: Nielsen and T. Smith 0&10/2015 Administration Committee Minutes Page 4 of 5 NON-CONSENT: None. Vice Chair Nielsen arrived at 5:34 p.m. INFORMATION ITEMS: 8. Environmental Laboratory & Ocean Monitoring Director of Operations and Maintenance Ed Torres introduced Environmental Lab & Ocean Monitoring Manager, Ron Coss; Environmental Supervisor, Jeff Armstrong; Sr. Environmental Specialist, Rob Gamber and Laboratory Supervisor Canh Nguyen who presented an informative PowerPoint presentation which included an overview of Division 890, Environmental Monitoring, Toxicological Monitoring and Compounds of Emerging Concern. Mr Coss stated that an item will be presented in the near future for approval of a LCMS Liquid Chromatograph Mass Spectometer and answered a few questions from the Committee regarding: outsourcing of monitoring; beach monitoring; chemical levels in the last few months and effects of disinfection cessation. Director Diep departed the meeting at 5:56 p.m. CLOSED SESSION: None. OTHER BUSINESS AND COMMUNICATIONS OR SUPPLEMENTAL AGENDA ITEMS, IF ANY: None. ADJOURNMENT: Committee Chair Withers declared the meeting adjourned at 6:09 p.m., to the next regularly scheduled meeting of July 8, 2015 at 5:30 p.m. Submitted by: Kelly A. Lore Clerk of the Board 0&10/2015 Administration Committee Minutes Page 5 of 5 ADMINISTRATION COMMITTEE Meeting Dare To ad.of Dir. 07/08,15 — AGENDA REPORT Item Number Item Number z - Orange County Sanitation District FROM: James D. Herberg, General Manager Originator: Lorenzo Tyner, Director of Finance and Administrative Services SUBJECT: UNIFORM AND JANITORIAL ARTICLES RENTAL SERVICE, SPECIFICATION NO. S-2015-675BD GENERAL MANAGER'S RECOMMENDATION A. Award Purchase Order Contract to Prudential Overall Supply for Uniform and Janitorial Articles Rental Service, Specification No. 5-2015-67513D, for one 3-year period (11/1/2015 — 10/31/18) for an amount not to exceed $180,273.60 with one 3-year renewal option; and B. Approve a contingency of$18,027 (10%). SUMMARY OCSD staff involved in the collection and treatment of wastewater are provided with uniforms to maintain a professional appearance, to satisfy OSHA safety requirements, and to protect the employees from exposure to contaminated and unpleasant materials. Uniforms are also required in accordance with the Sanitation District's Memorandums of Understanding (MOU). OCSD staff is recommending incorporating high visibility material in the uniforms. This change provides additional garment cleanliness as these uniforms will be cleaned on a regular basis, unlike the vests that were wom over the old uniforms, and an additional safety benefit as the elimination of the vests reduce the possibility of a loose vest being snagged or pulled by equipment. PRIOR COMMITTEE/BOARD ACTIONS N/A ADDITIONAL INFORMATION In accordance with Purchasing Ordinance No. OCSD-47, OCSD selected a 2-step bidding process which included a Request for Qualifications (RFQ) and a Notice Inviting Bids (NIB). Two bids were received from qualified firms, Prudential Overall Supply and Mission Linen Supply. Prudential Overall Supply was deemed responsive and responsible. However, Mission Linen Supply was deemed non-responsive for non-submittal of prices for two required Items (Men's Cotton Work Shirts- Long Sleeve and Garment Protection Plan). Page 1 of 2 The final contract award was given to the lowest responsive and responsible bidder, Prudential Overall Supply. The results of the bid process are shown in Table 1. TABLE 1 BID EVALUATION Prudential Overall Mission Linen Bid Results Supply Supply Ranking 1 2 Bid Price for one $180,273.60 *$104,679.12 3-year period 'Vendor Non Responsive CEQA N/A BUDGET/PURCHASING ORDINANCE COMPLIANCE This request complies with authority levels of the Sanitation District's Purchasing Ordinance. This item has been budgeted. ATTACHMENT N/A LT/MD/AS/HH Page 2 of 2 ADMINISTRATION COMMITTEE MCng Date TOBE. Dir. g7/Etio9/15 o7/zz/1Of5 AGENDA REPORT Item Number Item Number 3 Orange County Sanitation District FROM: James D. Herberg, General Manager Originator: Robert Ghirelli, Assistant General Manager GENERAL MANAGER'S RECOMMENDATION Adopt Resolution No. OCSD 15-XX entitled, "A Resolution of the Orange County Sanitation District Board of Directors Adopting the Records Management Program Policy and Procedures, Updated Retention Schedule, Authorizing Destruction of Obsolete Records, and Repealing Resolution No. OCSD 10-12." SUMMARY The Sanitation District's Records Management Program is updated to meet new statutory regulations and agency changes to better serve the operational needs of OCSD. The Record Retention Review process, comprised of the Assistant General Manager, Executive Management Team, General Counsel's Office, Departmental Subject Matter Experts and the Records Management Specialist, has reviewed and recommends all the proposed changes. PRIOR COMMITTEE/BOARD ACTIONS July 2010 - Board adopted Resolution No. OCSD 10-12, Adopting the Records Management Program Policy and Procedures, Retention Schedule and Record Definitions, Authorizing Destruction of Obsolete Records, and Repealing Resolution No. OCSD 09-07. ADDITIONAL INFORMATION The Sanitation District's Records Management Program documents how long various types of information are to be kept, as dictated by the legal, fiscal, audit and operational needs of the Sanitation District. As a public agency, there is an obligation to effectively manage and maintain the Sanitation District's information, most of which is classified as public information. Proposed changes for this update focus on the following: The Records Retention Schedule Layout: The updated Records Retention Schedule (RRS) has been reformatted and organized by department for easier reference and use. Retention and citation keys were updated to reflect the current legal retention citations and codes applied throughout the schedule. Page 1 of 2 The Record Series title was renamed to Record Type. Retention numbers were updated for each departmental schedule to reflect the new format. The Record Series Definitions category was removed and incorporated into the Record Type categories where applicable. Retention Schedule Lengths and Citations: Various retention lengths changes were approved to existing record types and new record types added, as dictated by the legal, audit, business and operational needs of the District. CEQA N/A BUDGET / PURCHASING ORDINANCE COMPLIANCE N/A ATTACHMENT The following attachment(s)are attached in hard copy and may also be viewed on-line at the OCSD website (www.ocsd.com) with the complete agenda package: • Draft Resolution OCSD 15-XX • Draft Records Retention Schedule 2015 Page 2 of 2 RESOLUTION NO. OCSD 15-XX A RESOLUTION OF THE BOARD OF DIRECTORS OF ORANGE COUNTY SANITATION DISTRICT ADOPTING THE RECORDS MANAGEMENT PROGRAM POLICY AND PROCEDURES, UPDATED RETENTION SCHEDULE, AUTHORIZING DESTRUCTION OF OBSOLETE RECORDS AND REPEALING RESOLUTION NO. OCSD 10-12 WHEREAS, it is necessary to establish a policy to maintain a Records Management Program ('Program') that provides for the identification, access, and protection of all records generated or received by the District; and WHEREAS, said Program ensures that all District records are created, received, maintained, and destroyed in a cost-effective manner, in accordance with operating requirements for District business and applicable statuses and regulations; and WHEREAS, the Board of Directors of District is authorized, by the provisions of California Government Code Sections 60200 through 60204, inclusive to destroy records under certain conditions, and WHEREAS, it is described and appropriate to authorize the destruction of the records on a routine basis that have been retained for a certain period of time, that are copies of originals on file with the District, or that have been preserved in conformance with all applicable statutes. NOW, THEREFORE, the Board of Directors of Orange County Sanitation District, DOES HEREBY RESOLVE, DETERMINE, AND ORDER: Section 1: Adoption of Records Management Policy and Procedures. The Board of Directors of the District hereby adopts the records Management Policy and Procedures for the Fiscal Year 2015-16. Section 2: Adoption of Updated records Retention Schedule and Definitions of Record Series. The Board of Directors of the District hereby adopts changes to the Records Retention Schedule, set forth in Appendix "A" incorporated herein by reference. Section 3: Authorization for Destruction of Records. The destruction of certain records, papers, and documents is hereby authorized, pursuant to California Government Code Sections 60200 at 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 preserved in conformance with the requirements of California Government Code Section 60203. Section 5: Destruction of Duplicates. Pursuant to California Government Code Section 60200, any duplicate record, paper, or document, the original or a permanent photographic copy of which is in the files of any office or Department of the District, may be destroyed after confirmation with Records Management that such original or permanent photographic copy remains on file in the District. Section 6: Retention of Records Not Mentioned. All records, papers, and documents not mentioned in this Resolution shall be retained. Section 7: Resolution No. OCSD10-12 is hereby repealed. PASSED AND ADOPTED at a regular meeting of the Board of Directors held July 22, 2015. John Nielsen Board Chair ATTEST: Kelly A. Lore Clerk of the Board STATE OF CALIFORNIA ) ss COUNTY OF ORANGE ) I, Kelly A. Lore, Clerk of the Board of Directors of the Orange County Sanitation District, do hereby certify that the foregoing Resolution No. OCSD 15-XX was passed and adopted at a regular meeting of said Board on the 22nd day of July 2015, by the following vote, to wit: IN WITNESS WHEREOF, I have hereunto set my hand and affixed the official seal of Orange County Sanitation District this 22nd day of July, 2015. Kelly A. Lore Clerk of the Board of Directors Orange County Sanitation District RETURN TO AGENDA GENERAL RETENTION SCHEDULE INFORMATION Orange County Sanitation District CITATION CODES: RETENTION CODES: Any Public Records Act requests, litigation, audits, claims and Records Retention Schedule CCP Code of Civil Procedure (California) investigations suspends the stated retention periods. Authorization and CCR California Code of Regulations CL Confidential CFR Code of Federal Regulations Closed or Completed proper destruction methods are required prior to destroying all official N, 5AN lit q EC Elections Code (califomia) Ex Expired or Expiration records as stated in the District's Records Retention Policy. °°°� °"a GC Government Code (California) EL Electronic H Historical H&S Health & Safety Code LF Life of Facility, Equip. or Software Retention and destruction of records applies to all media types IRC Internal Revenue Code pp Yp IRS Internal Revenue Service LO Life of Organization or Permanent including both paper and electronic documents. ; = MA Maturity LC Labor Code (California) ACT'"G N pC Penal Code (California) NN When No Longer Needed Copies, non-records, notes, preliminary drafts and transitory records THE E OMB Office of Management & Budget S Superseded can be destroyed when no longer needed for District business and do R&TC Revenue & Taxation Code (California) Sp Separated * SOS Secretary of State T Terminated not require prior authorization. When original records have reached Complete Retention Schedule V Vital USC United States Code their destruction term all copies and duplicates must be destroyed All Divisions WC Water Code along with the original; regardless of the media of the record. Special Storage Consideration Retention Retention Record Type Length Retention Citations / Comments Number (Years Unless Vital Historical Confidential Specified) BSDO01 Affidavits of Publications Notices LO GC §60201 , §54960.1 (c)(1 ) BSDO02 Agenda and Committee Reports LO GC §34090; SOS c22 BSDO03 Agreements & Contracts - Political & Outside Jurisdictions/Agencies LO V GC §60201 BSDO04 Annexation Files LO GC §34090; GC §60201 (d)(1 ); SOS c28 BSDO05 Bids - Awarded - Board Reviewed LO GC §60201 (d)(6); SOS c30 BSDO06 Bids - Unsuccessful - Board Reviewed 2 GC §34090; CA GC §60201 (d)(11 ); SOS BSDO07 Board Administration Files 10 CPC 801 .5 22; 29 USC §1113; BSDO08 Conflict of Interest (FPPC Filings) T+7 GC §81009(e); SOS c18 BSDO09 Contracts/Agreement - Board Review and Approval CL+6 GC §6201 (d); CCP 337 et seq.; SOS c22 BSD010 Director's Agency Correspondence LO GC §60201 BSD011 Ethics Training 5 GC §53235.2(b) BSD012 Formation Files LO GC §60201 (d)(1 ) BSD013 Land Records LO V GC §60201 (d)(8); GC §34090(a) BSDO14 Legal Opinions LO V C SOS c23 BSDO15 Litigation Files CL+6 GC §60201 (d) BSD016 Meeting Minutes - Board & Board Committees LO GC §60201 (d)(3) BSD017 Ordinances LO GC §60201 (d)(2) BSD018 Recorded Project Documents - Board Approved LO GC §60201 (d)(8); SOS c26 BSD019 Resolutions LO GC §60201 (d)(2); GC §34090(e) BSD020 Tapes & Digital Recordings (Audio) 6 months Minimum retention 30 days or until CPM001 Contract & Agreement File - Capital Improvement Projects (CIP) LO V GC §60201 ; Originals Kept in Board CPM002 Contract & Agreement File - Related Capital Improvement Projects (NON CIP) CL+6 V GC §60201 (May need to give better CPM003 Contract & Agreement File - Non Capital Improvement Projects (NON CIP) CL+6 V GC §60201 CPM004 Escrow Bid Documents LP V C GC §337.15 Escrow bids are returned to CPM005 Procurement File CL+6 GC §60201 1 All Divisions Revised: GENERAL RETENTION SCHEDULE INFORMATION Orange County Sanitation District CITATION CODES: RETENTION CODES: Any Public Records Act requests, litigation, audits, claims and Records Retention Schedule CCP Code of Civil Procedure (California) investigations suspends the stated retention periods. Authorization and CCR California Code of Regulations CL Confidential CFR Code of Federal Regulations Closed or Completed proper destruction methods are required prior to destroying all official N,� 5AN„q EC Elections Code (California) EX Expired or Expiration records as stated in the District's Records Retention Policy. °°°� °"a GC Government Code (California) EL Electronic H Historical H&S Health & Safety Code LF Life of Facility, Equip. or Software Retention and destruction of records applies to all media types IRC Internal Revenue Code pp Yp LO Life of Organization or Permanent IRS Internal Revenue Service including both paper and electronic documents. MA Maturity LC Labor Code (California) ACT'"G rN pC Penal Code (California) NN When No Longer Needed Copies, non-records, notes, preliminary drafts and transitory records He E OMB Office of Management & Budget S Superseded Sp Separated can be destroyed when no longer needed for District business and do R&TC Revenue & Taxation Code (California) * SOS Secretary of State T Terminated not require prior authorization. When original records have reached Complete Retention Schedule V vital USC United States Code their destruction term all copies and duplicates must be destroyed All Divisions WC Water Code along with the original; regardless of the media of the record. Special Storage Consideration Retention Retention Record Type Length Retention Citations / Comments Number (Years Unless Vital Historical Confidential Specified) CPM006 Purchase Order & Requisition Files (OA and OB) CL+6 CCP §337; SOS c30 CPM007 Purchase Order & Requisition Files (OP and OS) CL+2 I CCP §337; SOS c30 (Legal Review CPM008 Warehouse Materials Management Records 4 GC §60201 ; GC §34090; CPM009 Warehouse Records 4 CCP §337; Now Kept in Database. Paper ENG001 Aerials LO GC §60201 , GC §34090 ENG002 Bid Package CL+6 GC §60201 ENG003 Bid Submittal Forms CL+6 GC §60201 CEQA / NEPA Documents: Prepared by others for NON OCSD Projects When No ENG004 Environmental Impact Reports (EIRs), Environmental Assessments, Negative Declarations, etc. Longer GC §60201 Needed ENG005 CEQA / NEPA Documents: Prepared for District Purposes LO GC §60201 ; 14 CCR §15095(c) Lead ENG006 Drawings - Bid Set CL+6 V GC §60201 ENG007 Drawings - Conformed Set S V GC §60201 ; Superseded by the record ENG008 Drawings - Record LO V GC §60201 ENG009 Drawings - Shop LO V GC §60201 ENG010 Encroachment Permits LF GC §60201 et seq.; GC §34090. Retain for Engineering Project File - Facility Records Board Letters (copy), Change Orders, Consultant Proposals (Successful), Engineering Reports, CCP §337 et. seq., GC §60201 ; Capital Improvement Projects (CIP) are to be Pipeline Extensions, Final Record Drawings, Inspection Pictures, Inspection Reports, retained for Life of Organization. Non CIP ENG011 Instrumentation Testing, Mechanical Testing Material Testing, Notifications, Permits (Design, LO V Project Files are Closed + 6. Some Environmental), Photos, Preliminary Design Report (PRD), Progress Payments, Project Budget, administration files may be kept longer Project Schedule, Rights of Way / Easements, Soils, Geotechnical Reports, Specifications - based on business value and contractual Conformed/ Record, Submittals, Surveys, Studies, Videos Post and Pre Construction, CAD or funding agreements. Files, Engineer's Calculation Files 2 All Divisions Revised: RETURN TO AGENDA GENERAL RETENTION SCHEDULE INFORMATION Orange County Sanitation District CITATION CODES: RETENTION CODES: Any Public Records Act requests, litigation, audits, claims and Records Retention Schedule CCP Code of Civil Procedure (California) investigations suspends the stated retention periods. Authorization and CCR California Code of Regulations CL Confidential CFR Code of Federal Regulations Closed or Completed proper destruction methods are required prior to destroying all official N, 5AN lit q EC Elections Code (California) EX Expired or Expiration records as stated in the District's Records Retention Policy. °°°� °"a GC Government Code (California) EL Electronic H Historical H&S Health & Safety Code LF Life of Facility, Equip. or Software Retention and destruction of records applies to all media types IRC Internal Revenue Code pp yp IRS Internal Revenue Service LO Life of Organization or Permanent including both paper and electronic documents. ; = MA Maturity LC Labor Code (California) ACT'"G N pC Penal Code (California) NN When No Longer Needed Copies, non-records, notes, preliminary drafts and transitory records THE E OMB Office of Management & Budget S Superseded can be destroyed when no longer needed for District business and do R&TC Revenue & Taxation Code (California) Sp Separated * SOS Secretary of State T Terminated not require prior authorization. When original records have reached Complete Retention Schedule V vital USC United States Code their destruction term all copies and duplicates must be destroyed All Divisions WC Water Code along with the original; regardless of the media of the record. Special Storage Consideration Retention Retention Record Type Length Retention Citations / Comments Number (Years Unless Vital Historical Confidential Specified) Engineering Project File CCP §337 et. seq., GC §60201 ; Capital Agreements / Contracts (Non-CIP and Copies), As-Built/Field Mark-Up Drawing, Project Improvement Projects (CIP) are to be Administration, Bid Summary, Bonds, Certificate Payroll, Grant Documents, Errors & Omissions, Non CIP retained for Life of Organization. Non CIP ENG012 Insurance Certificates, Punch Lists, Bid Bonds (returned), Bond Copies of Drawings, Consultant CL+6 Project Files are Closed + 6. Some files Proposals (Unsuccessful), Correspondence, Engineer's Estimates, Memoranda, Permits CIP may be kept longer based on business (Construction & Street Opening), Phone Message Log, Preliminary Notices, Project Schedules, LO value and contractual or funding Real Estate Appraisals, Requests for Information, Stop Notices - Claims, Transmittal Letters, agreements. USAs ENG013 ILand Records LO V H GC §60201 ; Originals Kept in Board ENG014 Master Plans and Strategic Plans LO V H GC §60201 et seq. ENG015 Permits - Sewer Connection & Trunk Sewer Connection LO V 14 CCR §15095(c); GC §60201 et seq. ENG016 Reports & Studies - Final LO GC §60201 et seq. ENG017 Sewer Line Records LO V GC §60201 ENG018 Specifications - Bid Set CL+6 GC §60201 ENG019 Specifications - Conformed/ Record LO GC §60201 ENG020 Utility Requests 3 GC §60201 ECDO01 Air Quality & AQMD Files 7 CCP §338(k); SOS c27 ECDO02 AQMD Permits LO GC §60201 ECDO03 Biosolids Management Records LO 40 CFR §503.17; 40 CFR §122.410)(2); 40 ECDO04 Environmental Audit Records LO GC §60201 ECDO05 Environmental Audit Records LO GC §60201 ; SOS c27 ECDO06 Environmental Audit Records LO GC §60201 ECDO07 Permittees Files CL + 3 40 §CFR 122.410)(2), §403.12(o) ECDO08 Underground Storage Tanks LO 23 CCR §2772; SOS c33 ECD009 Waste Hauler Files 3 40 CFR §40.12(o)(v)(2) 3 All Divisions Revised: GENERAL RETENTION SCHEDULE INFORMATION Orange County Sanitation District CITATION CODES: RETENTION CODES: Any Public Records Act requests, litigation, audits, claims and Records Retention Schedule CCP Code of Civil Procedure (California) C Confidential investigations suspends the stated retention periods. Authorization and CCR California Code of Regulations CL CFR Code of Federal Regulations Closed or Completed proper destruction methods are required prior to destroying all official N,� SAN„q EC Elections Code (California) Ex Expired or Expiration records as stated in the District's Records Retention Policy. °°°� °"a GC Government Code (California) EL Electronic H Historical H&S Health & Safety Code LF Life of Facility, Equip. or