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HomeMy WebLinkAboutOC SAN 23-21 (Repealed)RESOLUTION NO. OC SAN 23-21 A RESOLUTION OF THE BOARD OF DIRECTORS OF THE ORANGE COUNTY SANITATION DISTRICT ADOPTING THE RECORDS MANAGEMENT PROGRAM PROCEDURES & RECORDS RETENTION SCHEDULE, AUTHORIZING DESTRUCTION OF OBSOLETE RECORDS, AND REPEALING RESOLUTION NO. OC SAN 23-08 WHEREAS, it is necessary to establish a policy to maintain a Records Management Program ("Program") that provides for the identification, access, and protection of all records generated or received by the Orange County Sanitation District; and WHEREAS, said Program ensures that all the Orange County Sanitation District records are created, received, maintained, and destroyed in a legal and cost-effective manner, in accordance with operating requirements for the Orange County Sanitation District business and applicable statutes and regulations; and WHEREAS, the Board of Directors of the Orange County Sanitation District are authorized, by the provisions of California Government Code Sections 60200 through 60204, inclusive, to destroy records under certain conditions, and WHEREAS, it is described and appropriate to authorize the destruction of the records on a routine basis; that have been retained for a defined period of time, that are copies of originals on file with the Orange County Sanitation District, or that have been preserved in conformance with all applicable statutes. NOW, THEREFORE, the Board of Directors of the Orange County Sanitation District, DOES HEREBY RESOLVE, DETERMINE, AND ORDER: Section 1: Adoption of the Updated Records Management Procedures. The Board of Directors of the Orange County Sanitation District hereby adopts changes to the Records Management Procedure Manual attached hereto. Section 2: Adoption of the Updated Records Retention Schedule. The Board of Directors of the Orange County Sanitation District hereby adopts changes to the Records Retention Schedule, attached hereto in the Records Management Procedure Manual. Section 3: Authorization for Destruction of Records. The destruction of records, papers, and documents is hereby authorized, pursuant to California Government Code Sections 60200 et seq., after such records have been retained for the minimum time set forth in the Records Retention Schedule. Section 4: Destruction of Records After Preservation. Any record not expressly required by law to be filed and preserved may be destroyed at any time after it is OC SAN 23-21-1 preserved in conformance with the requirements of California Government Code Section 60203. Section 5: Destruction of Duplicates. Pursuant to California Government Code Section 60200, any duplicate record, paper, or document (the original or a permanent copy of which is in the files of any office or Department of the Orange County Sanitation District) may be destroyed after confirmation with Records Management that such original or permanent copy remains on file in the Orange County Sanitation District. Section 6: Retention of Records Not Mentioned. All records, papers, and documents not mentioned in this Resolution shall be retained. Section 7: Resolution No. OC SAN 23-08 is hereby repealed. PASSED AND ADOPTED at a regular meeting of the Board of Directors of the Orange County Sanitation District held December 14, 2023. Ryan Gallagher Board Vice -Chairman ATTEST: +e*1- Kelly A. Lore, MMC Clerk of the Board OC SAN 23-21-2 STATE OF CALIFORNIA ss COUNTY OF ORANGE I, Kelly A. Lore, Clerk of the Board of Directors of the Orange County Sanitation District, do hereby certify that the foregoing Resolution No. OC SAN 23-21 was passed and adopted at a regular meeting of said Board on the 14t" of December 2023, by the following vote, to wit: AYES: Brad Avery, Pat Burns, Doug Chaffee, Jon Dumitru, Rose Espinoza, Ryan Gallagher, Glenn Grandis, Phil Hawkins, Farrah Khan, Stephanie Klopfenstein, Christine Marick, Jordan Nefulda, Andrew Nguyen, Robert Ooten, Robbie Pitts, David Shawver, Susan Sonne, Schelly Sustarsic, Bruce Whitaker, John Withers and Natalie Meeks (Alternate) NOES: None ABSENT: Marshall Goodman, Johnathan Ryan Hernandez, Scott Minikus, and Chad Wanke IN WITNESS WHEREOF, I have hereunto set my hand and affixed the official seal of the Orange County Sanitation District this 14t" of December 2023. +e*0-- Kelly A. Lore, MMC Clerk of the Board of Directors Orange County Sanitation District OC SAN 23-21-3 (7)C! S,� wq ORANGE COUNTY SANITATION DISTRICT RECORDS MANAGEMENT PROCEDURE MANUAL DECEMBER 2023 Adopted December 14, 2023 Resolution No. OC SAN 23-21 Orange County Sanitation District OC SAN 23-21-4 Procedure Number: 00 Orange County Sanitation District Effective Date: 12/14/2023 1 SAIV RECORDS MANAGEMENT Supersedes: 03/22/2023 POLICY & PROCEDURE MANUAL SUBJECT: TABLE OF CONTENTS Approved by: OC San Board of Directors POLICY CONTACT: Clerk of the Board (Custodian of Records) REGULATORY REFERENCES: Resolution No. OC SAN 23-21 California Government Code §34090 (How Long Records are Held -Records Retention) California Government Code §7920.000 (California Public Records Act) SECTION TITLE 1.0 RECORDS MANAGEMENT PROGRAM POLICY 2.0 PROGRAM GUIDELINES 3.0 STAFF RESPONSIBILITIES 4.0 RECORDS RETENTION 4.0 Exhibit A Records Retention Schedule Change Request Form 4.0 Exhibit B Records Retention Schedule 4.0 Exhibit C Record Series With Definitions 5.0 RECORDS DISPOSITION 5.0 Exhibit A Records Management Disposition Form 5.0 Exhibit B Request for Authorization to Destroy Records Form 5.0 Exhibit C Certificate of Digital Record Destruction 5.0 Exhibit D Legal Counsel Written Consent Authorizing the Destruction of Video Surveillance Files 6.0 VITAL RECORDS 7.0 HISTORICAL RECORDS 8.0 RECORDS MANAGEMENT PROGRAM AUDIT & COMPLIANCE REVIEW Table of Contents 1 Adopted 12/14/2023 OC SAN 23-21-5 Procedure Number: 00 1 SAIV Orange County Sanitation District Effective Date: 12/14/2023 OIAXOECWMYBAMITATIpNdBTRILT RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Supersedes: 03/22/2023 SUBJECT: TABLE OF CONTENTS Approved by: OC San Board of Directors SECTION TITLE 9.0 RECORDS HOLD AND RELEASE 9.0 Exhibit A Records Hold & Records Hold Release Request Form 10.0 PUBLIC RECORDS ACT — RELEASE OF RECORDS TO THE PUBLIC 11.0 ELECTRONIC COMMUNICATIONS POLICY 11.0 Exhibit A Declaration Regarding Search of Personal Electronic Messaging Accounts 12.0 ESCROW OF BID DOCUMENTS 13.0 DIGITIZATION OF RECORDS Table of Contents 2 Adopted 12/14/2023 OC SAN 23-21-6 Procedure Number: 1.0 Orange County Sanitation District Effective Date: 12/14/2023 ,1 SQN ORwpE OOVNTi 6MVlTipN d9YpK.'T RECORDS MANAGEMENT Supersedes: 03/22/2023 POLICY & PROCEDURE MANUAL SUBJECT: RECORDS MANAGEMENT PROGRAM Approved by: POLICY OC San Board of Directors 1.0 POLICY STATEMENT 1.1 The Board of Directors shall not less than annually adopt a Resolution updating the Records Management Procedure Manual as presented by the Custodian of Records (Clerk of the Board). The Orange County Sanitation District (OC San) is committed to effective records management including, but not limited to: A. Meeting legal requirements for records retention; B. Identifying and protecting all records; C. Managing record holds; D. Protecting privacy; E. Optimizing the use of space; F. Minimizing the cost of records retention; G. Providing open access to public records; and H. Disposing of outdated records properly. 2.0 PURPOSE 2.1 The purpose of the Records Management Program Policy is to establish a Records Management Program (the Program) that will develop a systematic method for managing OC San's records. The Program ensures that all OC San records are created, received, maintained, and dispositioned in a cost- effective manner, in accordance with operating requirements for OC San business, and applicable statutes and regulations. Failure to follow the Program may result in excessive costs, litigation, loss of productivity, etc. 3.0 PROGRAM RESPONSIBILITY 3.1 Under the authority of OC San's Board of Directors, the General Manager and the Executive Management Team oversee the Program. The Clerk of the Board is responsible for oversight, implementation, administration, and operation of the Program. 3.2 The Administration Manager, Clerk of the Board and/or designee, and General Counsel will meet as needed to review Records Retention Schedule (RRS) change requests and approve changes, which are then presented to the Board of Directors. Records Management Policy 1 Adopted 12/14/2023 OC SAN 23-21-7 Procedure Number: 1.0 Orange County Sanitation District Effective Date: 12/14/2023 ,1 SQN ORwpE OOVNTi 6MVlTipN d9YpK.'T RECORDS MANAGEMENT Supersedes: 03/22/2023 POLICY & PROCEDURE MANUAL SUBJECT: RECORDS MANAGEMENT PROGRAM Approved by: POLICY OC San Board of Directors 3.3 Departments/Divisions that maintain OC San records are responsible for understanding appropriate records management procedures and practices. Each Department/Division Manager, or a designee, must: A. Ensure compliance with the approved RRS; B. Be familiar with the Program; C. Develop the Department's/Division's procedures and practices consistent with this Policy; D. Educate staff within the Department/Division about sound records management practices; E. Coordinate the disposition of records as provided in OC San's RRS; and F. Restrict access to confidential records and information appropriately. 4.0 APPLICABILITY 4.1 This Policy applies to all OC San and contract staff who create, receive, or maintain OC San records. OC San requires the maintenance of records in a consistent and logical manner so that OC San: A. Meets legal standards for public examination, protection, storage, and retrieval; B. Protects the privacy of customers, ratepayers, and staff; C. Optimizes the use of space; D. Minimizes the cost of record retention; and E. Disposes of outdated records in accordance with the applicable statutes indicated in OC San's RRS. 4.2 Record policies apply to all records, whether they are maintained in hard (paper) copy, electronically, or in some other fashion. Each Department/Division shall appoint a Records Coordinator(s) who serves as a liaison to Records Management to assist in the development, implementation, maintenance, and adherence to a records management plan appropriate for the particular records it maintains, in cooperation with the Clerk of the Board and/or designee. 4.3 The Department/Division Records Coordinator facilitates program compliance within their respective Department/Division in applying the Program Policy. Records Management Policy 2 Adopted 12/14/2023 OC SAN 23-21-8 Procedure Number: 1.0 Orange County Sanitation District Effective Date: 12/14/2023 ,1 SQN ORwpE OOVNTi 6MVlTipN d9YpK.'T RECORDS MANAGEMENT Supersedes: 03/22/2023 POLICY & PROCEDURE MANUAL SUBJECT: RECORDS MANAGEMENT PROGRAM Approved by: POLICY OC San Board of Directors 4.4 OC San is subject to a range of statutes and rules regarding records retention and disclosure. All OC San employees are responsible for complying with the requirements of the Program Policy and OC San `s RRS. 5.0 HISTORY OF PROGRAM 5.1 OC San, through an outside consultant, conducted the initial records inventory from February through August of 2000. The inventory consisted of a physical inventory of records stored in active office work areas and various storage areas within the Plant No. 1 and Plant No. 2 facilities. The purpose of the inventory was to describe, identify, locate, and quantify OC San records. To supplement the data gathered during the physical inventory, the consultant conducted interviews with staff members from each Department/Division who were most familiar with records creation and maintenance. 5.2 Based on the physical inventory of records and the data gathered during the interviews, the initial RRS was developed. Files were identified by their record titles and classified into record series based on having similar business functions (purposes) and retention requirements. 5.3 Extensive legal research was performed to ensure that all legal requirements were met in assigning the records retention periods to each record series. Other attributes were also assigned to each record series to ensure that vital, historical, and confidential records are properly protected and processed for retention. Records Management Policy 3 Adopted 12/14/2023 OC SAN 23-21-9 Procedure Number: 2.0 4� SAIV Orange County Sanitation District Effective Date: 12/14/2023 RECORDS MANAGEMENT Supersedes: 03/22/2023 POLICY & PROCEDURE MANUAL SUBJECT: PROGRAM GUIDELINES Approved by: OC San Board of Directors 1.0 INTRODUCTION 1.1 The Orange County Sanitation District's (OC San) Records Management Program (the Program) is intended to effectively identify, manage, store, and destroy records that have been created and received by OC San. 1.2 Records received and created by OC San in fulfillment of its responsibility to the public and in compliance with government regulations are identified in the Records Retention Schedule (RRS), and accurate retention periods are assigned. 1.3 OC San records that are no longer needed to be in the immediate office of each Department/Division for convenient access are processed for storage, retrieval, or disposition in accordance with the guidelines established by the Program. 1.4 Records that have met the retention requirements identified in the RRS are processed for destruction in accordance with this Program. 1.5 Historical and vital records are identified and processed in accordance with the guidelines established by the Program. 1.6 Records management activities are completed in a cost-effective manner. 1.7 The Program promotes an increase in productivity by decreasing the volume of obsolete records stored, thus reducing the amount of time necessary for document retrieval. 1.8 The Program contributes to industry best practices by ensuring accountability, efficiency, and compliance in a cost-effective manner. 2.0 PURPOSE 2.1 Identify OC San records to facilitate access to information required to conduct OC San business and to provide appropriate access by the public. 2.2 Maintain OC San records for the duration of the approved retention period. Program Guidelines 1 Adopted 12/14/2023 OC SAN 23-21-10 Procedure Number: 2.0 A SAIV Orange County Sanitation District Effective Date: 12/14/2023 RECORDS MANAGEMENT Supersedes: 03/22/2023 POLICY & PROCEDURE MANUAL SUBJECT: PROGRAM GUIDELINES Approved by: OC San Board of Directors 2.3 Provide access to OC San records for operational, legal, or public access requirements. 2.4 Digitize records. 2.5 Protect OC San records. 2.6 Ensure compliance with legal statutes and governmental regulations regarding recordkeeping and public access requirements. 2.7 Destroy OC San records in accordance with the approved RRS or process those deemed historical records for long-term retention. 3.0 SCOPE 3.1 Create, receive, maintain, and dispose of OC San Records. 3.2 Maintain approved RRS. 3.3 Ensure use of appropriate technology in facilitating records and information storage and retrieval. 3.4 Provide systematic control of all OC San records through processing, distribution, maintenance, retrieval, and disposition. 4.0 RECORDS 4.1 OC San records must be managed throughout their "life cycle". 4.2 The life cycle of a record is the time period from the creation or receipt of a record to its final disposition. 4.3 Final disposition can be either destruction or perpetual retention. 4.4 Life cycle of a record is inclusive of five (5) stages: Stage 1 — Creation or receipt of records Stage 2 — Use or distribution Stage 3 — Storage or maintenance Program Guidelines 2 Adopted 12/14/2023 OC SAN 23-21-11 Procedure Number: 2.0 `y SAN Orange County Sanitation District Effective Date: 12/14/2023 RECORDS MANAGEMENT Supersedes: 03/22/2023 POLICY & PROCEDURE MANUAL SUBJECT: PROGRAM GUIDELINES Approved by: OC San Board of Directors Stage 4 — Retention or disposition Stage 5 — Archival preservation 4.5 Some records do not require managing throughout their life cycle. Such records are termed "transitory records". The value of transitory records is limited to a very short time, i.e., a day, a week, or no more than three months. These records do not require digitization. 4.6 Transitory records do not carry the requirement to retain the documentation of any transaction. Transitory records include: • Extra copies of publications, pamphlets, and blank forms. These are considered "supplies" rather than records. • Reference materials not produced by OC San. • Working copies of documents used solely until the finished record is declared or declined. • Notices of meetings, events, office or holiday gatherings, or employee meetings which do not relate directly to the functional responsibility of the organization. • Informational copies of widely distributed OC San materials. • Preliminary drafts of documents such as letters, memoranda, reports, and worksheets which do not represent significant steps in the preparation of OC San records, and which do not record decisions. Once the completed record is included in the filing system (in the appropriate medium), the working materials (drafts) are considered transitory records. • Catalogs, trade journals, and other published materials received from other organizations, commercial firms, vendors, or private institutions which require no action and are not needed for documentary purposes. These materials are usually considered "reference materials" and should be controlled as such, but are not OC San records. • Incorrect versions of documents, forms, or reports that had to be regenerated in order to correct errors in typing, data entry, spelling, grammar, or format. 5.0 RECORDS RETENTION SCHEDULE (RRS) 5.1 The RRS is a list of OC San records organized by record series to which are assigned retention periods and other attributes. Program Guidelines Adopted 12/14/2023 OC SAN 23-21-12 Procedure Number: 2.0 A SAIV Orange County Sanitation District Effective Date: 12/14/2023 RECORDS MANAGEMENT Supersedes: 03/22/2023 POLICY & PROCEDURE MANUAL SUBJECT: PROGRAM GUIDELINES Approved by: OC San Board of Directors 5.2 The retention periods identified in the RRS have been established after extensive legal research of all government regulations applicable to OC San. 5.3 The RRS has been reviewed and has received concurrence of the various OC San Departments/Divisions, Clerk of the Board and/or designess, Administration Manager, Executive Management, Legal Counsel, and the Administration Committee, as well as the approval of the OC San Board of Directors for implementation. 5.4 The RRS has been developed to ensure that each Department/Division maintains its records for the duration of the period legally required by applicable legal statutes and government regulations, and until all the operational business functions are met. 6.0 HISTORICAL RECORDS 6.1 Historical records are identified and preserved. 6.2 The Program ensures that records with permanent historical value are identified, documented, and preserved for the life of OC San. 6.3 The Clerk of the Board and/or designee, prior to processing records for destruction, shall identify records having historical significance. 6.4 Historical records are retrieved, prepared, and processed for preservation. 7.0 VITAL RECORDS 7.1 Vital records are those documents identified by each Department/Division as necessary to enable OC San to continue vital operations in the event of a disaster or major interruption to business. 7.2 Vital records enable OC San to reconstruct its legal obligations and rights. 7.3 Vital records enable OC San to reconstruct its financial position. 7.4 Vital records enable OC San to satisfy its obligations to its employees. Program Guidelines 4 Adopted 12/14/2023 OC SAN 23-21-13 Procedure Number: 2.0 A SAIV Orange County Sanitation District Effective Date: 12/14/2023 RECORDS MANAGEMENT Supersedes: 03/22/2023 POLICY & PROCEDURE MANUAL SUBJECT: PROGRAM GUIDELINES Approved by: OC San Board of Directors 7.5 Vital records enable OC San to protect employee and public health and safety. 7.6 Vital records enable OC San to reconstruct its assets and ownership. 8.0 CONFIDENTIAL RECORDS 8.1 Records containing proprietary or sensitive information to which access must be restricted are considered confidential. 8.2 Confidential information must be protected and preserved to avoid unauthorized disclosure that could be harmful to a person, to OC San, or to an OC San business process. 8.3 Confidential records shall be managed, controlled, and disposed of separately from records containing non -confidential information. 8.4 Confidentiality of information shall be protected until it is destroyed or until OC San has changed the status of the confidentiality of information. Program Guidelines 5 Adopted 12/14/2023 OC SAN 23-21-14 Procedure Number: 3.0 SSAN Orange County Sanitation District Effective Date: 12/14/2023 RECORDS MANAGEMENT Supersedes: 03/22/2023 POLICY & PROCEDURE MANUAL SUBJECT: STAFF RESPONSIBILITIES Approved by: OC San Board of Directors 1.0 INTRODUCTION 1.1 The Records Management Program (the Program) is a decentralized administrative program. As such, Program activities are carried out by the Orange County Sanitation District (OC San) Clerk of the Board (Custodian of Records) and/or designee, and by OC San staff in each Department/Division. OC San's Clerk of the Board and/or designee is responsible for coordinating and overseeing the Program and Program procedures, and Department/Division staff are responsible for complying with the Program requirements for records in their respective areas. In the procedures that follow, the individual responsible for running the daily operations of the Program is identified as the Clerk of the Board and/or designee. The purpose of this procedure is to describe the roles and responsibilities of the Clerk of the Board and/or designee and OC San Department/Division staff. 3.0 STAFFING AND RESPONSIBILITIES Responsibility Action CLERK OF THE BOARD Custodian of Records of OC San CLERK OF THE BOARD If designee, under the direction of the AND/OR DESIGNEE Clerk of the Board: Oversee OC San's public requests for records/information. Maintain Public Records Act (PRA) Log and PRA information in the relevant software. Oversee the Program and act as a liaison between Department/Division Records Coordinators and General Counsel. Staff Responsibilities 1 Adopted 12/14/2023 OC SAN 23-21-15 Procedure Number: 3.0 i $Aiv ORANGE COUNTY SANITATION DISTRICT Orange County Sanitation District Effective Date: 12/14/2023 RECORDS MANAGEMENT Supersedes: 03/22/2023 POLICY & PROCEDURE MANUAL SUBJECT: STAFF RESPONSIBILITIES Approved by: OC San Board of Directors Responsibility Action • Act as an advisor on all records and information management issues and related projects. • Maintain the Records Retention Schedule (RRS) and related record series documentation. • Develop and conduct training sessions on appropriate Program activities, including any Records Management software. • Maintain and update the Records Management Procedure Manual as needed. • Coordinate record destruction suspension ("holds") and destruction resumption ("releases") with legal counsel, auditors, and the Office of Record to ensure that records are available as required. • Manage the records retention, offsite transfer, and destruction activities of the Program. • Conduct periodic audits of the Program to ensure compliance. • In collaboration with IT and the Office of Record, coordinate vital record protection and ensure that the Program supports the Integrated Emergency Response Plan. Staff Responsibilities 2 Adopted 12/14/2023 OC SAN 23-21-16 Procedure Number: 3.0 6$Qiv ORANGE COUNTY SANITATION D6STRICT Orange County Sanitation District Effective Date: 12/14/2023 RECORDS MANAGEMENT Supersedes: 03/22/2023 POLICY & PROCEDURE MANUAL SUBJECT: STAFF RESPONSIBILITIES Approved by: OC San Board of Directors Responsibility Action DEPARTMENT/DIVISION Review Department/Division records and RECORDS the RRS periodically to ensure COORDINATORS compliance with the Program. Forward any requests for changes to the RRS to A list of Department/Division the Clerk of the Board and/or designee. Records Coordinators can be found via the link. Ensure that records are maintained and protected in compliance with the Program. • Coordinate preparation of records for transfer to offsite storage. • Coordinate managing pertinent records after receipt of a Records Hold or Records Release. • Coordinate records disposition activities, including the preparation of a Disposition Form. Staff Responsibilities 3 Adopted 12/14/2023 OC SAN 23-21-17 Procedure Number: 4.0 Orange County Sanitation District Effective Date: 12/14/2023 ASAN RECORDS MANAGEMENT Supersedes: 03/22/2023 POLICY & PROCEDURE MANUAL SUBJECT: RECORDS RETENTION Approved by: OC San Board of Directors 1.0 INTRODUCTION 1.1 Records retention activities of the Records Management Program (the Program) control the maintenance and storage of Orange County Sanitation District (OC San) records. Following the retention procedures ensures compliance with pertinent statutory, regulatory, operating, and administrative recordkeeping requirements. In addition, it ensures that records needed to conduct OC San business are protected and accessible. The Records Retention Schedule (RRS) is the foundation of the Program and defines the period required to maintain OC San records. The RRS is included as Exhibit B to this Procedure. 