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.
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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.
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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.
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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.
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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)
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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
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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
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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
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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
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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.