Software Retention and destruction of records applies to all media types IRC Internal Revenue Code pp Yp LO Life of Organization or Permanent IRS Internal Revenue Service including both paper and electronic documents. MA Maturity LC Labor Code (California) ACT'"G rN pC Penal Code (California) NN When No Longer Needed Copies, non-records, notes, preliminary drafts and transitory records He E OMB Office of Management & Budget S Superseded Sp Separated can be destroyed when no longer needed for District business and do R&TC Revenue & Taxation Code (California) * SOS Secretary of State T Terminated not require prior authorization. When original records have reached Complete Retention Schedule V Vital USC United States Code their destruction term all copies and duplicates must be destroyed All Divisions WC Water Code along with the original; regardless of the media of the record. Special Storage Consideration Retention Retention Record Type Length Retention Citations / Comments Number (Years Unless Vital Historical Confidential Specified) ECDO10 Permits, NPDES LO 40 CFR §122.21 , 28, 41 .; SOS c45 FAD001 Accounting Reports 2 GC §60201 FAD002 Accounts Payable Files 7 GC §60201 (d)(12); SOS c29 FAD003 Accounts Receivable Files 7 GC §60201 (d)(12); CCP § 337 et seq.; FAD004 Annual Report - Financial LO GC §60201 ; SOS c30 FAD005 Audit Records LO GC §60201 et seq. FAD006 Bank Signature Cards S+5 Retain for 5 years after superseded; GC FAD007 Banking Records 6 SOS c29 FAD008 Bonds LO CCP §§336(a), § 337.5; GC §43900 et FAD009 Budgets (Adopted) LO Business Value; GC §60200; Vital During FAD010 Budgets vs Actual 5 GC §60201 ; §34090; SOS c29 FAD011 Check Records 7 GC §60201 (d)(12); CCP §337; SOS c29 FAD012 Capital Facility Capacity Chargers CFCC 7 GC §60201 (d)(12); CCP §337, SOS c29 FAD013 Expense Reports 7 GC §60201 (d)(12); CCP §337, SOS a1 FAD014 Financial Statements 10 SOS c39 FAD015 Financial System Indefinite Data Fields / Records are interrelated; GC FAD016 Fixed Asset Records LF SOS c29; Life of Asset FAD017 General Ledger LO SOS c29 FAD018 Investment Records LO GC §34090; CCP §337; GC §53607; SOS FAD019 Journal Entries LO Business Value; GC §60201 , CCP §337; FAD020 Local Resources Program Reports (LRP) / Water Certifications LO GC §60201 FAD021 OCERS File 1 7 1 GC §60201 (d)(12); 29 CFR §516.6(a)(1 ); FAD022 Payroll Records 7 GC §60201 (d)(12); CCP §337; 29 CFR FAD023 Petty Cash Records 4 GC §60201 (d)(12); CCP §337; SOS a1 FAD024 Rate Studies 10 Business Value; GC §60201 4 All Divisions Revised: RETURN TO AGENDA GENERAL RETENTION SCHEDULE INFORMATION Orange County Sanitation District CITATION CODES: RETENTION CODES: Any Public Records Act requests, litigation, audits, claims and Records Retention Schedule CCp Code of Civil Procedure (California) investigations suspends the stated retention periods. Authorization and CCR California Code of Regulations CL Confidential CFR Code of Federal Regulations Closed or Completed proper destruction methods are required prior to destroying all official N, 5AN lit q EC Elections Code (California) Ex Expired or Expiration records as stated in the District's Records Retention Policy. °°°� °"a GC Government Code (California) EL Electronic H Historical H&S Health & Safety Code LF Life of Facility, Equip. or Software Retention and destruction of records applies to all media types IRC Internal Revenue Code pp yp IRS Internal Revenue Service LO Life of Organization or Permanent including both paper and electronic documents. ; = MA Maturity LC Labor Code (California) ACT'"G N pC Penal Code (California) NN When No Longer Needed Copies, non-records, notes, preliminary drafts and transitory records THE E OMB Office of Management & Budget S Superseded can be destroyed when no longer needed for District business and do R&TC Revenue & Taxation Code (California) Sp Separated * SOS Secretary of State T Terminated not require prior authorization. When original records have reached Complete Retention Schedule V vital USC United States Code their destruction term all copies and duplicates must be destroyed All Divisions WC Water Code along with the original; regardless of the media of the record. Special Storage Consideration Retention Retention Record Type Length Retention Citations / Comments Number (Years Unless Vital Historical Confidential Specified) FAD025 Rebates and Refunds 7 GC §60201 FAD026 State Controllers Reports 5 GC §60201 FAD027 Tax Records, Employee 7 29 CFR §516.5; SOS c30 FAD028 Tax Records, Vendor CL+6 GC §60201 FAD029 Trial Balance Records 3 SOS c29 FAD030 W-2's, 1099R Annual Information Returns for Employee and Retirees 7 IRS Reg. §31 .6001 -1 (e)(2); R&TC §19530; FSS001 Collection Systems Records 6 GC §60201 ; Business Value FSS002 Facility Maintenance & Repair LF+2 GC §60201 ; Life of Asset + 2 years FSS003 Generator Operation Logs (for fixed / stationary generators) / Inspections 3 Department Preference (2 years is FSS004 Pressure Vehicle CNG Tank Certifications or Permits, Inspections LF Department Preference; GC §34090 et. FSS006 Vehicle Smog Check Inspection Report 5 Department preference; GC §60201 FSS007 Bit Inspection (CHP Commercial Vehicle Inspection) LF+2 49 CFR §396.11 (c)(2); GC §60201 ; Life of FSS008 Certifications: Mobile Crane, Vehicles, etc. 5 Department Preference; OSHA records FSS009 Chain of Custody, Source Control, Spilt Sample 3 GC §60201 ; Business Value FSS010 Collection System Process Data LO GC §60201 ; Business Value FSS012 Inspection Reports & Photos - Manhole 10 GC §60201 ; SOS c45 FSS013 Sewer Line Maintenance Files 10 GC §60201 ; Business Value Consistent Vehicle Inspection & Equipment Checks Files Motor carrier, required for 3 and 14 FSS014 Daily Safety Checks, Pre-Starts, Commercial Vehicle Pre-Starts and Forklift Inspections, Pre- 3 months; 49 CFR §396.11 (c)(2);49 CFR Trip Inspections, CHP Inspections, Daily Vehicle Inspections, Daily Equipment Checks §396.21 (b)(1 ); GC §60201 ; GC §34090 Combined with ITDO05 verify codes FSS015 Vehicle, Equipment Files, Maintenance, Registrations, Vehicle Titles ("Pink Slips"), LF+2 8 CCR § 3203(b)(1 ); 49 CFR GM0001 Annual OCSD Reports LO GC §60201 GM0002 Blast Development Records LO GC §60201 ; Non-Historical photos can be GM0003 Blast Procedures S GC §60201 5 All Divisions Revised: GENERAL RETENTION SCHEDULE INFORMATION Orange County Sanitation District CITATION CODES: RETENTION CODES: Any Public Records Act requests, litigation, audits, claims and Records Retention Schedule CCP Code of Civil Procedure (California) investigations suspends the stated retention periods. Authorization and CCR California Code of Regulations CL Confidential CFR Code of Federal Regulations Closed or Completed proper destruction methods are required prior to destroying all official N,� SAN„q EC Elections Code (California) Ex Expired or Expiration records as stated in the District's Records Retention Policy. °°°� °"a GC Government Code (California) EL Electronic H Historical H&S Health & Safety Code LF Life of Facility, Equip. or Software Retention and destruction of records applies to all media types IRC Internal Revenue Code pp Yp LO Life of Organization or Permanent IRS Internal Revenue Service including both paper and electronic documents. MA Maturity LC Labor Code (California) ACT'"G rN pC Penal Code (California) NN When No Longer Needed Copies, non-records, notes, preliminary drafts and transitory records He E OMB Office of Management & Budget S Superseded Sp Separated can be destroyed when no longer needed for District business and do R&TC Revenue & Taxation Code (California) * SOS Secretary of State T Terminated not require prior authorization. When original records have reached Complete Retention Schedule V vital USC United States Code their destruction term all copies and duplicates must be destroyed All Divisions WC Water Code along with the original; regardless of the media of the record. Special Storage Consideration Retention Retention Record Type Length Retention Citations / Comments Number (Years Unless Vital Historical Confidential Specified) GM0004 Blast Professional Development Articles (From External Sources) NN GC §60201 ; Can submit for destruction GM0005 Blast Program Files 2 GC §60201 ; Destroy Quarterly Reports GM0006 Blast Working Documents NN Non-record; GC §60201 ; Can submit for GM0007 GM Monthly Reports 2 GC §60201 GM0008 Historical Records LO GC §60201 GM0009 Meeting Files - Executive Management Team (EMT) 2 GC §60201 GM0010 Public Record Act Requests CL + 2 GC §60201 ; Sec of State Guidelines GM0011 Records Destruction Records LO GC §60201 ; Sec of State Guidelines GM0012 Records Management Annual Audits S+3 GC §60201 GM0013 Records Management Project Files NN GM0014 Records Retention Schedules LO CCP §343; SOS c23 Enacted by Board GM0015 Speeches and Presentation 3 GC §60201 GM0016 Travel Records 7 GC §60201 HRD001 Class Specifications LO 29 CFR §1627.3; GC §12946; GC §60201 ; HRD002 Contracts - Temporary Employees CL+7 CCP §§336(a); 337 et. seq.; GC §60201 ; HRD003 Deferred Compensation Records LO 26 CFR §16001 -1 ; 29 CFR §1627.3; SOS HRD004 District Benefit Contracts & Benefit Plans / Insurance Policies T+5 9 CFR §1627.3(b)(2); 29 USC §1027; 11 HRD005 EE04 Reports and Files 3 29 CFR §1602.30 HRD006 Employee & Labor Relations Files LO 29 CFR §516.5; GC §12946; sops c20; HRD007 Employee Benefit Plans and Programs LO CG §12946; GC §60201 ;GC HRD009 Human Resources / ERP Database Indefinite Data Fields / Records are interrelated; GC HRD010 1-9 Forms T+3 8 USC §1324a(b)(3)(B); 8 CFR HRD011 Medical File T+30 V 8 CCR §3204(d)(1 ) et seq., GC §§12946, HRD012 Organization Charts LO GC §60201 et seq. HRD013 Personnel Files T+7 29 CFR §1602.31 & §1627.3(b)(ii), 8 CCR 6 All Divisions Revised: RETURN TO AGENDA GENERAL RETENTION SCHEDULE INFORMATION Orange County Sanitation District CITATION CODES: RETENTION CODES: Any Public Records Act requests, litigation, audits, claims and Records Retention Schedule CCP Code of Civil Procedure (California) investigations suspends the stated retention periods. Authorization and CCR California Code of Regulations CL Confidential CFR Code of Federal Regulations Closed or Completed proper destruction methods are required prior to destroying all official N, 5AN lit q EC Elections Code (California) EX Expired or Expiration records as stated in the District's Records Retention Policy. °°°� °"a GC Government Code (California) EL Electronic H Historical H&S Health & Safety Code LF Life of Facility, Equip. or Software Retention and destruction of records applies to all media types IRC Internal Revenue Code pp yp IRS Internal Revenue Service LO Life of Organization or Permanent including both paper and electronic documents. ; = MA Maturity LC Labor Code (California) ACT'"G N pC Penal Code (California) NN When No Longer Needed Copies, non-records, notes, preliminary drafts and transitory records THE E OMB Office of Management & Budget S Superseded can be destroyed when no longer needed for District business and do R&TC Revenue & Taxation Code (California) Sp Separated * SOS Secretary of State T Terminated not require prior authorization. When original records have reached Complete Retention Schedule V vital USC United States Code their destruction term all copies and duplicates must be destroyed All Divisions WC Water Code along with the original; regardless of the media of the record. Special Storage Consideration Retention Retention Record Type Length Retention Citations / Comments Number (Years Unless Vital Historical Confidential Specified) HRD014 Recruitment Records CL+3 29 CFR §1602 et seq & §1627.3(a)(b), 2 HRD015 Training Records Indefinite GC §60201 , SOS c21 ; Data Fields / ITDO01 Access Authorization Forms T+3 GC §60201 ITDO02 Cabling Specs and Test Results LF +1 GC §60201 ITDO03 Computer System Administrative Records LF+2 SOS c22; Life of System ITDO04 GIS (Geographic Information System) Database S Data is interrelated; GC §60200; GC ITDO05 Information Logs 3 GC §60201 ITDO06 IT Help Desk System 3 GC §60201 When No Retain until it no longer has business ITDO07 Network Diagrams/ System Configurations/ Maps/ Plans Longer value; GC §60201 ; GC §34090 et seq.; Needed CCP §337.2, CCP §343 When No Retain until it no longer has business ITDO08 Physical Inventory Database Longer value; GC §60201 ; GC §34090 et seq. Needed ITDO09 Software & IT Manuals S+1 GC §60201 ITDO10 Software Application Files S GC §60201 ; Superseded With Version ITD011 Source Code T+2 GC §60201 ; GC §34090 et seq.; Kept in ITDO12 System Documentation T+2 Retain until it no longer has business ITDO13 System Log (Database) S Until superseded or overwritten ITDO14 System Maintenance 2 GC §60201 ; GC §34090 et seq. ITDO15 System Security Database S Retain until it no longer has business value ITDO16 Two-Way Radio Licensing and Information EX + 2 GC § 60201 (Moved From FSS014) ITDO17 Video Surveillance Files 1 GC §§53160, 53161 - Based on ITDO18 Virtual Computer Files 90 days GC §34090.7; SOS c22; Replicated for EL0001 Chain of Custody - Laboratory 7 GC §60201 7 All Divisions Revised: GENERAL RETENTION SCHEDULE INFORMATION Orange County Sanitation District CITATION CODES: RETENTION CODES: Any Public Records Act requests, litigation, audits, claims and Records Retention Schedule CCP Code of Civil Procedure (California) investigations suspends the stated retention periods. Authorization and CCR California Code of Regulations CL Confidential CFR Code of Federal Regulations Closed or Completed proper destruction methods are required prior to destroying all official N,� 5AN„q EC Elections Code (California) EX Expired or Expiration records as stated in the District's Records Retention Policy. °°°� °"a GC Government Code (California) EL Electronic H Historical H&S Health & Safety Code LF Life of Facility, Equip. or Software Retention and destruction of records applies to all media types IRC Internal Revenue Code pp yp IRS Internal Revenue Service LO Life of Organization or Permanent including both paper and electronic documents. ; = MA Maturity LC Labor Code (California) ACT'"G rN pC Penal Code (California) NN When No Longer Needed Copies, non-records, notes, preliminary drafts and transitory records He E OMB Office of Management & Budget S Superseded Sp Separated can be destroyed when no longer needed for District business and do R&TC Revenue & Taxation Code (California) * SOS Secretary of State T Terminated not require prior authorization. When original records have reached Complete Retention Schedule V vital USC United States Code their destruction term all copies and duplicates must be destroyed All Divisions WC Water Code along with the original; regardless of the media of the record. Special Storage Consideration Retention Retention Record Type Length Retention Citations / Comments Number (Years Unless Vital Historical Confidential Specified) EL0002 Laboratory Records LO GC §34090.7, SOS c22 EL0003 I Data Packet - Analytical Chemistry & Metals 7 GC §60201 EL0004 Unprocessed Instrumentation Files LO GC §60201 ; Database is Indefinite EL0005 Lab Reports LO GC §60201 EL0006 Lab Database LO GC §60201 ; Database is Indefinite EL0007 Published Articles LO GC §60201 EL0008 Lab SOP's LO GC §60201 EL0009 OMP Field Datasheets LO GC §60201 OMD001 Chemical Inventory Records 1 GC §60201 OMD002 Complaint Files and Problem Reports 2 GC §60201 (Check Retention OMD003 Confined Space Entries 3 40 CFR §122.410)(2) OMD004 Flow Records LO GC §60201 OMD005 Logs - Control Center Plant Operations 30 GC §60201 OMD006 Logs 3 V GC §60201 OMD007 Monthly Reports 2 GC §60201 OMD008 O&M Policies & Procedures S+10 GC §60201 OMD009 Operating Journals 2 GC §60201 OMD010 Operating Records 5 GC §60201 OMD011 Process Data LO GC §60201 OMD012 Reference Files S GC §60201 When No OMD013 Speeches/Presentations Longer GC §60201 Needed PA0001 Education Curriculum S+2 GC §60201 ; Destroy 2 years after PA0002 Outreach/Event File S+5 GC §60201 8 All Divisions Revised: RETURN TO AGENDA GENERAL RETENTION SCHEDULE INFORMATION Orange County Sanitation District CITATION CODES: RETENTION CODES: Any Public Records Act requests, litigation, audits, claims and Records Retention Schedule CCp Code of Civil Procedure (California) investigations suspends the stated retention periods. Authorization and CCR California Code of Regulations CL Confidential CFR Code of Federal Regulations Closed or Completed proper destruction methods are required prior to destroying all official N, 5AN lit q EC Elections Code (California) Ex Expired or Expiration records as stated in the District's Records Retention Policy. °°°� °"a GC Government Code (California) EL Electronic H Historical H&S Health & Safety Code LF Life of Facility, Equip. or Software Retention and destruction of records applies to all media types IRC Internal Revenue Code pp yp IRS Internal Revenue Service LO Life of Organization or Permanent including both paper and electronic documents. ; = MA Maturity LC Labor Code (California) ACT'"G N pC Penal Code (California) NN When No Longer Needed Copies, non-records, notes, preliminary drafts and transitory records THE E OMB Office of Management & Budget S Superseded can be destroyed when no longer needed for District business and do R&TC Revenue & Taxation Code (California) Sp Separated * SOS Secretary of State T Terminated not require prior authorization. When original records have reached Complete Retention Schedule V vital USC United States Code their destruction term all copies and duplicates must be destroyed All Divisions WC Water Code along with the original; regardless of the media of the record. Special Storage Consideration Retention Retention Record Type Length Retention Citations / Comments Number (Years Unless Vital Historical Confidential Specified) Marketing Material When No PA0003 Flyers, Brochures, Newsletters, Email Blasts, etc. Longer GC §60201 ; SOS c19 Needed PA0004 Photos & Videos LO GC §60201 ; Non-Historical Photos can be Presentations and Supporting Documents When No PA0005 (Includes PowerPoints) Longer GC §60201 ; SOS c24 Needed PA0006 Press/Media Releases LO GC §60201 ; SOS c40 PA0007 Publication Proofs - Non Board Related General Marketing 2 GC §60201 ; SOS c24 PA0008 Website Content Indefinite GC §60201 PA0009 Employee Events LO GC §60201 PA0010 Legislative Files LO GC §60201 PA0011 Social Media Posts LO GC §60201 RMS001 Certificate of Insurance P CCP §337.15; SOS c25 RMS002 DOT Random Drug & Alcohol Test Records 5 29 CFR §1627.3(b)(v), 49 CFR §382.401 When No RMS003 Emergency Exercises & Drills, After Action Reports Longer GC §60201 Needed RMS004 Emergency Response & Disaster Recovery Files S V GC §60201 RMS005 EOC Activation Notifications & Records CL + 2 GC §60201 RMS006 Industrial Hygiene & Safety Files TE+30 8 CCR §3204; 29 CFR §1910 RMS007 Medical Files - Occupational TE+30 8 CCR §3204; 29 CFR §1910 RMS008 OSHA Compliance Records P OMB 1220-0029; 29 CFR §1904.4; SOS RMS009 Risk Management Reports CL+5 OMB 1220-0029; 29 CFR §1904.4; SOS RMS010 Risk & Safety Committee and Meeting Documents 2 8 CCR §3203 et seq.; GC §60201 et seq. 9 All Divisions Revised: GENERAL RETENTION SCHEDULE INFORMATION Orange County Sanitation District CITATION CODES: RETENTION CODES: Any Public Records Act requests, litigation, audits, claims and Records Retention Schedule CCP Code of Civil Procedure (California) investigations suspends the stated retention periods. Authorization and CCR California Code of Regulations CL Confidential CFR Code of Federal Regulations Closed or Completed proper destruction methods are required prior to destroying all official N,� SAN„q EC Elections Code (California) EX Expired or Expiration records as stated in the District's Records Retention Policy. °°°� °"a GC Government Code (California) EL Electronic H Historical H&S Health & Safety Code LF Life of Facility, Equip. or Software Retention and destruction of records applies to all media types IRC Internal Revenue Code pp yp IRS Internal Revenue Service LO Life of Organization or Permanent including both paper and electronic documents. ; = MA Maturity LC Labor Code (California) ACT'"G rN pC Penal Code (California) NN When No Longer Needed Copies, non-records, notes, preliminary drafts and transitory records He E OMB Office of Management & Budget S Superseded Sp Separated can be destroyed when no longer needed for District business and do R&TC Revenue & Taxation Code (California) * SOS Secretary of State T Terminated not require prior authorization. When original records have reached Complete Retention Schedule V vital USC United States Code their destruction term all copies and duplicates must be destroyed All Divisions WC Water Code along with the original; regardless of the media of the record. Special Storage Consideration Retention Retention Record Type Length Retention Citations / Comments Number (Years Unless Vital Historical Confidential Specified) RMS011 Workers Compensation Files P CCR §14311 ; §15400.2; LC §110-139.6; RMS012 OSHA Inspections & Citations CY + 7 8 CCR §14300.33(a); 29 CFR §1904.33, RMS013 Photos & Videos P GC §60201 RMS014 Accident & Incident Records 7 GC §60201 ; CCP §338; CFR §1904.6; RMS015 Asbestos & Lead Abatement Records P GC §60201 ; CCR §1529(n)6 RMS016 Business Plans, Hazardous Materials Inventory, Disclosures 5 GC §60201 ; 40 §CFR 122.21 (p) RMS017 Calibration Gas Detectors Annual Recertification 5 8 CCR §14300.33(a); 29 CFR §1904.33, RMS018 Confined Space Records 3 9 CCR §5156-5158 RMS019 Hazardous Waster Records P 8 CCR §3204(d)(1 ) et seq.; 40 CFR RMS020 HazMat Permits, Environmental Health Permits P GC §60201 RMS021 Safety Data