1.2 Records Management Terms: Term Definition Records that are required for current day-to-day business and are subject to frequent use; generally located near the user (if Active hardcopy); can easily be accessible on a network server (if electronic); generally referred to more than once per month. A record that assists in the operation of the business, and ensures administrative consistency and continuity, serving a particular Administrative Value purpose for that office at that particular time. In appraisal, the usefulness of records for the conduct of current or future administrative business needs. The process of determining the value and thus the disposition of Appraisal records based on their current administrative, fiscal, and legal value; their evidential and informational value; their arrangement and condition; their intrinsic value; and their relationship to other records. Archival Records (also called Records identified as having archival value or potential archival Historical Records) value and designated as Historical on the OC San RRS. Review for acceptance of records relating to operations, policies and Audit procedures, financial documentation, and historical documents by regulating agencies. Closed / Completed A file or record on which action has been completed and to which an audit or further action is not likely to occur. A reproduction of the contents of an original document which is not the official file copy of the agency. Copies are usually identified by Copy (also called Duplicate) their function, i.e., action copy, reading file copy, tickler file copy, etc. In most instances, copies will have a shorter retention than the official file copy (see Official Copy) of a Record Type. Records Retention 1 Adopted 12/14/2023 OC SAN 23-21-18 Procedure Number: 4.0 Orange County Sanitation District 1SAN Effective Date: 12/14/2023 RECORDS MANAGEMENT Supersedes: 03/22/2023 POLICY & PROCEDURE MANUAL SUBJECT: RECORDS RETENTION Approved by: OC San Board of Directors When specified as the "minimum retention period" means that Current superseded, rescinded, expired, or no longer useful records may be removed from the files and may be destroyed. The predetermined action taken with regard to records including Disposition form of retention (hard copy or image), period of time retained (archive or destroy), where to store (on -site or off -site), and method of destruction (recycle, burn, or shred). A document that is a copy of the original or official version of a Duplicate record. A duplicate may be a paper version or an electronic version of the official record. Evidential Value In appraisal, the value of a record that documents the activities of an In or agency. File Integrity Accuracy and completeness of the file or records. Documents and accounts for receipt of or expenditure of public funds such as budget, ledgers of accounts receivable and payable, Fiscal Value payrolls, and vouchers. Documents availability of funds for operational purposes. In appraisal, records required until a financial laudit is completed, or financial obligations are fulfilled. FIn appraisal, the value attributed to a record which preserves Historical Value documentation on significant historical events including the agency's operations, origin, policies, authorities, functions, and organizations, as well as significant administrative decisions. Legal Value In appraisal, value attributed to records which document business In agreements, and transactions. Life rhteretention period assigned to a record that has continuing value e organization throughout its existence. The least amount of time a record must be kept determined by Minimum Retention Period assessment of administrative, legal, fiscal, and historical values. Office of Record The Department/Division that created or is responsible for retaining the official copy until it is dispositioned. (Official Copy (The original or official copy of a record maintained by the Office of Record. Any documentary material, regardless of physical form or characteristic, made or received by an organization in pursuance of Record law or in connection with the transaction of business and used by that organization as evidence of activities or because of informational value. Records Retention 2 Adopted 12/14/2023 OC SAN 23-21-19 Procedure Number: 4.0 Orange County Sanitation District Effective Date: 12/14/2023 RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Supersedes: 03/22/2023 SUBJECT: RECORDS RETENTION Approved by: OC San Board of Directors Records Retrieval ILocating records and delivering them for use. Retention Period The period of time that records must be kept according to legal or organizational requirements. A list describing the Record Type, the length of time records are Retention Schedule retained (may include active and inactive storage detail), the Office of Record, and the final disposition. Sup eser de IThe replacement of an existing document. Designates the end of a specific term, e.g., appointed or elected Termination official's terms; employment; training, course, program; use or ownership. Documents retained for a short time having no long-term (Transitory Records administrative, fiscal, legal, or archival value. These records are kept for a very short time and are not necessary to document the completion of a business transaction. Those records containing information necessary to continue the Vital Records operation of government, affirm the powers and duties of government, and to protect the rights and interest of persons. 1.3 Retention Length Codes: The RRS provides information to guide the organization in maintenance of business records. Some retention periods are assigned a number representing the length of time (stated in years) for which the records must be maintained and accessible (retrievable). Others are based on the occurrence of an event or a transaction, or a combination of both. The following table describes the meaning of each event as it pertains to records retention and disposition. Event Code Event Definition Closed or Maintain records until the transaction or the terms of the activity, the CL Completed project, assignment, contract, etc. is closed or completed. Then destroy in accordance with procedures. Current Year Imaintain records for the transaction, activity, project, assignment, Cu (Calendar or contract, etc. for the current year. Then destroy in accordance with Fiscal, As procedures. Current year may be defined as calendar year or fiscal ` Appropriate) 1year, whichever is most appropriate for the specific record(s). I EX Expired Maintain records until the term, period, permit, or license is expired. �Then destroy in accordance with procedures. LO Life of IMaintain records for the "life" of the organization, facility, project, LF Organization or physical plant or building, a building system or sub -system, asset, piece Records Retention 3 Adopted 12/14/2023 OC SAN 23-21-20 Procedure Number: 4.0 Orange County Sanitation District Effective Date: 12/14/2023 ASAN RECORDS MANAGEMENT Supersedes: 03/22/2023 POLICY & PROCEDURE MANUAL SUBJECT: RECORDS RETENTION Approved by: OC San Board of Directors Facility of equipment, or component. These records are not eligible for destruction. NN When No rMaintain records until they are no longer needed for any business FLonger Needed (purposes. Then destroy in accordance with procedures. Maintain records until they are representative of equipment, information, OB Obsolete materials, data, etc. that is no longer in use and/or relevant. Then Idestroy in accordance with procedures. S Superseded Maintain records until record is superseded or made obsolete by a ,newer version or edition. Then destroy in accordance with procedures. Ma intain records until activity is concluded or employee is terminated, T Terminated retires, or otherwise leaves the employ of the organization. Then destroy in accordance with procedures. I Code u H 1.4 Special Storage Consideration Codes: Some retention periods are assigned a "characteristic" to identify any special handling required for documents classified in that records series. The following table describes the meaning of each "characteristic" as ii pertains to records retention and disposition. Characteristics i Definition Vital Records are required to be available in the event of an emergency or major interruption to normal business operations to continue to provide safe treatment of wastewater during the event. Vital Records may protect OC San's rights and interests; and ensure that it can Vital continue to effectively protect the environment, the public, and meet its obligation to its employees. Identifying records as "vital records" ensures that they are handled in a manner that protects them and makes them readily accessible during the time period that the information is vital. This characteristic does not affect the length of the retention period. Historical Records potentially have historical significance. Records may document the formation of OC San, annexations, consolidation, major projects, and strategic direction. Historical Records may have intrinsic value due to their age, author, or special nature. Identifying records as Historical "historical records" ensures that they are handled in a manner that protects them and preserves them for long-term storage and research purposes. This characteristic may affect the length of the retention period as historical records are usually maintained for the life of OC San. Records Retention 4 Adopted 12/14/2023 OC SAN 23-21-21 Procedure Number: 4.0 Orange County Sanitation District Effective Date: 12/14/2023 RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Supersedes: 03/22/2023 SUBJECT: RECORDS RETENTION Approved by: OC San Board of Directors 2.0 3.0 Confidential Confidential Records contain confidential, sensitive, or proprietary nformation that would be harmful to an employee or would harm OC San's business if accessed by unauthorized individuals. Confidential Records may be confidential throughout their useful life, or only during a portion of their useful life. Identifying records as "confidential records" insures that they are handled in a manner that protects them from unauthorized access. This characteristic does not affect the length of the retention period. RECORDS CLASSIFICATION 2.1 Records are classified into Records Series to facilitate assignment of retention times, legal citations, and the overall maintenance of OC San records. Exhibit C to this Procedure is a list of Records Series and the associated definitions of each. 2.2 Classifications contain like records grouped together based on similar business function, usage, and retention time. 2.3 A Records Series is comprised of similar or related record titles that have a similar business function (purpose), are normally used and filed as a unit, and are retained for a similar time period. RECORDS RETENTION SCHEDULE (RRS) MAINTENANCE 3.1 The RRS is a list of OC San records organized by Department/Division and Record Type/Records Series to which are assigned retention periods and other attributes. 3.2 Following the retention standards of the schedule ensures that OC San maintains appropriate records of OC San transactions and meets its legal obligations cost effectively by storing records as long as is operationally and legally required. The RRS shall be reviewed, evaluated, and updated periodically by the Clerk of the Board and/or designee, OC San Management, and General Counsel. 3.3 The retention periods assigned to each record series shall be maintained and updated, as needed, to meet changing business, legal, and regulatory requirements. Records Retention 5 Adopted 12/14/2023 OC SAN 23-21-22 Procedure Number: 4.0 Orange County Sanitation District Effective Date: 12/14/2023 1SAN RECORDS MANAGEMENT Supersedes: 03/22/2023 POLICY & PROCEDURE MANUAL SUBJECT: RECORDS RETENTION Approved by: OC San Board of Directors Resaonsibil Clerk of the Board and/or Coordinate the periodic update of the RRS and Designee Records Series With Definitions. Provide training on RRS use and maintenance. Department/Division Periodically (but not less than annually) review the Records Coordinator RRS associated with records in the Department/Division. • Match the RRS against records stored in the office, shop, field, and other storage locations. • Mark for deletion any records that are no longer maintained by the Department/Division. • Note any new records that are not represented. Include a description of the record, the business function, the operating record retention requirements, and special records characteristics (vital, historical, or confidential). Contact the Clerk of the Board for direction as to how to proceed. A Records Retention Schedule Change Request Form (Exhibit A) may be requested to identify any updates or changes requested. Clerk of the Board and/or* Review the RRS change request and determine Designee in which Records Series the record titles logically belong. • Create a new Record Series if the record title does not logically belong to an existing series. In cooperation with the requesting Department/Division, develop a definition for the Records Series. Records Retention 6 Adopted 12/14/2023 OC SAN 23-21-23 Procedure Number: 4.0 Orange County Sanitation District Effective Date: 12/14/2023 RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Supersedes: 03/22/2023 SUBJECT: RECORDS RETENTION Approved by: OC San Board of Directors • Assign to the new Record Series the applicable characteristics (if any): vital, historical, or confidential, as indicated by the Department/Division Records Coordinator. • Determine legal retention requirements by reviewing pertinent legal citations. • Provide direction to the Department/Division Records Coordinators for proper management of historical, vital, and confidential records. 4.1 The Department/Division Records Coordinator may request a change to the RRS at any time. 4.2 Examples of changes that may initiate a change to the RRS include: • Change in the assigned Office of Record due to reorganization. • Change in the characteristics associated with the records: vital, historical, or confidential. • Change in the retention event associated with the records, for example: closed, complete, expired, or superseded. • Change in the legal and administrative requirements. • New record types that are generated or used in performing business functions. • Change in the definition of the Records Series that applies to Department/Division records. • Contact the Assistant Clerk of the Board for any changes to the RRS. A Records Retention Schedule Change Request Form may be requested. The Clerk of the Board and/or designee will Records Retention 7 Adopted 12/14/2023 OC SAN 23-21-24 Procedure Number: 4.0 Orange County Sanitation District Effective Date: 12/14/2023 RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Supersedes: 03/22/2023 SUBJECT: RECORDS RETENTION Approved by: OC San Board of Directors secure all the required approvals to initiate the requested modification. • The Clerk of the Board and/or designee will communicate with the Department/Division Records Coordinator as to the outcome of the request, update the RRS, and distribute the updated RRS to all applicable parties (persons and web sites). 5.0 RECORDS PURGE 5.1 Eliminate records from active files and facilitate their timely destruction after all legal and business requirements have been met. 5.2 Only records that are useful in current business activities are retained, enabling timely retrieval of frequently used records. 5.3 Records with research or historical value are preserved in a controlled environment. 5.4 Records stored offsite are reviewed semi-annually and a list of retention expired records prepared by the Clerk of the Board and/or designee for each Department/Division. C:��)•1►/_T"IkVj:1:7=[916]N opt I:7_1z6'i;14:7_1►I11&1t07:7_[rl4 6.1 Inactive records are those records that have not met their required retention periods but are no longer current or frequently referenced. 6.2 Inactive files management standards are established by OC San to ensure that OC San records remain accessible and protected throughout the duration of their required retention periods. 6.3 Active files are periodically reviewed to identify those records that are inactive. 6.4 Inactive records that are identified during the review are purged from active file areas and processed for offsite storage. Records Retention 8 Adopted 12/14/2023 OC SAN 23-21-25 Procedure Number: 4.0 Orange County Sanitation District Effective Date: 12/14/2023 ASAN RECORDS MANAGEMENT Supersedes: 03/22/2023 POLICY & PROCEDURE MANUAL SUBJECT: RECORDS RETENTION Approved by: OC San Board of Directors 6.5 Systematic control of inactive records consists of: • Properly packing the records in records storage boxes obtained from the warehouse and properly labeling the boxes. • Preparing an index of the contents of the box using a Disposition Form. • Contacting the Clerk of the Board and/or designee for a barcode. • Follow the guidelines below when packing the records: • Each box shall only contain official inactive records. Non - records and duplicate records should not be transferred to offsite storage. They are destroyed in the active office area as appropriate. • Do not pack different Records Series in the same box. Records Series packed together should have the same destruction date. • Schedule the pick-up and transfer of the box(s) to offsite storage by contacting the Clerk of the Board and/or designee. 7.1 Transitory records can be purged from file storage equipment and destroyed as soon as their usefulness in the performance of business functions are met. 7.2 Do not send transitory records to offsite storage. 8.0 RETRIEVING BOXES FROM OFFSITE STORAGE 8.1 Inactive records may be retrieved from the offsite storage center at any time by contacting the Clerk of the Board and/or designee. 8.2 Records may be retrieved only by staff from the Department/Division designated as "owner" of the records. Records Retention 9 Adopted 12/14/2023 OC SAN 23-21-26 Procedure Number: 4.0 Orange County Sanitation District Effective Date: 12/14/2023 RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Supersedes: 03/22/2023 SUBJECT: RECORDS RETENTION Approved by: OC San Board of Directors 8.3 In the event that staff from a Department/Division other than the owner requires access to the records, the retrieval request shall be approved by the Clerk of the Board and/or designee and the Department/Division that owns the records. 8.4 Boxes retrieved from the offsite storage center shall be returned to the center with the same records and in the same order as when they were received. Records should not be removed, nor should additional records be added. Should records need to be added/removed, or the box content altered in any way, contact the Clerk of the Board and/or designee as to how best to proceed. Records Retention 10 Adopted 12/14/2023 OC SAN 23-21-27 Procedure 4.0 Records Retention Schedule Change Request Form Exhibit A OC SAN 23-21-28 ""llil SAN ORANGE COUNTY SANITATION DISTRICT Date Retention Number (If Applicable): Records Retention Schedule (RRS) Change Request Form Division Number: Record Series/Record Type, Including Description (If Applicable): Change Requested: ❑ Add ❑ Review ❑ Change ❑ Other (Describe): Delete Combine Description of Change Requested: Examples: Add: Need to Add a Record Series/Record Type for the retention of a certain type of record. Add a record to the Record Series/Record Type description. Add Media Type. Change: Need to Change the Retention Length of a certain Record Series/Record Type. Change Special Storage Consideration information. Delete: Delete a certain Retention Number; Delete a record in Record Series/Record Type description. Combine: Need to combine certain entries or information on the RRS. Review: Review the Retention Citations/Comments on a particular RRS entry. Requester's Name & Signature: Name (Print) Signature Date Authorization: Legal Counsel Name & Signature: Name (Print) Signature Records Management Name & Signature: Name (Print) Signature Date Date For completion by Records Management Date Action Taken: Action Taken (Describe): Date Revised RRS Distributed & Posted to SharePoint: OC SAN 23-21-29 Procedure 4.0 Records Retention Schedule Exhibit B OC SAN 23-21-30 Orange County Sanitation District DC6SAN Ion Codes etenon Codes ccP Code Code of Civil Procedure (CA) CL Closedd or Completed CCR California Code of Regulations Cu Current Year (Defined Where Used) ORANGE COUNTY SANITATION DISTRICT Records Retention Schedule CFR Code of Federal Regulations EX Expired or Expiration GC Government Code (California) LF Life of Facility, Equip. or Software General Retention Schedule Information H&S Health & Safety Code LO Life of Organization or Permanent IRS Internal Revenue Service NN When No Longer Needed ■ This Records Retention Schedule (RRS) pertains to any and all Official Records of OC San regardless of Media Type and is adopted in compliance with GC §60201 and additional specific citations as noted. ■ Public Records Act requests, litigation, audits, claims, and investigations may suspend the stated retention periods and notification of such will be made. As stated in OC San's Records Retention Policy, authorization and proper destruction methods are required prior to LC Labor Code (CA) OB ObsoletePC Penal Code (CA) S Superseded PRC Public Resources Code T ITerminated OMB Office of Management & Budget R&TC Revenue & Taxation Code destroying all Official Records, regardless of Media Type. When original records have reached their retention length, all copies and SOS Secretary of State Media I y es duplicates must be destroyed, along with the original, regardless of Media Type. USC United States Code CD JCD ■ Copies/duplicate records shall be determined as "duplicate" or "copy" in conjunction with Records Management. Upon determination by Record Management that a record is a duplicate or copy, OC San may destroy the duplicate record if the original or a permanent EL Electronic photographic record exists is in OC San's files (GC §60200). Special :Storage Consideration FD Flqqny Disk ■ Notes, preliminary drafts, and transitory records are not considered Official Records and may be destroyed without complying with OC San's RRS (SOS 2-1030). Such records may be destroyed when no longer needed for OC San business and do not require authorization for destruction. ■ Official Records cannot be discarded in trash bins. They must be submitted to Records Management for secure destruction. C Confidential P Paper H Historical TA Tapes V Vital Districtwide Retention Number Record Series /Record Type Retention Length (Years Unless Specified) Special Storage Consideration Media Type Retention Citations & Comments DW001 Published Articles Written/Contribution by OC San Staff LO SOS C-24, SOS C-40 Incorporates 2018 ESDO18 Historical Records: Business value for LO retention. Historical/Non- DWO02 Photos, Slides Used by O&M, Videos, Correspondence LO H Historical determination is made by the Department Director or Custodian of Records. Historical/Non-Historical determination is made by DWO03 Non -Historical Photos & Videos NN the Department Director or Custodian of Records Incorporates 2018 PA0003 Reference Files (Not Incorporated in Any Other RRS Record Type): GC §60201(d)(11); SOS C-23, SOS C-19 DW005 Equipment Manuals Not Included in DWO10, Process Workflows, Budget Planning Documents, Training Material, Standby Assignments/Storm watch, Department/Divison Policies & Procedures (If Not Specified S+5 EL, P Longerretention period required by SOS C-19 aplied to all records in this Record Type Elsewhere in the RRS) Incorporates 2018 CMD012 SOS C-24 DWO06 Speeches and Non -Marketing Related Presentations & Supporting Documents (Includes PowerPoints): Presentations Not Made at Board/Com mittee Meetings CU+2 H Some records may be kept for historical value Incorporates 2020 DWO04, 2018 PA0005, 2018 OMD013 CU = date of presentation This pertains to all correspondence not specifically DW007 General Correspondence: Email in Outlook Inbox & Sent Folders, Returned Proposition 218 Notifications (Returned Mail) CU+2 addressed or related to another Retention Number contained in the whole Records Retention Schedule CU = date of correspondence Districtwide Adopted: 12/14/2023 OC SAN 23-21-31 SAN Orange County Sanitation District Citation Codes Retention Codes CCP Code of Civil Procedure (CA) CL Closed or Completed ORANGE COUNTY SANITATION DISTRICT Records Retention Schedule CCR California Code of Regulations CU Current Year (Defined Where Used) CFR Code of Federal Regulations EX Expired or Expiration GC Government Code (California) LF Life of Facility, Equip. or Software General Retention Schedule Information H&S Health & Safety Code LO Life of Organization or Permanent IRS Internal Revenue Service NN When No Longer Needed ■ This Records Retention Schedule (RRS) pertains to any and all Official Records of OC San regardless of Media Type and is adopted in compliance with GC §60201 and additional specific citations as noted. ■ Public Records Act requests, litigation, audits, claims, and investigations may suspend the stated retention periods and notification of such will be made. As stated in OC San's Records Retention Policy, authorization and proper destruction methods are required prior to LC Labor Code (CA) OB JOEsolete PC Penal Code (CA) S Superseded PRC Public Resources Code T ITerminated OMB Office of Management & Budget R&TC Revenue & Taxation Code destroying all Official Records, regardless of Media Type. When original records have reached their retention length, all copies and SOS Secretary of State Media Types duplicates must be destroyed, along with the original, regardless of Media Type. USC United States Code CD JCD ■ Copies/duplicate records shall be determined as "duplicate" or "copy" in conjunction with Records Management. Upon determination by Record Management that a record is a duplicate or copy, OC San may destroy the duplicate record if the original or a permanent EL Electronic photographic record exists is in OC San's files (GC §60200). ■ Notes, preliminary drafts, and transitory records are not considered Official Records and may be destroyed without complying with OC San's RRS (SOS 2-1030). Such records may be destroyed when no longer needed for OC San business and do not require authorization far destruction. ■ Official Records cannot be discarded in trash bins. They must be submitted to Records Management for secure destruction. $ ecial tors a Consideration FD Floppy Disk C Confidential P Paper H lHistorical TA Tapes V Vital Districtwide Retention Number Record Series / Record Type yp Retention Length (Years Unless Specified) Special Storage Consideration Media Type Retention Citations & Comments DW008 Non -Records in Email Format in Outlook Deleted Folder 90 Days These records fail to meet the definition of a public record under Government Code §6252(e) Various Internal Meeting Minutes: SOS C-19 DW009 Includes Minutes Not Otherwise Indicated Herein, Including Executive Management Team (EMT) Meeting CU+2 EMT Meeting Minutes previously 2020 GMO017 Minutes, Managers Meeting Minutes, Administrative Support Meeting Minutes CU = calendar year GC §60201 (d)(1 1); SOS C-23, SOS C-19 DWO10 Facility & Collection System Equipment Manuals and Related Reference Files LO EL, P Separating these records from DWO05 as business practice is that they are kept LO DWO11 Purchaser/Card Holder Receipts for Purchases Made Using OC San Procurement Card (Credit Card) CU + 3 EL, P SOS C-29, SOS C-30 CU = statement date Districtwide Adopted: 12/14/2023 OC SAN 23-21-32 Citation Codes Retention Codes Orange County Sanitation District CCP Code of Civil Procedure (CA) CL Closed or Completed �,��� ORANGE COUNTY SANITATION DISTRICT Records Retention Schedule CCR California Code of Regulations CU Current Year (Defined Where Used) CFR Code of Federal Regulations EX Expired or Expiration GC Government Code (California) LF Life of Facility, Equip. or Software General Retention Schedule Information H&S Health & Safety Code LO Life of Organization or Permanent IRS Internal Revenue Service NN When No Longer Needed ■ This Records Retention Schedule (RRS) pertains to any and all Official Records of OC San regardless of Media Type and is adopted in compliance with GC §60201 and additional specific citations as noted. ■ Public Records Act requests, litigation, audits, claims, and investigations may suspend the stated retention periods and notification of such will be made. As stated in OC San's Records Retention Policy, authorization and proper destruction methods are required prior to LC Labor Code (CA) OB Obsolete PC Penal Code (CA) S Superseded PRC Public Resources Code T ITerminated OMB Office of Management & Budget R&TC Revenue & Taxation Code destroying all Official Records, regardless of Media Type. When original records have reached their retention length, all copies and SOS Secretary of State Media Types duplicates must be destroyed, along with the original, regardless of Media Type. USC United States Code CD JCD ■ Copies/duplicate records shall be determined as "duplicate" or "copy" in conjunction with Records Management. Upon determination by Record Management that a record is a duplicate or copy, OC San may destroy the duplicate record if the original or a permanent EL Electronic photographic record exists is in OC San's files (GC §60200). ■ Notes, preliminary drafts, and transitory records are not considered Official Records and may be destroyed without complying with OC San's RRS (SOS 2-1030). Such records may be destroyed when no longer needed for OC San business and do not require authorization far destruction. ■ Official Records cannot be discarded in trash bins. They must be submitted to Records Management for secure destruction. $ ecial tors a Consideration FD Floppy Disk C Confidential P Paper H IV Historical TA Tapes Vital Board Services Retention Number Record Series / Record Type yp Retention Length (Years Unless Specified) Special Storage Consideration Media Type Retention Citations & Comments GC §54960. 