Sheets (SDS) P 8 CCR §5194; 29 CFR §1910 RMS022 Respirator Inventory & Maintenance 2 GC §60201 ; 8 CCR §5144(m) RMS023 Safety Inspections, Safety Logs 7 8 CCR §14300.33(a); 29 CFR §1904.33, RMS024 Training Records - Safety TE+7 SOS c21 ; GC §60201 (Mirrors Employee RMS025 Training Database P GC §60201 ; Records in Cornerstone RMS026 Radiation License & Disposal Records P GC §60201 RMS027 Job Site Safety Analysis (JSSA), Job Hazard Analysis (JHA), Hot work Permits 2 GC §60201 RMS028 PPE Assessments S GC §60201 RMS029 Lock out Tag Out Audits (LOTO) 2 GC §60201 10 All Divisions Revised: RETURN TO AGENDA Board Services 120 W1 Contracts, Purchasing& Materials 230 Engineering 710,740,750, Environmental Compliance 790 Financial Services and Administration 210,220 Fleet Facilities Support Services 41,342, aft General Managers Office 110 Human Resources 160 Information Technology 250 Lab&Ocean Monitoring 890 Operations& Maintenance 810,830,840, 850, 860 Public Affairs 140 Risk Management&Safety 260 General District Records 11 Divisions Revised: GENERAL RETENTION SCHEDULE INFORMATION Orange County Sanitation District CITATION CODES: RETENTION CODES: Any Public Records Act requests, litigation, audits, claims and Records Retention Schedule CCP Code of Civil Procedure (California) C Confidential investigations suspends the stated retention periods. Authorization and CCR California Code of Regulations CL CFR Code of Federal Regulations Closed or Completed proper destruction methods are required prior to destroying all official N,� 5AN„q EC Elections Code (califomia) Ex Expired or Expiration records as stated in the District's Records Retention Policy. °°°� °"a GC Government Code (California) EL Electronic H Historical H&S Health & Safety Code LF Life of Facility, Equip. or Software Retention and destruction of records applies to all media types IRC Internal Revenue Code pp Yp IRS Internal Revenue Service LO Life of Organization or Permanent including both paper and electronic documents. ; = MA Maturity LC Labor Code (California) ACT'"G rN pC Penal Code (California) NN When No Longer Needed Copies, non-records, notes, preliminary drafts and transitory records He E OMB Office of Management & Budget S Superseded can be destroyed when no longer needed for District business and do R&TC Revenue & Taxation Code (California) Sp Separated * SOS Secretary of State T Terminated not require prior authorization. When original records have reached Board Services USC United States Code V Vital their destruction term all copies and duplicates must be destroyed WC Water Code along with the original; regardless of the media of the record. Special Storage Consideration Retention Retention Record Type Length Retention Citations / Comments Number (Years Unless Vital Historical Confidential Specified) BSDO01 Affidavits of Publications Notices LO GC §§60201 , GC §54960.1 (c)(1 ) BSDO02 Agenda and Committee Reports LO V H GC §34090; SOS c22 Agreements & Contracts - Political & Outside Jurisdictions/Agencies BSDO03 Cooperative Agreements, JPAs (Joint Powers Authorities), JFAs (Joint Finance Authorities), LO V GC §60201 Interagency, etc. BSDO04 Annexation Files LO V H GC §34090; GC §60201 (d)(1 ); SOS c28 BSDO05 Bids - Awarded (Board Reviewed) LO GC §60201 (d)(6); SOS c30 BSDO06 Bids - Unsuccessful (Board Reviewed) 2 GC §34090; GC §60201 (d)(11 ); SOS c30 Board Administration Files CPC 801 .5 22; 29 USC §1113; BSD007 Loyalty Oaths, Election Records 10 V SOS c18 12 Board Services Revised: RETURN TO AGENDA GENERAL RETENTION SCHEDULE INFORMATION Orange County Sanitation District CITATION CODES: RETENTION CODES: Any Public Records Act requests, litigation, audits, claims and Records Retention Schedule CCP Code of Civil Procedure (California) C Confidential investigations suspends the stated retention periods. Authorization and CCR California Code of Regulations CL CFR Code of Federal Regulations Closed or Completed proper destruction methods are required prior to destroying all official N,� SAN„q EC Elections Code (California) Ex Expired or Expiration records as stated in the District's Records Retention Policy. °°°� °"a GC Government Code (California) EL Electronic H Historical H&S Health & Safety Code LF Life of Facility, Equip. or Software Retention and destruction of records applies to all media types IRC Internal Revenue Code pp Yp IRS Internal Revenue Service LO Life of Organization or Permanent including both paper and electronic documents. ; = MA Maturity LC Labor Code (California) ACT'"G rN pC Penal Code (California) NN When No Longer Needed Copies, non-records, notes, preliminary drafts and transitory records HE E OMB Office of Management & Budget S Superseded Sp Separated can be destroyed when no longer needed for District business and do R&TC Revenue & Taxation Code (California) * SOS Secretary of State T Terminated not require prior authorization. When original records have reached Board Services USC United States Code V vital their destruction term all copies and duplicates must be destroyed WC Water Code along with the original; regardless of the media of the record. Special Storage Consideration Retention Retention Record Type Length Retention Citations / Comments Number (Years Unless Vital Historical Confidential Specified) BSDO08 Conflict of Interest (FPPC Filings) T+7 GC §81009(e); SOS c18 BSDO09 Contracts/Agreement - Board Review and Approval p V GC §60201 (d); CCP 337 et seq.; SOS c22 Includes Specifications BSD010 Director's Agency Correspondence LO GC §60201 BSD011 Ethics Training 5 GC §53235.2(b) Sexual Harassment Board Only, Ethics Training Board & Employee BSD012 Formation Files LO V H GC §60201 (d)(1 ) Land Records BSDO13 Easements, Grant, Deeds, Quit Claim Deeds, Abandonments, Condemnations, Real Estate LO V H GC §60201 (d)(8); GC §34090(a) Purchase & Sale, Property Agreements, Encroachment Permits, Etc. BSDO14 Legal Opinions LO V H C SOS c23 13 Board Services Revised: GENERAL RETENTION SCHEDULE INFORMATION Orange County Sanitation District CITATION CODES: RETENTION CODES: Any Public Records Act requests, litigation, audits, claims and Records Retention Schedule CCP Code of Civil Procedure (California) C Confidential investigations suspends the stated retention periods. Authorization and CCR California Code of Regulations CL CFR Code of Federal Regulations Closed or Completed proper destruction methods are required prior to destroying all official N,� SAN„q EC Elections Code (California) EX Expired or Expiration records as stated in the District's Records Retention Policy. °°°� °"a GC Government Code (California) EL Electronic H Historical H&S Health & Safety Code LF Life of Facility, Equip. or Software Retention and destruction of records applies to all media types IRC Internal Revenue Code pp Yp IRS Internal Revenue Service LO Life of Organization or Permanent including both paper and electronic documents. ; = MA Maturity LC Labor Code (California) ACT'"G rN pC Penal Code (California) NN When No Longer Needed Copies, non-records, notes, preliminary drafts and transitory records He E OMB Office of Management & Budget S Superseded Sp Separated can be destroyed when no longer needed for District business and do R&TC Revenue & Taxation Code (California) * SOS Secretary of State T Terminated not require prior authorization. When original records have reached Board Services uSC United States Code V Vital their destruction term all copies and duplicates must be destroyed WC Water Code along with the original; regardless of the media of the record. Special Storage Consideration Retention Retention Record Type Length Retention Citations / Comments Number (Years Unless Vital Historical Confidential Specified) BSD015 Litigation Files CL+6 GC §60201 (d) BSDO16 Meeting Minutes - Board & Board Committees LO V H GC §60201 (d)(3) BSDO17 Ordinances LO V H GC §60201 (d)(2) BSDO18 Recorded Project Documents - Board Approved LO V H GC §60201 (d)(8); SOS c26 Notice of Completion BSDO19 Resolutions LO V H GC §60201 (d)(2); GC §34090(e) Tapes & Digital Recordings (Audio) Minimum retention 30 days or until BSD020 Board or Committee Meetings 6 months adoption of the minutes Per Brown Act; GC §54953.5(b) 14 Board Services Revised: RETURN TO AGENDA GENERAL RETENTION SCHEDULE INFORMATION Orange County Sanitation District CITATION CODES: RETENTION CODES: Any Public Records Act requests, litigation, audits, claims and Records Retention Schedule CCP Code of Civil Procedure (California) C Confidential investigations suspends the stated retention periods. Authorization and CCR California Code of Regulations CL CFR Code of Federal Regulations Closed or Completed proper destruction methods are required prior to destroying all official N,� SAN„q EC Elections Code (California) EX Expired or Expiration records as stated in the District's Records Retention Policy. °°°� °"a GC Government Code (California) EL Electronic H Historical H&S Health & Safety Code LF Life of Facility, Equip. or Software Retention and destruction of records applies to all media types IRC Internal Revenue Code pp Yp IRS Internal Revenue Service LO Life of Organization or Permanent including both paper and electronic documents. ; = MA Maturity LC Labor Code (California) ACT'"G rN pC Penal Code (California) NN When No Longer Needed Copies, non-records, notes, preliminary drafts and transitory records HE E OMB Office of Management & Budget S Superseded Sp Separated can be destroyed when no longer needed for District business and do R&TC Revenue & Taxation Code (California) * SOS Secretary of State T Terminated not require prior authorization. When original records have reached Contracts, Purchasing & Materials USC United States Code V vital their destruction term all copies and duplicates must be destroyed WC Water Code along with the original; regardless of the media of the record. Special Storage Consideration Retention Retention Length Number Record Type g Retention Citations / Comments (Years Unless Vital Historical Confidential Specified) Contract & Agreement File - Capital Improvement Projects (CIP) GC §60201 ; Originals Kept in Board CPM001 (Includes Insurance certificates, authorization document, change orders, amendments, notices, LO V Services construction, correspondence, etc.) CPM002 Contract & Agreement File - Non Capital Improvement Projects (NON CIP) CL+6 V GC §60201 Professional Services, Equipment, Supplies, etc. CPM003 Escrow Bid Documents LP V C CCP §337.15 CPM004 Procurement File CL+6 GC §60201 RFP, RFB, Addendum, Q&A Log, Evaluation Material, Correspondence etc.. CPM005 Purchase Order & Requisition Files (OA and OB) CL+6 CCP §337; SOS c30 Open Annual and Open Blanket CPM006 Purchase Order & Requisition Files (OP and OS) CL+2 CCP §337; SOS c30 Open Purchase and Open Service 15 Contracts Purch. and Material Revised: GENERAL RETENTION SCHEDULE INFORMATION Orange County Sanitation District CITATION CODES: RETENTION CODES: Any Public Records Act requests, litigation, audits, claims and Records Retention Schedule CCP Code of Civil Procedure (California) C Confidential investigations suspends the stated retention periods. Authorization and CCR California Code of Regulations CL CFR Code of Federal Regulations Closed or Completed proper destruction methods are required prior to destroying all official N,� SAN„q EC Elections Code (California) EX Expired or Expiration records as stated in the District's Records Retention Policy. °°°� °"a GC Government Code (California) EL Electronic H Historical H&S Health & Safety Code LF Life of Facility, Equip. or Software Retention and destruction of records applies to all media types IRC Internal Revenue Code pp Yp IRS Internal Revenue Service LO Life of Organization or Permanent including both paper and electronic documents. ; = MA Maturity LC Labor Code (California) ACT'"G rN pC Penal Code (California) NN When No Longer Needed Copies, non-records, notes, preliminary drafts and transitory records He E OMB Office of Management & Budget S Superseded Sp Separated can be destroyed when no longer needed for District business and do R&TC Revenue & Taxation Code (California) * SOS Secretary of State T Terminated not require prior authorization. When original records have reached Contracts, Purchasing & Materials USC United States Code V vital their destruction term all copies and duplicates must be destroyed WC Water Code along with the original; regardless of the media of the record. Special Storage Consideration Retention Retention Record Type Length Retention Citations / Comments Number (Years Unless Vital Historical Confidential Specified) GC §60201 ; GC §34090; Warehouse Materials Management Records CCP §337, SOS c29 Now Kept in CPM007 Includes Disposal of Surplus Assets 4 Database. Paper records 4 years; Database indefinite. Warehouse Records CCP §337; Now Kept in Database. Paper CPM008 Sales Orders, Discrepancies, Add To Stores, Receivers, Return To Vendors (RTV), Shipping 4 records 4 years; Database indefinite. Records, Inventories 16 Contracts Purch. and Material Revised: RETURN TO AGENDA GENERAL RETENTION SCHEDULE INFORMATION Orange County Sanitation District CITATION CODES: RETENTION CODES: Any Public Records Act requests, litigation, audits, claims and Records Retention Schedule CCP Code of Civil Procedure (California) C Confidential investigations suspends the stated retention periods. Authorization and CCR California Code of Regulations CL CFR Code of Federal Regulations Closed or Completed proper destruction methods are required prior to destroying all official N,� SAN„q EC Elections Code (California) EX Expired or Expiration records as stated in the District's Records Retention Policy. °°°� °"a GC Government Code (California) EL Electronic H Historical H&S Health & Safety Code LF Life of Facility, Equip. or Software Retention and destruction of records applies to all media types IRC Internal Revenue Code pp Yp IRS Internal Revenue Service LO Life of Organization or Permanent including both paper and electronic documents. ; = MA Maturity LC Labor Code (California) ACT'"G rN pC Penal Code (California) NN When No Longer Needed Copies, non-records, notes, preliminary drafts and transitory records HE E OMB Office of Management & Budget S Superseded Sp Separated can be destroyed when no longer needed for District business and do R&TC Revenue & Taxation Code (California) * SOS Secretary of State T Terminated not require prior authorization. When original records have reached Engineering USC United States Code V vital their destruction term all copies and duplicates must be destroyed WC Water Code along with the original; regardless of the media of the record. Special Storage Consideration Retention Retention Length Number Record Type g Retention Citations / Comments (Years Unless Vital Historical Confidential Specified) ENG001 Aerials LO GC §60201 , GC §34090 (Includes Plans & Photos) Bid Package ENG002 Published Packet - Info for Bidders, Sample Contract Agreement, Specifications, Drawings, CL+6 GC §60201 Addenda's Issued During Bidding ENG003 Bid Submittal Forms CL+6 GC §60201 ENG004 CEQA / NEPA Documents: Prepared by others for NON OCSD Projects NN GC §60201 Environmental Impact Reports (EIRs), Environmental Assessments, Negative Declarations, etc. CEQA / NEPA Documents: Prepared for District Purposes ENG005 Environmental Impact Reports (EIRs), Environmental Assessments, Negative Declarations, LO GC §60201 ; 14 CCR §15095(c) Environmental Impact Report Documents, Comment Card, Meeting Agenda, Notice of Preparation (NOP), etc.) ENG006 Drawings - Bid Set CL+6 V GC §60201 17 Engineering Revised: GENERAL RETENTION SCHEDULE INFORMATION Orange County Sanitation District CITATION CODES: RETENTION CODES: Any Public Records Act requests, litigation, audits, claims and Records Retention Schedule CCP Code of Civil Procedure (California) C Confidential investigations suspends the stated retention periods. Authorization and CCR California Code of Regulations CL CFR Code of Federal Regulations Closed or Completed proper destruction methods are required prior to destroying all official N,� 5AN„q EC Elections Code (California) Ex Expired or Expiration records as stated in the District's Records Retention Policy. °°°� °"a GC Government Code (California) EL Electronic H Historical H&S Health & Safety Code LF Life of Facility, Equip. or Software Retention and destruction of records applies to all media types IRC Internal Revenue Code pp Yp IRS Internal Revenue Service LO Life of Organization or Permanent including both paper and electronic documents. ; = MA Maturity LC Labor Code (California) ACT'"G rN pC Penal Code (California) NN When No Longer Needed Copies, non-records, notes, preliminary drafts and transitory records He E OMB Office of Management & Budget S Superseded Sp Separated can be destroyed when no longer needed for District business and do R&TC Revenue & Taxation Code (California) * SOS Secretary of State T Terminated not require prior authorization. When original records have reached Engineering USC United States Code V vital their destruction term all copies and duplicates must be destroyed WC Water Code along with the original; regardless of the media of the record. Special Storage Consideration Retention Retention Record Type Length Retention Citations / Comments Number (Years Unless Vital Historical Confidential Specified) GC §60201 ; Superseded by the record ENG007 Drawings - Conformed Set S V drawings. If no record drawings are issued, the conformed set is kept for Life of Organization. ENG008 Drawings - Record LO V GC §60201 ENG009 Drawings - Shop LO V GC §60201 ENG010 Encroachment Permits LF GC §60201 et seq.; GC §34090. Retain for Life of the Permit Engineering Project File - Facility Records CCP §337 et. seq., GC §60201 ; Capital Board Letters (copy), Change Orders, Consultant Proposals (Successful), Engineering Reports, Improvement Projects (CIP) are to be Pipeline Extensions, Final Record Drawings, Inspection Pictures, Inspection Reports, retained for Life of Organization. Non CIP Instrumentation Testing, Mechanical Testing Material Testing, Notifications, Permits (Design, ENG011 LO V Project Files are Closed + 6. Some Environmental), Photos, Preliminary Design Report (PRD), Progress Payments, Project Budget, administration files may be kept longer Project Schedule, Rights of Way / Easements, Soils, Geotechnical Reports, Specifications - based on business value and contractual Conformed/ Record, Submittals, Surveys, Studies, Videos Post and Pre Construction, CAD or funding agreements. Files, Engineer's Calculation Files 18 Engineering Revised: RETURN TO AGENDA GENERAL RETENTION SCHEDULE INFORMATION Orange County Sanitation District CITATION CODES: RETENTION CODES: Any Public Records Act requests, litigation, audits, claims and Records Retention Schedule CCp Code of Civil Procedure (California) C Confidential investigations suspends the stated retention periods. Authorization and CCR California Code of Regulations CL CFR Code of Federal Regulations Closed or Completed proper destruction methods are required prior to destroying all official N, 5AN lit q EC Elections Code (California) EX Expired or Expiration records as stated in the District's Records Retention Policy. °°°� °"a GC Government Code (California) EL Electronic H Historical H&S Health & Safety Code LF Life of Facility, Equip. or Software Retention and destruction of records applies to all media types IRC Internal Revenue Code pp yp IRS Internal Revenue Service LO Life of Organization or Permanent including both paper and electronic documents. ; = MA Maturity LC Labor Code (California) ACT'"G N pC Penal Code (California) NN When No Longer Needed Copies, non-records, notes, preliminary drafts and transitory records THE E OMB Office of Management & Budget S Superseded can be destroyed when no longer needed for District business and do R&TC Revenue & Taxation Code (California) Sp Separated * SOS Secretary of State T Terminated not require prior authorization. When original records have reached Engineering USC United States Code V vital their destruction term all copies and duplicates must be destroyed WC Water Code along with the original; regardless of the media of the record. Special Storage Consideration Retention Retention Record Type Length Retention Citations / Comments Number (Years Unless Vital Historical Confidential Specified) Engineering Project File CCP §337 et. seq., GC §60201 ; Capital Agreements / Contracts (Non-CIP and Copies), As-Built/Field Mark-Up Drawing, Project Improvement Projects (CIP) are to be Administration, Bid Summary, Bonds, Certificate Payroll, Grant Documents, Errors & Omissions, CL+6 retained for Life of Organization. Non CIP ENG012 Insurance Certificates, Punch Lists, Bid Bonds (returned), Bond Copies of Drawings, Consultant Project Files are Closed + 6. Some files Proposals (Unsuccessful), Correspondence, Engineer's Estimates, Memoranda, Permits may be kept longer based on business (Construction & Street Opening), Phone Message Log, Preliminary Notices, Project Schedules, value and contractual or funding Real Estate Appraisals, Requests for Information, Stop Notices - Claims, Transmittal Letters, agreements. Land Records GC §60201 ; Originals Kept in Board ENG013 Grant Deeds, Quick Claim Deeds, Utility Agreement, Will Serve Letter, Easements, Annexations, LO V H Services Land Agreements, Etc. ENG014 Master Plans and Strategic Plans LO V H GC §60201 et seq. ENG015 Permits - Sewer Connection & Trunk Sewer Connection LO V 40 CFR 122.28; 40 CFR 122.41 ; GC §60201 et seq. ENG016 Reports & Studies - Final LO GC §60201 et seq. 19 Engineering Revised: GENERAL RETENTION SCHEDULE INFORMATION Orange County Sanitation District CITATION CODES: RETENTION CODES: Any Public Records Act requests, litigation, audits, claims and Records Retention Schedule CCP Code of Civil Procedure (California) C Confidential investigations suspends the stated retention periods. Authorization and CCR California Code of Regulations CL CFR Code of Federal Regulations Closed or Completed proper destruction methods are required prior to destroying all official N,� 5AN„q EC Elections Code (California) EX Expired or Expiration records as stated in the District's Records Retention Policy. °°°� °"a GC Government Code (California) EL Electronic H Historical H&S Health & Safety Code LF Life of Facility, Equip. or Software Retention and destruction of records applies to all media types IRC Internal Revenue Code pp Yp IRS Internal Revenue Service LO Life of Organization or Permanent including both paper and electronic documents. ; = MA Maturity LC Labor Code (California) ACT'"G rN pC Penal Code (California) NN When No Longer Needed Copies, non-records, notes, preliminary drafts and transitory records He E OMB Office of Management & Budget S Superseded Sp Separated can be destroyed when no longer needed for District business and do R&TC Revenue & Taxation Code (California) * SOS Secretary of State T Terminated not require prior authorization. When original records have reached Engineering USC United States Code V Vital their destruction term all copies and duplicates must be destroyed WC Water Code along with the original; regardless of the media of the record. Special Storage Consideration Retention Retention Record Type Length Retention Citations / Comments Number (Years Unless Vital Historical Confidential Specified) ENG017 Sewer Line Records LO V GC §60201 Atlas, Videos, Maps, Etc. ENG018 Specifications - Bid Set CL+6 V GC §60201 ENG019 Specifications - Conformed/ Record LO V GC §60201 ENG020 Utility Requests 3 GC §60201 ENG021 USA Alerts 3 GC §60201 20 Engineering Revised: RETURN TO AGENDA GENERAL RETENTION SCHEDULE INFORMATION Orange County Sanitation District CITATION CODES: RETENTION CODES: Any Public Records Act requests, litigation, audits, claims and Records Retention Sched CCP Code of Civil Procedure (California) investigations suspends the stated retention periods. Authorization and CCR California Code of Regulations CL Confidential CFR Code of Federal Regulations Closed or Completed proper destruction methods are required prior to destroying all official SANITgT EC Elections Code (California) Ex Expired or Expiration records as stated in the District's Records Retention Policy. °°° °"o GC Government Code (California) EL Electronic H Historical H&S Health & Safety Code LF Life of Facility, Equip. or Software Retention and destruction of records applies to all media types IRC Internal Revenue Code pp yp � LO Life of Organization or Permanent including both paper and electronic documents. 2 IRS Internal Revenue Service MA Maturity °r mac" LC Labor Code (California) FCJ/NG THE ENJ\Q°a pC Penal Code (California) NN When No Longer Needed Copies, non-records, notes, preliminary drafts and transitory records can OMB Office of Management & Budget S Superseded be destroyed when no longer needed for District business and do not R&TC Revenue & Taxation code (California) Sp Separated SOS Secretary of State T Terminated require prior authorization. *When original records have reached their Environmental Compliance USC United States Code V vital destruction term all copies and duplicates must be destroyed WC Water Code along with the original; regardless of the media of the record. Retention Special Storage Consideration Retention Record Type Length Retention Citations / Comments Number (Years Unless Vital Historical Confidential Specified) ECDO01 Air Quality & AQMD Files 7 CCP §338(k); SOS c27 Testing Reports and Permit Applications ECDO02 AQMD Permits LO GC §60201 Various Equipment and Engines Operation 40 CFR §503.17; 40 CFR §122.410)(2); 40 ECDO03 Biosolids Management Records LO CFR §122.21 ; SOS c47; Will further examine Biosolids Hauling, Use, EMS Activities this record type and make recommendations for year end RSS update. ECDO04 Environmental Audit Records LO GC §60201 Conducted By OCSD ECDO05 Environmental Audit Records LO GC §60201 ; SOS c27 External Audits Conducted By Outside Agencies ECDO06 Environmental Audit Records LO GC §60201 Internal Audits Within OCSD 21 Environmental Compliance Revised: GENERAL RETENTION SCHEDULE INFORMATION Orange County Sanitation District CITATION CODES: RETENTION CODES: Any Public Records Act requests, litigation, audits, claims and Records Retention Sched CCP Code of Civil Procedure (California) investigations suspends the stated retention periods. Authorization and CCR California Code of Regulations CL Confidential CFR Code of Federal Regulations Closed or Completed proper destruction methods are required prior to destroying all official 14 SNN,TgT EC Elections Code (California) EX Expired or Expiration records as stated in the District's Records Retention Policy. °°° °"o GC Government Code (California) EL Electronic H Historical H&S Health & Safety Code LF Life of Facility, Equip. or Software Retention and destruction of records applies to all media types IRC Internal Revenue Code pp yp IRS Internal Revenue Service LO Life of Organization or Permanent including both paper and electronic documents. ; 2 MA Maturity °r mac" LC Labor Code (California) FCJ/NG THE ENJ\Q°a pC Penal Code (California) NN When No Longer Needed Copies, non-records, notes, preliminary drafts and transitory records can OMB Office of Management & Budget S Superseded be destroyed when no longer needed for District business and do not R&TC Revenue & Taxation code (California) Sp Separated SOS Secretary of State T Terminated require prior authorization. *When original records have reached their Environmental Compliance USC United States Code V vital destruction term all copies and duplicates must be destroyed WC Water Code along with the original; regardless of the media of the record. Special Storage Consideration Retention Retention Record Type Length Retention Citations / Comments Number (Years Unless Vital Historical Confidential Specified) ECDO07 Permittees Files CL+3 40 §CFR 122.410)(2), §403.12(o) Discharge Permits and Urban Runoff ECDO08 Underground Storage Tanks LO 23 CCR §2772; SOS c33 ECDO09 Waste Hauler Manifests 3 40 CFR §403.12(o)(v)(2) ECDO10 Permits, NPDES LO V 40 CFR §122.410)(2), 40 CFR §403.12(o) 22 Environmental Compliance Revised: RETURN TO AGENDA GENERAL RETENTION SCHEDULE INFORMATION Orange County Sanitation District CITATION CODES: RETENTION CODES: Any Public Records Act requests, litigation, audits, claims and Records Retention Schedule CCP Code of Civil Procedure (California) C Confidential investigations suspends the stated retention periods. Authorization and CCR California Code of Regulations CL CFR Code of Federal Regulations Closed or Completed proper destruction methods are required prior to destroying all official N,� SAN„q EC Elections Code (California) EX Expired or Expiration records as stated in the District's Records Retention Policy. °°°� °"a GC Government Code (California) EL Electronic H Historical H&S Health & Safety Code LF Life of Facility, Equip. or Software Retention and destruction of records applies to all media types IRC Internal Revenue Code pp Yp IRS Internal Revenue Service LO Life of Organization or Permanent including both paper and electronic documents. ; = MA Maturity LC Labor Code (California) ACT'"G rN pC Penal Code (California) NN When No Longer Needed Copies, non-records, notes, preliminary drafts and transitory records HE E OMB Office of Management & Budget S Superseded Sp Separated can be destroyed when no longer needed for District business and do R&TC Revenue & Taxation Code (California) * SOS Secretary of State T Terminated not require prior authorization. When original records have reached Financial Services & Administration USC United States Code V Vital their destruction term all copies and duplicates must be destroyed WC Water Code along with the original; regardless of the media of the record. Special Storage Consideration Retention Retention Length Number Record Type g Retention Citations / Comments (Years Unless Vital Historical Confidential Specified) FAD001 Accounting Reports 4 GC §60201 ; SOS a1 FAD002 Accounts Payable Files 7 GC §60201 (d)(1 2); SOS c29 Vendor and Contractor Invoices, Bills, Statements, Any Non-Discharged Debt FAD003 Accounts Receivable Files 7 V GC §60201 (d)(1 2); CCP § 337 et seq.; SOS c29 FAD004 Annual Report - Financial LO GC §60201 ; SOS c30 Audit Records FAD005 Annual Reports, Financial Statements, Audit Management Letters Comprehensive Annual LO GC §60201 et seq. Financial Report (CAFR) FAD006 Bank Signature Cards S+5 GC §60201 ; Retain for 5 years after superseded Banking Records FAD007 Deposit Receipts, Bank Statements, Checking Account Reconciliation, Cash Transfer Report, 6 GC §60201 ; SOS c29 Adjustments - Returned Checks (NSF), Etc. 23 Financial Srvs & Administration Revised: GENERAL RETENTION SCHEDULE INFORMATION Orange County Sanitation District CITATION CODES: RETENTION CODES: Any Public Records Act requests, litigation, audits, claims and Records Retention Schedule CCP Code of Civil Procedure (California) C Confidential investigations suspends the stated retention periods. Authorization and CCR California Code of Regulations CL CFR Code of Federal Regulations Closed or Completed proper destruction methods are required prior to destroying all official N,� SAN„q EC Elections Code (California) Ex Expired or Expiration records as stated in the District's Records Retention Policy. °°°� °"a GC Government Code (California) EL Electronic H Historical H&S Health & Safety Code LF Life of Facility, Equip. or Software Retention and destruction of records applies to all media types IRC Internal Revenue Code pp Yp IRS Internal Revenue Service LO Life of Organization or Permanent including both paper and electronic documents. ; = MA Maturity LC Labor Code (California) ACT'"G rN pC Penal Code (California) NN When No Longer Needed Copies, non-records, notes, preliminary drafts and transitory records He E OMB Office of Management & Budget S Superseded Sp Separated can be destroyed when no longer needed for District business and do R&TC Revenue & Taxation Code (California) * SOS Secretary of State T Terminated not require prior authorization. When original records have reached Financial Services & Administration USC United States Code V Vital their destruction term all copies and duplicates must be destroyed WC Water Code along with the original; regardless of the media of the record. Special Storage Consideration Retention Retention Record Type Length Retention Citations / Comments Number (Years Unless Vital Historical Confidential Specified) Bonds CCP §336(a), § 337.5; GC §43900 et seq.; FAD008 Certificates of Participation, Transcripts, Disclosure Reports, Registers, Issue Records LO V GC §60201 et seq. Determination of Allocation FAD009 Budgets (Adopted) LO V GC §60200; Vital During Current FY FAD010 Budgets vs Actual 5 GC §60201 ; §34090; SOS c29 Supporting Documentation Summaries, Worksheets, Goals and Objectives, Milestones FAD011 Check Records 7 GC §60201 (d)(1 2); CCP §337; SOS c29 Cancelled Payroll Checks, Voided Copies For Automatic Deposits, Registers, Requests FAD012 Capital Facility Capacity Chargers (CFCC) 7 GC §60201 (d)(1 2); CCP §337; SOS c29 FAD013 Expense Reports 7 GC §60201 (d)(12); CCP §337, SOS a1 FAD014 Financial Statements 10 SOS c39 24 Financial Srvs & Administration Revised: RETURN TO AGENDA GENERAL RETENTION SCHEDULE INFORMATION Orange County Sanitation District CITATION CODES: RETENTION CODES: Any Public Records Act requests, litigation, audits, claims and Records Retention Schedule CCP Code of Civil Procedure (California) C Confidential investigations suspends the stated retention periods. Authorization and CCR California Code of Regulations CL CFR Code of Federal Regulations Closed or Completed proper destruction methods are required prior to destroying all official N,� SAN„q EC Elections Code (California) Ex Expired or Expiration records as stated in the District's Records Retention Policy. °°°� °"a GC Government Code (California) EL Electronic H Historical H&S Health & Safety Code LF Life of Facility, Equip. or Software Retention and destruction of records applies to all media types IRC Internal Revenue Code pp Yp IRS Internal Revenue Service LO Life of Organization or Permanent including both paper and electronic documents. ; = MA Maturity LC Labor Code (California) ACT'"G rN pC Penal Code (California) NN When No Longer Needed Copies, non-records, notes, preliminary drafts and transitory records HE E OMB Office of Management & Budget S Superseded Sp Separated can be destroyed when no longer needed for District business and do R&TC Revenue & Taxation Code (California) * SOS Secretary of State T Terminated not require prior authorization. When original records have reached Financial Services & Administration USC United States Code V Vital their destruction term all copies and duplicates must be destroyed WC Water Code along with the original; regardless of the media of the record. Special Storage Consideration Retention Retention Record Type Length Retention Citations / Comments Number (Years Unless Vital Historical Confidential Specified) FAD015 Financial System Indefinite Data Fields / Records are interrelated; GC ERP Database, Access Database, Utility Billing §60201 FAD016 Fixed Asset Records LF V SOS c29; Life of Asset FAD017 General Ledger LO V SOS c29 FAD018 Investment Records LO GC §34090; CCP §337; GC §53607; SOS c30 FAD019 Journal Entries LO GC §60201 ; CCP §337; SOS c29 FAD020 Local Resources Program Reports (LRP) / Water Certifications LO GC §60201 FAD021 OCERS File 7 GC §60201 (d)(1 2); 29 CFR §516.6(a)(1 ) Copies of OCERS payments, statements, etc. 25 Financial Srvs & Administration Revised: GENERAL RETENTION SCHEDULE INFORMATION Orange County Sanitation District CITATION CODES: RETENTION CODES: Any Public Records Act requests, litigation, audits, claims and Records Retention Schedule CCP Code of Civil Procedure (California) C Confidential investigations suspends the stated retention periods. Authorization and CCR California Code of Regulations CL CFR Code of Federal Regulations Closed or Completed proper destruction methods are required prior to destroying all official N,� SAN„q EC Elections Code (California) EX Expired or Expiration records as stated in the District's Records Retention Policy. °°°� °"a GC Government Code (California) EL Electronic H Historical H&S Health & Safety Code LF Life of Facility, Equip. or Software Retention and destruction of records applies to all media types IRC Internal Revenue Code pp Yp IRS Internal Revenue Service LO Life of Organization or Permanent including both paper and electronic documents. ; = MA Maturity LC Labor Code (California) ACT'"G rN pC Penal Code (California) NN When No Longer Needed Copies, non-records, notes, preliminary drafts and transitory records He E OMB Office of Management & Budget S Superseded Sp Separated can be destroyed when no longer needed for District business and do R&TC Revenue & Taxation Code (California) * SOS Secretary of State T Terminated not require prior authorization. When original records have reached Financial Services & Administration USC United States Code V Vital their destruction term all copies and duplicates must be destroyed WC Water Code along with the original; regardless of the media of the record. Special Storage Consideration Retention Retention Record Type Length Retention Citations / Comments Number (Years Unless Vital Historical Confidential Specified) FAD022 OCERS Retirement Report LO GC §60201 (d)(1 2); 29 CFR §516.6(a)(1 ); Business Value Payroll Records GC §60201 (d)(1 2); CCP §337; 29 CFR FAD023 Timesheets, Payroll Registers and Reports, Unemployment Claims, Garnishments, Payment Of 7 V §§516.5, 516.6(a)(1 ); IRS Reg. §31 .6001 - Labor Costs Including Salaries, Wages, Compensation and Deductions For Employees, Board 1 (e)(2); 26 CFR §1 .6001 -1 ; R&T §19530 Members and Contractors, (DE-6 & 941 Forms - Quarterly and Annual Payroll Tax Returns) FAD024 Petty Cash Records 4 GC §60201 (d)(12); CCP §337; SOS a1 FAD025 Rate Studies 10 GC §60201 ; Business Value FAD026 Rebates and Refunds 7 GC §60201 Sewer Service Fees FAD027 State Controllers Reports 5 GC §60201 26 Financial Srvs & Administration Revised: RETURN TO AGENDA GENERAL RETENTION SCHEDULE INFORMATION Orange County Sanitation District CITATION CODES: RETENTION CODES: Any Public Records Act requests, litigation, audits, claims and Records Retention Schedule CCP Code of Civil Procedure (California) C Confidential investigations suspends the stated retention periods. Authorization and CCR California Code of Regulations CL CFR Code of Federal Regulations Closed or Completed proper destruction methods are required prior to destroying all official N,� SAN„q EC Elections Code (California) Ex Expired or Expiration records as stated in the District's Records Retention Policy. °°°� °"a GC Government Code (California) EL Electronic H Historical H&S Health & Safety Code LF Life of Facility, Equip. or Software Retention and destruction of records applies to all media types IRC Internal Revenue Code pp Yp IRS Internal Revenue Service LO Life of Organization or Permanent including both paper and electronic documents. ; = MA Maturity LC Labor Code (California) ACT'"G rN pC Penal Code (California) NN When No Longer Needed Copies, non-records, notes, preliminary drafts and transitory records HE E OMB Office of Management & Budget S Superseded Sp Separated can be destroyed when no longer needed for District business and do R&TC Revenue & Taxation Code (California) * SOS Secretary of State T Terminated not require prior authorization. When original records have reached Financial Services & Administration USC United States Code V Vital their destruction term all copies and duplicates must be destroyed WC Water Code along with the original; regardless of the media of the record. Special Storage Consideration Retention Retention Record Type Length Retention Citations / Comments Number (Years Unless Vital Historical Confidential Specified) FAD028 Tax Records - Employee 7 V 29 CFR §516.5; SOS c30 FAD029 Tax Records - Vendor CL+6 GC §60201 FAD030 Trial Balance Records 3 SOS c29 IRS Reg. §31 .6001 -1 (e)(2); RUC §19530; FAD031 W-2's, 1099R Annual Information Returns for Employee and Retirees 7 29 CFR §516.5 - 516.6; 29 USC §436; GC §60201 (d)(1 2); 29 CFR §31 .605-1 , §31 .600-1 (d) 27 Financial Srvs & Administration Revised: GENERAL RETENTION SCHEDULE INFORMATION Orange County Sanitation District CITATION CODES: RETENTION CODES: Any Public Records Act requests, litigation, audits, claims and Records Retention Schedule CCP Code of Civil Procedure (California) C Confidential investigations suspends the stated retention periods. Authorization and CCR California Code of Regulations CL CFR Code of Federal Regulations Closed or Completed proper destruction methods are required prior to destroying all official N,� SAN„q EC Elections Code (califomia) Ex Expired or Expiration records as stated in the District's Records Retention Policy. °°°� °"a GC Government Code (California) EL Electronic H Historical H&S Health & Safety Code LF Life of Facility, Equip. or Software Retention and destruction of records applies to all media types IRC Internal Revenue Code pp Yp IRS Internal Revenue Service LO Life of Organization or Permanent including both paper and electronic documents. ; = MA Maturity LC Labor Code (California) ACT'"G rN pC Penal Code (California) NN When No Longer Needed Copies, non-records, notes, preliminary drafts and transitory records He E OMB Office of Management & Budget S Superseded can be destroyed when no longer needed for District business and do R&TC Revenue & Taxation Code (California) Sp Separated * SOS Secretary of State T Terminated not require prior authorization. When original records have reached Fleet Facilities Support Services USC United States Code V vital their destruction term all copies and duplicates must be destroyed WC Water Code along with the original; regardless of the media of the record. Special Storage Consideration Retention Retention Record Type Length Retention Citations / Comments Number (Years Unless Vital Historical Confidential Specified) FSS001 Collection Systems Records 6 GC §60201 ; Business Value Problem Reports and Customer Complaints FSS002 Facility Maintenance & Repair LF+2 GC §60201 ; Life of Asset + 2 years FSS003 Generator Operation Logs & Inspections 3 GC §34090 Fixed or Stationary FSS004 Pressure Vehicle CNG Tank Certifications or Permits, Inspections LF Department Preference; GC §34090 et. seq.; Life of Asset FSS005 Vehicle Smog Check Inspection Report 5 Department preference; GC §60201 FSS006 Bit Inspection (CHP Commercial Vehicle Inspection) LF+2 49 CFR §396.11 (c)(2); GC §60201 ; Life of the Vehicle + 2 years Certifications Department Preference; 8 CCR FSS007 Mobile Crane, Vehicles, etc. 5 §14300.33(a); GC §60201 et seq.; LC §6429c 28 Fleet Facilities Support Srvs Revised: RETURN TO AGENDA GENERAL RETENTION SCHEDULE INFORMATION Orange County Sanitation District CITATION CODES: RETENTION CODES: Any Public Records Act requests, litigation, audits, claims and Records Retention Schedule CCP Code of Civil Procedure (California) C Confidential investigations