1 (c)(1); SOS C-22, SOS C-23 BSDO01 Affidavits of Publications Notices LO EL, P Required retention is CU+2; business value for LO retention BSDO02 Board and Committee Meeting Agenda Packets and Meeting -Related Materials: Agenda, Agenda Reports & Attachments, Presentations, GM Monthly Report LO EL, P SOS C-22 Agreements & Contracts, Political & Outside Jurisdictions/Agencies: BSDO03 Cooperative Agreements, JPAs (Joint Powers Authorities), JFAs (Joint Finance Authorities), Interagency, LO V EL, P GC §60201(d)(1), GC §60201(d)(9) Reimbursement Agreements BSDO04 Annexation Files LO V EL, P GC §60201(d)(1); SOS C-28 BSDO05 Bids - Awarded (Board Reviewed) LO EL, P GC §60201(d)(6); SOS C-30 GC §60201 (d)(1 1); SOS C-30 Includes unsuccessful and rejected bids. For BSDO06 Bids - Unaccepted (Board Approved) CU+2 EL, P rejected bids, includes bid documentation (plans, specs, etc.). CU = calendar year BSDO07 Board Administration Files: Loyalty Oaths, Election Records, Directors Lists, Contact Information T+10 EL, P PC §801.5 22, SOS C-18, 29 USC §1113 Board Services Adopted: 12/14/2023 OC SAN 23-21-33 Citation Codes Retention Codes Orange County Sanitation District CCP Code of Civil Procedure (CA) CL Closed or Completed OC6SAN ORANGE COUNTY SANITATION DISTRICT Records Retention Schedule CCR California Code of Regulations CU Current Year (Defined Where Used) CFR Code of Federal Regulations EX Expired or Expiration GC Government Code (California) LF Life of Facility, Equip. or Software General Retention Schedule Information H&S Health & Safety Code LO Life of Organization or Permanent IRS Internal Revenue Service NN When No Longer Needed ■ This Records Retention Schedule (RRS) pertains to any and all Official Records of OC San regardless of Media Type and is adopted in compliance with GC §60201 and additional specific citations as noted. ■ Public Records Act requests, litigation, audits, claims, and investigations may suspend the stated retention periods and notification of such will be made. As stated in OC San's Records Retention Policy, authorization and proper destruction methods are required prior to LC Labor Code (CA) OB Obso letePC Penal Code (CA) S Superseded PRC Public Resources Code T ITerminated OMB Office of Management & Budget R&TC Revenue & Taxation Code destroying all Official Records, regardless of Media Type. When original records have reached their retention length, all copies and SOS Secretary of State Media Types duplicates must be destroyed, along with the original, regardless of Media Type. USC United States Code CD CD ■ Copies/duplicate records shall be determined as "duplicate" or "copy" in conjunction with Records Management. Upon determination by Record Management that a record is a duplicate or copy, OC San may destroy the duplicate record if the original or a permanent EL Electronic photographic record exists is in OC San's files (GC §60200). ■ Notes, preliminary drafts, and transitory records are not considered Official Records and may be destroyed without complying with OC San's RRS (SOS 2-1030). Such records may be destroyed when no longer needed for OC San business and do not require authorization for destruction. ■ Official Records cannot be discarded in trash bins. They must be submitted to Records Management for secure destruction. $ ecial tore a Consideration FD Floppy Disk C Confidential P Paper H Historical TA Tapes V Vital Board Services Retention Number Record Series / Record T Type Retention Length (Years unless Specified) Special Storage Consideration Media Type Retention Citations & Comments BSDO08 Conflict of Interest (FPPC Filings) T+7 EL, P GC §81009(e), SOS C-18 Purchasing, Contracts & Agreement Files - Capital Improvement Projects (CIP) & Non-CIP - Committee or Board Approved: BSDO09 Includes Authorization Documents; Change Orders; Amendments; Notices; Published Invitation for Bid (IFB) Documents, including Specifications & Drawings, Solicitation Addenda and Bulletins Issued; Notices LO V EL, P CCP §33733a; H&S §19850, SOS C-22, SOS C-27, SOS C-30 of Intent to Award; Notices of Award; Notices to Proceed; Notices of Completion; Property & Other Lease Agreements; Purchase Order and Requisition Files BSD011 Ethics Training: Sexual Harassment Board Only, Ethics Training Board & Employee EX+5 EL, P GC §53235.2(b) BSDO12 Formation Files LO V EL, P GC §60201(d)(1) Land Records: GC §60201(d)(8) BSDO13 Easements, Grant Deeds, Quit Claim Deeds, Abandonments, Condemnations, Real Estate Purchase & LO V EL, P Incorporates 2015 ENG010, 2015 ENG013, 2018 Sale, Property Agreements, Encroachment Permits ENG026 BSDO14 Legal Opinions LO EL, P SOS C-23; GC §6254 40 CFR §122.410)(2), 40 CFR §403.12(o); SOS C- BSD015 Litigation Files CL+2 EL, P 45 CU = date of record Board Services Adopted: 12/14/2023 OC SAN 23-21-34 Citation Codes Retention Codes Orange County Sanitation District CCP Code of Civil Procedure (CA) CL Closed or Completed �,��� CCR California Code of Regulations CU Current Year (Defined Where Used) Records Retention Schedule CFR Code of Federal Regulations EX Expired or Expiration ORANGE COUNTY SANITATION DISTRICT GC Government Code (California) LF Life of Facility, Equip. or Software General Retention Schedule Information H&S Health & Safety Code LO Life of Organization or Permanent IRS Internal Revenue Service NN When No Longer Needed LC Labor Code (CA) OB Obsolete ■ This Records Retention Schedule (RRS) pertains to any and all Official Records of OC San regardless of Media Type and is adopted in PC Penal Code (CA) S Superseded compliance with GC §60201 and additional specific citations as noted. PRC Public Resources Code T ITerminated ■ Public Records Act requests, litigation, audits, claims, and investigations may suspend the stated retention periods and notification of OMB Office of Management & Budget such will be made. As stated in OC San's Records Retention Policy, authorization and proper destruction methods are required prior to R&TC Revenue & Taxation Code destroying all Official Records, regardless of Media Type. When original records have reached their retention length, all copies and SOS Secretary of State Media Types duplicates must be destroyed, along with the original, regardless of Media Type. USC United States Code CD JCD ■ Copies/duplicate records shall be determined as "duplicate" or "copy" in conjunction with Records Management. Upon determination by Record Management that a record is a duplicate or copy, OC San may destroy the duplicate record if the original or a permanent EL Electronic photographic record exists is in OC San's files (GC §60200). $ ecial tors a Consideration FD Floppy Disk ■ Notes, preliminary drafts, and transitory records are not considered Official Records and may be destroyed without complying with OC C Confidential P Paper San's RRS (SOS 2-1030). Such records may be destroyed when no longer needed for OC San business and do not require authorization far H IV Historical TA Tapes destruction. Vital ■ Official Records cannot be discarded in trash bins. They must be submitted to Records Management for secure destruction. Board Services Retention Special Retention Record Series / Record Type yp Length Storage Media Type Retention Citations & Number (Years Unless Consideration Comments Specified) BSDO16 Meeting Minutes: LO V EL, P GC §60201(d)(3) Board & Board Committees BSDO17 Ordinances LO V EL, P GC §60201(d)(2) BSDO18 Recorded Project Documents: LO EL, P GC §60201(d)(8); SOS C-26 Notices of Completion, Easements, Deeds, etc. BSDO19 Resolutions LO V EL, P GC §60201(d)(2) Tapes & Digital Recordings (Audio & Video): GC §54953.5(b) BSD020 Board or Committee Meetings LO EL Minimum retention 30 days or until adoption of the minutes per Brown Act. Director Communications: PC 801.5 22; 29 USC §1113 BSD021 General Board Correspondence CU+3 EL, P Incorporates 2015 BSDO10 CU = calendar year BSD023 Public Records Act Requests CL+2 EL, P GC §60201(d)(5); SOS C-23 Board Services Adopted: 12/14/2023 OC SAN 23-21-35 Citation Codes Retention Codes Orange County Sanitation District CCP Code of Civil Procedure (CA) CL Closed or Completed �,��� ORANGE COUNTY SANITATION DISTRICT Records Retention Schedule CCR California Code of Regulations CU Current Year (Defined Where Used) CFR Code of Federal Regulations EX Expired or Expiration GC Government Code (California) LF Life of Facility, Equip. or Software General Retention Schedule Information H&S Health & Safety Code LO Life of Organization or Permanent IRS Internal Revenue Service NN When No Longer Needed ■ This Records Retention Schedule (RRS) pertains to any and all Official Records of OC San regardless of Media Type and is adopted in compliance with GC §60201 and additional specific citations as noted. ■ Public Records Act requests, litigation, audits, claims, and investigations may suspend the stated retention periods and notification of such will be made. As stated in OC San's Records Retention Policy, authorization and proper destruction methods are required prior to LC Labor Code (CA) OB Obsolete PC Penal Code (CA) S Superseded PRC Public Resources Code T ITerminated OMB Office of Management & Budget R&TC Revenue & Taxation Code destroying all Official Records, regardless of Media Type. When original records have reached their retention length, all copies and SOS Secretary of State Media Types duplicates must be destroyed, along with the original, regardless of Media Type. USC United States Code CD JCD ■ Copies/duplicate records shall be determined as "duplicate" or "copy" in conjunction with Records Management. Upon determination by Record Management that a record is a duplicate or copy, OC San may destroy the duplicate record if the original or a permanent EL Electronic photographic record exists is in OC San's files (GC §60200). ■ Notes, preliminary drafts, and transitory records are not considered Official Records and may be destroyed without complying with OC San's RRS (SOS 2-1030). Such records may be destroyed when no longer needed for OC San business and do not require authorization far destruction. ■ Official Records cannot be discarded in trash bins. They must be submitted to Records Management for secure destruction. $ ecial tors a Consideration FD Floppy Disk C Confidential P Paper H IV Historical TA Tapes Vital Board Services Retention Number Record Series / Record Type yp Retention Length (Years Unless Specified) Special Storage Consideration Media Type Retention Citations & Comments BSD024 Grand Jury Reports/Responses LO EL, P CCP §343; SOS C-23 BSD025 Records Retention Schedules LO EL, P Schedules are superseded when updated Incorporates 2018 ITDO22 BSD026 Records Destruction Records: Approvals, Certificates, Requests LO EL, P SOS C-23 Incorporates 2018 ITDO19 BSD027 Records Management Annual Audits: Inventory, Storage, Destruction S+3 EL, P SOS C-23 Incorporates 2018 ITDO20 Required retention is the same as BSD023 (CL+2); BSD028 Public Records Act Requests Log LO H EL, P business value in LO retention; no additional, specific citations BSD029 OC San Declarations of Emergency Log & Related Back Up Documentation LO H EL Board Services Adopted: 12/14/2023 OC SAN 23-21-36 Orange County Sanitation District on Codes Retention Codes CCP Code Code of Civil Procedure CA CL Closeddor Completed 6CCR SAN ORANGE COUNTY SANITATION DISTRICT Records Retention Schedule California Code of Regulations CU Current Year (Defined Where Used) CFR Code of Federal Regulations EX Expired or Expiration GC Government Code (California) LF Life of Facility, Equip. or Software General Retention Schedule Information H&S Health & Safety Code LO Life of Organization or Permanent IRS Internal Revenue Service NN When No Longer Needed LC Labor Code (CA) OB Obsolete ■ This Records Retention Schedule (RRS) pertains to any and all Official Records of OC San regardless of Media Type and is adopted in compliance with GC §60201 and additional specific citations as noted. ■ Public Records Act requests, litigation, audits, claims, and investigations may suspend the stated retention periods and notification of such will be made. As stated in OC San's Records Retention Policy, authorization and proper destruction methods are required prior to destroying all Official Records, regardless of Media Type. When original records have reached their retention length, all copies and duplicates must be destroyed, along with the original, regardless of Media Type. PC Penal Code (CA) S ISuperseded PRC Public Resources Code T Terminated OMB Office of Management & Budget R&TC Revenue & Taxation Code SOS Secretary of State Media Types USC United States Code CD CD ■ Copies/duplicate records shall be determined as "duplicate" or "copy" in conjunction with Records Management. Upon determination by Record Management that a record is a duplicate or copy, OC San may destroy the duplicate record if the original or a permanent EL Electronic photographic record exists is in OC San's files (GC §60200). ■ Notes, preliminary drafts, and transitory records are not considered Official Records and maybe destroyed without complying with OC San's RRS (SOS 2-1030). Such records may be destroyed when no longer needed for OC San business and do not require authorization for destruction. ■ Official Records cannot be discarded in trash bins. They must be submitted to Records Management for secure destruction. ecla tors a onsideration FD Floppy Disk C Confidential P Paper H Historical TA Tapes V Vital Contracts, Purchasing, and Materials Management Retention Number Record Series / Record Type yp Retention Length (Years Unless Specified) Special Storage Consideration Media Type Retention Citations & Comments Purchasing, Contracts & Agreement Files - Capital Improvement Projects (CIP) - Not Committee or Board Approved: Includes Insurance Certificates; Authorization Documents; Change Orders; Amendments; Notices; Pre - Award Bid/Proposal Package; Bid/Proposal Evaluation Materials; Protest Documents; Project Documents; Published Invitation for Bid (IFB) Documents, including Specifications & Drawings, Addenda CCP §335; GC §4000; H&S §19850; SOS C-22, and Bulletins Issued, Bid Requirements Form, Question & Answer Logs, Outreach Materials, Evaluator SOS C-27, SOS C-30 CPM001 Certifications, Responsiveness & Responsibility Review Documents (Safety, Finance, Experience LO CD, EL, P Incorporates 2018 CPM004, 2018 CPM011, 2018 Requirements), Clarification Requests & Responses, and Bid/Proposal Evaluation Memorandum; Notice CPM012, 2018 CPM013, 2018 CPM014, 2018 of Award Recommendations; Protest and Associated Documents; Determination on Protests; Appeals; CPM015, 2018 CPM017, 2018 CPM018 Determination of Appeals; Preliminary Notices; Stop Notices; Notices of Completion; Property & Other Lease Agreements; Purchase Order and Requisition Files For Purchasing, Contracts & Agreement Files that are Committee or Board approved, please see BSDO09 Purchasing, Contracts & Agreement Files - Non-CIP Projects - Not Committee or Board Approved: Includes Insurance Certificates; Authorization Documents; Change Orders; Amendments; Notices; Pre - Award Bid/Proposal Packages; Bid/Proposal Evaluation Materials; Protest Documents; Project Documents; Published Invitation for Bid (IFB) Documents, including Specifications & Drawings, Addenda and Bulletins Issued, Bid Requirements Form, Question & Answer Logs, Outreach Materials, Evaluator CCP §337; SOS C-22, SOS C-30 CPM002 Certifications, Responsiveness & Responsibility Review Documents (Safety, Finance, Experience Requirements), Clarification Requests & Responses, and Bid/Proposal Evaluation Memorandum; Notice CL+7 CD, EL, P Incorporates 2018 CPM004, 2018 CPM011, 2018 CPM012, 2018 CPM013, 2018 CPM014, 2018 of Award Recommendations; Protest and Associated Documents; Determination on Protests; Appeals; CPM016, 2018 CPM017, 2018 CPM018 Determination of Appeals; Preliminary Notices; Stop Notices; Notices of Completion; Property & Other Lease Agreements; Purchase Order and Requisition Files For Purchasing, Contracts & Agreement Files that are Committee or Board approved, please see BSDO09 Contracts, Purchasing and Materials Management Adopted: 12/14/2023 OC SAN 23-21-37 on Codes Retention Codes Orange County Sanitation District CCP Code of Civil Procedure CA Code CL Closeddor Completed 6CCR SAN California Code of Regulations Cu Current Year (Defined Where Used) Records Retention Schedule CFR Code of Federal Regulations EX Expired or Expiration ORANGE COUNTY SANITATION DISTRICT GC Government Code (California) LF Life of Facility, Equip. or Software General Retention Schedule Information H&S Health & Safety Code LO Life of Organization or Permanent IRS Internal Revenue Service NN When No Longer Needed LC Labor Code (CA) OB Obsolete ■ This Records Retention Schedule (RRS) pertains to any and all Official Records of OC San regardless of Media Type and is adopted in PC Penal Code (CA) S ISupersecled compliance with GC §60201 and additional specific citations as noted. PRC Public Resources Code T Terminated ■ Public Records Act requests, litigation, audits, claims, and investigations may suspend the stated retention periods and notification of OMB Office of Management & Budget such will be made. As stated in OC San's Records Retention Policy, authorization and proper destruction methods are required prior to R&TC Revenue & Taxation Code destroying all Official Records, regardless of Media Type. When original records have reached their retention length, all copies and SOS Secretary of State Media Types duplicates must be destroyed, along with the original, regardless of Media Type. USC United States Cade CD CD ■ Copies/duplicate records shall be determined as "duplicate" or "copy" in conjunction with Records Management. Upon determination by Record Management that a record is a duplicate or copy, OC San may destroy the duplicate record if the original or a permanent EL Electronic photographic record exists is in OC San's files (GC §60200). ecla tors a onsideraton FD Floppy Disk ■ Notes, preliminary drafts, and transitory records are not considered Official Records and may be destroyed without complying with OC C Confidential P Paper San's RRS (SOS 2-1030). Such records may be destroyed when no longer needed for OC San business and do not require authorization for H Historical TA Tapes destruction. V Vital ■ Official Records cannot be discarded in trash bins. They must be submitted to Records Management for secure destruction. Contracts, Purchasing, and Materials Management Retention Special Retention Record Series / Record Type yp Length Storage Media Type Retention Citations & Number (Years Unless Consideration Comments Specified) CCP §337.15 Unsuccessful Escrow Bid Documents are returned to Contractorafter Contract is awarded. The Escrow Bid Documents for the Awarded Contractor CPM003 Escrow Bid Documents LF C, V are returned at the end of the life of the facility (business preference to retain these documents longer than required by §CCP 337.15, which indicates CL+10). OC San acts as a temporary custodian of the documents, which remain the property of the bidders. Purchase Order & Requisition Files (Not included in BSD009, CPM001 & CPM002): CCP §337; GC §60201(d)(9) & (10); SOS C-30 CPM005 Open Annual (OA), Open Blanket (OB), Open Purchase (OP), Open Service (OS), Requisitions in JDE,— CL+5 EL, P Incorporates 2018 CPM006 Procurement Card Purchases Warehouse and Materials Management Records: CCP §337; SOS C-29, SOS C-30 CPM008 Discrepancies, Add To Stores, Receivers, Return To Vendors (RTV), Shipping Records, Inventories, CL+4 EL Incorporates 2018 CPM007 Disposal of Surplus Assets Procurement Card Documentation: SOS C-29, SOS C-30 CPM009 Reconciliation (Receipts/Activity in Chase Portal), Reports, Agreements, Correspondence CU+3 EL, P CU = statement date CPM019 Certificates of Insurance LO H, V EL, P SOS C-24 Incorporates 2018 CPM014 Contracts, Purchasing and Materials Management Adopted: 12/14/2023 OC SAN 23-21-38 Orange County Sanitation District on Codes Retention Codes CCP Code Code of Civil Procedure CA CL Closeddor Completed 6CCR SAN ORANGE COUNTY SANITATION DISTRICT Records Retention Schedule California Code of Regulations CU Current Year (Defined Where Used) CFR Code of Federal Regulations EX Expired or Expiration GC Government Code (California) LF Life of Facility, Equip. or Software General Retention Schedule Information H&S Health & Safety Code LO Life of Organization or Permanent IRS Internal Revenue Service NN When No Longer Needed LC Labor Code (CA) OB JObsolete ■ This Records Retention Schedule (RRS) pertains to any and all Official Records of OC San regardless of Media Type and is adopted in compliance with GC §60201 and additional specific citations as noted. ■ Public Records Act requests, litigation, audits, claims, and investigations may suspend the stated retention periods and notification of such will be made. As stated in OC San's Records Retention Policy, authorization and proper destruction methods are required prior to destroying all Official Records, regardless of Media Type. When original records have reached their retention length, all copies and duplicates must be destroyed, along with the original, regardless of Media Type. PC Penal Code (CA) S ISupersecled PRC Public Resources Code T Terminated OMB Office of Management & Budget R&TC Revenue & Taxation Code SOS Secretary of State Media Types USC United States Cade CD CD ■ Copies/duplicate records shall be determined as "duplicate" or "copy" in conjunction with Records Management. Upon determination by Record Management that a record is a duplicate or copy, OC San may destroy the duplicate record if the original or a permanent EL Electronic photographic record exists is in OC San's files (GC §60200). ■ Notes, preliminary drafts, and transitory records are not considered Official Records and may be destroyed without complying with OC San's RRS (SOS 2-1030). Such records may be destroyed when no longer needed for OC San business and do not require authorization for destruction. ■ Official Records cannot be discarded in trash bins. They must be submitted to Records Management for secure destruction. ecla tors a onsideraton FD Floppy Disk C Confidential P Paper H Historical TA Tapes V Vital Contracts, Purchasing, and Materials Management Retention Number Record Series /Record Type Retention Length (Years Unless Specified) Special Storage Consideration Media Type Retention Citations & Comments Purchasing & Contracts Support Documents - CIP & Non-CIP - Committee or Board Approved: Includes Pre -Award Bid/Proposal Packages; Bid/Proposal Evaluation Materials; Project Documents; Bid CCP §337, CCP §337.15; SOS C-22, SOS C-30 Requirements Forms; Question & Answer Logs; Outreach Materials; Evaluator Certifications; Incorporates 2018 CPM004, 2018 CP1114010, 2018 CPM020 Responsiveness & Responsibility Review Documents (Safety, Finance, Experience Requirements), LID H EL, P CPM011, 2018 CPM012, 2018 CPM013, 2018 Clarification Requests and Responses; Bid/Proposal Evaluation Memorandum; Notice of Award CPM014, 2018 CPM015, 2018 CPM016, 2018 Recommendations; Protest and Associated Documents, Determination of Protests; Appeals; CPM017, 2018 CPM018 Determination of Appeals; Preliminary Notices; Stop Notices GC §60201(d)(11); SOS C-30 CPM021 Bids - Unaccepted (NOT Committee or Board Approved) CU+2 EL, P Includes unsuccessful and rejected bids CU = calendar year Contracts, Purchasing and Materials Management Adapted: 12/14/2023 OC SAN 23-21-39 