suspends the stated retention periods. Authorization and CCR California Code of Regulations CL CFR Code of Federal Regulations Closed or Completed proper destruction methods are required prior to destroying all official N,� SAN„q EC Elections Code (California) EX Expired or Expiration records as stated in the District's Records Retention Policy. °°°� °"a GC Government Code (California) EL Electronic H Historical H&S Health & Safety Code LF Life of Facility, Equip. or Software Retention and destruction of records applies to all media types IRC Internal Revenue Code pp Yp IRS Internal Revenue Service LO Life of Organization or Permanent including both paper and electronic documents. ; = MA Maturity LC Labor Code (California) ACT'"G rN pC Penal Code (California) NN When No Longer Needed Copies, non-records, notes, preliminary drafts and transitory records HE E OMB Office of Management & Budget S Superseded Sp Separated can be destroyed when no longer needed for District business and do R&TC Revenue & Taxation Code (California) * SOS Secretary of State T Terminated not require prior authorization. When original records have reached Fleet Facilities Support Services USC United States Code V vital their destruction term all copies and duplicates must be destroyed WC Water Code along with the original; regardless of the media of the record. Special Storage Consideration Retention Retention Record Type Length Retention Citations / Comments Number (Years Unless Vital Historical Confidential Specified) OSHA records are required to be FSS008 Chain of Custody 5 for 5 years; 8 CCR § 4300 33(a); GCined Source Control, Spilt Sample §60201 et seq.; SOS c21 FSS009 Collection System Process Data LO GC §60201 ; Business Value Pump Station, CRISP FSS010 Inspection Reports & Photos - Manhole 10 GC §60201 ; SOS c45 FSS011 Sewer Line Maintenance Files 10 GC §60201 Vehicle Inspection & Equipment Checks Files 49 CFR §396.11 (c)(2);49 CFR FSS012 Daily Safety Checks, Pre-Starts, Commercial Vehicle Pre-Starts and Forklift Inspections, Pre- 4 §396.21 (b)(1 ); GC §60201 ; GC §34090 Trip Inspections, CHP Inspections, Daily Vehicle Inspections, Daily Equipment Checks 8 CCR § 3203(b)(1 ); 49 CFR §396.21 (b)(1 ); 49 CFR §396.3(c); CCP Vehicle Records §337 et. Seq.; GC §34090; Vehicle FSS013 Equipment Files, Maintenance, Registrations, Vehicle Titles ("Pink Slips"), Vehicle Citations LF+2 Titles/Pink Slips are transferred to new owner upon sale of vehicle all other records are retained until Disposal of Vehicle or Equipment + 2 years 29 Fleet Facilities Support Srvs Revised: GENERAL RETENTION SCHEDULE INFORMATION Orange County Sanitation District CITATION CODES: RETENTION CODES: Any Public Records Act requests, litigation, audits, claims and Records Retention Schedule CCP Code of Civil Procedure (California) C Confidential investigations suspends the stated retention periods. Authorization and CCR California Code of Regulations CL CFR Code of Federal Regulations Closed or Completed proper destruction methods are required prior to destroying all official N,� SAN„q EC Elections Code (califomia) Ex Expired or Expiration records as stated in the District's Records Retention Policy. °°°� °"a GC Government Code (California) EL Electronic H Historical H&S Health & Safety Code LF Life of Facility, Equip. or Software Retention and destruction of records applies to all media types IRC Internal Revenue Code pp Yp IRS Internal Revenue Service LO Life of Organization or Permanent including both paper and electronic documents. ; = MA Maturity LC Labor Code (California) ACT'"G rN pC Penal Code (California) NN When No Longer Needed Copies, non-records, notes, preliminary drafts and transitory records He E OMB Office of Management & Budget S Superseded can be destroyed when no longer needed for District business and do R&TC Revenue & Taxation Code (California) Sp Separated r Secretary of State T Terminated not require prior authorization. *When original records have reached General Managers Office sos V Vital USC United States Code their destruction term all copies and duplicates must be destroyed WC Water Code along with the original; regardless of the media of the record. Special Storage Consideration Retention Retention Record Type Length Retention Citations / Comments Number (Years Unless Vital Historical Confidential Specified) GM0001 Annual OCSD Reports LO V GC §60201 GM0002 Blast Development Records LO GC §60201 ; Non-Historical photos can be Research Material, Timeline, Photos deleted when no longer needed. GM0003 Blast Procedures S GC §60201 GM0004 Blast Professional Development Articles (From External Sources) NN GC §60201 ; Can submit for destruction when no longer has business value Blast Program Files 2 GC §60201 ; Destroy Quarterly Reports GM0005 Minutes, Marketing Material, Evaluations, Quarterly Reports when superseded plus 2 years Blast Working Documents Non-record; GC §60201 ; Can submit for GM0006 Member Rosters - Active and Inactive NN destruction when no longer has business value GM0007 GM Monthly Reports 2 GC §60201 30 General Managers Office Revised: RETURN TO AGENDA GENERAL RETENTION SCHEDULE INFORMATION Orange County Sanitation District CITATION CODES: RETENTION CODES: Any Public Records Act requests, litigation, audits, claims and Records Retention Schedule CCP Code of Civil Procedure (California) C Confidential investigations suspends the stated retention periods. Authorization and CCR California Code of Regulations CL CFR Code of Federal Regulations Closed or Completed proper destruction methods are required prior to destroying all official N,� SAN„q EC Elections Code (California) Ex Expired or Expiration records as stated in the District's Records Retention Policy. °°°� °"a GC Government Code (California) EL Electronic H Historical H&S Health & Safety Code LF Life of Facility, Equip. or Software Retention and destruction of records applies to all media types IRC Internal Revenue Code pp Yp LO Life of Organization or Permanent IRS Internal Revenue Service including both paper and electronic documents. MA Maturity LC Labor Code (California) ACT'"G rN pC Penal Code (California) NN When No Longer Needed Copies, non-records, notes, preliminary drafts and transitory records HE E OMB Office of Management & Budget S Superseded Sp Separated can be destroyed when no longer needed for District business and do R&TC Revenue & Taxation Code (California) r Secretary of State T Terminated not require prior authorization. *When original records have reached General Managers Office sos V Vital USC United States Code their destruction term all copies and duplicates must be destroyed WC Water Code along with the original; regardless of the media of the record. Special Storage Consideration Retention Retention Record Type Length Retention Citations / Comments Number (Years Unless Vital Historical Confidential Specified) GM0008 Historical Records LO H GC §60201 GM0009 Meeting Files - Executive Management Team (EMT) 2 GC §60201 Agenda, Minutes, Agenda Report, Handouts GM0010 Public Record Act Requests CL 2 GC §60201 GM0011 Records Destruction Records LO GC §60201 Approvals, Certificates, Requests GM0012 Records Management Annual Audits S+3 GC §60201 Inventory, Storage, Destruction, etc. Records Management Project Files GC §60201 ; SOS c23; Can submit for GM0013 NN destruction when no longer has business value CCP §343; SOS c23 Enacted by Board GM0014 Records Retention Schedules LO V Resolution and retained Indefinitely. Includes schedule amendments. 31 General Managers Office Revised: GENERAL RETENTION SCHEDULE INFORMATION Orange County Sanitation District CITATION CODES: RETENTION CODES: Any Public Records Act requests, litigation, audits, claims and Records Retention Schedule CCP Code of Civil Procedure (California) C Confidential investigations suspends the stated retention periods. Authorization and CCR California Code of Regulations CL CFR Code of Federal Regulations Closed or Completed proper destruction methods are required prior to destroying all official N,� SAN„q EC Elections Code (California) EX Expired or Expiration records as stated in the District's Records Retention Policy. °°°� °"a GC Government Code (California) EL Electronic H Historical H&S Health & Safety Code LF Life of Facility, Equip. or Software Retention and destruction of records applies to all media types IRC Internal Revenue Code pp Yp LO Life of Organization or Permanent IRS Internal Revenue Service including both paper and electronic documents. MA Maturity LC Labor Code (California) ACT'"G rN pC Penal Code (California) NN When No Longer Needed Copies, non-records, notes, preliminary drafts and transitory records He E OMB Office of Management & Budget S Superseded Sp Separated can be destroyed when no longer needed for District business and do R&TC Revenue & Taxation Code (California) r Secretary of State T Terminated not require prior authorization. *When original records have reached General Managers Office sos V Vital USC United States Code their destruction term all copies and duplicates must be destroyed WC Water Code along with the original; regardless of the media of the record. Special Storage Consideration Retention Retention Record Type Length Retention Citations / Comments Number (Years Unless Vital Historical Confidential Specified) GC §60201 ; Can submit for destruction GM0015 Speeches and Presentation NN H when no longer has business value; Some records may be kept for historical value GM0016 Travel Records 7 GC §60201 32 General Managers Office Revised: RETURN TO AGENDA GENERAL RETENTION SCHEDULE INFORMATION Orange County Sanitation District CITATION CODES: RETENTION CODES: Any Public Records Act requests, litigation, audits, claims and Records Retention Schedule CCP Code of Civil Procedure (California) C Confidential investigations suspends the stated retention periods. Authorization and CCR California Code of Regulations CL CFR Code of Federal Regulations Closed or Completed proper destruction methods are required prior to destroying all official N,� SAN„q EC Elections Code (califomia) EX Expired or Expiration records as stated in the District's Records Retention Policy. °°°� °"a GC Government Code (California) EL Electronic H Historical H&S Health & Safety Code LF Life of Facility, Equip. or Software Retention and destruction of records applies to all media types IRC Internal Revenue Code pp Yp IRS Internal Revenue Service LO Life of Organization or Permanent including both paper and electronic documents. ; = MA Maturity LC Labor Code (California) ACT'"G rN pC Penal Code (California) NN When No Longer Needed Copies, non-records, notes, preliminary drafts and transitory records HE E OMB Office of Management & Budget S Superseded can be destroyed when no longer needed for District business and do R&TC Revenue & Taxation Code (California) Sp Separated * SOS Secretary of State T Terminated not require prior authorization. When original records have reached Human Resources USC United States Code V vital their destruction term all copies and duplicates must be destroyed WC Water Code along with the original; regardless of the media of the record. Special Storage Consideration Retention Retention Record Type Length Retention Citations / Comments Number (Years Unless Vital Historical Confidential Specified) HRD001 Class Specifications LO 29 CFR §1627.3; GC §12946; GC §60201 ; Compensation Studies, Surveys, Salary Surveys, etc. SOS c21 HRD002 Contracts - Temporary Employees CL+7 CCP §§336(a); 337 et. seq.; GC §60201 ; SOS c22, CCP §343 HRD003 Deferred Compensation Records LO V 26 CFR §16001 -1 ; 29 CFR §1627.3; SOSc30 District Benefit Contracts & Benefit Plans / Insurance Policies 9 CFR §1627.3(b)(2); 29 USC §1027; 11 HRD004 Health, Dental, Deferred Compensation, Pension, etc. T+5 CCR §560; 28 CCR §1300.85.1 ; GC §60201 HRD005 EEO-4 Reports and Files 3 29 CFR §1602.30 Documents Required to Generate EEO-4 Report, Self-Identification Form, etc. Employee & Labor Relations Files 29 CFR §516.5; GC §12946; sops c20; GC HRD006 Memorandums of Understanding (MOU), Arbitration, Grievances, Union Requests, Employee LO §60201 ; 29 CFR §1602.31 ; 29 CFR Rights, Appeals, Investigations, PIP, Disciplinary Actions and Complaints, Sexual Harassment, §1627.3(b)(1 )(ii); SOS c20 Civil Rights, etc. 33 Human Resources Revised: GENERAL RETENTION SCHEDULE INFORMATION Orange County Sanitation District CITATION CODES: RETENTION CODES: Any Public Records Act requests, litigation, audits, claims and Records Retention Schedule CCP Code of Civil Procedure (California) C Confidential investigations suspends the stated retention periods. Authorization and CCR California Code of Regulations CL CFR Code of Federal Regulations Closed or Completed proper destruction methods are required prior to destroying all official N,� SAN„q EC Elections Code (California) Ex Expired or Expiration records as stated in the District's Records Retention Policy. °°°� °"a GC Government Code (California) EL Electronic H Historical H&S Health & Safety Code LF Life of Facility, Equip. or Software Retention and destruction of records applies to all media types IRC Internal Revenue Code pp Yp IRS Internal Revenue Service LO Life of Organization or Permanent including both paper and electronic documents. ; = MA Maturity LC Labor Code (California) ACT'"G rN pC Penal Code (California) NN When No Longer Needed Copies, non-records, notes, preliminary drafts and transitory records He E OMB Office of Management & Budget S Superseded Sp Separated can be destroyed when no longer needed for District business and do R&TC Revenue & Taxation Code (California) * SOS Secretary of State T Terminated not require prior authorization. When original records have reached Human Resources USC United States Code V Vital their destruction term all copies and duplicates must be destroyed WC Water Code along with the original; regardless of the media of the record. Special Storage Consideration Retention Retention Record Type Length Retention Citations / Comments Number (Years Unless Vital Historical Confidential Specified) Employee Benefit Plans and Programs CG §12946; GC §60201 ;GC HRD007 Health Insurance, Tuition Reimbursement, Supplemental Life Insurance, Thrift Plans, LO §60201 (d)(12); 29 CFR §1627.3(b)(2); 29 Beneficiary Designations, Eligibility, Change Request, Salary Deduction Records, etc.. CFR §§1602.30, 32; Labor Code §1197.5 HRD009 Human Resources / ERP Database Indefinite Data Fields / Records are interrelated; GC §60201 ; JDE Database 8 USC §1324a(b)(3)(B); 8 CFR HRD010 1-9 Forms T+3 §1274a.2(b)(2)(i)(A). Medical File 8 CCR §3204(d)(1 ) et seq., GC §§12946, HRD011 Fitness for Duty, Leaves of Absence, etc. T+30 V 60201 ; Filed separately. Vital until separation HRD012 Organization Charts LO GC §60201 et seq. Personnel Files 29 CFR §1602.31 & §1627.3(b)(ii), 8 CCR Includes Application, Awards, Disciplinary Actions, Certifications, Commendations, Employment §3204(d)(1 ) et seq., GC §§12946, 60201 ; HRD013 T+7 V C 29 USC §1113. Vital until separation. Verifications, Evaluations, Licenses, Status Change Forms, Policy acknowledgements, Waiver Excludes Medical Records see Retention of responsibility for voluntary activities, etc. Code HRD011 34 Human Resources Revised: RETURN TO AGENDA GENERAL RETENTION SCHEDULE INFORMATION Orange County Sanitation District CITATION CODES: RETENTION CODES: Any Public Records Act requests, litigation, audits, claims and Records Retention Schedule CCP Code of Civil Procedure (California) C Confidential investigations suspends the stated retention periods. Authorization and CCR California Code of Regulations CL CFR Code of Federal Regulations Closed or Completed proper destruction methods are required prior to destroying all official N,� SAN„q EC Elections Code (California) EX Expired or Expiration records as stated in the District's Records Retention Policy. °°°� °"a GC Government Code (California) EL Electronic H Historical H&S Health & Safety Code LF Life of Facility, Equip. or Software Retention and destruction of records applies to all media types IRC Internal Revenue Code pp Yp IRS Internal Revenue Service LO Life of Organization or Permanent including both paper and electronic documents. ; = MA Maturity LC Labor Code (California) ACT'"G rN pC Penal Code (California) NN When No Longer Needed Copies, non-records, notes, preliminary drafts and transitory records HE E OMB Office of Management & Budget S Superseded Sp Separated can be destroyed when no longer needed for District business and do R&TC Revenue & Taxation Code (California) * SOS Secretary of State T Terminated not require prior authorization. When original records have reached Human Resources USC United States Code V vital their destruction term all copies and duplicates must be destroyed WC Water Code along with the original; regardless of the media of the record. Special Storage Consideration Retention Retention Record Type Length Retention Citations / Comments Number (Years Unless Vital Historical Confidential Specified) 29 CFR §1602 et seq & §1627.3(a)(b), 2 Recruitment Records CCR §7287.0(c)(2), 8 CCR HRD014 Solicited - Not Hired Applications, Advertisements, Job Brochures, Test Data, Rating Sheets, CL+3 §11040, GC §§12946 Database Neogov Questions, Eligibility Lists, Reference Checks, etc. Indefinite. Retention begins after hiring decision. Training Records GC §60201 , SOS c21 ; Data Fields / HRD015 Class Attendance Sheets, Schedules, Classes Offered, Curriculum or Syllabus, and Training Indefinite Records are interrelated; Training Materials Development Database Indefinite; Non-database paper personnel training records TE+7 35 Human Resources Revised: GENERAL RETENTION SCHEDULE INFORMATION Orange County Sanitation District CITATION CODES: RETENTION CODES: Any Public Records Act requests, litigation, audits, claims and Records Retention Schedule CCP Code of Civil Procedure (California) C Confidential investigations suspends the stated retention periods. Authorization and CCR California Code of Regulations CL CFR Code of Federal Regulations Closed or Completed proper destruction methods are required prior to destroying all official N,� 5AN„q EC Elections Code (califomia) EX Expired or Expiration records as stated in the District's Records Retention Policy. °°°� °"a GC Government Code (California) EL Electronic H Historical H&S Health & Safety Code LF Life of Facility, Equip. or Software Retention and destruction of records applies to all media types IRC Internal Revenue Code pp Yp IRS Internal Revenue Service LO Life of Organization or Permanent including both paper and electronic documents. ; = MA Maturity LC Labor Code (California) ACT'"G rN pC Penal Code (California) NN When No Longer Needed Copies, non-records, notes, preliminary drafts and transitory records He E OMB Office of Management & Budget S Superseded can be destroyed when no longer needed for District business and do R&TC Revenue & Taxation Code (California) Sp Separated * SOS Secretary of State T Terminated not require prior authorization. When original records have reached Information Technology USC United States Code V Vital their destruction term all copies and duplicates must be destroyed WC Water Code along with the original; regardless of the media of the record. Special Storage Consideration Retention Retention Record Type Length Retention Citations / Comments Number (Years Unless Vital Historical Confidential Specified) ITDO01 Access Authorization Forms T+3 GC §60201 ITDO02 Cabling Specs and Test Results LF+1 GC §60201 ITDO03 Computer System Administrative Records LF+2 V SOS c22; Life of System GIs (Geographic Information System) Database Data is interrelated; GC §60200; GC ITD004 Layers S §60201 et seq. ITDO05 Information Logs 3 GC §60201 Internet, Phone, Badge, Visitors ITDO06 IT Help Desk System 3 GC §60201 Service Tickets and Service Requests Retain until it no longer has business ITDO07 Network Diagrams/ System Configurations/ Maps/ Plans NN value; GC §60201 ; GC §34090 et seq.; CCP §337.2, CCP §343 36 Information Technology Revised: RETURN TO AGENDA GENERAL RETENTION SCHEDULE INFORMATION Orange County Sanitation District CITATION CODES: RETENTION CODES: Any Public Records Act requests, litigation, audits, claims and Records Retention Schedule CCP Code of Civil Procedure (California) C Confidential investigations suspends the stated retention periods. Authorization and CCR California Code of Regulations CL CFR Code of Federal Regulations Closed or Completed proper destruction methods are required prior to destroying all official N,� SAN„q EC Elections Code (California) EX Expired or Expiration records as stated in the District's Records Retention Policy. °°°� °"a GC Government Code (California) EL Electronic H Historical H&S Health & Safety Code LF Life of Facility, Equip. or Software Retention and destruction of records applies to all media types IRC Internal Revenue Code pp Yp IRS Internal Revenue Service LO Life of Organization or Permanent including both paper and electronic documents. ; = MA Maturity LC Labor Code (California) ACT'"G rN pC Penal Code (California) NN When No Longer Needed Copies, non-records, notes, preliminary drafts and transitory records HE E OMB Office of Management & Budget S Superseded Sp Separated can be destroyed when no longer needed for District business and do R&TC Revenue & Taxation Code (California) * SOS Secretary of State T Terminated not require prior authorization. When original records have reached Information Technology USC United States Code V Vital their destruction term all copies and duplicates must be destroyed WC Water Code along with the original; regardless of the media of the record. Special Storage Consideration Retention Retention Record Type Length Retention Citations / Comments Number (Years Unless Vital Historical Confidential Specified) ITDO08 Physical Inventory Database NN Retain until it no longer has business value; GC §60201 ; GC §34090 et seq. ITDO09 Software & IT Manuals S+1 GC §60201 ITDO10 Software Application Files S V GC §60201 ; Superseded With Version Updates ITD011 Source Code T+2 GC §60201 ; GC §34090 et seq.; Kept in Escrow System Documentation Retain until it no longer has business ITDO12 Network Design, Instruction, Licenses, License Codes, Agreements T+2 value; GC §60201 ; GC §34090 et seq.; Until system is no longer operational ITDO13 System Log (Database) S Until superseded or overwritten ITDO14 System Maintenance 2 GC §60201 ; GC §34090 et seq. Infrastructure; Alarm, Door Security System 37 Information Technology Revised: GENERAL RETENTION SCHEDULE INFORMATION Orange County Sanitation District CITATION CODES: RETENTION CODES: Any Public Records Act requests, litigation, audits, claims and Records Retention Schedule CCP Code of Civil Procedure (California) C Confidential investigations suspends the stated retention periods. Authorization and CCR California Code of Regulations CL CFR Code of Federal Regulations Closed or Completed proper destruction methods are required prior to destroying all official N,� 5AN„q EC Elections Code (California) EX Expired or Expiration records as stated in the District's Records Retention Policy. °°°� °"a GC Government Code (California) EL Electronic H Historical H&S Health & Safety Code LF Life of Facility, Equip. or Software Retention and destruction of records applies to all media types IRC Internal Revenue Code pp Yp IRS Internal Revenue Service LO Life of Organization or Permanent including both paper and electronic documents. ; = MA Maturity LC Labor Code (California) ACT'"G rN pC Penal Code (California) NN When No Longer Needed Copies, non-records, notes, preliminary drafts and transitory records He E OMB Office of Management & Budget S Superseded Sp Separated can be destroyed when no longer needed for District business and do R&TC Revenue & Taxation Code (California) * SOS Secretary of State T Terminated not require prior authorization. When original records have reached Information Technology USC United States Code v vital their destruction term all copies and duplicates must be destroyed WC Water Code along with the original; regardless of the media of the record. Special Storage Consideration Retention Retention Record Type Length Retention Citations / Comments Number (Years Unless Vital Historical Confidential Specified) Retain until it no longer has business value ITDO15 System Security Database S or until overwritten; GC §60201 ; GC §34090 et seq. ITDO16 Two-Way Radio Licensing and Information EX+2 GC §60201 GC §§53160, 53161 - Based on government code we are required to keep video monitoring for 1 year and telephone/radio communications for 100 days. They can be destroyed after these ITDO17 Video Surveillance Files 1 time periods with the following exception: If written minutes or an audio recording of the video is taken, the video can be destroyed after 90 days. The written minutes and audio recording can be destroyed after 2 years. ITDO18 Virtual Computer Files 90 days V GC §34090.7; SOS c22; Replicated for disaster recovery purposes 38 Information Technology Revised: RETURN TO AGENDA GENERAL RETENTION SCHEDULE INFORMATION Orange County Sanitation District CITATION CODES: RETENTION CODES: Any Public Records Act requests, litigation, audits, claims and Records Retention Schedule CCP Code of Civil Procedure (California) C Confidential investigations suspends the stated retention periods. Authorization and CCR California Code of Regulations CL CFR Code of Federal Regulations Closed or Completed proper destruction methods are required prior to destroying all official N, 5AN lit q EC Elections Code (califomia) EX Expired or Expiration records as stated in the District's Records Retention Policy. °°°� °"a GC Government Code (California) EL Electronic H Historical H&S Health & Safety Code LF Life of Facility, Equip. or Software Retention and destruction of records applies to all media types IRC Internal Revenue Code pp Yp IRS Internal Revenue Service LO Life of Organization or Permanent including both paper and electronic documents. ; = MA Maturity LC Labor Code (California) ACT'"G N pC Penal Code (California) NN When No Longer Needed Copies, non-records, notes, preliminary drafts and transitory records THE E OMB Office of Management & Budget S Superseded can be destroyed when no longer needed for District business and do R&TC Revenue & Taxation Code (California) Sp Separated * SOS Secretary of State T Terminated not require prior authorization. When original records have reached Lab and Ocean Monitoring USC United States Code V vital their destruction term all copies and duplicates must be destroyed WC Water Code along with the original; regardless of the media of the record. Special Storage Consideration Retention Retention Record Type Length Retention Citations / Comments Number (Years Unless Vital Historical Confidential Specified) EL0001 Chain of Custody - Laboratory 7 GC §60201 EL0002 Laboratory Records LO GC §34090.7, SOS c22 Data Logs, Lab Equipment Maintenance and Sterilization Data Packet - Analytical Chemistry & Metals EL0003 QA QC Reports, Final Processed Data Copies, Raw Data, LIMS Reports, Extraction Sheets, 7 GC §60201 Comments & Corrective Actions EL0004 Unprocessed Instrumentation Files LO GC §60201 ; Database is Indefinite EL0005 Lab Reports LO GC §60201 Compliance, DMRs, Annual Reports, etc. EL0006 Lab Database LO GC §60201 ; Database is Indefinite EL0007 Published Articles LO GC §60201 39 Lab and Ocean Monitoring Revised: GENERAL RETENTION SCHEDULE INFORMATION Orange County Sanitation District CITATION CODES: RETENTION CODES: Any Public Records Act requests, litigation, audits, claims and Records Retention Schedule CCP Code of Civil Procedure (California) C Confidential investigations suspends the stated retention periods. Authorization and CCR California Code of Regulations CL CFR Code of Federal Regulations Closed or Completed proper destruction methods are required prior to destroying all official N,� SAN„q EC Elections Code (California) EX Expired or Expiration records as stated in the District's Records Retention Policy. °°°� °"a GC Government Code (California) EL Electronic H Historical H&S Health & Safety Code LF Life of Facility, Equip. or Software Retention and destruction of records applies to all media types IRC Internal Revenue Code pp Yp LO Life of Organization or Permanent IRS Internal Revenue Service including both paper and electronic documents. MA Maturity LC Labor Code (California) ACT'"G rN pC Penal Code (California) NN When No Longer Needed Copies, non-records, notes, preliminary drafts and transitory records He E OMB Office of Management & Budget S Superseded Sp Separated can be destroyed when no longer needed for District business and do R&TC Revenue & Taxation Code (California) * SOS Secretary of State T Terminated not require prior authorization. When original records have reached Lab and Ocean Monitoring USC United States Code V vital their destruction term all copies and duplicates must be destroyed WC Water Code along with the original; regardless of the media of the record. Special Storage Consideration Retention Retention Record Type Length Retention Citations / Comments Number (Years Unless Vital Historical Confidential Specified) EL0008 Lab SOP's LO GC §60201 EL0009 OMP Field Datasheets LO GC §60201 40 Lab and Ocean Monitoring Revised: RETURN TO AGENDA GENERAL RETENTION SCHEDULE INFORMATION Orange County Sanitation District CITATION CODES: RETENTION CODES: Any Public Records Act requests, litigation, audits, claims and Records Retention Schedule CCP Code of Civil Procedure (California) C Confidential investigations suspends the stated retention periods. Authorization and CCR California Code of Regulations CL CFR Code of Federal Regulations Closed or Completed proper destruction methods are required prior to destroying all official N, 5AN lit q EC Elections Code (califomia) EX Expired or Expiration records as stated in the District's Records Retention Policy. °°°� °"a GC Government Code (California) EL Electronic H Historical H&S Health & Safety Code LF Life of Facility, Equip. or Software Retention and destruction of records applies to all media types IRC Internal Revenue Code pp Yp IRS Internal Revenue Service LO Life of Organization or Permanent including both paper and electronic documents. ; = MA Maturity LC Labor Code (California) ACT'"G N pC Penal Code (California) NN When No Longer Needed Copies, non-records, notes, preliminary drafts and transitory records THE E OMB Office of Management & Budget S Superseded can be destroyed when no longer needed for District business and do R&TC Revenue & Taxation Code (California) Sp Separated * SOS Secretary of State T Terminated not require prior authorization. When original records have reached Operations & Maintenance USC United States Code V vital their destruction term all copies and duplicates must be destroyed WC Water Code along with the original; regardless of the media of the record. Special Storage Consideration Retention Retention Record Type Length Retention Citations / Comments Number (Years Unless Vital Historical Confidential Specified) OMD001 Chemical Inventory Records 1 GC §60201 Delivery, Transfer, Usage, Manifest Worksheet and Inventory Logs OMD002 Complaint Files and Problem Reports 2 GC §60201 Related to Organizations Operations OMD003 Confined Space Entries 3 40 CFR §122.410)(2) OMD004 Flow Records LO GC §60201 OMD005 Logs - Control Center Plant Operations 30 V GC §60201 Logs OMD006 Operations Monthly Logs, Inspector Diaries, Control Center Visitor Logs 3 V GC §60201 OMD007 Monthly Reports 2 GC §60201 Operating and Status Reports 41 Operations Revised: GENERAL RETENTION SCHEDULE INFORMATION Orange County Sanitation District CITATION CODES: RETENTION CODES: Any Public Records Act requests, litigation, audits, claims and Records Retention Schedule CCP Code of Civil Procedure (California) C Confidential investigations suspends the stated retention periods. Authorization and CCR California Code of Regulations CL CFR Code of Federal Regulations Closed or Completed proper destruction methods are required prior to destroying all official N,� 5AN„q EC Elections Code (California) EX Expired or Expiration records as stated in the District's Records Retention Policy. °°°� °"a GC Government Code (California) EL Electronic H Historical H&S Health & Safety Code LF Life of Facility, Equip. or Software Retention and destruction of records applies to all media types IRC Internal Revenue Code pp Yp LO Life of Organization or Permanent IRS Internal Revenue Service including both paper and electronic documents. MA Maturity LC Labor Code (California) ACT'"G rN pC Penal Code (California) NN When No Longer Needed Copies, non-records, notes, preliminary drafts and transitory records He E OMB Office of Management & Budget S Superseded Sp Separated can be destroyed when no longer needed for District business and do R&TC Revenue & Taxation Code (California) * SOS Secretary of State T Terminated not require prior authorization. When original records have reached Operations & Maintenance USC United States Code V vital their destruction term all copies and duplicates must be destroyed WC Water Code along with the original; regardless of the media of the record. Special Storage Consideration Retention Retention Record Type Length Retention Citations / Comments Number (Years Unless Vital Historical Confidential Specified) OMD008 O&M Policies & Procedures S+10 GC §60201 OMD009 Operating Journals 2 GC §60201 Round Sheets, Alarm summary, Operations Round Sheets, Midnight Readings, etc. OMD010 Operating Records 5 GC §60201 MSOs (hard copy), AS Plant Reports, Operators Schedules OMD011 Process Data LO GC §60201 Includes Electronic MSO's and TPODS OMD012 Reference Files S GC §60201 OMD013 Speeches/Presentations NN GC §60201 42 Operations Revised: RETURN TO AGENDA GENERAL RETENTION SCHEDULE INFORMATION Orange County Sanitation District CITATION CODES: RETENTION CODES: Any Public Records Act requests, litigation, audits, claims and Records Retention Schedule CCP Code of Civil Procedure (California) C Confidential investigations suspends the stated retention periods. Authorization and CCR California Code of Regulations CL CFR Code of Federal Regulations Closed or Completed proper destruction methods are required prior to destroying all official N,� SAN„q EC Elections Code (califomia) EX Expired or Expiration records as stated in the District's Records Retention Policy. °°°� °"a GC Government Code (California) EL Electronic H Historical H&S Health & Safety Code LF Life of Facility, Equip. or Software Retention and destruction of records applies to all media types IRC Internal Revenue Code pp Yp IRS Internal Revenue Service LO Life of Organization or Permanent including both paper and electronic documents. ; = MA Maturity LC Labor Code (California) ACT'"G rN pC Penal Code (California) NN When No Longer Needed Copies, non-records, notes, preliminary drafts and transitory records HE E OMB Office of Management & Budget S Superseded can be destroyed when no longer needed for District business and do R&TC Revenue & Taxation Code (California) Sp Separated * SOS Secretary of State T Terminated not require prior authorization. When original records have reached Public Affairs USC United States Code V vital their destruction term all copies and duplicates must be destroyed WC Water Code along with the original; regardless of the media of the record. Special Storage Consideration Retention Retention Record Type Length Retention Citations / Comments Number (Years Unless Vital Historical Confidential Specified) PA0001 Education Curriculum S+2 GC §60201 ; Destroy 2 years after Sewer Science, Water Festival, etc. superseded PA0002 Outreach/Event File S+g GC §60201 Tour Documentation, RSVP's, sign-in sheets, etc. PA0003 Marketing Material NN GC §60201 ; SOS c19 Flyers, Brochures, Newsletters, Email Blasts, etc. PA0004 Photos & Videos LO GC §60201 ; Non-Historical Photos can be deleted when no longer needed. PA0005 Presentations and Supporting Documents NN GC §60201 ; SOS c24 (Includes PowerPoints) PA0006 Press/Media Releases LO GC §60201 ; SOS c40 PA0007 Publication Proofs - Non Board Related General Marketing 2 GC §60201 ; SOS c24 43 Public Affairs Revised: GENERAL RETENTION SCHEDULE INFORMATION Orange County Sanitation District CITATION CODES: RETENTION CODES: Any Public Records Act requests, litigation, audits, claims and Records Retention Schedule CCP Code of Civil Procedure (California) C Confidential investigations suspends the stated retention periods. Authorization and CCR California Code of Regulations CL CFR Code of Federal Regulations Closed or Completed proper destruction methods are required prior to destroying all official N,� SAN„q EC Elections Code (California) EX Expired or Expiration records as stated in the District's Records Retention Policy. °°°� °"a GC Government Code (California) EL Electronic H Historical H&S Health & Safety Code LF Life of Facility, Equip. or Software Retention and destruction of records applies to all media types IRC Internal Revenue Code pp Yp IRS Internal Revenue Service LO Life of Organization or Permanent including both paper and electronic documents. ; = MA Maturity LC Labor Code (California) ACT'"G rN pC Penal Code (California) NN When No Longer Needed Copies, non-records, notes, preliminary drafts and transitory records He E OMB Office of Management & Budget S Superseded Sp Separated can be destroyed when no longer needed for District business and do R&TC Revenue & Taxation Code (California) * SOS Secretary of State T Terminated not require prior authorization. When original records have reached Public Affairs uSC United States Code V vital their destruction term all copies and duplicates must be destroyed WC Water Code along with the original; regardless of the media of the record. Special Storage Consideration Retention Retention Record Type Length Retention Citations / Comments Number (Years Unless Vital Historical Confidential Specified) PA0008 Website Content Indefinite GC §60201 PA0009 Employee Events LO GC §60201 Agency Awards, Recognitions, Announcements PA0010 Legislative Files LO GC §60201 Letters of Support, Opposition, Plan Consolidation PA0011 Social Media Posts LO GC §60201 Facebook, Twitter, YouTube, Instagram, Etc. 44 Public Affairs Revised: RETURN TO AGENDA GENERAL RETENTION SCHEDULE INFORMATION Orange County Sanitation District CITATION CODES: RETENTION CODES: Any Public Records Act requests, litigation, audits, claims and Records Retention Schedule CCP Code of Civil Procedure (California) C Confidential investigations suspends the stated retention periods. Authorization and CCR California Code of Regulations CL CFR Code of Federal Regulations Closed or Completed proper destruction methods are required prior to destroying all official N,� SAN„q EC Elections Code (California) Ex Expired or Expiration records as stated in the District's Records Retention Policy. °°°� °"a GC Government Code (California) EL Electronic H Historical H&S Health & Safety Code LF Life of Facility, Equip. or Software Retention and destruction of records applies to all media types IRC Internal Revenue Code pp Yp LO Life of Organization or Permanent IRS Internal Revenue Service including both paper and electronic documents. MA Maturity LC Labor Code (California) ACT'"G rN pC Penal Code (California) NN When No Longer Needed Copies, non-records, notes, preliminary drafts and transitory records HE E OMB Office of Management & Budget S Superseded Sp Separated can be destroyed when no longer needed for District business and do R&TC Revenue & Taxation Code (California) * SOS Secretary of State T Terminated not require prior authorization. When original records have reached Risk Management & Safety USC United States Code V Vital their destruction term all copies and duplicates must be destroyed WC Water Code along with the original; regardless of the media of the record. Special Storage Consideration Retention Retention Length Number Record Type g Retention Citations / Comments (Years Unless Vital Historical Confidential Specified) RMS001 Certificate of Insurance P V CCP §337.15; SOS c25 29 CFR §1627.3(b)(v); 49 CFR §382.401 RMS002 DOT Random Drug & Alcohol Test Records 5 et seq.; GC §12946, GC §60201 ; 49 CFR §653.71 et seq. RMS003 Emergency Exercises & Drills, After Action Reports NN GC §60201 RMS004 Emergency Response & Disaster Recovery Files S V GC §60201 RMS005 EOC Activation Notifications & Records CL + 2 V GC §60201 Industrial Hygiene & Safety Files RMS006 Hazard Assessments, Site Assessments, Industrial Hygiene Reports, Surveys, Audits, TE+30 8 CCR §3204; 29 CFR §1910 Ergonomics, Air Sampling, Noise Testing and Workplace Contaminants RMS007 Medical Files - Occupational TE+30 8 CCR §3204; 29 CFR §1910 45 Risk Management & Safety Revised: GENERAL RETENTION SCHEDULE INFORMATION Orange County Sanitation District CITATION CODES: RETENTION CODES: Any Public Records Act requests, litigation, audits, claims and Records Retention Schedule CCP Code of Civil Procedure (California) C Confidential investigations suspends the stated retention periods. Authorization and CCR California Code of Regulations CL CFR Code of Federal Regulations Closed or Completed proper destruction methods are required prior to destroying all official N,� SAN„q EC Elections Code (California) EX Expired or Expiration records as stated in the District's Records Retention Policy. °°°� °"a GC Government Code (California) EL Electronic H Historical H&S Health & Safety Code LF Life of Facility, Equip. or Software Retention and destruction of records applies to all media types IRC Internal Revenue Code pp Yp LO Life of Organization or Permanent IRS Internal Revenue Service including both paper and electronic documents. MA Maturity LC Labor Code (California) ACT'"G rN pC Penal Code (California) NN When No Longer Needed Copies, non-records, notes, preliminary drafts and transitory records He E OMB Office of Management & Budget S Superseded Sp Separated can be destroyed when no longer needed for District business and do R&TC Revenue & Taxation Code (California) * SOS Secretary of State T Terminated not require prior authorization. When original records have reached Risk Management & Safety USC United States Code v vital their destruction term all copies and duplicates must be destroyed WC Water Code along with the original; regardless of the media of the record. Special Storage Consideration Retention Retention Record Type Length Retention Citations / Comments Number (Years Unless Vital Historical Confidential Specified) RMS008 OSHA Compliance Records P OMB 1220-0029; 29 CFR §1904.4; SOS Citations, Appeals Related, Correspondence, etc. a2 RMS009 Risk Management Reports CL+5 OMB 1220-0029; 29 CFR §1904.4; SOS c24 RMS010 Risk & Safety Committee and Meeting Documents 2 8 CCR §3203 et seq.; GC §60201 et seq. CCR §14311 ; §15400.2; LC §110-139.6; RMS011 Workers Compensation Files P SOS c24 OSHA Inspections & Citations 8 CCR §14300.33(a); 29 CFR §1904.33, RMS012 300 & 301 Logs CY+7 29 CFR §1904.44; GC §60201 et seq.; LC §6429c RMS013 Photos & Videos P GC §60201 OSHA Investigations, Vehicle, Accidents, Workers