Citation Codes Retention Codes Orange County Sanitation District nC6SA-K' CCP Code of Civil Procedure (CA) CL Closed or Completed CCR California Code of Regulations Cu Current Year (Defined Where Used) ORANGE COUNTY SANITATION DISTRICT Records Retention Schedule CFR Code of Federal Regulations EX Expired or Expiration GC Government Code (California) LF Life of Facility, Equip. or Software General Retention Schedule Information H&S Health & Safety Code LO Life of Organization or Permanent IRS Internal Revenue Service NN When No Longer Needed LC Labor Code (CA) OB Obso late ■ This Records Retention Schedule (RRS) pertains to any and all Official Records of OC San regardless of Media Type and is adopted in PC Penal Code (CA) S Superseded compliance with GC §60201 and additional specific citations as noted. PRC Public Resources Code T Terminated ■ Public Records Act requests, litigation, audits, claims, and investigations may suspend the stated retention periods and notification of OMB Office of Management & Budget such will be made. As stated in OC San's Records Retention Policy, authorization and proper destruction methods are required prior to R&TC Revenue & Taxation Code destroying all Official Records, regardless of Media Type. When original records have reached their retention length, all copies and SOS Secretary of State Media Types duplicates must be destroyed, along with the original, regardless of Media Type. USC United States Code CD CD ■ Copies/duplicate records shall be determined as "duplicate" or "copy" in conjunction with Records Management. Upon determination by Record Management that a record is a duplicate or copy, OC San may destroy the duplicate record if the original or a permanent EL Electronic photographic record exists is in OC San's files (GC §60200). Special Storage Consideration FD Floppy Disk ■ Notes, preliminary drafts, and transitory records are not considered Official Records and may be destroyed without complying with OC C I Confidential P Paper San's RRS (SOS 2-1030). Such records may be destroyed when no longer needed for OC San business and do not require authorization far H Historical TA Tapes destruction. VI Vital ■ Official Records cannot be discarded in trash bins. They must be submitted to Records Management for secure destruction. Engineering Retention Special Retention Record Series / Record Type Yp Length Storage Media Type Retention Citations / Comments Number (Years Unless Consideration Specified) CEQA Documents Prepared for District Purposes: 14 CCR §15062, 14 CCR §15075, 14 CCR §15094, Includes Environmental Impact Report Documents (Draft & Final), Negative Declarations, Notices of 14 CCR §15095(c), 14 CCR §15112, 14 CCR ENG005 Completion and Determination, Comments on Environmental Documents, Statements of Overriding LO §15208; GC §60201(d)(10); SOS C-27 Considerations, Technical Studies, Initial Studies, Mitigation and Monitoring Reports, Environmental Incorporates 2018 ENG022 Assessments, Notices of Preparation, Mitigated Negative Declarations, Notices of Exemption SOS C-26, SOS C-44 Engineering Drawing: Conformed Set Drawings are superseded by ENG007 Conformed Set Drawings S V Record Drawings & retained pursuant to ENG008; if no drawings are issued, the Conformed Set is kept for Life of Organization Incorporates 2018 ENG021 ENG008 Engineering Drawing: LO V SOS C-26, SOS C-44 Record Drawings Incorporates 2018 ENG021, 2020 ENG031 ENG009 Drawings - Shop & Construction Contract Submittals (Permanent Assets) LO V Incorporates 2020 ENG032, 2015 ENG011 Engineering Adopted: 12/14/2023 OC SAN 23-21-40 Orange County Sanitation District nation Codes Retention Codes CCP Code of Civil Procedure (CA) CL Closed or Completed X6SAN CCR California Code of Regulations CU Current Year (Defined Where Used) ORANGE COUNTY SANITATION DISTRICT Records Retention Schedule CFR Code of Federal Regulations EX Expired or Expiration GC Government Code (California) LF Life of Facility, Equip. or Software General Retention Schedule Information H&S Health & Safety Code LO Life of Organization or Permanent IRS Internal Revenue Service NN When No Longer Needed LC Labor Code (CA) OB JObsolete, ■ This Records Retention Schedule (RRS) pertains to any and all Official Records of OC San regardless of Media Type and is adopted in PC Penal Code (CA) S ISuperseded compliance with GC §60201 and additional specific citations as noted. PRC Public Resources Code T ITerminated ■ Public Records Act requests, litigation, audits, claims, and investigations may suspend the stated retention periods and notification of OMB Office of Management & Budget such will be made. As stated in OC San's Records Retention Policy, authorization and proper destruction methods are required prior to R&TC Revenue & Taxation Code destroying all Official Records, regardless of Media Type. When original records have reached their retention length, all copies and SOS Secretary of State Media Types duplicates must be destroyed, along with the original, regardless of Media Type. USC United States Code CD CD ■ Copies/duplicate records shall be determined as "duplicate" or "copy" in conjunction with Records Management. Upon determination by Record Management that a record is a duplicate or copy, OC San may destroy the duplicate record if the original or a permanent EL Electronic photographic record exists is in OC San's files (GC §60200). Special Storage Consideration FD Floppy Disk ■ Notes, preliminary drafts, and transitory records are not considered Official Records and may be destroyed without complying with OC C Confidential I P Paper San's RRS (SOS 2-1030). Such records may be destroyed when no longer needed for OC San business and do not require authorization for H lHistorical ITA Tapes destruction. V Vital ■ Official Records cannot be discarded in trash bins. They must be submitted to Records Management for secure destruction. Engineering Retention Special Retention Record Series / Record Type yp Length Storage Media Type Retention Citations / Comments Number (Years unless Consideration Specified) ENGINEERING PROJECT FILE (TO INCLUDE ALL CAPITAL PROJECT MANAGEMENT LIFE CYCLE PHASES): Project Development: Correspondence, Gate Review, Meeting Agendas & Minutes, Pre -Construction Project Photos, Handoff Documents, Consultant Monthly Report Preliminary Design: Correspondence, Design Submittal, Gate Review, Meeting Agendas & Minutes, Preliminary Design Report Documentation, Public Outreach, Consultant Monthly Report CCP §337.15. Design: Consultant Monthly Report, Correspondence, Design Submittal, Final Design Submittal, Gate Incorporates 2018 ENG007, 2018 ENG008, 2018 Review, Meeting Agendas & Minutes, Public Outreach, Handoff Documents, ETAP Documents ENG009, 2018 ENG010, 2018 ENG011, 2018 ENG012 Construction and Installation: Consultant Monthly Report, Construction Contract Submittals (Not CL+10 ENG012 Permanent Assets), Correspondence, Gate Review, Construction Inspection Daily Reports & CL = budget closure date in budget documentation Documentation, Meeting Agendas & Minutes, Public Outreach, Requests & Changes (Bulletin, Contractor or the date of the Director of Engineer's signature Cost Proposal, Delay & Schedule Analysis, Field Change Order, Request for Change, Request for on the Close -Out Form Information, Request for Proposal, Time & Materials Report), Safety Documentation, ETAP Documents, Project Schedule Commissioning: Correspondence, Gate Review, Meeting Agendas & Minutes, Substantial Completion - Beneficial Use, Use Prior to Completion, Substantial Completion, Final Completion Closeout: Correspondence, Gate Review, Meeting Agendas & Minutes, Final Acceptance & Release of Retention, Warranty Documentation, As-Builts & Field Markups City or County Planning Documents Unrelated to a Specific, Current OC San Project or Business Need GC §60201 (d)(1 0); SOS C-26, SOS C-27, SOS C- As Otherwise Defined in Another Retention Number: 28 OC San is not the custodian of these records; ENG014 Specific Plan, Master Plan, CEQA Documents Including Environmental Impact Reports and Addenda, CU+20 however there is a business value to the retention Negative Declarations, Notices of Completion and Determination, Comments on Environmental of these records. Documents, Statement of Overriding Considerations, Exemptions, Technical Studies, Mitigation and Incorporates 2015 ENG004, 2018 ENG001 Monitoring Reports CU = document date Engineering Adopted: 12/14/2023 OC SAN 23-21-41 Citation Codes Retention Codes Orange County Sanitation District CCP Code of Civil Procedure (CA) CL Closed or Completed SAN CCR California Code of Regulations CU Current Year (Defined Where Used) Records Retention Schedule CFR Code of Federal Regulations EX Expired or Expiration ORANGE COUNTY SANITATION DISTRICT GC Government Code (California) LF Life of Facility, Equip. or Software General Retention Schedule Information H&S Health & Safety Code LO Life of Organization or Permanent IRS Internal Revenue Service NN When No Longer Needed LC Labor Code (CA) OB JOEsolete ■ This Records Retention Schedule (RRS) pertains to any and all Official Records of OC San regardless of Media Type and is adopted in PC Penal Code (CA) S Superseded compliance with GC §60201 and additional specific citations as noted. PRC Public Resources Code T ITerminated ■ Public Records Act requests, litigation, audits, claims, and investigations may suspend the stated retention periods and notification of OMB Office of Management & Budget such will be made. As stated in OC San's Records Retention Policy, authorization and proper destruction methods are required prior to R&TC Revenue & Taxation Code destroying all Official Records, regardless of Media Type. When original records have reached their retention length, all copies and SOS Secretary of State Media Types duplicates must be destroyed, along with the original, regardless of Media Type. USC United States Code CD JCD ■ Copies/duplicate records shall be determined as "duplicate" or "copy" in conjunction with Records Management. Upon determination by Record Management that a record is a duplicate or copy, OC San may destroy the duplicate record if the original or a permanent EL Electronic photographic record exists is in OC San's files (GC §60200). $ ecial tors a Consideration FD Floppy Disk ■ Notes, preliminary drafts, and transitory records are not considered Official Records and may be destroyed without complying with OC C Confidential P Paper San's RRS (SOS 2-1030). Such records may be destroyed when no longer needed for OC San business and do not require authorization far H Historical TA Tapes destruction. V Vital ■ Official Records cannot be discarded in trash bins. They must be submitted to Records Management for secure destruction. Engineering Retention Special Retention Record Series / Record Type yp Length Storage Media Type Retention Citations /Comments Number (Years Unless Consideration Specified) Connection Permit: GC §60201 (d)(1 0); SOS C-43, SOS C-44 ENG015 Trunk Sewer Connection Permit LO V Incorporates 2018 ENG029 Collection System Condition Assessment Records: ENG017 CCTV, Reports LO V ENG019 Specification Conformed LO V Incorporates 2018 ENG028 Requests for Underground Utility Information (From City, Utility, Public Agency or Contractor Working On ENG020 Behalf of Same): CL+2 Incorporates 2018 ENG004 Original Inquiry/Plans Received, OC San Response Code and Standards: ACI 318 - Building Code Requirements for Structural Concrete; ACI 350 - Code Requirements for Environmental Engineering Concrete Structures; ASCE 7-16 - Minimum Design Loads & Associated Criteria for Buildings & Other Structures; ASCE 41-13 - Seismic Evaluation & Retrofit of Existing OC San is not the custodian of these records; ENG023 Buildings; Greenbook - Standard Specifications for Public Works Construction; NFPA 13 - Standard for S+10 however there is a business value to the retention Installation of Sprinkler Systems; NFPA 30 - Flammable & Combustible Liquids Code; NPFA 37 - of these records. Standard for the Installation & Use of Stationary Combustion Engines & Gas Turbines; NFPA 70 - National Electrical Code; NFPA 72 - National Fire Alarm & Signaling Code; NFPA 101 - Life Safety Code; NFPA 820 - Standard for Fire Protection in Wastewater Treatment & Collection Facilities; NFPA 2001 - Standard on Clean Agent Fire Extinguishing Systems; California Building Codes Engineering Adopted: 12/14/2023 OC SAN 23-21-42 Ration Codes Retention Codes ()C Orange County Sanitation District CCP Code of Civil Procedure (CA) CL Closed or Completed SAN CCR California Code of Regulations Cu Current Year (Defined Where Used) ORANGE COUNTY SANITATION DISTRICT Records Retention Schedule CFR Code of Federal Regulations EX Expired or Expiration GC Government Code (California) LF Life of Facility, Equip. or Software General Retention Schedule Information H&S Health & Safety Code LO Life of Organization or Permanent IRS Internal Revenue Service NN When No Longer Needed LC Labor Code (CA) OB JObsolete ■ This Records Retention Schedule (RRS) pertains to any and all Official Records of OC San regardless of Media Type and is adopted in PC Penal Code (CA) S Superseded compliance with GC §60201 and additional specific citations as noted. PRC Public Resources Code T ITerminated ■ Public Records Act requests, litigation, audits, claims, and investigations may suspend the stated retention periods and notification of OMB Office of Management & Budget such will be made. As stated in OC San's Records Retention Policy, authorization and proper destruction methods are required prior to R&TC Revenue & Taxation Code destroying all Official Records, regardless of Media Type. When original records have reached their retention length, all copies and SOS Secretary of State Media Types duplicates must be destroyed, along with the original, regardless of Media Type. USC United States Code CD JCD ■ Copies/duplicate records shall be determined as "duplicate" or "copy" in conjunction with Records Management. Upon determination by Record Management that a record is a duplicate or copy, OC San may destroy the duplicate record if the original or a permanent EL Electronic photographic record exists is in OC San's files (GC §60200). $ ecial Storage Consideration FD Floppy Disk ■ Notes, preliminary drafts, and transitory records are not considered Official Records and may be destroyed without complying with OC C Confidential P Paper San's RRS (SOS 2-1030). Such records may be destroyed when no longer needed for OC San business and do not require authorization for H Historical TA Tapes destruction. V Vital ■ Official Records cannot be discarded in trash bins. They must be submitted to Records Management for secure destruction. Engineering Retention Special Retention Record Series / Record Type yp Length Storage Media Type Retention Citations /Comments Number (Years Unless Consideration Specified) SOS C-19, SOS C-25, SOS C-26, SOS C-27 Incorporates 2015 ENG016 Engineering Study & Analysis - May Include Final Design Documentation: Reports Such as Soild Hauling Study, CCTV Engineering Stud and Analysis, FeasibilityStudy, Final Planning Stud Report, Preliminary Design g g y y y g y p ry Report, Trunk Sewer Analysis, Structural Analysis, ENG024 Report(Technical Memoranda, Engineering Calculations, Geotechnical and Geophysical Reports, , LF Electrical Report, Manufacturer Report, Design Hazardous Materials Report, Hydrogeologic Report, Project Specific Seismic Report Report, Technical Reports, Flow Report (Gallonage Flow), Odor Control, Air Quality Reports, Title Report, Traffic Study, Dust & Dirt Analysis, Noise Study, Project Report, May Also Include Annual Reports Not Otherwise Addressed in the RRS Construction Specialty: ENG025 Electrical Test Report, Instrumentation Testing, Materials Testing Report, Mechanical Testing, Other Test LF SOS C-19, SOS C-25, SOS C-26, SOS C-27 Report, Soil Testing, Structural Testing, Survey Report, Commissioning Procedure, Construction Photos and Videos Facility Reports: 40 CFR §122.410)(2), 40 CFR §403.12(o); SOS C- ENG027 OC San Master Plan (Generated by Eng. Dept.), Strategic or Facility -Wide Planning Study Report LO 45 (Seismic, Climate, Capacity, etc.), Asset Management Program Plan/Report CU = date of record Facility Permits: Air Quality Management District (AQMD), Permit to Operate, California Coastal Commission/Coastal ENG030 Development, Building Permit, Fire Department Permit, Army Corps of Engineers, CEQA Permits, LO SOS C-45 Encroachment/Right of Way, Permit for Construction, Regional Water Quality Control Board (RWQCB), City/County Permits, CalTrans Permits, EPA, California Dept. of Fish & Game, Orange County Flood Control District (OCFCD) Permit for Construction, Railway for Construction Engineering Adopted: 12/14/2023 OC SAN 23-21-43 Citation Codes Retention Codes Orange County Sanitation District nC6SAK CCP Code of Civil Procedure (CA) CL Closed or Completed CCR California Code of Regulations CU Current Year (Defined Where Used) ORANGE COUNTY SANITATION DISTRICT Records Retention Schedule CFR Code of Federal Regulations EX Expired or Expiration GC Government Code (California) LF Life of Facility, Equip. or Software General Retention Schedule Information H&S Health & Safety Code LO Life of Organization or Permanent IRS Internal Revenue Service NN When No Longer Needed LC Labor Code (CA) OB Obso late ■ This Records Retention Schedule (RRS) pertains to any and all Official Records of OC San regardless of Media Type and is adopted in PC Penal Code (CA) S Superseded compliance with GC §60201 and additional specific citations as noted. PRC Public Resources Code T Terminated ■ Public Records Act requests, litigation, audits, claims, and investigations may suspend the stated retention periods and notification of OMB Office of Management & Budget such will be made. As stated in OC San's Records Retention Policy, authorization and proper destruction methods are required prior to R&TC Revenue & Taxation Code destroying all Official Records, regardless of Media Type. When original records have reached their retention length, all copies and SOS Secretary of State Media Types duplicates must be destroyed, along with the original, regardless of Media Type. USC United States Code CD CD ■ Copies/duplicate records shall be determined as "duplicate" or "copy" in conjunction with Records Management. Upon determination by Record Management that a record is a duplicate or copy, OC San may destroy the duplicate record if the original or a permanent EL Electronic photographic record exists is in OC San's files (GC §60200). Special Storage Consideration FD Floppy Disk ■ Notes, preliminary drafts, and transitory records are not considered Official Records and may be destroyed without complying with OC C I Confidential P Paper San's RRS (SOS 2-1030). Such records may be destroyed when no longer needed for OC San business and do not require authorization far H Historical TA Tapes destruction. VI Vital ■ Official Records cannot be discarded in trash bins. They must be submitted to Records Management for secure destruction. Engineering Retention Special Retention Record Series / Record Type Yp Length Storage Media Type Retention Citations / Comments Number (Years Unless Consideration Specified) ENG033 CEQA Related Documentation Pertaining to Meeting Agendas and Meeting Minutes LO GC §60201(d)(3) ENGINEERING CONTRACT SUPPORT DOCUMENTATION: Professional Service Agreement: Solicitation (Scope of Work, Sole Source) & Contract Administration (Amendment and Reallocation, Consultant Invoice) Professional Design Service Agreement: Solicitation (Scope of Work, Sole Source) & Contract CCP §337.15; GC §60201 (d)(1 2) Administration (Amendment and Reallocation, Consultant Invoice) Incorporates 2015 ENG002, 2015 ENG003, 2015 ENG035 Professional Construction Service Agreement: Solicitation (Scope of Work, Sole Source) & Contract CL+10 ENG006, 2015 ENG018 Administration (Amendment and Reallocation, Conformed Agreement Package) CL = budget closure date in budget documentation Construction Agreement: Solicitation (Sole Source) & Contract Administration (Certified Payroll, or the date of the Director of Engineer's signature Change Order, Claims Documentation, Contractor Progress Payment) on the Close -Out Form Task Order: Solicitation (Scope of Work, Sole Source) & Contract Administration (Amendment and Reallocation, Consultant Invoice) Bid Package: Published Packet - Specifications, Drawings, Bid Set Drawings Cost & Schedule Documentation: CCP §337.15 ENG036 Budget Documentation, Budget Table and Schedule Documentation, Construction Schedule CL+10 CL = budget closure date in budget documentation Documentation or the date of the Director of Engineers signature on the Close -Out Form 14 CCR §15062, 14 CCR §15075, 14 CCR §15094, 14 CCR §15095(c), 14 CCR §15112, 14 CCR CEQA Correspondence, Including Correspondence with Outside Cities/Agencies: §15208; GC §60201(d)(10); PRC §21167.6; SOS C- ENG037 Includes Written and Electronic Correspondence CL+10 27 Incorporates 2018 ENG002 CL = date of correspondence Engineering Adopted: 12/14/2023 OC SAN 23-21-44 Orange County Sanitation District Citation Codes Retention Codes CCP Code of Civil Procedure (CA) CL Closed or Completed SAN ORANGE COUNTY SANITATION DISTRICT Records Retention Schedule CCR California Code of Regulations CU Current Year (Defined Where Used) CFR Code of Federal Regulations EX Expired or Expiration GC Government Code (California) LF Life of Facility, Equip. or Software General Retention Schedule Information H&S Health & Safety Code LO Life of Organization or Permanent IRS Internal Revenue Service NN When No Longer Needed ■ This Records Retention Schedule (RRS) pertains to any and all Official Records of OC San regardless of Media Type and is adopted in compliance with GC §60201 and additional specific citations as noted. ■ Public Records Act requests, litigation, audits, claims, and investigations may suspend the stated retention periods and notification of such will be made. As stated in OC San's Records Retention Policy, authorization and proper destruction methods are required prior to LC Labor Code (CA) OB JOEsolete PC Penal Code (CA) S Superseded PRC Public Resources Code T ITerminated OMB Office of Management & Budget R&TC Revenue & Taxation Code destroying all Official Records, regardless of Media Type. When original records have reached their retention length, all copies and SOS Secretary of State Media Types duplicates must be destroyed, along with the original, regardless of Media Type. USC United States Code CD JCD ■ Copies/duplicate records shall be determined as "duplicate" or "copy" in conjunction with Records Management. Upon determination by Record Management that a record is a duplicate or copy, OC San may destroy the duplicate record if the original or a permanent EL Electronic photographic record exists is in OC San's files (GC §60200). ■ Notes, preliminary drafts, and transitory records are not considered Official Records and may be destroyed without complying with OC San's RRS (SOS 2-1030). Such records may be destroyed when no longer needed for OC San business and do not require authorization far destruction. ■ Official Records cannot be discarded in trash bins. They must be submitted to Records Management for secure destruction. $ ecial tors a Consideration FD Floppy Disk C Confidential P Paper H lHistorical TA Tapes V Vital Engineering Retention Number Record Series / Record Type yp Retention Length (Years Unless Specified) Special Storage Consideration Media Type Retention Citations /Comments Project -Related Permit -Related Back Up Documentation: CL = budget closure date in budget documentation ENG038 Certification of Environmental Compliance, Contaminated Soil Manifest, Dewatering Data, Mitigation CL+10 or the date of the Director of Engineer's signature Measure Monitoring Reporting, Storm Water Compliance Reporting, OSHA Excavation Permits on the Close -Out Form ENG040 Project Close -Out Documentation LO V EL These records are retained in the Primavera Database and/or SharePoint Engineering Adopted: 12/14/2023 OC SAN 23-21-45 Citation Codes Retention Codes Orange County Sanitation District CCP Code of Civil Procedure (CA) CL Closed or Completed SAN CCR California Code of Regulations CU Current Year (Defined Where Used) Records Retention Schedule CFR Code of Federal Regulations EX Expired or Expiration ORANGE COUNTY SANITATION DISTRICT GC Government Code (California) LF Life of Facility, Equip. or Software General Retention Schedule Information H&S Health & Safety Code LO Life of Organization or Permanent IRS Internal Revenue Service NN When No Longer Needed LC Labor Code (CA) OB JOEsolete ■ This Records Retention Schedule (RRS) pertains to any and all Official Records of OC San regardless of Media Type and is adopted in PC Penal Code (CA) S Superseded compliance with GC §60201 and additional specific citations as noted. PRC Public Resources Code T ITerminated ■ Public Records Act requests, litigation, audits, claims, and investigations may suspend the stated retention periods and notification of OMB Office of Management & Budget such will be made. As stated in OC San's Records Retention Policy, authorization and proper destruction methods are required prior to R&TC Revenue & Taxation Code destroying all Official Records, regardless of Media Type. When original records have reached their retention length, all copies and SOS Secretary of State Media Types duplicates must be destroyed, along with the original, regardless of Media Type. USC United States Code CD JCID ■ Copies/duplicate records shall be determined as "duplicate" or "copy" in conjunction with Records Management. Upon determination by Record Management that a record is a duplicate or copy, OC San may destroy the duplicate record if the original or a permanent EL Electronic photographic record exists is in OC San's files (GC §60200). $ ecial tors a Consideration FD Floppy Disk ■ Notes, preliminary drafts, and transitory records are not considered Official Records and may be destroyed without complying with OC C Confidential P Paper San's RRS (SOS 2-1030). Such records may be destroyed when no longer needed for OC San business and do not require authorization far H lHistorical TA Tapes destruction. V Vital ■ Official Records cannot be discarded in trash bins. They must be submitted to Records Management for secure destruction. Environmental Services Retention Special Retention Record Series / Record Type yp Length Storage Media Type Retention Citations /Comments Number (Years Unless Consideration Specified) ESDO01 Air Emissions Permitting Files (AQMD, CARB, Other): LO CCP §338(k); SOS C-27 Final Permit, Testing Reports, Permit Applications, Correspondence Asset Specific Emission Records: ESDO02 Various Equipment and Operational Information, Including Logs OB+7 SOS C-27 Please see OMD014 & OMD016 for retention of some records within ESDO02 Biosolids Management Records: 40 CFR §122.21, 40 CFR §122.410)(2), 40 CFR ESD003 Biosolids Hauling, Use, EMS Activities LO §503.17; SOS C-47 Environmental Audit Records: ESD004 Conducted By OC San LO ESDO05 Environmental Audit Records: LO SOS C-27 Conducted By Outside Parties ESDO08 Cleanup, Abatement, and Remediation of Underground Storage Tanks LO 23 CCR 2772; SOS C-33 ESDO09 Non -Hazardous Waste Waste Hauler Manifests CU+3 SOS C-42 CU = calendar year Environmental Services Adopted: 12/14/2023 OC SAN 23-21-46 Ration Codes Retention Codes ()C Orange County Sanitation District CCP Code of Civil Procedure (CA) CL Closed or Completed SAN CCR California Code of Regulations CU Current Year (Defined Where Used) ORANGE COUNTY SANITATION DISTRICT Records Retention Schedule CFR Code of Federal Regulations EX Expired or Expiration GC Government Code (California) LF Life of Facility, Equip. or Software General Retention Schedule Information H&S Health & Safety Code LO Life of Organization or Permanent IRS Internal Revenue Service NN When No Longer Needed LC Labor Code (CA) OB JObsolete ■ This Records Retention Schedule (RRS) pertains to any and all Official Records of OC San regardless of Media Type and is adopted in PC Penal Code (CA) S Superseded compliance with GC §60201 and additional specific citations as noted. PRC Public Resources Code T ITerminated ■ Public Records Act requests, litigation, audits, claims, and investigations may suspend the stated retention periods and notification of OMB Office of Management & Budget such will be made. As stated in OC San's Records Retention Policy, authorization and proper destruction methods are required prior to R&TC Revenue & Taxation Code destroying all Official Records, regardless of Media Type. When original records have reached their retention length, all copies and SOS Secretary of State Media Types duplicates must be destroyed, along with the original, regardless of Media Type. USC United States Code CD JCD ■ Copies/duplicate records shall be determined as "duplicate" or "copy" in conjunction with Records Management. Upon determination by Record Management that a record is a duplicate or copy, OC San may destroy the duplicate record if the original or a permanent EL Electronic photographic record exists is in OC San's files (GC §60200). $ ecial Storage Consideration FD Floppy Disk ■ Notes, preliminary drafts, and transitory records are not considered Official Records and may be destroyed without complying with OC C Confidential P Paper San's RRS (SOS 2-1030). Such records may be destroyed when no longer needed for OC San business and do not require authorization for H Historical TA Tapes destruction. V Vital ■ Official Records cannot be discarded in trash bins. They must be submitted to Records Management for secure destruction. Environmental Services Retention Special Retention Record Series / Record Type yp Length Storage Media Type Retention Citations /Comments Number (Years Unless Consideration Specified) ESDO11 Interagency (Outside) Agreements and Documentation MOU LO GC §60201(d)(9) ESDO12 Laboratory Standard Operating Procedures LO SOS C-19 Laboratory Records: SOS C-46 ESDO13 Sample Preparation Records, Raw Data, Data Logs, Data Packets, QA/QC Reports, Final Processed CU+7 CU = calendar year Data, LIMS Reports, Lab Equipment Maintenance and Sterilization Non Permittee Files: SOS C-19, SOS C-42 ESD014 Inspection Reports Data, Correspondence CU+6 CU = calendar year ESDO15 OMP Field Datasheets: LO 40 CFR §141.33; SOS C-46 Field Data and Collection Documentation, Animal Counts, Fish Collection Observations NPDES Permitting Files: 40 CFR §122.410)(2), 40 CFR §403.12(o); SOS C- ESDO16 Final Permit, Permit Applications, Special Studies & Reports, Correspondence LO EL See Special Note in ESDO20 46 Permittee Files: 40 CFR §122.410)(2), 40 CFR §403.12(o); SOS C- ESDO17 Discharge Permits and Urban Runoff CU+6 45 CU = document date Environmental Services Adopted: 12/14/2023 OC SAN 23-21-47 Orange County Sanitation District Citation Codes Retention Codes CCP Code of Civil Procedure (CA) CL Closed or Completed SAN ORANGE COUNTY SANITATION DISTRICT Records Retention Schedule CCR California Code of Regulations CU Current Year (Defined Where Used) CFR Code of Federal Regulations EX Expired or Expiration GC Government Code (California) LF Life of Facility, Equip. or Software General Retention Schedule Information H&S Health & Safety Code LO Life of Organization or Permanent IRS Internal Revenue Service NN When No Longer Needed ■ This Records Retention Schedule (RRS) pertains to any and all Official Records of OC San regardless of Media Type and is adopted in compliance with GC §60201 and additional specific citations as noted. ■ Public Records Act requests, litigation, audits, claims, and investigations may suspend the stated retention periods and notification of such will be made. As stated in OC San's Records Retention Policy, authorization and proper destruction methods are required prior to LC Labor Code (CA) OB JOEsolete PC Penal Code (CA) S Superseded PRC Public Resources Code T ITerminated OMB Office of Management & Budget R&TC Revenue & Taxation Code destroying all Official Records, regardless of Media Type. When original records have reached their retention length, all copies and SOS Secretary of State Media Types duplicates must be destroyed, along with the original, regardless of Media Type. USC United States Code CD JCD ■ Copies/duplicate records shall be determined as "duplicate" or "copy" in conjunction with Records Management. Upon determination by Record Management that a record is a duplicate or copy, OC San may destroy the duplicate record if the original or a permanent EL Electronic photographic record exists is in OC San's files (GC §60200). ■ Notes, preliminary drafts, and transitory records are not considered Official Records and may be destroyed without complying with OC San's RRS (SOS 2-1030). Such records may be destroyed when no longer needed for OC San business and do not require authorization far destruction. ■ Official Records cannot be discarded in trash bins. They must be submitted to Records Management for secure destruction. $ ecial tors a Consideration FD Floppy Disk C Confidential P Paper H Historical TA Tapes V Vital Environmental Services Retention Number Record Series / Record Type yp Retention Length (Years Unless Specified) Special Storage Consideration Media Type Retention Citations /Comments Compliance and Annual Reports: Discharge Monitoring Reports (DMR), Marine Monitoring Annual Report (MMAR), Biosolids Annual ESD020 Report LO P 40 CFR §122.410) Special Note: The MMAR contains information from NPDES permits so should be used as a resource to ESDO16 ESD022 Unprocessed Instrumentation Files & Lab Reports LO H, V 40 CFR §122.410) 40 CFR §122.210)(4)-(6), 40 CFR §122.410)(2), 40 ESD023 Chain of Custody -Laboratory CU+7 CFR §403.12(o), 40 CFR §503.17(a)(3)(i), (a)(4); SOS C-22 CU = calendar year ESD024 Compliance Program Documentation: Storm Water, SSO, Post Construction Mitigation, SSMP (WDR) LO 40 CFR §122.41, 40 CFR Part 141, 40 CFR §141.33; SOS C-25, SOS C-27, SOS C-45 Environmental Services Adopted: 12/14/2023 OC SAN 23-21-48 Citation Codes Retention Codes Orange County Sanitation District CCP Code of CivilProcedure(CA) CL Closed or Completed SAN ORANGE COUNTY SANITATION DISTRICT Records Retention Schedule CCR California Code of Regulations CU Current Year (Defined Where Used) CFR Code of Federal Regulations EX Expired or Expiration GC Government Code (California) LF Life of Facility, Equip. or Software General Retention Schedule Information H&S Health & Safety Code LO Life of Organization or Permanent IRS Internal Revenue Service NN When No Longer Needed ■ This Records Retention Schedule (RRS) pertains to any and all Official Records of OC San regardless of Media Type and is adopted in compliance with GC §60201 and additional specific citations as noted. ■ Public Records Act requests, litigation, audits, claims, and investigations may suspend the stated retention periods and notification of such will be made. As stated in OC San's Records Retention Policy, authorization and proper destruction methods are required prior to Labor Code (CA) OB Obsolete Penal Code (CA) S Superseded Public Resources Code T Terminated LR&TC Office of Management & Budget Revenue & Taxation Code destroying all Official Records, regardless of Media Type. When original records have reached their retention length, all copies and Secretary of State Media T es duplicates must be destroyed, along with the original, regardless of Media Type. United States Code CD JCD ■ Copies/duplicate records shall be determined as "duplicate" or "copy" in conjunction with Records Management. Upon determination by Record Management that a record is a duplicate or copy, OC San may destroy the duplicate record if the original or a permanent EL Electronic photographic record exists is in OC San's files (GC §60200). ■ Notes, preliminary drafts, and transitory records are not considered Official Records and may be destroyed without complying with OC San's RRS (SOS 2-1030). Such records may be destroyed when no longer needed for OC San business and do not require authorization for destruction. ■ Official Records cannot be discarded in trash bins. They must be submitted to Records Management for secure destruction. Special Storage Consideration FD Flopp Disk C I Confidential P Paper H Historical TA Tapes V lVital Financial Management and Administrative Services Retention Number Record Series / Record Type yp Retention Length (Years unless Specified) Special Storage Consideration Media Type Retention Citations /Comments FAD001 Accounting Reports: Quarterly and Monthly Reports CU+4 SOS A-1, SOS C-30 CU = fiscal year GC §60201(d)(7), GC §60201 (d)(1 2); SOS C-29 Freeze on all FAD002 records for the timeframe of 11112010 through 12/31/2013. Freeze until 1112048 for the purposes of fulfilling Build America Bonds IRS requirements. OC San issued Build America Bonds in 2010 (outstanding through 2044) for which FAD002 Accounts Payable Files: Vendor and Contractor Invoices, Bills, Statements, Any Non -Discharged Debt CL+7 we are receiving a federal subsidy to offset our interest costs. The IRS guidance found states that all issuers should have records retention policies that maintain bond documents & related records (including documents supporting the disposition of funds) for at least the life of the bonds plus three years (through 2047). CL refers to final payment CCP §337 et seq.; GC §60201(d)(7), GC FAD003 Accounts Receivable Files CL+7 V §60201(d)(12); SOS C-29 CL refers to final payment FAD005 Audit Records: Financial Statements, Audit Management Letters, Comprehensive Annual Financial Report (CAFR) LO H SOS C-30 FAD006 Bank Signature Cards S+7 GC §60201 (d)(1 2) Financial Management and Administrative Services Adopted: 12/14/2023 OC SAN 23-21-49 Ration Codes Retention Codes Orange County Sanitation District CCP Code of Civil Procedure (CA) CL Closed or Completed OC6SAN CCR California Code of Regulations CU Current Year (Defined Where Used) Records Retention Schedule CFR Code of Federal Regulations EX Expired or Expiration ORANGE COUNTY SANITATION DI! GC Government Code (California) LF Life of Facility, Equip. or Software General Retention Schedule Information H&S Health & Safety Code LO Life of Organization or Permanent IRS Internal Revenue Service NN When No Longer Needed LC Labor Code (CA) OB JObsolete ■ This Records Retention Schedule (RRS) pertains to any and all Official Records of OC San regardless of Media Type and is adopted in PC Penal Code (CA) S Superseded compliance with GC §60201 and additional specific citations as noted. PRC Public Resources Code T ITerminated ■ Public Records Act requests, litigation, audits, claims, and investigations may suspend the stated retention periods and notification of OMB Office of Management & Budget such will be made. As stated in OC San's Records Retention Policy, authorization and proper destruction methods are required prior to R&TC Revenue & Taxation Code destroying all Official Records, regardless of Media Type. When original records have reached their retention length, all copies and SOS Secretary of State Media Types duplicates must be destroyed, along with the original, regardless of Media Type. USC United States Code CD JCD ■ Copies/duplicate records shall be determined as "duplicate" or "copy" in conjunction with Records Management. Upon determination by Record Management that a record is a duplicate or copy, OC San may destroy the duplicate record if the original or a permanent EL Electronic photographic record exists is in OC San's files (GC §60200). $ ecial tors a Consideration FD Floppy Disk ■ Notes, preliminary drafts, and transitory records are not considered Official Records and may be destroyed without complying with OC C Confidential P Paper San's RRS (SOS 2-1030). Such records may be destroyed when no longer needed for OC San business and do not require authorization for H lHistorical TA Tapes destruction. V Vital ■ Official Records cannot be discarded in trash bins. They must be submitted to Records Management for secure destruction. Financial Management and Administrative Services rr Retention Special Retention Record Series / Record Type yp Length Storage Media Type Retention Citations /Comments Number (Years unless Consideration Specified) Banking Records: Deposit Receipts, Bank Statements, Checking Account Reconciliation, Cash Transfer Report (LAIF, Wire SOS C-29, SOS C-30 FAD007 Transfers, and Intrabank Transfers), Adjustments - Returned Checks (NSF), ACH Returns, Positive Pay CU+6 V CU = calendar year Exceptions Bonds: FAD008 Certificates of Participation, Transcripts, Disclosure Reports, Registers, Issue Records, Determination of LO V CCP §336(a), CCP §337.5; GC §43900, GC §53921 Allocation FAD009 Budgets (Adopted) LO H, V during SOS -29 current FY Budgets vs. Actual: SOS C-29 FAD010 Supporting Documentation Summaries, Worksheets, Goals and Objectives, Milestones CU+S CU = fiscal year Check Records: CCP §337; GC §60201(d)(12); SOS C-29 FADo11 Cancelled Payroll Checks, Voided Copies For Automatic Deposits, Registers, Requests for Hand Checks CU+7 CU = calendar year & Interim Payroll Checks CCP §337; SOS C-29 Changed to LO as it is beneficial for OC San to FAD012 Capital Facility Capacity Charges (CFCC) LO H EL, P maintain copies of permits for fee calculations in the future and historical reference for fees paid for parcels FAD013 Expense Reports CU+7 CCP §337; GC §60201(d)(12); SOS A-1 CU = fiscal year Financial Management and Administrative Services Adopted: 12/14/2023 OC SAN 23-21-50 Citation Codes Retention Codes Orange County Sanitation District CCP Code of Civil Procedure (CA) CL Closed or Completed OC6SAN ORANGE COUNTY SANITATION DISTRICT Records Retention Schedule CCR California Code of Regulations CU Current Year (Defined Where Used) CFR Code of Federal Regulations EX Expired or Expiration GC Government Code (California) LF Life of Facility, Equip. or Software General Retention Schedule Information H&S Health & Safety Code LO Life of Organization or Permanent IRS Internal Revenue Service NN When No Longer Needed ■ This Records Retention Schedule (RRS) pertains to any and all Official Records of OC San regardless of Media Type and is adopted in compliance with GC §60201 and additional specific citations as noted. ■ Public Records Act requests, litigation, audits, claims, and investigations may suspend the stated retention periods and notification of such will be made. As stated in OC San's Records Retention Policy, authorization and proper destruction methods are required prior to Labor Code (CA) OB Obsolete Penal Code (CA) S Superseded Public Resources Code T Terminated VR&TC Office of Management & Budget Revenue & Taxation Code destroying all Official Records, regardless of Media Type. When original records have reached their retention length, all copies and Secretary of State Media T es duplicates must be destroyed, along with the original, regardless of Media Type. United States Code CD JCD ■ Copies/duplicate records shall be determined as "duplicate" or "copy" in conjunction with Records Management. Upon determination by Record Management that a record is a duplicate or copy, OC San may destroy the duplicate record if the original or a permanent EL Electronic photographic record exists is in OC San's files (GC §60200). ■ Notes, preliminary drafts, and transitory records are not considered Official Records and may be destroyed without complying with OC San's RRS (SOS 2-1030). Such records may be destroyed when no longer needed for OC San business and do not require authorization for destruction. ■ Official Records cannot be discarded in trash bins. They must be submitted to Records Management for secure destruction. $ ecial Storage Consideration FD Floppy Disk C Confidential P Paper H Historical TA Tapes V Vital Financial Management and Administrative Services Retention Number Record Series / Record Type yp Retention Length (Years Unless Specified) Special Storage Consideration Media Type Retention Citations /Comments 40 CFR §122.410)(2), 40 CFR §403.12(o); SOS C- FAD014 Financial Statements CU+10 45 CU = date of record Financial System: ERP Database (JDE), Access Database, Utility Billing FAD015 Data is interrelated across platforms LO SOS C-45 The Access Database & Utility Billing is iPACS and all of the information used for billing industrial dischargers. JDE also interfaces with Maximo for warehouse and maintenance. FAD016 Fixed Asset Records LF V SOS C-29 FADO17 General Ledger LO V SOS C-29 Investment Records: FAD018 Investment Policy, Custodian Bank Transaction Records, Asset Detail, Asset Summary, Yield, Statements, LAIF Withdrawals/Deposits, Portfolio Withdrawals/Deposits, Stock Certificates, Treasurer's LO V CCP §337, GC §53607, SOS C-30 Report, GASB 40 Report, GASB 72 Report FAD019 Journal Entries LO CCP §337, SOS C-29 FAD021 OCERS Files: Copies of OCERS Payments, Statements CL+7 29 CFR §516.6(a)(1); GC §60201(d)(12) CL refers to final payment Financial Management and Administrative Services Adopted: 12/14/2023 OC SAN 23-21-51 Citation Codes Retention Codes Orange County Sanitation District CCP Code of Civil Procedure (CA) CL Closed or Completed OC*6SAN CCR California Code of Regulations Cu Current Year (Defined Where Used) Records Retention Schedule CFR Code of Federal Regulations EX Expired or Expiration ORANGE COUNTY SANITATION DISTRICT GC Government Code (California) LF Life of Facility, Equip. or Software General Retention Schedule Information H&S Health & Safety Code LO Life of Organization or Permanent IRS Internal Revenue Service NN When No Longer Needed LC Labor Code (CA) OB JObsolete ■ This Records Retention Schedule (RRS) pertains to any and all Official Records of OC San regardless of Media Type and is adopted in PC Penal Code (CA) S ISuperseded compliance with GC §60201 and additional specific citations as noted. PRC Public Resources Code T ITerminated ■ Public Records Act requests, litigation, audits, claims, and investigations may suspend the stated retention periods and notification of OMB Office of Management & Budget such will be made. As stated in OC San's Records Retention Policy, authorization and proper destruction methods are required prior to R&TC Revenue & Taxation Code destroying all Official Records, regardless of Media Type. When original records have reached their retention length, all copies and SOS Secretary of State Media Types duplicates must be destroyed, along with the original, regardless of Media Type. USC United States Code CD JCD ■ Copies/duplicate records shall be determined as "duplicate" or "copy" in conjunction with Records Management. Upon determination by Record Management that a record is a duplicate or copy, OC San may destroy the duplicate record if the original or a permanent EL Electronic photographic record exists is in OC San's files (GC §60200). $ ecial tors a Consideration FD Floppy Disk ■ Notes, preliminary drafts, and transitory records are not considered Official Records and may be destroyed without complying with OC C Confidential P Paper San's RRS (SOS 2-1030). Such records may be destroyed when no longer needed for OC San business and do not require authorization for H Historical TA Tapes destruction. V Vital ■ Official Records cannot be discarded in trash bins. They must be submitted to Records Management for secure destruction. Financial Management and Administrative Services Retention Special Retention Record Series / Record Type yp Length Storage Media Type Retention Citations /Comments Number (Years Unless Consideration Specified) FAD022 OCERS Retirement Report LO 29 CFR §516.6(a)(1); GC §60201 (d)(1 2) Business value for LO retention Payroll Records (Generated from Payroll Taxes): CCP §337; 26 CFR §1.6001-1, 29 CFR §516.5, 29 Timesheets; Payroll Registers and Reports; Unemployment Claims; Garnishments; Payment of Labor CFR §516.5(a)-(b), 29 CFR §516.6(a)(1); GC CFR § 16.5( ) )(1);§31.GC 9 CFI30; FAD023 Costs Including Salaries, Wages, Compensation, and Deductions For Employees, Board Members, and 7 V SOS IRS Reg. §6020); Contractors (DE-6 & 941 Forms - Quarterly and Annual Payroll Tax Returns) 1 R&TC §19530 R years triggered from date of payment 26 CFR §1.6001-1; CCP §337; GC §60201(d)(12); FAD024 Petty Cash Records CU+7 SOS A-1 CU = fiscal year SOS C-42 FAD025 Rate Studies CU+10 Business value for longer retention CU = fiscal year Rebates and Refunds: 26 CFR §1.6001-1 FAD026 Sewer Service Fees CU+7 CU = calendar year FAD027 State Controller's Reports LO SOS C-30 22 Financial Management and Administrative Services Adopted: 12/14/2023 OC SAN 23-21-52 Citation Codes Retention Codes Orange County Sanitation District CCP Code of Civil Procedure (CA) CL Closed or Completed OC6SAN CCR California Code of Regulations Cu Current Year (Defined Where Used) Records Retention Schedule CFR Code of Federal Regulations EX Expired or Expiration ORANGE COUNTY SANITATION DISTRICT GC Government Code (California) LF Life of Facility, Equip. or Software General Retention Schedule Information H&S Health & Safety Code LO Life of Organization or Permanent IRS Internal Revenue Service NN When No Longer Needed LC Labor Code (CA) OB Obsolete ■ This Records Retention Schedule (RRS) pertains to any and all Official Records of OC San regardless of Media Type and is adopted in PC Penal Code (CA) S Superseded compliance with GC §60201 and additional specific citations as noted. PRC Public Resources Code T Terminated ■ Public Records Act requests, litigation, audits, claims, and investigations may suspend the stated retention periods and notification of OMB Office of Management & Budget such will be made. As stated in OC San's Records Retention Policy, authorization and proper destruction methods are required prior to R&TC Revenue & Taxation Code destroying all Official Records, regardless of Media Type. When original records have reached their retention length, all copies and SOS Secretary of State Media Types duplicates must be destroyed, along with the original, regardless of Media Type. USC United States Code CD JCD ■ Copies/duplicate records shall be determined as "duplicate" or "copy" in conjunction with Records Management. Upon determination by Record Management that a record is a duplicate or copy, OC San may destroy the duplicate record if the original or a permanent EL Electronic photographic record exists is in OC San's files (GC §60200). Special Storage Consideration FD Floppy Disk ■ Notes, preliminary drafts, and transitory records are not considered Official Records and may be destroyed without complying with OC C I Confidential P Paper San's RRS (SOS 2-1030). Such records may be destroyed when no longer needed for OC San business and do not require authorization far H I Historical TA Tapes destruction. VI Vital ■ Official Records cannot be discarded in trash bins. They must be submitted to Records Management for secure destruction. Financial Management and Administrative Services Retention Special Retention Record Series I Record Type yp Length Storage Media Type Retention Citations /Comments Number (Years Unless Consideration Specified) 26 CFR §31.600-1(d), 26 CFR §31.605-1, 29 CFR Tax Records - Employees & Retirees: §516.5 - 516.6; GC §60201 (d)(1 2); SOS C-30, SOS FAD028 1099-R, Annual Information Returns for Employees and Retirees CU+7 C-29; USC §436; IRS Reg. §31.6001-1(e)(2); R&TC §19530 CU = calendar year Tax Records (Generated From Accounts Payable & Vendor Files): SOS C-29 FAD029 Vendor CU+7 CU = calendar year FAD030 Trial Balance Records CU+7 SOS C-29 CU = fiscal year FAD032 Redevelopment Agency (RDA) Records: LO SOS C-29 Records Regarding Member Agency RDA Required Payment to OC San Claims (Excluding Workers Comp Claims): Claims Against OC San/OC San Employees (Wrongdoing by OC San/OC San Employees, Project GC §60201(d)(4) FAD033 Related Injury), Employment Claims (Wrongful Termination, Harassment, Discrimination), Loss Run CL+2 Incorporates 2018 BSDO22 & 2018 RMS031 Reports OC San Insurance Policies: FAD034 Records Related to Owner Controlled Insurance Programs and Insurance Policies Purchased by OC San, LO SOS C-24 Including Policies and Amendments FAD035 W-2's - Employees &Retirees LO 26 CFR 31.6001.1-1; 29 CFR 516.5-6; SOS C-30; 29 USC 436 23 Financial Management and Administrative Services Adopted: 12/14/2023 OC SAN 23-21-53 Orange County Sanitation District Citation Codes Retention Codes CCP Code of Civil Procedure (CA) CL Closed or Completed SAN ORANGE COUNTY SANITATION DISTRICT Records Retention Schedule CCR California Code of Regulations CU Current Year (Defined Where Used) CFR Code of Federal Regulations EX Expired or Expiration GC Government Code (California) LF Life of