Comp, Ergonomics, etc. 46 Risk Management & Safety Revised: RETURN TO AGENDA GENERAL RETENTION SCHEDULE INFORMATION Orange County Sanitation District CITATION CODES: RETENTION CODES: Any Public Records Act requests, litigation, audits, claims and Records Retention Schedule CCP Code of Civil Procedure (California) C Confidential investigations suspends the stated retention periods. Authorization and CCR California Code of Regulations CL CFR Code of Federal Regulations Closed or Completed proper destruction methods are required prior to destroying all official N,� SAN„q EC Elections Code (California) EX Expired or Expiration records as stated in the District's Records Retention Policy. °°°� °"a GC Government Code (California) EL Electronic H Historical H&S Health & Safety Code LF Life of Facility, Equip. or Software Retention and destruction of records applies to all media types IRC Internal Revenue Code pp Yp LO Life of Organization or Permanent IRS Internal Revenue Service including both paper and electronic documents. MA Maturity LC Labor Code (California) ACT'"G rN pC Penal Code (California) NN When No Longer Needed Copies, non-records, notes, preliminary drafts and transitory records HE E OMB Office of Management & Budget S Superseded Sp Separated can be destroyed when no longer needed for District business and do R&TC Revenue & Taxation Code (California) * SOS Secretary of State T Terminated not require prior authorization. When original records have reached Risk Management & Safety USC United States Code V Vital their destruction term all copies and duplicates must be destroyed WC Water Code along with the original; regardless of the media of the record. Special Storage Consideration Retention Retention Record Type Length Retention Citations / Comments Number (Years Unless Vital Historical Confidential Specified) Accident & Incident Records GC §60201 ; CCP §338; CFR §1904.6; RMS014 Includes Physician and Status Reports 7 SOS c25 RMS015 Asbestos & Lead Abatement Records P GC §60201 ; CCR §1529(n)6 RMS016 Business Plans, Hazardous Materials Inventory, Disclosures 5 GC §60201 ; 40 §CFR 122.21 (p) 8 CCR §14300.33(a); 29 CFR §1904.33, RMS017 Calibration Gas Detectors Annual Recertification 5 29 CFR §1904.44; GC §60201 et seq.; LC §6429c RMS018 Confined Space Records 3 8 CCR §5156-5158 8 CCR §3204(d)(1 ) et seq.; 40 CFR Hazardous Waster Records §122.410)(2) & 40 CFR §141 .33(b); 22 RMS019 Manifests, Disposals, Recyclable Non Hazardous Waste Material, Batteries, etc. P V CCR §64453(a); GC §§12946, 60201 ; CCR §§ 66262.40(a), 66264.71 (b)(6), SOS c47 47 Risk Management & Safety Revised: GENERAL RETENTION SCHEDULE INFORMATION Orange County Sanitation District CITATION CODES: RETENTION CODES: Any Public Records Act requests, litigation, audits, claims and Records Retention Schedule CCP Code of Civil Procedure (California) C Confidential investigations suspends the stated retention periods. Authorization and CCR California Code of Regulations CL CFR Code of Federal Regulations Closed or Completed proper destruction methods are required prior to destroying all official N,� SAN„q EC Elections Code (California) EX Expired or Expiration records as stated in the District's Records Retention Policy. °°°� °"a GC Government Code (California) EL Electronic H Historical H&S Health & Safety Code LF Life of Facility, Equip. or Software Retention and destruction of records applies to all media types IRC Internal Revenue Code pp Yp LO Life of Organization or Permanent IRS Internal Revenue Service including both paper and electronic documents. MA Maturity LC Labor Code (California) ACT'"G rN pC Penal Code (California) NN When No Longer Needed Copies, non-records, notes, preliminary drafts and transitory records He E OMB Office of Management & Budget S Superseded Sp Separated can be destroyed when no longer needed for District business and do R&TC Revenue & Taxation Code (California) * SOS Secretary of State T Terminated not require prior authorization. When original records have reached Risk Management & Safety USC United States Code V vital their destruction term all copies and duplicates must be destroyed WC Water Code along with the original; regardless of the media of the record. Special Storage Consideration Retention Retention Record Type Length Retention Citations / Comments Number (Years Unless Vital Historical Confidential Specified) RMS020 HazMat Permits, Environmental Health Permits p GC §60201 Bulk Chemicals, Fire, UST, Battery Storage, etc. RMS021 Safety Data Sheets (SDS) P V 8 CCR §5194; 29 CFR §1910 RMS022 Respirator Inventory & Maintenance 2 GC §60201 ; 8 CCR §5144(m) 8 CCR §14300.33(a); 29 CFR §1904.33, RMS023 Safety Inspections, Safety Logs 7 29 CFR §1904.44; GC §60201 et seq.; LC §6429c RMS024 Training Records - Safety TE+7 SOS c21 ; GC §60201 (Mirrors Employee Rosters, Syllabus, Schedule, Curriculum Material Only Training Records TE+7) RMS025 Training Database P GC §60201 ; Records in Cornerstone Database are Indefinite RMS026 Radiation License & Disposal Records P GC §60201 48 Risk Management & Safety Revised: RETURN TO AGENDA GENERAL RETENTION SCHEDULE INFORMATION Orange County Sanitation District CITATION CODES: RETENTION CODES: Any Public Records Act requests, litigation, audits, claims and Records Retention Schedule CCP Code of Civil Procedure (California) C Confidential investigations suspends the stated retention periods. Authorization and CCR California Code of Regulations CL CFR Code of Federal Regulations Closed or Completed proper destruction methods are required prior to destroying all official N,� SAN„q EC Elections Code (California) EX Expired or Expiration records as stated in the District's Records Retention Policy. °°°� °"a GC Government Code (California) EL Electronic H Historical H&S Health & Safety Code LF Life of Facility, Equip. or Software Retention and destruction of records applies to all media types IRC Internal Revenue Code pp Yp LO Life of Organization or Permanent IRS Internal Revenue Service including both paper and electronic documents. MA Maturity LC Labor Code (California) ACT'"G rN pC Penal Code (California) NN When No Longer Needed Copies, non-records, notes, preliminary drafts and transitory records HE E OMB Office of Management & Budget S Superseded Sp Separated can be destroyed when no longer needed for District business and do R&TC Revenue & Taxation Code (California) * SOS Secretary of State T Terminated not require prior authorization. When original records have reached Risk Management & Safety USC United States Code V vital their destruction term all copies and duplicates must be destroyed WC Water Code along with the original; regardless of the media of the record. Special Storage Consideration Retention Retention Record Type Length Retention Citations / Comments Number (Years Unless Vital Historical Confidential Specified) RMS027 Job Site Safety Analysis (JSSA), Job Hazard Analysis (JHA), Hot work Permits 2 GC §60201 RMS028 PPE Assessments S GC §60201 RMS029 Lock out Tag Out Audits (LOTO) 2 GC §60201 49 Risk Management & Safety Revised: GENERAL RETENTION SCHEDULE INFORMATION Orange County Sanitation District CITATION CODES: RETENTION CODES: Any Public Records Act requests, litigation, audits, claims and Records Retention Schedule CCP Code of Civil Procedure (California) C Confidential investigations suspends the stated retention periods. Authorization and CCR California Code of Regulations CL CFR Code of Federal Regulations Closed or Completed proper destruction methods are required prior to destroying all official N,� SAN„q EC Elections Code (California) EX Expired or Expiration records as stated in the District's Records Retention Policy. °°°� °"a GC Government Code (California) EL Electronic H Historical H&S Health & Safety Code LF Life of Facility, Equip. or Software Retention and destruction of records applies to all media types IRC Internal Revenue Code pp Yp IRS Internal Revenue Service LO Life of Organization or Permanent including both paper and electronic documents. ; = MA Maturity LC Labor Code (California) ACT'"G rN pC Penal Code (California) NN When No Longer Needed Copies, non-records, notes, preliminary drafts and transitory records He E OMB Office of Management & Budget S Superseded Sp Separated can be destroyed when no longer needed for District business and do R&TC Revenue & Taxation Code (California) * SOS Secretary of State T Terminated not require prior authorization. When original records have reached General District Records USC United States Code V vital their destruction term all copies and duplicates must be destroyed WC Water Code along with the original; regardless of the media of the record. Special Storage Consideration Retention Retention Record Type Length Retention Citations / Comments Number (Years Unless Vital Historical Confidential Specified) Correspondence - General Transitory (Emails and Paper) GDR001 Documents That Do Not Have An Impact on District Business NN Meeting Invitations and Responses, Calendars, Transmittals, Thank You Letters, Request Forms, Voicemails, Drafts, etc. GDR002 Reference Material NN Work on Clarifying Description Not Directly Related to or prepared by OCSD, Not prepared for OCSD 50 General District Records Revised: ADMINISTRATION COMMITTEE Meng Dare TOBd. Dir. g7/eti08/15 o7/zz/1Of5 AGENDA REPORT Item Number Item Number a Orange County Sanitation District FROM: James D. Herberg, General Manager Originator: Lorenzo Tyner, Director of Finance and Administrative Services SUBJECT: INTERNAL AUDIT REPORT - REVIEW OF THE COLLECTION AND REMITTANCE OF CAPITAL FACILITIES CAPACITY CHARGES BY MEMBER AGENCIES GENERAL MANAGER'S RECOMMENDATION Receive and file the Independent Accountants' Report on Applying Agreed-Upon Procedures from White Nelson Diehl Evans, LLP. SUMMARY At the direction of the Administration Committee's Audit Oversight Subcommittee, White Nelson Diehl Evans, LLP ("WNDE"), Certified Public Accounts was engaged to apply agreed upon procedures for the collection and remittance of capital facilities capacity charges (CFCC) by member agencies for the calendar years 2011, 2012, and 2013. Based on WNDE's review of the collection and remittance of CFCC fees from member agencies, it is their conclusion that many member agencies are encountering problems in assessing the CFCC fees, which is impacting the revenues received by the Sanitation District. Their review uncovered a total net amount of uncollected and unremitted CFCC fees owed to the Sanitation District of $2.5 million. In addition, another $78,610 was collected by member agencies but not remitted to the District until after the completion of the audit. WNDE will provide a more detailed explanation of the audit scope, methodology, and their findings at the July Administration Committee meeting. PRIOR COMMITTEE/BOARD ACTIONS N/A ADDITIONAL INFORMATION Except for CFCC fees for sewer connections within unincorporated areas of the Sanitation District's service area, all CFCC fees are collected and remitted by member agencies at the time building permits are issued. The Sanitation District has an agreement with each member agency that allows them to retain five percent of the total CFCC fees collected to offset their costs in collecting and remitting these fees on behalf of the Sanitation District. The total annual amount of CFCC revenues vary according to the existing economic climate, but$14.1 million of CFCC fees were generated in FY 2013-14. Page 1 of 3 After reviewing, for each member city, the (1) high dollar building permit activity, (2) unusual spikes or declines in building permit activity within a calendar year, (3) unusual changes in building permit activity between calendar years, and (4) and unusual trends a that might warrant a detailed review of a city, WNDE identified thirteen cities for testing— Anaheim, Brea, Buena Park, Fountain Valley, Fullerton, Garden Grove, Huntington Beach, Newport Beach, Orange, Placentia, Santa Ana, Yorba Linda, and Tustin. The agreed upon procedures performed by WNDE included: Inquires of large variances between the remittance of CFCC fees in the current year versus the prior year; An evaluation of internal control systems and procedures in place at each selected city to identify any potential weaknesses in internal controls that might lead to the District being underpaid CFCC fees; On a test basis, reviewed permits from selected cities to ensure that the appropriate CFCC was collected and remitted back to the District; On at test basis, verified the mathematical accuracy of the monthly CFCC fee summaries reported to the District to each selected City's books and records; and On a test basis, reviewed the timeliness on the remittance of CFCC fees (generally within 30 days after the month in which the fees are collected)from the selected cities. Based on WNDE's review of the collection and remittance of CFCC fees from member agencies, it appears that many member cities are encountering problems in calculating the CFCC fees, which is impacting the revenues received by the District. Their review uncovered a total net amount of under charged CFCC fees of$2.5 million and another $78,610 that was collected by the member cities but not remitted to the District in a timely manner. However, these funds have now been received prior to the date of this report. Although there were eight instances where cities had undercharged customers and three instances where customers were overcharged, the net impact was an undercharge of $2.5 million. The significant undercharges includes a $2.5 million undercharge from the City of Buena Park where the City deferred the payment of 15 CFCC permits until occupancy. Occupancy of the development in question is not expected until 2016. Under the agreement with the District, the City is supposed to collect the CFCC at the time the permit is issued. Previously, the District had a payment deferral option of CFCC fees for certain large development projects that allowed for the deferral of the CFCC fees up until they were collected by the member agency (Resolution No. OCSD 11-10). However, this resolution expired on of June 30, 2012. One instance with the City of Huntington Beach, the City had used the average demand rate instead of the low demand rate when computing a credit for the existing structure causing an under billing of the applicant total of $8,446. There was also one material overcharge by the City of Newport Beach where the high demand rate was utilized instead of the appropriate average demand rate for a commercial building generating an Page 2 of 3 overbilling of $41,820. We are working with the City to reimburse the customer for the overcharge. Of the total of$78,610 collected by the member cities but not remitted to the District in a timely manner, $77,643 is owed from the City of Brea which has now been remitted to the District since the Feld review by the auditors. CEQA N/A BUDGET / PURCHASING ORDINANCE COMPLIANCE N/A ATTACHMENT The following attachment(s)are included in hard copy and may also be viewed on-line at the OCSD website (www.ocsd.coml with the complete agenda package: Independent Accountants' Report from White Nelson Diehl Evans, LLP Page 3 of 3 RETURN TO AGENDA WHITE NELSON 1 INDEPENDENT ACCOUNTANTS' REPORT ON APPLYING AGREED-UPON PROCEDURES Board of Directors Orange County Sanitation District Fountain Valley,California We have performed the procedures enumerated below,which were agreed to by the management of the Orange County Sanitation District, Fountain Valley, California (the District), solely to assist the District in evaluating the collection and remittance of capital facilities capacity charge (CFCC) fees by the cities for the calendar years 2011, 2012 and 2013. This agreed-upon procedures engagement was performed in accordance with attestation standards established by the American Institute of Certified Public Accountants. The sufficiency of these procedures is solely the responsibility of the management of the District. Consequently, we make no representations regarding the sufficiency of the procedures described below, either for the purpose for which this report has been requested or for any other purpose. The procedures performed and the results of those procedures are as follows: 1. The District provided the dollar amount of building permits issued and remitted to the District by all cities for the calendar years 2011, 2012 and 2013. We reviewed the data for each city to identify the following: (1) high dollar building permit activity, (2) unusual spikes or declines in building permit activity within a calendar year, (3) unusual changes in building permit activity between calendar years, and (4) any unusual trends that might warrant a detailed review of a city. From this information, we identified 13 cities to test. Results: The following 13 cities were selected for testing: (1) Anaheim, (2) Brea, (3) Buena Park, (4) Fountain Valley, (5) Fullerton, (6) Garden Grove, (7) Huntington Beach, (8) Newport Beach, (9) Orange, (10) Placentia, (11) Santa Ana, (12)Yorba Linda and(13)Tustin. The City of Tustin does not collect and remit CFCC fees to the District. Instead the City directs permit applicants to go to the District in order to pay the appropriate fee. The procedures for the City of Tustin were limited to gaining an understanding of how permit applicants are directed to pay the appropriate CFCC fee at the District. - I - 2875 Michelle Drive,Suite 300,Irvine,CA 92606 •Tel: 714.978.1300• Fax:714.978.7893 Offices located in Orange and San Diego Counties RETURN TO AGENDA For each of the 13 cities selected, the procedures performed and the results of those procedures are as follows: 2. We compared current year to prior year CFCC fees remitted to the District and inquired about large variances. In addition, we compared the amount collected each month to the amount collected in the same month of the prior year and inquired about large variances. Results: We inquired of city staff regarding significant variances and found that the responses received were reasonable. 3. We gained an understanding of the internal control systems and procedures in place at each city to identify any potential weaknesses in internal controls that might lead to the District being underpaid CFCC fees. Results: The following was noted during the performance of this procedure: a. City of Buena Park: The City has a policy that all fees must be paid before a permit is issued. During our testing of permits for the City in step 4e below, we noted a large project with a developer to construct numerous commercial buildings on undeveloped land. The City issued approximately 15 permits for this project without collecting District fees. This is a significant deficiency in the City's internal controls, since the City decided to circumvent their policy requiring payment of all fees prior to issuing a permit. b. During our review of the timeliness for each monthly CFCC fee remittance in step 6 below, we noted several cities with late monthly remittances for a majority of the months tested. This has a resulted in a significant deficiency in timely remittances of the monthly CFCC fees for the following cities: i. City of Buena Park ii. City of Placentia iii. City of Santa Ana c. We noted that the City of Tustin requires proof of payment of District fees prior to issuing a permit. 