Facility, Equip. or Software General Retention Schedule Information H&S Health & Safety Code LO Life of Organization or Permanent IRS Internal Revenue Service NN When No Longer Needed ■ This Records Retention Schedule (RRS) pertains to any and all Official Records of OC San regardless of Media Type and is adopted in compliance with GC §60201 and additional specific citations as noted. ■ Public Records Act requests, litigation, audits, claims, and investigations may suspend the stated retention periods and notification of such will be made. As stated in OC San's Records Retention Policy, authorization and proper destruction methods are required prior to LC Labor Code (CA) OB JOEsolete PC Penal Code (CA) S Superseded PRC Public Resources Code T ITerminated OMB Office of Management & Budget R&TC Revenue & Taxation Code destroying all Official Records, regardless of Media Type. When original records have reached their retention length, all copies and SOS Secretary of State Media Types duplicates must be destroyed, along with the original, regardless of Media Type. USC United States Code CD JCD ■ Copies/duplicate records shall be determined as "duplicate" or "copy" in conjunction with Records Management. Upon determination by Record Management that a record is a duplicate or copy, OC San may destroy the duplicate record if the original or a permanent EL Electronic photographic record exists is in OC San's files (GC §60200). ■ Notes, preliminary drafts, and transitory records are not considered Official Records and may be destroyed without complying with OC San's RRS (SOS 2-1030). Such records may be destroyed when no longer needed for OC San business and do not require authorization far destruction. ■ Official Records cannot be discarded in trash bins. They must be submitted to Records Management for secure destruction. $ ecial tors a Consideration FD Floppy Disk C Confidential P Paper H Historical TA Tapes V Vital General Manager's Office Retention Number Record Series / Record Type yp Retention Length (Years Unless Specified) Special Storage Consideration Media Type Retention Citations /Comments GM0001 Annual OC San Reports: OC San Strategic Plan LO H SOS C-26 Business value in longer retention GM0007 GM Monthly Reports LO in BSDO02 as part of Board agenda packet distribution/retention CU+2 SOS C-19 CU = calendaryear GM0009 Executive Management Team (EMT) Meeting Files: Agenda, Agenda Report, Handouts CU+2 SOS A-2 CU = calendar year GM0016 Travel Records CU+7 SOS C-19 CU = calendar year General Manager's Office Adopted: 12/14/2023 OC SAN 23-21-54 Citation Codes Retention Codes Orange County Sanitation District CCP Code of Civil Procedure (CA) CL Closed or Completed SAN CCR California Code of Regulations CU Current Year (Defined Where Used) Records Retention Schedule CFR Code of Federal Regulations EX Expired or Expiration ORANGE COUNTY SANITATION DISTRICT GC Government Code (California) LF Life of Facility, Equip. or Software General Retention Schedule Information H&S Health & Safety Code LO Life of Organization or Permanent IRS Internal Revenue Service NN When No Longer Needed LC Labor Code (CA) OB Obsolete ■ This Records Retention Schedule (RRS) pertains to any and all Official Records of OC San regardless of Media Type and is adopted in PC Penal Code (CA) S Superseded compliance with GC §60201 and additional specific citations as noted. PRC Public Resources Code T ITerminated ■ Public Records Act requests, litigation, audits, claims, and investigations may suspend the stated retention periods and notification of OMB Office of Management & Budget such will be made. As stated in OC San's Records Retention Policy, authorization and proper destruction methods are required prior to R&TC Revenue & Taxation Code destroying all Official Records, regardless of Media Type. When original records have reached their retention length, all copies and SOS Secretary of State Media Types duplicates must be destroyed, along with the original, regardless of Media Type. USC United States Code CD JCD ■ Copies/duplicate records shall be determined as "duplicate" or "copy" in conjunction with Records Management. Upon determination by Record Management that a record is a duplicate or copy, OC San may destroy the duplicate record if the original or a permanent EL Electronic photographic record exists is in OC San's files (GC §60200). $ ecial tors a Consideration FD Floppy Disk ■ Notes, preliminary drafts, and transitory records are not considered Official Records and may be destroyed without complying with OC C Confidential P Paper San's RRS (SOS 2-1030). Such records may be destroyed when no longer needed for OC San business and do not require authorization for H lHistorical TA Tapes destruction. V lVital ■ Official Records cannot be discarded in trash bins. They must be submitted to Records Management for secure destruction. Human Resources ir Retention Special Retention Record Series / Record Type yp Length Storage Media Type Retention Citations /Comments Number (Years Unless Consideration Specified) Classification & Compensation: 29 CFR §1627.3; GC §60201(d)(12), GC §12946; HRD001 Class & Comp Studies, Class Specifications, Salary Surveys, Salary Schedules, Pay Types, Reclass LO SOS C-21 Requests, Desk Audits HRD002 Temporary Employees: CL+7 CCP §336(a); 29 CFR §1627.3; SOS C-21 Hiring Documents, Tracking Spreadsheet, Request Forms HRD003 Deferred Compensation Records: LO 26 CFR §16001-1, 29 CFR §1627.3; SOS C-30 Participation Agreements HRD004 District Benefit Contracts: LO V 28 CCR §1300.85.1; 29 CFR §1627.3(b)(2); 29 Health, Dental, Vision, Other Benefit Contracts USC §1027 General EEO-4 Reports and Files: 29 CFR §1602.30, 29 CFR §1602.31, 29 CFR HRD005 Documents Required to Generate EEO-4 Report CL+3 §1602.32 Employee & Labor Relations Files: HRD006 Memorandums of Understanding (MOU), Arbitration, Grievances, Union Requests, Employee Rights, LO 29 CFR §516.5, 29 CFR §1602.31, 29 CFR Appeals, Investigations, Performance Improvement Plans (PIP), Disciplinary Actions and Complaints, §1627.3(b)(1)(ii); GC §12946 Sexual Harassment, Civil Rights Employee Benefit Plans and Programs: T+7 29 CFR §1602.30, 29 CFR §1602.32, 29 CFR HRD007 Health Insurance, Supplemental Life Insurance, Beneficiary Designations, Records, Repayment Retirees: V §1627.3(b)(2); GC §12946, GC §60201 (d)(1 2); LC Agreements, Eligibility Changes, Development Pay, Rideshare Death+7 §1197.5 Human Resources Adopted: 12/14/2023 OC SAN 23-21-55 Citation Codes Retention Codes Orange County Sanitation District CCP Code of Civil Procedure (CA) CL Closed or Completed CCR California Code of Regulations CU Current Year (Defined Where Used) Records Retention Schedule CFR Code of Federal Regulations EX Expired or Expiration ORANGE COUNTY SANITATION DISTRICT GC Government Code (California) LF Life of Facility, Equip. or Software General Retention Schedule Information H&S Health & Safety Code LO Life of Organization or Permanent IRS Internal Revenue Service NN When No Longer Needed LC Labor Code (CA) OB Obsolete ■ This Records Retention Schedule (RRS) pertains to any and all Official Records of OC San regardless of Media Type and is adapted in PC Penal Code (CA) S Superseded compliance with GC §60201 and additional specific citations as noted. PRC Public Resources Code T ITerminated ■ Public Records Act requests, litigation, audits, claims, and investigations may suspend the stated retention periods and notification of OMB Office of Management & Budget such will be made. As stated in OC San's Records Retention Policy, authorization and proper destruction methods are required prior to R&TC Revenue & Taxation Code destroying all Official Records, regardless of Media Type. When original records have reached their retention length, all copies and SOS Secretary of State Media Types duplicates must be destroyed, along with the original, regardless of Media Type. USC United States Code CD JCD ■ Copies/duplicate records shall be determined as "duplicate" or "copy" in conjunction with Records Management. Upon determination by Record Management that a record is a duplicate or copy, OC San may destroy the duplicate record if the original or a permanent EL Electronic photographic record exists is in OC San's files (GC §60200). $ ecial tors a Consideration FD Floppy Disk ■ Notes, preliminary drafts, and transitory records are not considered Official Records and may be destroyed without complying with OC C Iconfidential P Paper San's RRS (SOS 2-1030). Such records may be destroyed when no longer needed for OC San business and do not require authorization for H lHistorical TA Tapes destruction. V Vital ■ Official Records cannot be discarded in trash bins. They must be submitted to Records Management for secure destruction. Human Resources Retention Special Retention Record Series / Record Type yp Length Storage Media Type Retention Citations /Comments Number (Years Unless Consideration Specified) Human Resources/ERP Database: HRD009 Electronic Records Management - JDE, Cornerstone, Workterra (Data Shared Across These LO Systems/Feed Into Each Other) HRD010 Employee 1-9 Forms & EEOC Data Collection Forms T+3 8 USC §1324a(b)(3)(B); SOS C-20 Medical Files: T+30 8 CCR §3204(d)(1); 29 CFR 1910.1020; GC HRD011 Fitness for Duty; Leaves of Absence, Interactive Process; Workers Comp Retirees: §12946 Medical Files are excluded from Personnel Files which are retained in HRD013 Death+30 HRD012 Organization Charts S+2 SOS C-19 Personnel Files: Includes Application, Awards, Disciplinary Actions, Certifications, Commendations, Employment Verifications, (pre-2011) Evaluations, Licenses, Status Change Forms, Policy Acknowledgements, V until 8 CCR §3204(d)(1); 29 CFR §1602.31, 29 CFR HRD013 Waiver of Responsibility for Voluntary Activities, Training Records, Pay Docs, Emergency Contacts, T+7 separation §1627.3; GC §§12946 Change of Address, Outside Employment, Development Pay Forms, Computer Loan Forms, Tuition Reimbursement Info, Specific Rideshare Info, Loyalty Oath, Resignation Excludes Medical Records which are retained in HRD011 29 CFR §1602 et seq., 29 CFR §1607.29, 29 CFR Recruitment Records: §1627.3; GC §6250 et seq., GC §12946 Includes Applications, Resumes, Certifications, and Other Recruitment Related Documents; CL = date of hire for selected candidate, or date of HRD014 Advertisements; Job Brochures; Test Data; Rating Sheets; Questions; Eligibility Lists; CL+4 first hired candidate if there is more than one hire Electronic/NEOGOV Records from a single recruitment, or, for unfilled positions, end of current fiscal year Human Resources Adopted: 12/14/2023 OC SAN 23-21-56 f)C Orange County Sanitation District Ration Codes Retention Codes CCP Code of Civil Procedure (CA) CL Closed or Completed SAN ORANGE COUNTY SANITATION DISTRICT Records Retention Schedule CCR California Code of Regulations Cu Current Year (Defined Where Used) CFR Code of Federal Regulations EX Expired or Expiration GC Government Code (California) LF Life of Facility, Equip. or Software General Retention Schedule Information H&S Health & Safety Code LO Life of Organization or Permanent IRS Internal Revenue Service NN When No Longer Needed ■ This Records Retention Schedule (RRS) pertains to any and all Official Records of OC San regardless of Media Type and is adopted in compliance with GC §60201 and additional specific citations as noted. ■ Public Records Act requests, litigation, audits, claims, and investigations may suspend the stated retention periods and notification of such will be made. As stated in OC San's Records Retention Policy, authorization and proper destruction methods are required prior to LC Labor Code (CA) OB JObsolete PC Penal Code (CA) S Superseded PRC Public Resources Code T ITerminated OMB Office of Management & Budget R&TC Revenue & Taxation Code destroying all Official Records, regardless of Media Type. When original records have reached their retention length, all copies and SOS Secretary of State Media Types duplicates must be destroyed, along with the original, regardless of Media Type. USC United States Code CD JCD ■ Copies/duplicate records shall be determined as "duplicate" or "copy" in conjunction with Records Management. Upon determination by Record Management that a record is a duplicate or copy, OC San may destroy the duplicate record if the original or a permanent EL Electronic photographic record exists is in OC San's files (GC §60200). ■ Notes, preliminary drafts, and transitory records are not considered Official Records and may be destroyed without complying with OC San's RRS (SOS 2-1030). Such records may be destroyed when no longer needed for OC San business and do not require authorization for destruction. ■ Official Records cannot be discarded in trash bins. They must be submitted to Records Management for secure destruction. $ ecial Storage Consideration FD Floppy Disk C Iconfidential P Paper H lHistorical TA Tapes V Vital Human Resources Retention Number Record Series / Record Type yp Retention Length (Years Unless Specified) Special Storage Consideration Media Type Retention Citations /Comments Training Program Records: 40 CFR §122.410)(2), 40 CFR §403.12(o); SOS C- HRD015 Class Attendance Sheets, Schedules, Classes Offered, Curriculum or Syllabus, Training Materials T+7 45 Development (Data Shared Across These Systems/Feed Into Each Other) CU = date of record HRD016 Background Checks: Candidate Background Checks T+7 SOS C-21 Human Resources Programs: Rideshare, Tuition Reimbursement, Computer Loan, Development Pay HRD017 Program Details, E-forms, Payment Schedules/Tracking Spreadsheets CL+3 EL SOS C-20 General Program Information Only; Employee Specific Information is Retained in Personnel Files (HRD013) HRD018 District Benefit Plans: Benefits Summary Plan Descriptions (Health, Dental, Vision, Other) EX+5 SOS C-21 HRD019 OC San U (Formerly Known as BLAST & OCSD U) Development Records: Research Material, Timeline LO H EL SOS C-28 HRD020 OC San U (Formerly Known as BLAST & OCSD U) Procedures S+2 EL SOS C-23 HRD021 OC San U (Formerly Known as BLAST & OCSD U) Professional Development Articles From External Sources NN EL Human Resources Adopted: 12/14/2023 OC SAN 23-21-57 Orange County Sanitation District Citation Codes Retention Codes CCP Code of Civil Procedure (CA) CL Closed or Completed OL.CCR 6SAN ORANGE COUNTY SANITATION DISTRICT Records Retention Schedule California Code of Regulations CU Current Year (Defined Where Used) CFR Code of Federal Regulations EX Expired or Expiration GC Government Code (California) LF Life of Facility, Equip. or Software General Retention Schedule Information H&S Health & Safety Code LO Life of Organization or Permanent IRS Internal Revenue Service NN When No Longer Needed ■ This Records Retention Schedule (RRS) pertains to any and all Official Records of OC San regardless of Media Type and is adopted in compliance with GC §60201 and additional specific citations as noted. ■ Public Records Act requests, litigation, audits, claims, and investigations may suspend the stated retention periods and notification of such will be made. As stated in OC San's Records Retention Policy, authorization and proper destruction methods are required prior to LC Labor Code (CA) OB JObsolete PC Penal Code (CA) S Superseded PRC Public Resources Code T ITerminated OMB Office of Management & Budget R&TC Revenue & Taxation Code destroying all Official Records, regardless of Media Type. When original records have reached their retention length, all copies and SOS Secretary of State Media Types duplicates must be destroyed, along with the original, regardless of Media Type. USC I United States Code CD JCD ■ Copies/duplicate records shall be determined as "duplicate" or "copy" in conjunction with Records Management. Upon determination by Record Management that a record is a duplicate or copy, OC San may destroy the duplicate record if the original or a permanent EL Electronic photographic record exists is in OC San's files (GC §60200). ■ Notes, preliminary drafts, and transitory records are not considered Official Records and may be destroyed without complying with OC San's RRS (SOS 2-1030). Such records may be destroyed when no longer needed for OC San business and do not require authorization for destruction. ■ Official Records cannot be discarded in trash bins. They must be submitted to Records Management for secure destruction. $ ecial tore a Consideration FD Floppy Disk C Confidential P Paper H Historical TA Tapes V Vital Human Resources Retention Number Record Series / Record Type yp Retention Length (Years Unless Specified) Special Storage Consideration Media Type Retention Citations /Comments HRD022 OC San U (Formerly Known as BLAST & OCSD U) Program Files: Minutes, Marketing Material, ProgramfTraining Evaluations, Quarterly Reports S+2 EL SOS C-19 HRD023 OC San U (Formerly Known as BLAST & OCSD U) Working Documents Member Rosters - Active & Inactive S EL 8 CCR §14300.4, 8 CCR §15400.2; LC §110-139.6; HRD024 Workers Compensation Files, Including Claims & Loss Run Reports LO EL SOS C-24 Incorporates 2018 BSD022 & 2018 RMS011 Human Resources Adopted: 12/14/2023 OC SAN 23-21-58 Citation Codes Retention Codes Orange County Sanitation District CCP Code of CivilProcedure(CA) CL Closed or Completed SAN ORANGE COUNTY SANITATION DISTRICT Records Retention Schedule CCR California Code of Regulations CU Current Year (Defined Where Used) CFR Code of Federal Regulations EX Expired or Expiration GC Government Code (California) LF Life of Facility, Equip. or Software General Retention Schedule Information H&S Health & Safety Code LO Life of Organization or Permanent IRS Internal Revenue Service NN When No Longer Needed ■ This Records Retention Schedule (RRS) pertains to any and all Official Records of OC San regardless of Media Type and is adopted in compliance with GC §60201 and additional specific citations as noted. ■ Public Records Act requests, litigation, audits, claims, and investigations may suspend the stated retention periods and notification of such will be made. As stated in OC San's Records Retention Policy, authorization and proper destruction methods are required prior to LC Labor Code (CA) OB Obsolete PC Penal Code (CA) S Superseded PRC Public Resources Code T ITerminated OMB Office of Management & Budget R&TC Revenue & Taxation Code destroying all Official Records, regardless of Media Type. When original records have reached their retention length, all copies and SOS Secretary of State Media Types duplicates must be destroyed, along with the original, regardless of Media Type. USC United States Code CD JCD ■ Copies/duplicate records shall be determined as "duplicate" or "copy" in conjunction with Records Management. Upon determination by Record Management that a record is a duplicate or copy, OC San may destroy the duplicate record if the original or a permanent EL Electronic photographic record exists is in OC San's files (GC §60200). ■ Notes, preliminary drafts, and transitory records are not considered Official Records and may be destroyed without complying with OC San's RRS (SOS 2-1030). Such records may be destroyed when no longer needed for OC San business and do not require authorization far destruction. ■ Official Records cannot be discarded in trash bins. They must be submitted to Records Management for secure destruction. $ ecial tors a Consideration FD Floppy Disk C 11Confidential P Paper H IV lHistorical TA Tapes Vital Information Technology Retention Number Record Series / Record Type yp Retention Length (Years Unless Specified) Special Storage Consideration Media Type Retention Citations /Comments ITD001 Access Authorization Forms: Email Access Requests, Internet Access Requests, Mobile Devices Access T+3 System and Software Documentation: SOS C-22 ITDO03 Network Design, Instruction, Licenses, License Codes, Agreements, Systems List, Permission to S+2 V Incorporates 20151TD009, 20151TD010, 2015 Directories, SharePoint Lists, Hardware and Software Documentation, Source Code, IT Manuals ITD011, 2015ITDO12 GIS (Geographic Information System) Database: ITDO04 Layers S SOS C-22 Data is interrelated across platforms ITD005 Information/Activity Logs: Internet, Phone, Badge, Visitors CU+2 SOS C-22 CU = current date ITDO06 IT Help Desk System: Service Tickets, Change Requests and Releases CL+3 SOS C-22 ITDO07 Network Diagrams/System Configurations/Maps/Plans S SOS C-22 ITDO08 IT Asset Inventory Database: IT Assets, Printers, Hardware, SCCM, Server Lists, Asset Explorer S+2 SOS C-22 Information Technology Adopted: 12/14/2023 OC SAN 23-21-59 Citation Codes Retention Codes Orange County Sanitation District CCP Code of CivilProcedure(CA) CL Closed or Completed SAN ORANGE COUNTY SANITATION DISTRICT Records Retention Schedule CCR California Code of Regulations CU Current Year (Defined Where Used) CFR Code of Federal Regulations EX Expired or Expiration GC Government Code (California) LF Life of Facility, Equip. or Software General Retention Schedule Information H&S Health & Safety Code LO Life of Organization or Permanent IRS Internal Revenue Service NN When No Longer Needed ■ This Records Retention Schedule (RRS) pertains to any and all Official Records of OC San regardless of Media Type and is adopted in compliance with GC §60201 and additional specific citations as noted. ■ Public Records Act requests, litigation, audits, claims, and investigations may suspend the stated retention periods and notification of such will be made. As stated in OC San's Records Retention Policy, authorization and proper destruction methods are required prior to destroying all Official Records, regardless of Media Type. When original records have reached their retention length, all copies and duplicates must be destroyed, along with the original, regardless of Media Type. LC Labor Code (CA) OB Obsolete PC Penal Code (CA) S Superseded PRC Public Resources Code T ITerminated OMB Office of Management & Budget R&TC Revenue & Taxation Code SOS Secretary of State Media Types USC United States Code CD JCD ■ Copies/duplicate records shall be determined as "duplicate" or "copy" in conjunction with Records Management. Upon determination by Record Management that a record is a duplicate or copy, OC San may destroy the duplicate record if the original or a permanent EL Electronic photographic record exists is in OC San's files (GC §60200). ■ Notes, preliminary drafts, and transitory records are not considered Official Records and may be destroyed without complying with OC San's RRS (SOS 2-1030). Such records may be destroyed when no longer needed for OC San business and do not require authorization far destruction. ■ Official Records cannot be discarded in trash bins. They must be submitted to Records Management for secure destruction. $ ecial tors a Consideration FD Floppy Disk C 11Confidential P Paper H IV lHistorical TA Tapes Vital Information Technology Retention Number Record Series / Record Type yp Retention Length (Years Unless Specified) Special Storage Consideration Media Type Retention Citations /Comments ITDO13 System Log (Database): Transaction Logs, Error Logs S+2 SOS C-22 GC §53160, GC §53161 Recordings of routine video surveillance must be retained for at least one (1) year. Recordings of telephone and radio communications must be retained for at least 100 days. In the event that the recordings are evidence in any claim filed or any pending litigation, they shall be preserved until ITDO15 Video Surveillance Files and System Security Database CU+1 pending litigation is resolved. Notwithstanding the foregoing, if written minutes or an audio recording of the video surveillance is taken, the video surveillance can be destroyed after 90 days. The written minutes and audio recording can be destroyed after two (2) years. Incorporates 2015 ITD014, 2015 ITDO17 CU = one year from current date Two -Way Radio Licensing and Information: ITDO16 Walkie Talkies (Industry Term is HT or Handy Talkies), Vehicle Mounted Two -Way Radios, Base Station Radios in Plant No. 1 Control Center & Plant No. 2 Operations Center, and Radio Repeaters EX+2 47 CFR §951701 et seq. Records of Services (Kept in Request to Purchase IT List), FCC License ITDO18 Virtual Computer Files: Replication for Disaster Recovery Purposes NN SOS C-22 Information Technology Adopted: 12/14/2023 OC SAN 23-21-60 Citation Codes Retention Codes �'' Orange County Sanitation District CCP Code of Civil Procedure (CA) CL Closed or Completed ���N ORANGE COUNTY SANITATION DISTRICT Records Retention Schedule CCR California Code of Regulations Cu Current Year (Defined Where Used) CFR Code of Federal Regulations EX Expired or Expiration GC Government Code (California) LF Life of Facility, Equip. or Software General Retention Schedule Information H&S Health & Safety Code LO Life of Organization or Permanent IRS Internal Revenue Service NN When No Longer Needed ■ This Records Retention Schedule (RRS) pertains to any and all Official Records of OC San regardless of Media Type and is adopted in compliance with GC §60201 and additional specific citations as noted. ■ Public Records Act requests, litigation, audits, claims, and investigations may suspend the stated retention periods and notification of such will be made. As stated in OC San's Records Retention Policy, authorization and proper destruction methods are required prior to LC Labor Code (CA) OB Obsolete PC Penal Code (CA) S Superseded PRC Public Resources Code T ITerminated OMB Office of Management & Budget R&TC Revenue & Taxation Code destroying all Official Records, regardless of Media Type. When original records have reached their retention length, all copies and SOS Secretary of State Media Types duplicates must be destroyed, along with the original, regardless of Media Type. USC United States Code CD JCD ■ Copies/duplicate records shall be determined as "duplicate" or "copy" in conjunction with Records Management. Upon determination by Record Management that a record is a duplicate or copy, OC San may destroy the duplicate record if the original or a permanent EL Electronic photographic record exists is in OC San's files (GC §60200). ■ Notes, preliminary drafts, and transitory records are not considered Official Records and may be destroyed without complying with OC San's RRS (SOS 2-1030). Such records may be destroyed when no longer needed for OC San business and do not require authorization for destruction. ■ Official Records cannot be discarded in trash bins. They must be submitted to Records Management for secure destruction. $ ecial Storage Consideration FD Floppy Disk C Confidential IP Paper H Historical ITA Tapes V Vital Information Technology Retention Number Record Series / Record Type yp Retention Length (Years Unless Specified) Special Storage Consideration Media Type Retention Citations/ Comments GC §4216.2(f) ITDO23 DigSmart/DigAlert Database/Tickets (Formerly Known as USA Tickets) CU+3 Business value in retention Was 2015 ENG021 CU = current date SOS C-26, SOS C-44 ITDO24 Tunnel Cross -Section, Vault Detail, Piping & Instrumentation Diagrams (P&IDs), Single Line Diagrams (SLDs), Instrument Loop Diagrams (ILDs) S V EL, P Tunnel Cross -Section & Vault Detail records are stored in Facility Records (Engineering) and managed by IT Incorporates 2018 ENG021, 2015 ENG008 40 CFR §122.410)(2), 40 CFR §403.12(o); SOS C- ITD025 Routine Recordings of Telephone Communications, Including Voicemail Recordings CU+100 Days 45 CU = date of record Information Technology Adopted: 12/14/2023 OC SAN 23-21-61 Citation Codes Retention Codes Orange County Sanitation District CCP Code of Civil Procedure CA CL Closed orCompleted 6SAN CCR California Code of Regulations CU Current Year (Defined Where Used) Records Retention Schedule CFR Code of Federal Regulations EX Expired or Expiration ORANGE COUNTY SANITATION DISTRICT GC Government Code (California) LF Life of Facility, Equip. or Software General Retention Schedule Information H&S Health & Safety Code LO Life of Organization or Permanent IRS Internal Revenue Service NN When No Longer Needed LC Labor Code (CA) OB Obsolete ■ This Records Retention Schedule (RRS) pertains to any and all Official Records of OC San regardless of Media Type and is adopted in PC Penal Code (CA) S Superseded compliance with GC §60201 and additional specific citations as noted. PRC Public Resources Code T ITerminated ■ Public Records Act requests, litigation, audits, claims, and investigations may suspend the stated retention periods and notification of OMB Office of Management & Budget such will be made. As stated in OC San's Records Retention Policy, authorization and proper destruction methods are required prior to R&TC Revenue & Taxation Code destroying all Official Records, regardless of Media Type. When original records have reached their retention length, all copies and SOS Secretary of State Media Types duplicates must be destroyed, along with the original, regardless of Media Type. USC United States Cade CD CD ■ Copies/duplicate records shall be determined as "duplicate" or "copy" in conjunction with Records Management. Upon determination by Record Management that a record is a duplicate or copy, OC San may destroy the duplicate record if the original or a permanent EL Electronic photographic record exists is in OC San's files (GC §60200). ecla tors a onsideraton FD Floppy Disk ■ Notes, preliminary drafts, and transitory records are not considered Official Records and may be destroyed without complying with OC C Confidential P Paper San's RRS (SOS 2-1030). Such records may be destroyed when no longer needed for OC San business and do not require authorization for H Historical TA Tapes destruction. V Vital ■ Official Records cannot be discarded in trash bins. They must be submitted to Records Management for secure destruction. Operations & Maintenance Retention Special Retention Record Series / Record Type yp Length Storage Media Type Retention Citations /Comments Number (Years Unless Consideration Specified) Chemical Inventory Records (OPERATIONS): 49 CFR §172.201; SOS C-33 OMD001 Delivery, Transfer, Usage, Manifest Worksheet, Inventory Logs CU+3 CU = calendar year Complaint Files and Problem Reports (OPERATIONS): SOS C-42 OMD002 Related to Organization's Operations - Odor, Noise, Call Center Complaints CU+2 EL Incorporates 2018 ESDO05 CU = calendar year OMD004 Flow Records (OPERATIONS) LID 40 CFR §122.410)(2) OMD005 Logs (OPERATIONS): CU+30 40 CFR §122.410)(2) Control Center Plant Operations CU = calendar year OMD006 Logs (OPERATIONS): CU+3 40 CFR §122.410)(2) Operations Monthly Logs, Inspector Diaries, Control Center Visitor Logs CU = calendar year OMD007 Monthly Reports: CU+2 EL SOS C-19 Operating and Status Reports, Key Performance Indicator Reports (Generated by 810) CU = calendar year OMD008 O&M Policies & Procedures: S+5 EL SOS C-19 Guidelines, Checklists, Standard Operating Procedures Operations and Maintenance Adopted: 12/14/2023 OC SAN 23-21-62 Citation Codes Retention Codes Orange County Sanitation District CCP Code of Civil Procedure CA CL Closed or Completed 6CCR SAN California Code of Regulations CU Current Year (Defined Where Used) Records Retention Schedule CFR Code of Federal Regulations EX Expired or Expiration ORANGE COUNTY SANITATION DISTRICT GC Government Code (California) LF Life of Facility, Equip. or Software General Retention Schedule Information H&S Health & Safety Code LO Life of Organization or Permanent IRS Internal Revenue Service NN When No Longer Needed LC Labor Code (CA) OB Obsolete ■ This Records Retention Schedule (RRS) pertains to any and all Official Records of OC San regardless of Media Type and is adopted in PC Penal Code (CA) S Superseded compliance with GC §60201 and additional specific citations as noted. PRC Public Resources Code T ITerminated ■ Public Records Act requests, litigation, audits, claims, and investigations may suspend the stated retention periods and notification of OMB Office of Management & Budget such will be made. As stated in OC San's Records Retention Policy, authorization and proper destruction methods are required prior to R&TC Revenue & Taxation Code destroying all Official Records, regardless of Media Type. When original records have reached their retention length, all copies and SOS Secretary of State Media Types duplicates must be destroyed, along with the original, regardless of Media Type. USC United States Code CD CD ■ Copies/duplicate records shall be determined as "duplicate" or "copy" in conjunction with Records Management. Upon determination by Record Management that a record is a duplicate or copy, OC San may destroy the duplicate record if the original or a permanent EL Electronic photographic record exists is in OC San's files (GC §60200). ecla torn a onslderation FD Floppy Disk ■ Notes, preliminary drafts, and transitory records are not considered Official Records and may be destroyed without complying with OC C Confidential P Paper San's RRS (SOS 2-1030). Such records may be destroyed when no longer needed for OC San business and do not require authorization for H IV Historical TA Tapes destruction. Vital ■ Official Records cannot be discarded in trash bins. They must be submitted to Records Management for secure destruction. Operations & Maintenance Retention Special Retention Record Series / Record Type yp Length Storage Media Type Retention Citations/ Comments Number (Years Unless Consideration Specified) OMD009 Operating Journals (OPERATIONS): CU+2 EL, P 40 CFR §122.410)(2) Alarm Summary (EL), Operations Round Sheets (EL, P), Midnight Readings (EL) CU = calendar year Operating Records (OPERATIONS): 40 CFR §122.410)(2) OMD010 Activated Sludge (AS) Plant Reports (EL, P), Operator Schedules (P), Biosolids Hauling Tickets (P), Grit CU+5 EL, P CU = calendaryear & Screening Tickets (P) OMD011 Process Data (OPERATIONS): LO EL 40 CFR §122.410)(2) Monthly Sum mary of Operations (MSOs) [EL], Treatment Plant Operational Data (TPODs) [EL] CCP §338(k); SOS C-27 AQMD: Cengen Emissions Reports are used as part of Title 1-Cengen Emissions Reports, 2-AQMD Round Sheets, 3-Flare Reports V permitting, which is addressed in ESDO02. OMD014 Some of these records are key records to be retained for ESDO02, please forward to ES if storage 06+7 P OMD014 needs to match ESDO02 for retention as becomes burdensome these provide adherence to existing AQMD permit conditions. Facility Maintenance & Repair (MAINTENANCE): OMD015 LOTO Audits, Underground Storage Tank Permits, Assessment & Testing Results - Data, Corrective & LF+2 EL, P SOS C-42 Preventative Maintenance Records (Job Plans, Work Orders) Generator Operation Logs (OPERATIONS): GC §34090 OMD016 Fixed or Stationary 06+7 P Logs are used as part of AQMD Title V permitting, Some of these records are key records to be retained for ESD002, please forward to ES if storage which is addressed in ESDO02. OMD016 needs to becomes burdensome match ESDO02 for retention. 40 CFR §122.410)(2), 40 CFR §403.12(o); SOS C- OMD017 Pressure Vehicle CNG Tank Inspection Certification (FLEET) LF+2 EL, P 45 CU = date of record Operations and Maintenance Adopted: 12/14/2023 OC SAN 23-21-63 Citation Codes Retention Codes Orange County Sanitation District CCP Code of Civil Procedure CA CL Closed orCompleted 6CCR SAN California Code of Regulations CU Current Year (Defined Where Used) Records Retention Schedule CFR Code of Federal Regulations EX Expired or Expiration ORANGE COUNTY SANITATION DISTRICT GC Government Code (California) LF Life of Facility, Equip. or Software General Retention Schedule Information H&S Health & Safety Code LO Life of Organization or Permanent IRS Internal Revenue Service NN When No Longer Needed LC Labor Code (CA) OB Obsolete ■ This Records Retention Schedule (RRS) pertains to any and all Official Records of OC San regardless of Media Type and is adopted in PC Penal Code (CA) S Superseded compliance with GC §60201 and additional specific citations as noted. PRC Public Resources Code T ITerminated ■ Public Records Act requests, litigation, audits, claims, and investigations may suspend the stated retention periods and notification of OMB Office of Management & Budget such will be made. As stated in OC San's Records Retention Policy, authorization and proper destruction methods are required prior to R&TC Revenue & Taxation Code destroying all Official Records, regardless of Media Type. When original records have reached their retention length, all copies and SOS Secretary of State Media Types duplicates must be destroyed, along with the original, regardless of Media Type. USC United Stales Code CD CD ■ Copies/duplicate records shall be determined as "duplicate" or "copy" in conjunction with Records Management. Upon determination by Record Management that a record is a duplicate or copy, OC San may destroy the duplicate record if the original or a permanent EL Electronic photographic record exists is in OC San's files (GC §60200). ecla torn a onsideration FD Floppy Disk ■ Notes, preliminary drafts, and transitory records are not considered Official Records and may be destroyed without complying with OC C I Confidential P Paper San's RRS (SOS 2-1030). Such records may be destroyed when no longer needed for OC San business and do not require authorization.-. H Historical TA Tapes destruction. V Vital ■ Official Records cannot be discarded in trash bins. They must be submitted to Records Management for secure destruction. Operations & Maintenance Retention Special Retention Record Series / Record Type yp Length Storage Media Type Retention Citations /Comments Number (Years Unless Consideration Specified) OMD018 Vehicle Smog Check Inspection Report (FLEET) LF+2 EL, P SOS A-1 DMV & State requirement CHIP Commercial Inspection: 49 CFR §396.11(c)(2) OMD019 Bit Inspection (CHP Commercial Vehicle Inspection), CHIP Safety Maintenance Inspection LF+2 P CHP, DMV & State requirement Certifications: SOS C-47 OMD020 Mobile Crane, Vehicles, Equipment Calibration Certification LF+2 EL, P DMV & State requirement OMD022 Collection System Process Data (COLLECTIONS): LO SOS C-45 Pump Station, Control System Historical Data Inspection Reports & Photos (COLLECTIONS): SOS C-45 OMD023 Manhole CU+10 CU = calendar year 40 CFR Sec. 122.410)(2); 40 CFR Sec. 403.12(o); OMD024 Sewer Line Maintenance Files (COLLECTIONS) CU+10 SOS C-45 CU = calendar year Vehicle Records (FLEET): Equipment Files, Maintenance, Registrations, Vehicle Titles ("Rink Slips"), Vehicle Citations CCP §337; 8 CCR § 3203(b)(1); 49 CFR OMD026 Vehicle Tltles/Pink Slips are transferred to new owner upon sale of vehicle; all other records are LF+2 V §396.21(b)(1), 49 CFR §396.3© retained until Disposal of Vehicle or Equipment + 2 years Operations and Maintenance Adopted: 12/14/2023 OC SAN 23-21-64 Citation Codes Retention Codes ASAN Orange County Sanitation District CCP Code of Civil Procedure (CA) CL Closed or Completed ORANGE COUNTY SANITATION DISTRICT Records Retention Schedule CCR California Code of Regulations CU Current Year (Defined Where Used) CFR Code of Federal Regulations EX Expired or Expiration GC Government Code (California) LF Life of Facility, Equip. or Software General Retention Schedule Information H&S Health & Safety Code LO Life of Organization or Permanent IRS Internal Revenue Service NN When No Longer Needed ■ This Records Retention Schedule (RRS) pertains to any and all Official Records of OC San regardless of Media Type and is adopted in compliance with GC §60201 and additional specific citations as noted. ■ Public Records Act requests, litigation, audits, claims, and investigations may suspend the stated retention periods and notification of such will be made. As stated in OC San's Records Retention Policy, authorization and proper destruction methods are required prior to LC Labor Code (CA) OB Obsolete PC Penal Code (CA) S Superseded PRC Public Resources Code T ITerminated OMB Office of Management & Budget R&TC Revenue & Taxation Code destroying all Official Records, regardless of Media Type. When original records have reached their retention length, all copies and SOS Secretary of State Media Types duplicates must be destroyed, along with the original, regardless of Media Type. USC United States Code CD JCD ■ Copies/duplicate records shall be determined as "duplicate" or "copy" in conjunction with Records Management. Upon determination by Record Management that a record is a duplicate or copy, OC San may destroy the duplicate record if the original or a permanent EL Electronic photographic record exists is in OC San's files (GC §60200). ■ Notes, preliminary drafts, and transitory records are not considered Official Records and may be destroyed without complying with OC San's RRS (SOS 2-1030). Such records may be destroyed when no longer needed for OC San business and do not require authorization far destruction. ■ Official Records cannot be discarded in trash bins. They must be submitted to Records Management for secure destruction. $ ecial tors a Consideration FD Floppy Disk C IConfidential P Paper H IV Historical TA Tapes Vital Public Affairs _7= 0 Retention Number Record Series / Record Type yp Retention Length (Years Unless Specified) Special Storage Consideration Media Type Retention Citations /Comments PA0001 Education Curriculum: Sewer Science, Water Festival, Other S+2 SOS C-24 PA0002 Outreach/Event File: Tour Documentation, RSVP's, Sign -in Sheets, Other Related Information S+5 SOS C-24 Marketing Material: PA0003 Flyers, General Brochure, Marketing Brochures, Newsletters, Email Blasts, Marketing Related S+7 SOS C-19 Presentations/PowerPoi nts SOS C-40 PA0006 Press/Media Releases LO H SOS allows S+2; however, based on business needs, preferred retention is LO PA0007 Publication Proofs (Ad in Adjudicated/Circulated Newspaper) (Non -Board and/or CPM Related): General Marketing S+2 SOS C-24 PA0008 Website Content Archiving PageFreezer provides services; Board Services manages S+2 SOS C-22 PA0009 Employee Events: Agency Awards, Recognitions, Announcements LO H Legal advice is S+2; however, based on business needs, preferred retention is LO Public Affairs Adopted: 12/14/2023 OC SAN 23-21-65 Citation Codes Retention Codes ASAN Orange County Sanitation District CCP Code of Civil Procedure (CA) CL Closed or Completed ORANGE COUNTY SANITATION DISTRICT Records Retention Schedule CCR California Code of Regulations CU Current Year (Defined Where Used) CFR Code of Federal Regulations EX Expired or Expiration GC Government Code (California) LF Life of Facility, Equip. or Software General Retention Schedule Information H&S Health & Safety Code LO Life of Organization or Permanent IRS Internal Revenue Service NN When No Longer Needed ■ This Records Retention Schedule (RRS) pertains to any and all Official Records of OC San regardless of Media Type and is adopted in compliance with GC §60201 and additional specific citations as noted. ■ Public Records Act requests, litigation, audits, claims, and investigations may suspend the stated retention periods and notification of such will be made. As stated in OC San's Records Retention Policy, authorization and proper destruction methods are required prior to LC Labor Code (CA) OB Obsolete PC Penal Code (CA) S Superseded PRC Public Resources Code T ITerminated OMB Office of Management & Budget R&TC Revenue & Taxation Code destroying all Official Records, regardless of Media Type. When original records have reached their retention length, all copies and SOS Secretary of State Media Types duplicates must be destroyed, along with the original, regardless of Media Type. USC United States Code CD JCID ■ Copies/duplicate records shall be determined as "duplicate" or "copy" in conjunction with Records Management. Upon determination by Record Management that a record is a duplicate or copy, OC San may destroy the duplicate record if the original or a permanent EL Electronic photographic record exists is in OC San's files (GC §60200). ■ Notes, preliminary drafts, and transitory records are not considered Official Records and may be destroyed without complying with OC San's RRS (SOS 2-1030). Such records may be destroyed when no longer needed for OC San business and do not require authorization far destruction. ■ Official Records cannot be discarded in trash bins. They must be submitted to Records Management for secure destruction. $ ecial tors a Consideration FD Floppy Disk C IConfidential P Paper H IV Historical TA Tapes Vital Public Affairs Retention Number Record Series / Record Type yp Retention Length (Years Unless Specified) Special Storage Consideration Media Type Retention Citations /Comments PA0010 Legislative Files: Letters of Support, Opposition LO SOS C-28 Legal advice is S+2, however, based on business needs, preferred retention is LO Social Media Archiving: PA0011 Facebook, Twitter, YouTube, Instagram S+2 SOS C-22 PageFreezer provides services; Board Services manages Annual Reports: PA0012 OC San Annual Report, Public Affairs Strategic Plan, Legislative Plan LO H SOS C-19 All items taken to the Board for approval (annually, every two years) Public Affairs Adopted: 12/14/2023 OC SAN 23-21-66 Citation Codes Retention Codes Orange County Sanitation District CCP Code of Civil Procedure (CA) CL Closed or Completed OC6SAN CCR California Code of Regulations CU Current Year (Defined Where Used) ORANGE COUNTY SANITATION DISTRICT Records Retention Schedule CFR Code of Federal Regulations EX Expired or Expiration GC Government Code (California) LF Life of Facility, Equip. or Software General Retention Schedule Information H&S Health & Safety Code LO Life of Organization or Permanent IRS Internal Revenue Service NN When No Longer Needed LC Labor Code (CA) OB Obsolete ■ This Records Retention Schedule (RRS) pertains to any and all Official Records of OC San regardless of Media Type and is adopted in PC Penal Code (CA) S ISupersecled compliance with GC §60201 and additional specific citations as noted. PRC Public Resources Code T ITerminated ■ Public Records Act requests, litigation, audits, claims, and investigations may suspend the stated retention periods and notification of OMB Office of Management & Budget such will be made. As stated in OC San's Records Retention Policy, authorization and proper destruction methods are required prior to R&TC Revenue & Taxation Code destroying all Official Records, regardless of Media Type. When original records have reached their retention length, all copies and SOS Secretary of State Media Types duplicates must be destroyed, along with the original, regardless of Media Type. USC I United States Cade CD JCD ■ Copies/duplicate records shall be determined as "duplicate" or "copy" in conjunction with Records Management. Upon determination by Record Management that a record is a duplicate or copy, OC San may destroy the duplicate record if the original or a permanent EL Electronic photographic record exists is in OC San's files (GC §60200). Special StOrage Consideration FD Floppy Disk ■ Notes, preliminary drafts, and transitory records are not considered Official Records and may be destroyed without complying with OC C I Confidential P Paper San's RRS (SOS 2-1030). Such records may be destroyed when no longer needed for OC San business and do not require authorization for H lHistorical TA Tapes destruction. V Vital ■ Official Records cannot be discarded in trash bins. They must be submitted to Records Management for secure destruction. Risk Management and Safety Retention Special Retention Record Series / Record T e yp Length Storage Media Type Retention Citations /Comments Number (Years Unless Consideration Specified) RMS002 DOT Random Drug & Alcohol Test Records CU+5 C 49 CFR §199.117; GC §12946 CU = calendar year 29 CFR §1910.119(g), 29 CFR §1910.120(q); SOS RMS003 Emergency Exercises: Planning Documents, Meeting Minutes, After Action Reports CU+2 C-41 CU = calendar year Emergency Response: 29 CFR §1910.119(g), 29 CFR §1910.120(q) RMS004 Response & Disaster Recovery Files, Emergency Operations Center Activiation Notifications & Records LO Incorporates 2015 RMS005 CCR §1529(n)6, 8 CCR §3204(d)(1)(B); 29 CFR Industrial Hygiene & Safety: §1910.1020 RMS006 Hazard Assessments, Inspections, Site Characterization Reports, Exposure Monitoring Reports, Noise LO Incorporating 2018 RMS030 into RMS006 as Assessments, Surveys, Audits, Indoor Air Quality, Mold, Asbestos/Lead Surveys, Abatement Reports Retention Length requested to change from T+30 to LO based on business needs. Incorporating 2015 RMS015 & 2018 RMS030. Occupational Medical Files: RMS007 Medical Evaluations, Audiometric Test Reports, Pulmonary Function Tests, Respiratory Medical T+30 C 8 CCR §3204; 29 CFR §1910 Clearance OSHA Compliance Records: RMS008 Citations, Appeals Related, Correspondence LO 29 CFR §1904.4, OMB 1220-0029, SOS A-2 OSHA 300 & 301 Logs retained in RMS012 Risk Management and Safety Adopted: 12/14/2023 OC SAN 23-21-67 Citation Codes Retention Codes Orange County Sanitation District CCP Code of Civil Procedure (CA) CL Closed or Completed SAN GRANGE COUNTY SANITATION DISTRICT Records Retention Schedule CCR California Code of Regulations CU Current Year (Defined Where Used) CFR Code of Federal Regulations EX Expired or Expiration GC Government Code (California) LF Life of Facility, Equip. or Software General Retention Schedule Information H&S Health & Safety Code LO Life of Organization or Permanent IRS Internal Revenue Service NN When No Longer Needed ■ This Records Retention Schedule (RRS) pertains to any and all Official Records of OC San regardless of Media Type and is adopted in compliance with GC §60201 and additional specific citations as noted. ■ Public Records Act requests, litigation, audits, claims, and investigations may suspend the stated retention periods and notification of such will be made. As stated in OC San's Records Retention Policy, authorization and proper destruction methods are required prior to LC Labor Code (CA) OB JOEsolete PC Penal Code (CA) S Superseded PRC Public Resources Code T ITerminated OMB Office of Management & Budget R&TC Revenue & Taxation Code destroying all Official Records, regardless of Media Type. When original records have reached their retention length, all copies and SOS Secretary of State Media Types duplicates must be destroyed, along with the original, regardless of Media Type. USC United States Code CD JCD ■ Copies/duplicate records shall be determined as "duplicate" or "copy" in conjunction with Records Management. Upon determination by Record Management that a record is a duplicate or copy, OC San may destroy the duplicate record if the original or a permanent EL Electronic photographic record exists is in OC San's files (GC §60200). ■ Notes, preliminary drafts, and transitory records are not considered Official Records and may be destroyed without complying with OC San's RRS (SOS 2-1030). Such records may be destroyed when no longer needed for OC San business and do not require authorization far destruction. ■ Official Records cannot be discarded in trash bins. They must be submitted to Records Management for secure destruction. $ ecial tors a Consideration FD Floppy Disk C Confidential P Paper H lHistorical TA Tapes V Vital Risk Management and Safety Retention Number Record Series / Record Type yp Retention Length (Years Unless Specified) Special Storage Consideration Media Type Retention Citations /Comments 8 CCR §3203 RMS010 Safety Committee: Action Items, Agendas, Meeting Minutes, Annual Reports, Presentations CU+4 Retention aligns with Voluntary Protection Program (VPP) CU = document date RMS012 OSHA Logs: 300 & 301 Logs CU+7 8 CCR §14300.33(a); 29 CFR §1904.33, 29 CFR §1904.44; LC §6429c CU = calendar year RMS014 Accident & Incident Records CL+7 CCP §338; CFR §1904.6, SOS C-24 RMS016 Hazardous Materials Records: Business Plans, Hazardous Materials Inventory, Disclosures CU+5 40 CFR §122.21(p), 40 CFR §122.41 CU = document date 8 CCR §14300.33(a); 29 CFR §1904.33, 29 CFR RMS017 Calibration Gas Detectors Annual Recertification CU+5 P §1904.44; LC §6429c CU = calendar year 8 CCR §5157(e)(6); 29 CFR 1910.146(e)(6), 40 CFR §122.410)(2); GC §53161; SOS C-42 RMS018 Confined Space Records & Entries CU+4 Retention aligns with VPP CU = document date Incorporates 2018 OMD003 Risk Management and Safety Adopted: 12/14/2023 OC SAN 23-21-68 Citation Codes Retention Codes nrOrange County Sanitation District CCP Code of Civil Procedure (CA) CL Closed or Completed A, SAN ORANGE COUNTY SANITATION DISTRICT Records Retention Schedule CCR California Code of Regulations CU Current Year (Defined Where Used) CFR Code of Federal Regulations EX Expired or Expiration GC Government Code (California) LF Life of Facility, Equip. or Software General Retention Schedule Information H&S Health & Safety Code LO Life of Organization or Permanent IRS Internal Revenue Service