4. We randomly selected 60 permits (20 per calendar year)of which 45 permits (15 per calendar year) represented permits randomly selected from each of the cities' total permit population and 15 (5 per calendar yew) represented permits randomly selected from each of the cities' monthly CFCC fee remittances. For permits without CFCC fees, we verified that the lack of a CFCC fee was appropriate. For permits with CFCC fees, we traced the connection charges to the District's approved rate and fee schedules and recalculated the CFCC fee charged. Results: The following was noted during the performance of this procedure: a. City of Anaheim: In 1 out of 45 transactions tested, we noted a permit to convert an existing 147 square feet of patio to a restroom and storage area for an apartment building on August 9, 2011. This should have resulted in a District fee of$41 utilizing the low demand rate for fiscal year 2011-2012; however,the City did not assess a District fee. -2 - RETURN TO AGENDA 4. Continued b. City of Brea: In 1 out of 45 transactions tested, we noted a permit for the demolition of an old commercial building and the construction of a new 8,452 square foot commercial building for which a District fee of$3,261 was assessed. The City did not retain records on how the $3,261 was calculated. In addition, the City did not have records detailing the specific square footage of the old commercial building, but did find support for an approximate area of 5,000 square feet. We recalculated the District fees using average demand, a credit for the existing 5,000 square foot commercial building, and a fee for the new 8,452 square foot commercial building and arrived at a fee of $5,840. Accordingly, the City undercharged the applicant$2,500. c. City of Brea: In 1 out of 45 transactions tested, we noted a permit for a single family residential bedroom addition. District fees were not charged on the permit selected for testing; however, the permit referenced an older permit for additional information. The City switched permit software systems and does not have access to the records in the old system. Without the information referenced in the permit tested, we were unable to determine if this permit should have contained a District fee. d. City of Brea: In 2 out of 45 transactions tested, we noted 2 permits with District fees assessed of$18,125 each. The City did not retain support for how the District fees were calculated. We were unable to determine if the total amount charged of $36,250 was accurate. e. City of Buena Park: In 1 out of 45 transactions tested, we noted a permit for the conversion of an office building into a four bedroom single family residence for which a District fee was not assessed. The building was originally built in the 1950's as a single family residence and remodeled into an office in 1991. Due to the age of the building,the City did not have records indicating the square footage of the office building. Due to the lack of information on the office building, we were unable to compute the credit for the existing structure. Therefore, we were unable to determine if a District fee should have been collected. f City of Buena Park: In 2 out of 45 transactions tested, we noted permits that were part of a large project with a developer to construct numerous commercial buildings on undeveloped land. Per our discussions with the Engineer and Permit Technician,the City had wording in the forms signed by the developer that indicated the District fee could be deferred until occupancy. The developer has held the City to the wording in those documents and has not paid any District fees on the approximate 15 permits pulled during calendar years 2011, 2012 and 2013. District staff has estimated that the dollar amount of fees owed to the District total $2.5 million. g. City of Fullerton: In 1 out of 45 transactions tested, we noted that the City's calculation of the District's fee contained an error that resulted in an overbilling of the applicant totaling $1,001. The reason for the error is unknown as the City did not retain documentation on how the District's fee was determined. - 3 - RETURN TO AGENDA 4. Continued h. City of Fullerton: In l out of 15 transactions tested, we noted that the City utilized the fiscal year 2010-2011 rates; however, the paperwork for the application began in August 2011. Therefore, the fiscal year 2011-2012 rates should have been used. This caused an underbilling of the applicant totaling$65. i. City of Huntington Beach: In 1 out of 15 transactions tested, we noted that the average demand rates were utilized instead of the low rate when computing a credit for the existing structure. This caused an underbilling of the applicant totaling$8,446. j. City of Huntington Beach: In 1 out of 15 transactions tested, we noted that the City utilized the fiscal year 2011-2012 rates; however, the paperwork for the application began in January 2013. Therefore, the fiscal year 2012-2013 rates should have been used. This caused an underbilling of the applicant totaling$6. k. City of Huntington Beach: In 1 out of 15 transactions tested, we noted that the City had an error when entering the rates and charged a rate of$3,882 instead of$3,881. This caused an overbilling of the applicant totaling$2. 1. City of Newport Beach: In 1 out of 15 transactions tested, we noted that the high demand rate was utilized instead of the average demand rate for a commercial building that did not meet the description required for high demand. This caused an overbilling of the applicant totaling $41,820. in. City of Orange: In 1 out of 15 transactions tested, we noted that the City utilized the fiscal year 2011-2012 rates; however, the paperwork for the application began in October 2012. Therefore, the fiscal year 2012-2013 rates should have been used. This caused an underbilling of the applicant totaling$5. n. City of Placentia: In 1 out of 15 transactions tested, we noted that the multi-family residential rates were utilized instead of the single family residential rates. This resulted in an underbilling of the applicant totaling $31. 5. We tested the mathematical accuracy of one monthly CFCC fee summary per quarter (total of 12 tested for the calendar years 2011, 2012 and 2013) and traced the amounts reported to the District to the City's books and records. Results: The following was noted during the performance of this procedure: a. City of Brea: In reviewing the City's support for the February 2011 remittance, we noted that the City's books and records indicated $133,059 should have been remitted to the District. However, the City remitted $142,054 to the District for February 2011. The excess payment of $8,995 represents permit fees collected in September 2010, but not remitted until February 2011. This amount should have been included along with the September 2010 remittance. b. City of Brea: In reviewing the City's support for the September 2012 remittance, we noted that $218 is still due to the District from the City and had not been paid as of the date fieldwork was complete in March 2015. -4- RETURN TO AGENDA 5. Continued c. City of Brea: In reviewing the City's books and records for April 2012, we noted that total gross cash receipts totaled $85,477. With the 5% administrative fee taken into account, the City should have remitted$81,203 to the District, but only remitted $3,778. The City owes the District $77,425 and the amount had not been paid as of the date fieldwork was complete in March 2015. d. City of Garden Grove: Out of the 12 months tested, (i) 2 months contained outstanding payments due to the District totaling$641 and$1 and(ii)2 months contained overpayments to the District in the amounts of $889 and $23. The net amount overpaid to the District totals $270. During calendar years 2011, 2012 and 2013, the City did not reconcile the activity in the general ledger to the permit summaries prepared by public works, which caused the errors noted above. Beginning in 2014, the City reconciled the general ledger activity to the monthly permit summaries. e. City of Placentia: In 1 out of 12 months tested, we noted that January 2012 contained a District fee totaling $1,237 that was not included in the monthly report to the District. This amount was not remitted to the District and represents an amount due. 6. The District provided the cash receipt dates for each monthly CFCC fee remittance for the calendar years 2011, 2012 and 2013. We reviewed the cash receipt date noted by the District to see if the City is filing and paying the fees to the District in a timely manner (generally within 30 days after the month in which the fees are collected). We noted any cash receipt dates that were in excess of 40 days after the month-end, to allow time for mailing and processing the cash receipt at the District. When a City had multiple cash receipts for one month's remittance, we utilized the date from the last cash receipt received for that period. Results: The following was noted during the performance of this procedure. (See Schedule A for details of the months in which each City did not remit the funds timely): a. City of Anaheim: 14 out of the 36 cash receipts tested were not received timely. b. City of Brea: 13 out of the 36 cash receipts tested were not received timely c. City of Brea: In reviewing the City's timeliness of the remittances, we compared the cash receipt records provided by the District to the total connection fees revenues in the spreadsheet provided by the District. We noted for November 2012, that the connection fees revenues totaled $93,771 and cash remittances totaled $149,342. The City made one payment of$55,577 twice. However, the overpayment was refunded by the District to the City in February 2013. d. City of Buena Park: In calendar years 2011, 2012 and 2013, only 32 months contained District fees that required remittance to the District. 28 out of the 32 cash receipts tested were not received timely. e. City of Fountain Valley: In calendar years 2011, 2012 and 2013, only 24 months contained District fees that required remittance to the District. 2 out of the 24 cash receipts tested were not received timely. - 5 - RETURN TO AGENDA 6. Continued f. City of Fullerton: In calendar years 2011,2012 and 2013, only 34 months contained District fees that required remittance to the District. 3 out of the 34 cash receipts tested were not received timely. g. City of Garden Grove: 6 out of the 36 cash receipts tested were not received timely. h. City of Newport Beach: 2 out of the 36 cash receipts tested were not received timely. i. City of Orange: 2 out of the 36 cash receipts tested were not received timely. j. City of Placentia: In calendar years 2011,2012 and 2013, only 22 months contained District fees that required remittance to the District. 19 out of the 22 cash receipts tested were not received timely. k. City of Santa Ana: 26 out of the 36 cash receipts tested were not received timely. Summary of Results Below is a summary of the fees that were over/(under) charged to customers and over (under) paid to the District. The summary also includes any findings that could not be quantified due to a lack of information available. Amount of Over(Under) Charged to Customers 1 st Exception 2nd Exception 3rd Exception (if amount (if amount (if amount Member City shown) (1) shown) (1) shown) (1) Total City of Anaheim $ (41) 4a $ - $ - $ (41) City of Brea (2,500) 4n - - (2,500) (2) City of Buena Park (2,500,000) 4f - - (2,500,000) (2) City of Fountain Valley - - - - City of Fullerton 1,001 49 (65) 4n - 936 City of Garden Grove - - - - City of Huntington Beach (8,446) 4i (6) 4i 2 4k (8,450) City of Newport Beach 41,820 41 - - 41,820 City of Orange (5) 4. - - (5) City of Placentia (31) 4. - - (31) City of Santa Ana - - - - City of Yorba Linda - - - - $ (2,468,202) $ (71) $ 2 $ (2,468,271) - 6 - RETURN TO AGENDA Summary of Results (Continued) Amount of Over(Under)Paid to the District 1 st Exception 2nd Exception 3rd Exception (if amount (if amount (if amount Member City shown) (1) shown) (1) shown) (1) Total City of Anaheim $ - $ - $ - $ - City ofBrea (218) 5b (77,425) 5� - (775643) City of Buena Park - - - - City of Fountain Valley - - - - City of Fullerton - - - - City of Garden Grove 270 5d - - 270 City of Huntington Beach - - - - City of Newport Beach - - - - City of Orange - - - - CityofPlacentia (1,237) 5e - - (1,237) City of Santa Ana - - - - City of Yorba Linda $ (1,185) $ (77,425) $ - $ (78,610) (1) Reference to the exception number within the body of the report. (2) In addition,the City of Brea and the City of Buena Park had additional errors,4c, 4d, and 4e, that could not be dollarized. Conclusion We were not engaged to, and did not, conduct an audit,the objective of which would be the expression of an opinion, on the accounting records. Accordingly, we do not express such an opinion. Had we performed additional procedures, other matters might have come to our attention that would have been reported to you. This report is intended solely for the information and use of the management of the Orange County Sanitation District Board of Directors and management and is not intended to be and should not be used by anyone other than those specified p"ar�ties. Irvine, California June 26, 2015 - 7 - RETURN TO AGENDA SCHEDULE ORANGE COUNTY SANITATION DISTRICT PROCEDURE 6: LATE REMITTANCES For the calendar years 2011, 2012 and 2013 Due Date Receipt Date Number of Period (1) (2) Days Late City of Anaheim: 1. March 2011 5/10/2011 5/12/2011 2 2. July 2011 9/9/2011 9/12/2011 3 3. August 2011 10/10/2011 10/13/2011 3 4. September 2011 11/9/2011 11/18/2011 9 5. February 2012 4/9/2012 4/12/2012 3 6. August 2012 10/10/2012 10/18/2012 8 7. September 2012 11/9/2012 11/15/2012 6 8. October 2012 12/10/2012 12/13/2012 3 9. April 2013 6/9/2013 6/20/2013 11 10. July 2013 9/9/2013 9/12/2013 3 11. August 2013 10/10/2013 10/17/2013 7 12. September 2013 11/9/2013 1/3/2014 55 13. October 2013 12/10/2013 1/3/2014 24 14. November 2013 1/9/2014 1/16/2014 7 City of Brea: 1. February 2011 4/9/2011 7/11/2011 93 2. May 2011 7/10/2011 7/11/2011 1 3. June 2011 8/9/2011 9/19/2011 41 4. May 2012 7/10/2012 7/20/2012 10 5. July 2012 9/9/2012 10/19/2012 40 6. August 2012 10/10/2012 11/2/2012 23 7. September 2012 11/9/2012 11/19/2012 10 8. November 2012 1/9/2013 2/1/2013 23 9. December 2012 2/9/2013 3/8/2013 27 10. January2013 3/12/2013 4/12/2013 31 11. February 2013 4/9/2013 4/12/2013 3 12. August 2013 10/10/2013 10/25/2013 15 13. December 2013 2/9/2014 4/4/2014 54 - 1 - RETURN TO AGENDA SCHEDULE ORANGE COUNTY SANITATION DISTRICT PROCEDURE 6: LATE REMITTANCES (CONTINUED) For the calendar years 2011,2012 and 2013 Due Date Receipt Date Number of Period (1) (2) Days Late City of Buena Park: 1. January 2011 3/12/2011 5/13/2011 62 2. February 2011 4/9/2011 5/13/2011 34 3. March2011 5/10/2011 5/13/2011 3 4. April 2011 6/9/2011 9/16/2011 99 5. May 2011 7/10/2011 9/16/2011 68 6. June 2011 8/9/2011 9/16/2011 38 7. July 2011 9/9/2011 9/16/2011 7 8. September 2011 11/9/2011 2/6/2012 89 9. October 2011 12/10/2011 2/6/2012 58 10. November2011 1/9/2012 2/6/2012 28 11. January 2012 3/11/2012 6/22/2012 103 12. February 2012 4/9/2012 6/22/2012 74 13. March 2012 5/10/2012 6/22/2012 43 14. April 2012 6/9/2012 6/22/2012 13 15. May 2012 7/10/2012 8/3/2012 24 16. August 2012 10/10/2012 5/24/2013 226 17. September 2012 11/9/2012 5/24/2013 196 18. October 2012 12/10/2012 12/19/2014 739 19. November 2012 1/9/2013 5/24/2013 135 20. January 2013 3/12/2013 11/25/2013 258 21. February 2013 4/9/2013 11/25/2013 230 22. Much 2013 5/10/2013 11/25/2013 199 23. April 2013 6/9/2013 11/25/2013 169 24. May 2013 7/10/2013 11/25/2013 138 25. June 2013 8/9/2013 11/25/2013 108 26. July 2013 9/9/2013 11/25/2013 77 27. August 2013 10/10/2013 11/25/2013 46 28. September 2013 11/9/2013 11/25/2013 16 City of Fountain Valley: 1. November 2012 1/9/2013 1/18/2013 9 2. August 2013 10/10/2013 12/19/2013 70 - 2 - RETURN TO AGENDA SCHEDULE ORANGE COUNTY SANITATION DISTRICT PROCEDURE 6: LATE REMITTANCES (CONTINUED) For the calendar years 2011,2012 and 2013 Due Date Receipt Date Number of Period (1) (2) Days Late City of Fullerton: 1. April 2011 6/9/2011 6/10/2011 1 2. July 2012 9/9/2012 9/28/2012 19 3. December 2013 2/9/2014 2/14/2014 5 City of Garden Grove: 1. January 2011 3/12/2011 5/27/2011 76 2. February 2011 4/9/2011 4/11/2011 2 3. April 2012 6/9/2012 6/27/2012 18 4. March 2013 5/10/2013 6/4/2013 25 5. July 2013 9/9/2013 9/12/2013 3 6. November 2013 1/9/2014 1/24/2014 15 City of Newport Beach: 1. March 2012 5/10/2012 5/14/2012 4 2. September 2013 11/9/2013 11/26/2013 17 City of Orange: 1. March 2011 5/10/2011 6/10/2011 31 2. April 2011 6/9/2011 6/20/2011 11 City of Placentia: 1. February 2011 4/9/2011 6/6/2011 58 2. March 2011 5/10/2011 6/6/2011 27 3. July 2011 9/9/2011 8/31/2012 357 4. September 2011 11/9/2011 8/31/2012 296 5. October 2011 12/10/2011 8/31/2012 265 6. December 2011 2/9/2012 8/31/2012 204 7. January 2012 3/11/2012 8/31/2012 173 8. February 2012 4/9/2012 8/31/2012 144 9. March 2012 5/10/2012 8/31/2012 113 10. April 2012 6/9/2012 8/31/2012 83 11. June 2012 8/9/2012 4/4/2013 238 12. August 2012 10/10/2012 4/4/2013 176 13. October 2012 12/10/2012 4/4/2013 115 - 3 - RETURN TO AGENDA SCHEDULE ORANGE COUNTY SANITATION DISTRICT PROCEDURE 6: LATE REMITTANCES (CONTINUED) For the calendar years 2011,2012 and 2013 Due Date Receipt Date Number of Period (1) (2) Days Late City of Placentia (Continued): 14. January 2013 3/12/2013 4/4/2013 23 15. April 2013 6/9/2013 8/9/2013 61 16. May 2013 7/10/2013 8/9/2013 30 17. August 2013 10/10/2013 11/7/2013 28 18. October 2013 12/10/2013 2/21/2014 73 19. December 2013 2/9/2014 2/21/2014 12 City of Santa Ana: 1. January 2011 3/12/2011 4/1/2011 20 2. March 2011 5/10/2011 5/23/2011 13 3. April 2011 6/9/2011 8/8/2011 60 4. May 2011 7/10/2011 7/18/2011 8 5. June 2011 8/9/2011 8/19/2011 10 6. August 2011 10/10/2011 12/27/2011 78 7. October 2011 12/10/2011 12/16/2011 6 8. November 2011 1/9/2012 5/21/2012 133 9. December2011 2/9/2012 6/11/2012 123 10. January2012 3/11/2012 5/21/2012 71 11. February 2012 4/9/2012 6/11/2012 63 12. March 2012 5/10/2012 6/11/2012 32 13. April 2012 6/9/2012 6/11/2012 2 14. May 2012 7/10/2012 9/4/2012 56 15. June 2012 8/9/2012 10/15/2012 67 16. July 2012 9/9/2012 10/30/2012 51 17. August 2012 10/10/2012 1/23/2013 105 18. October 2012 12/10/2012 1/23/2013 44 19. November 2012 1/9/2013 1/23/2013 14 20. December 2012 2/9/2013 2/25/2013 16 21. January 2013 3/12/2013 4/3/2013 22 22. March 2013 5/10/2013 5/20/2013 10 23. May 2013 7/10/2013 7/15/2013 5 24. June 2013 8/9/2013 9/16/2013 38 25. August 2013 10/10/2013 11/1/2013 22 26. December 2013 2/9/2014 2/24/2014 15 -4 - RETURN TO AGENDA SCHEDULE ORANGE COUNTY SANITATION DISTRICT PROCEDURE 6: LATE REMITTANCES (CONTINUED) For the calendar years 2011,2012 and 2013 (1) 1 Remittances are due within 30 days after the month in which the fees are collected. We added 10 days to the 30 day requirement to allow time for mailing and processing of the cash receipt at the District. Therefore, for purposes of this report, the due date was 40 days after the month in which the fees were collected. (2) 'The receipt date was provided by the District and represents the date the cash receipt was recorded in the District's general ledger. - 5 - ORANGE COUNTY SANITATION DISTRICT Agenda Terminology Glossary Glossary of Terms and Abbreviations AQMD Air Quality Management District ASCE American Society of Civil Engineers BOD Biochemical Oxygen Demand CARB California Air Resources Board CASA California Association of Sanitation Agencies CCTV Closed Circuit Television CEQA California Environmental Quality Act CRWQCB California Regional Water Quality Control Board CWA Clean Water Act CWEA California Water Environment Association EIR Environmental Impact Report EMT Executive Management Team EPA U.S. Environmental Protection Agency FOG Fats, Oils, and Grease FSSD Facilities Support Services Department gpd Gallons per day GWR System Groundwater Replenishment System (also called GWRS) ICS Incident Command System IERP Integrated Emergency Control Plan LOS Level of Service MGD Million gallons per day NACWA National Association of Clean Water Agencies NPDES National Pollutant Discharge Elimination System NWRI National Water Research Institute O&M Operations and Maintenance OCCOG Orange County Council of Governments OCHCA Orange County Health Care Agency OCSD Orange County Sanitation District OCWD Orange County Water District GOBS Ocean Outfall Booster Station OSHA Occupational Safety and Health Administration POTW Publicly Owned Treatment Works ppm Parts per million RFP Request For Proposal RWQCB Regional Water Quality Control Board SARFPA Santa Ana River Flood Protection Agency Glossary of Terms and Abbreviations SARI Santa Ana River Inceptor SARWQCB Santa Ana Regional Water Quality Control Board SAWPA Santa Ana Watershed Project Authority SCADA Supervisory Control and Data Acquisition system SCAP Southern California Alliance of Publicly Owned Treatment Works SCAQMD South Coast Air Quality Management District SOCWA South Orange County Wastewater Authority SSMP Sanitary Sewer Management Plan SSO Sanitary Sewer Overflow SWRCB State Water Resources Control Board TDS Total Dissolved Solids TMDL Total Maximum Daily Load TSS Total Suspended Solids WDR Waste Discharge Requirements WEF Water Environment Federation WERF Water Environment Research Foundation 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 know as the benthic zone. Biochemical Oxygen Demand (BOD)—The amount of oxygen used when organic matter undergoes decomposition by microorganisms. Testing for BOO is done to assess the amount of organic matter in water. 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 farm land 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. Glossary of Terms and Abbreviations Contaminants of Potential Concern (CPC) — Pharmaceuticals, hormones, and other organic wastewater contaminants. Dilution to Threshold (D!f) — the dilution at which the majority of the people detect the odor becomes the DrT for that air sample. Greenhouse gases — 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 (GWR) System — 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 the Orange County Sanitation District provides 70 million gallons a day of drinking quality water to replenish the local groundwater supply. Levels of Service (LOS)—Goals to support environmental and public expectations for performance. NDMA— N-Nitrosodimethylamine is an N-nitrosoamine suspected cancer-causing agent. It has been found in the Groundwater Replenishment System process and is eliminated using hydrogen peroxide with extra ultra-violet treatment. National Biosolids Partnership (NBP) — An alliance of the National Association of Clean Water Agencies (NACWA) and Water Environment Federation (WEF), with advisory support from the U.S. Environmental Protection Agency (EPA). NBP is committed to developing and advancing environmentally sound and sustainable biosolids management practices that go beyond regulatory compliance and promote public participation in order to enhance the credibility of local agency biosolids programs and improved communications that lead to public acceptance. Plume—A visible or measurable concentration of discharge from a stationary source or fixed facility. Publicly-owned Treatment Works (POTW)— Municipal wastewater treatment plant. Santa Ana River Interceptor (SARI) Line — A regional brine line designed to convey 30 million gallons per day (MGD) 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. Combined sewers carry both wastewater and urban run-off. 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. 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. Glossary of Terms and Abbreviations 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.