NN When No Longer Needed ■ This Records Retention Schedule (RRS) pertains to any and all Official Records of OC San regardless of Media Type and is adopted in compliance with GC §60201 and additional specific citations as noted. ■ Public Records Act requests, litigation, audits, claims, and investigations may suspend the stated retention periods and notification of such will be made. As stated in OC San's Records Retention Policy, authorization and proper destruction methods are required prior to LC Labor Code (CA) OB jObsolete PC Penal Code (CA) S ISuperseded PRC Public Resources Code T ITerminated OMB Office of Management & Budget R&TC Revenue & Taxation Code destroying all Official Records, regardless of Media Type. When original records have reached their retention length, all copies and SOS Secretary of State Media Types duplicates must be destroyed, along with the original, regardless of Media Type. USC United States Code CD JCD ■ Copies/duplicate records shall be determined as "duplicate" or "copy" in conjunction with Records Management. Upon determination by Record Management that a record is a duplicate or copy, OC San may destroy the duplicate record if the original or a permanent EL Electronic photographic record exists is in OC San's files (GC §60200). ■ Notes, preliminary drafts, and transitory records are not considered Official Records and may be destroyed without complying with OC San's RRS (SOS 2-1030). Such records may be destroyed when no longer needed for OC San business and do not require authorization far destruction. ■ Official Records cannot be discarded in trash bins. They must be submitted to Records Management for secure destruction. $ ecial torage Consideration FD Floppy Disk C Confidential P Paper H lHistorical TA Tapes V Vital Risk Management and Safety or Retention Number Record Series / Record Type yp Retention Length (Years unless Specified) Special Storage Consideration Media Type Retention Citations /Comments 22 CCR §66262.40(a), 22 CCR §66264.71(b)(6), 8 RMS019 Hazardous Waste Records: Manifests, Disposals, Recyclable Non Hazardous Waste Material, Batteries, etc. LO CCR §3204(d)(1), 26 CCR §22-64470(a); 40 CFR §122.410)(2), 40 CFR §141.33(b); GC §12946; SOS C-33, SOS C-47 RMS020 HazMat Permits, Environmental Health Permits: Bulk Chemicals, Fire, Battery Storage LO 40 45 CFR §122.410)(2), 40 CFR §403.12(o); SOS C- CU = date of record RMS021 Safety Data Sheets (SDS) LO 8 CCR §5194; 29 CFR §1910 RMS022 Respiratory Protection: Fit Test Records, Written Program S 8 CCR §5144(m) Medical Evaluations retained in RMS007 RMS024 Training Records - Safety: Rosters, Syllabus, Schedule, Curriculum Material Only CU+7 SOS C-21 CU = document date RMS025 Training Database LO RMS026 Radiation License & Disposal Records LO 17 CCR §30293 Risk Management and Safety Adopted: 12/14/2023 OC SAN 23-21-69 Citation Codes Retention Codes Orange County Sanitation District CCP Code of Civil Procedure CA CL Closed or Completed SAN ORANGE COUNTY SANITATIONDISTRIC7 Records Retention Schedule CCR California Code of Regulations CU Current Year (Defined Where Used) CFR Code of Federal Regulations EX Expired or Expiration GC Government Code (California) LF Life of Facility, Equip. or Software General Retention Schedule Information H&S Health & Safety Code LO Life of Organization or Permanent IRS Internal Revenue Service NN When No Longer Needed LC Labor Code (CA) OB Obsolete ■ This Records Retention Schedule (RRS) pertains to any and all Official Records of OC San regardless of Media Type and is adopted in compliance with GC §60201 and additional specific citations as noted. ■ Public Records Act requests, litigation, audits, claims, and investigations may suspend the stated retention periods and notification of such will be made. As stated in OC San's Records Retention Policy, authorization and proper destruction methods are required prior to PC Penal Code (CA) S ISuperseded PRC Public Resources Code T ITerminated OMB Office of Management & Budget R&TC Revenue & Taxation Code destroying all Official Records, regardless of Media Type. When original records have reached their retention length, all copies and SOS Secretary of State Media Types duplicates must be destroyed, along with the original, regardless of Media Type. USC United States Code CD CD ■ Copies/duplicate records shall be determined as "duplicate" or "copy" in conjunction with Records Management. Upon determination by Record Management that a record is a duplicate or copy, OC San may destroy the duplicate record if the original or a permanent EL Electronic photographic record exists is in OC San's files (GC §60200). ■ Notes, preliminary drafts, and transitory records are not considered Official Records and may be destroyed without complying with OC San's RRS (SOS 2-1030). Such records may be destroyed when no longer needed for OC San business and do not require authorization for destruction. ■ Official Records cannot be discarded in trash bins. They must be submitted to Records Management for secure destruction. ecla torage Consideration FD Floppy Disk C Confidential P Paper H IV Historical TA Tapes Vital Risk Management and Safety Retention Number Record Series / Record Type yp Retention Length (Years Unless Specified) Special Storage Consideration Media Type Retention Citations /Comments 29 CFR §1904.6, 29 CFR §1910.132, 29 CFR §1910.252; OMB 1218-0176 RMS027 Contractor Safety Orientation, Job Site Safety Analysis (JSSA), Job Hazard Analysis (JHA), Hot Work Permits CU+4 Retention aligns with VPP CU = document date JSSA renamed Contractor Safety Orientation in 2020 RMS028 PPE Assessments S 29 CFR §1910.132 29 CFR §1910.147(c)(6), 29 CFR §1910.147(c)(7), RMS029 Lock Out Tag Out Audits (LOTO) 4 29 CFR §1910.147(f)(2) Retention aligns with VPP RMS032 Vehicle Inspection & Equipment Checks Files: Daily Safety Checks, Pre -Starts, Commercial Vehicle Pre -Starts and Forklift Inspections, Pre -Trip Inspections, CHIP Inspections, Daily Vehicle Inspections, Daily Equipment Checks CU+4 49 CFR §396.11(c)(2), 49 CFR §396.21(b)(1) CU = document date RMS033 Continuity of Operations Plan (COOP) S V EL, P GC §60102(d)(10) SOS C-22 CU = current date Excludes entry for Board/Committee meetings and RMS034 Vehicle Entry Logs (Security) CU+2 issued parking passes. Information entered in logs includes date, host name, purpose of visit, and vehicle information. Referred to if there is a security related incident. Risk Management and Safety Adopted: 12/14/2023 OC SAN 23-21-70 Procedure 4.0 Record Series With Definitions Exhibit C PLACEHOLDER OC SAN 23-21-71 Procedure Number: 5.0 Orange County Sanitation District Effective Date: 12/14/2023 D.."Mu QN RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Supersedes: 03/22/2023 SUBJECT: RECORDS DISPOSITION Approved by: OC San Board of Directors 1.0 INTRODUCTION 1.1 Records disposition is a specific set of actions taken with regard to inactive records as determined through records appraisal. 1.2 Records disposition includes determining whether OC San records are eligible for destruction (records have been determined to be retention expired) or for longer -term preservation (records have been determined to be Historical Records or Inactive Records). 2.0 PURPOSE 2.1 The purpose of this procedure is to describe the procedures for dispositioning OC San Retention Expired Records, Inactive Records, and Historical Records in an organized and efficient manner. 2.2 This procedure ensures that appropriate review and approval are completed prior to destruction or longer -term storage of OC San records. 2.3 This procedure ensures that records that have an expired retention, but that are subject to a Records Hold of any sort (legal, audit, or other), are maintained until resolution of the matter or conclusion of the reason necessitating the Records Hold. 2.4 This procedure applies to all OC San records regardless of whether or not the records contain sensitive information (confidential). Should a unique process for disposition be required for any record, please contact the Clerk of the Board and/or designee and a process will be established that is mutually acceptable for all business purposes. 3.0 PROCEDURES 3.1 Records are periodically reviewed in order to identify those records that have met the required retention periods established in the Records Retention Schedule (RRS). 3.2 The review activity usually groups records into the following frequently used disposition groups: Records Disposition 1 Adopted 12/14/2023 OC SAN 23-21-72 Procedure Number: 5.0 Orange County Sanitation District Effective Date: 12/14/2023 oloSQN RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Supersedes: 03/22/2023 SUBJECT: RECORDS DISPOSITION Approved by: OC San Board of Directors 3.2.1 Retention Expired Records: Records that have met the required retention are considered obsolete and are processed for destruction. 3.2.2 Inactive Records: Records that have not met their retention periods but are no longer required to be in the immediate office area are considered inactive and are processed for offsite storage. 3.2.3 Historical Records: Records that have met their business function retention requirements but have historical or intrinsic value are considered Historical Records and are digitized and processed for long-term storage. 3.2.4 Active Records: Records that are required for current day-to-day business and are subject to frequent use; generally located near the user (if hardcopy); can easily be accessible on a networked server (if electronic); generally referred to more than once per month. May also be stored offsite. 4.0 PROCESSING OFFICIAL DISTRICT RECORDS FOR DESTRUCTION 4.1 Destruction of the official version of OC San records requires the approval of the following, as applicable: • Submitter • Department/Division Records Coordinator • Department/Division Supervisor • Department/Division Manager • Department/Division Director • Clerk of the Board (or designee) • Legal Counsel 4.2 Procedures to process destruction of expired records are included in the following chart: Responsibility Action Clerk of the Board Annually, at the start of the calendar year, issue a call to all and/or designee Records Coordinators requesting a review and purge of their Active, Inactive, and Historical Records. Records Disposition 2 Adopted 12/14/2023 OC SAN 23-21-73 Procedure Number: 5.0 Orange County Sanitation District Effective Date: 12/14/2023 voSSAN RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Supersedes: 03/22/2023 SUBJECT: RECORDS DISPOSITION Approved by: OC San Board of Directors Responsibility Action Division Records Review existing records currently maintained in the office area Coordinators (may also or stored offsite. Review can be done annually at the start of be a Submitter the calendar year based on the call from the Clerk of the Board separate from the and/or designee (step above), or as business needs warrant. Records Coordinator) Review should be conducted using the appropriate RRS, using all components of any given Record Type (Record Type description, Retention Length, etc.). Calculate destruction dates using the Records Management Disposition Form (Exhibit A). Cross-reference records with any active Records Holds. The Clerk of the Board and/or designee should be contacted for any questions pertaining to Records Holds. • Purge the files in accordance with the process outlined below and in Procedure 4.0. Do not purge any documents subject to a Records Hold. • If there are records identified that have met the required retention periods, that are not subject to a Records Hold, complete a Records Management Disposition Form (Exhibit A). The Clerk of the Board and/or designee will prepare the Request for Authorization to Destroy Records (Exhibit B) and route the documents for digital signatures/approval. • The Submitter and Records Coordinator are first and second, respectively, in the approval routing sequence. Clerk of the Board • Review the submitted Disposition Form and validate all and/or designee information on the Disposition Form, including confirming the records are eligible for destruction (checking historical value, Records Holds, etc.). • If the records identified are not eligible for destruction, advise the Records Coordinator and Submitter and handle according to the type of record. • Prepare the Request for Authorization to Destroy Records, ensuring the appropriate RRS is included in the information that Records Disposition 3 Adopted 12/14/2023 OC SAN 23-21-74 Procedure Number: 5.0 Orange County Sanitation District Effective Date: 12/14/2023 o„avoSSAN RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Supersedes: 03/22/2023 SUBJECT: RECORDS DISPOSITION Approved by: OC San Board of Directors Responsibility Action is routed, and route for signature/approval. Digitally sign the forms approving destruction (in the approval routing sequence after Legal Counsel). Department/Division • Review the submitted forms and authorize approval to destroy Supervisor records by digitally signing/approving the forms. • If you do not approve, please contact the Clerk of the Board and/or designee. The Clerk of the Board and/or designee will coordinate with the Submitter and Records Coordinator, as appropriate, to resolve any issues. Department/Division . Review the submitted forms and authorize approval to destroy Manager records by digitally signing/approving the forms. • If you do not approve, please contact the Clerk of the Board and/or designee. The Clerk of the Board and/or designee will coordinate with the Submitter and Records Coordinator, as appropriate, to resolve any issues. Department/Division • Review the submitted forms and authorize approval to destroy Director records by digitally signing/approving the forms. • If you do not approve, please contact the Clerk of the Board and/or designee. The Clerk of the Board and/or designee will coordinate with the Submitter and Records Coordinator, as appropriate, to resolve any issues. Legal Counsel • Review the submitted forms and determine whether to approve or disapprove the request for destruction of records. • If you do not approve, please contact the Clerk of the Board and/or designee. The Clerk of the Board and/or designee will coordinate with the Submitter and Records Coordinator, as appropriate, to resolve any issues. • Authorize approval to destroy records by digitally signing/approving the forms. Records Disposition 4 Adopted 12/14/2023 OC SAN 23-21-75 Procedure Number: 5.0 Orange County Sanitation District Effective Date: 12/14/2023 o„aGrQ1•SAN RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Supersedes: 03/22/2023 SUBJECT: RECORDS DISPOSITION Approved by: OC San Board of Directors Responsibili Clerk of the Board and/or designee Division Records Coordinator & Assistant Clerk of the Board Clerk of the Board and/or designee Action Upon complete approval, the Clerk of the Board and/or designee will send a copy of the approved forms to the Division Records Coordinator. • Upon approval of the destruction request, the Records Coordinator and Clerk of the Board and/or designee will proceed with destruction procedures. • If request for destruction is not approved for any reason, records will be maintained until resolution of the matter or conclusion of the reason necessitating the Records Hold. • Coordinate destruction of records. If the records are digital, notify IT of the necessary destruction or handle in other appropriate manner. Whoever destroys electronic files will be required to complete a Certificate of Digital Record Destruction (Exhibit C). The Clerk of the Board and/or designee will coordinate the completion of this document. If the records are confidential, arrange for destruction that will protect the confidentiality of the information. • After destruction, ensure that a Certificate of Destruction is properly completed and signed. • Maintain the Certificate of Destruction in the appropriate files. • Update the Master Records Inventory and GRM database as applicable. 5.0 PROCESSING DUPLICATE RECORDS FOR DESTRUCTION 5.1 Duplicate records are documents that are copies of the original or official version of a record. A duplicate may be a paper version or an electronic version of the official record. Retention periods of original or official versions of a record do not apply to duplicate files. Duplicate records may be destroyed at any time, upon confirmation that the record is a duplicate. 5.2 Duplicate records should not be transferred or stored offsite. Records Disposition 5 Adopted 12/14/2023 OC SAN 23-21-76 Procedure Number: 5.0 Orange County Sanitation District Effective Date: 12/14/2023 6SAN RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Supersedes: 03/22/2023 SUBJECT: RECORDS DISPOSITION Approved by: OC San Board of Directors 5.3 Duplicate records are destroyed in the office or work area. To destroy a duplicate record, please contact the Clerk of the Board and/or designee for determination and confirmation that records are, in fact, duplicate records. 5.4 Formal destruction authorization may be required to destroy duplicate records. 5.5 If the duplicate records contain confidential information, they should be shredded to protect the confidentiality of the information. If the records are not confidential, they may be recycled or discarded. 6.0 PROCESSING VIDEO SURVEILLANCE FILES FOR DESTRUCTION 6.1 As allowed for in Government Code Section 53160, recordings of routine video monitoring are automatically overwritten after one year, on a daily basis on any given calendar date plus one year. Further, in the event that recordings are evidence in any claim filed or any pending litigation or hold, the recordings are preserved until pending litigation is resolved. 6.2 The OC San Board of Directors Resolution adopting the Records Management Program Procedures & Records Retention Schedule authorizes OC San to destroy recordings of routine video monitoring after any given calendar date plus one year. 6.3 The Information Technology (IT) Division has developed a daily task to perform the overwriting of OC San's video recordings. The IT Division is responsible for the management of this activity. 6.4 Should OC San keep another record, such as written minutes or an audio recording of the event that is recorded in the video medium, the video recording may be destroyed or erased no less than 90 days after occurrence of the event recorded. 6.5 By signing the written consent (Exhibit D), OC San's legal counsel approves of the foregoing destruction practices of video surveillance files and no further consent by legal counsel is required. Legal Counsel shall update this written consent should these practices be substantively modified at any time. Records Disposition 6 Adopted 12/14/2023 OC SAN 23-21-77 Procedure Number: 5.0 Orange County Sanitation District Effective Date: 12/14/2023 o„aGrQ1•SAN RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Supersedes: 03/22/2023 SUBJECT: RECORDS DISPOSITION Approved by: OC San Board of Directors 7.0 PROCESSING LASERFICHE FILES FOR DESTRUCTION 7.1 The destruction of files from Laserfiche follows a similar process to Section 4.0 above, Processing Official District Records for Destruction. 7.2 Destruction of the official version of OC San records from Laserfiche requires the approval of the following, as applicable: • Submitter • Department/Division Records Coordinator • Department/Division Supervisor • Department/Division Manager • Department/Division Director • Clerk of the Board (or designee) • Legal Counsel 7.3 Procedures to process destruction of expired records in Laserfiche are included in the following chart: Responsibility Action Division Records Either in response to the automated workflow notification email Coordinators (may also from Laserfiche or during independent review of existing be a Submitter records maintained in Laserfiche, records are identified for separate from the destruction. Automated workflow notification emails from Records Coordinator) Laserfiche are generated by the retention workflow that is developed in Laserfiche using the RRS. • Hard copy records that might correlate to the identified records for destruction will be processed for destruction concurrent with the process below. The process outlined in Section 4.0 above applies. • Review should be conducted using the appropriate RRS, using all components of any given Record Type (Record Type description, Retention Length, etc.). Calculate destruction dates using the Records Management Disposition Form (Exhibit A). Cross-reference records with any active Records Holds. The Clerk of the Board and/or designee Records Disposition 7 Adopted 12/14/2023 OC SAN 23-21-78 Procedure Number: 5.0 Orange County Sanitation District Effective Date: 12/14/2023 o„avoSSAN RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Supersedes: 03/22/2023 SUBJECT: RECORDS DISPOSITION Approved by: OC San Board of Directors Responsibil Clerk of the Board and/or designee Department/Division Supervisor Action should be contacted for any questions pertaining to Records Holds. • Purge the files in accordance with the process outlined below and in Procedure 4.0. Do not purge any documents subject to a Records Hold. • If there are records identified that have met the required retention periods, that are not subject to a Records Hold, complete a Records Management Disposition Form (Exhibit A). The Clerk of the Board or designee will prepare the Request for Authorization to Destroy Records (Exhibit B) and route the documents for digital signatures/approval. • The Submitter and Records Coordinator are first and second, respectively, in the approval routing sequence. • Review the submitted Disposition Form and validate all information on the Disposition Form, including confirming the records are eligible for destruction (checking historical value, Records Holds, etc.). • If the records identified are not eligible for destruction, advise the Records Coordinator and Submitter and handle according to the type of record. • Prepare the Request for Authorization to Destroy Records, ensuring the appropriate RRS is included in the information that is routed, and route for signature/approval. Digitally sign the forms approving destruction (in the approval routing sequence after Legal Counsel). • Review the submitted forms and authorize approval to destroy records by digitally signing/approving the forms. • If you do not approve, please contact the Clerk of the Board and/or designee. The Clerk of the Board and/or designee will Records Disposition 8 Adopted 12/14/2023 OC SAN 23-21-79 Procedure Number: 5.0 Orange County Sanitation District Effective Date: 12/14/2023 o„avoSSAN RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Supersedes: 03/22/2023 SUBJECT: RECORDS DISPOSITION Approved by: OC San Board of Directors Responsibility Action coordinate with the Submitter and Records Coordinator, as appropriate, to resolve any issues. Department/Division . Review the submitted forms and authorize approval to destroy Manager records by digitally signing/approving the forms. • If you do not approve, please contact the Clerk of the Board and/or designee. The Clerk of the Board and/or designee will coordinate with the Submitter and Records Coordinator, as appropriate, to resolve any issues. Department/Division • Review the submitted forms and authorize approval to destroy Director records by digitally signing/approving the forms. • If you do not approve, please contact the Clerk of the Board and/or designee. The Clerk of the Board and/or designee will coordinate with the Submitter and Records Coordinator, as appropriate, to resolve any issues. Legal Counsel • Review the submitted forms and determine whether to approve or disapprove the request for destruction of records. • If you do not approve, please contact the Clerk of the Board and/or designee. The Clerk of the Board and/or designee will coordinate with the Submitter and Records Coordinator, as appropriate, to resolve any issues. • Authorize approval to destroy records by digitally signing/approving the forms. Clerk of the Board • Upon complete approval, the Clerk of the Board and/or and/or designee designee will send a copy of the approved forms to the Division Records Coordinator. Division Records • Upon approval of the destruction request, the Records Coordinator & Clerk of Coordinator and Clerk of the Board and/or designee will the Board and/or proceed with destruction procedures. designee Records Disposition 9 Adopted 12/14/2023 OC SAN 23-21-80 Procedure Number: 5.0 Orange County Sanitation District Effective Date: 12/14/2023 voSSAN RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Supersedes: 03/22/2023 SUBJECT: RECORDS DISPOSITION Approved by: OC San Board of Directors Responsibility Action • If request for destruction is not approved for any reason, records will be maintained until resolution of the matter or conclusion of the reason necessitating the Records Hold. Clerk of the Board • Coordinate destruction of records. As these records are digital and/or designee and in Laserfiche, only specific users with delete permissions in Laserfiche can delete the records from the active repository. If the records are confidential, arrange for destruction that will protect the confidentiality of the information. The authorized user will delete the records from the active Laserfiche repository. • Records will remain in the authorized user's Laserfiche Recycle Bin for 90 days upon deletion from the active repository. The automatic purge of records in this location will occur after 90 days. • If the user restores a record from the recycle bin to the active repository that has been identified on the disposition form and authorized for destruction, the user is to notify Records Management as soon as possible. • Using the Laserfiche Global Recycle Bin, the Clerk of the Board and/or designee will review the user's Laserfiche Recycle Bin to ensure its contents match the records approved for destruction. • The authorized user who destroys electronic files in Laserfiche will be required to complete a Certificate of Digital Record Destruction (Exhibit C). The Clerk of the Board and/or designee will coordinate the completion of this document. • The Clerk of the Board and/or designee will review the Global Recycle Bin at 91 days to ensure the records are no longer in the Global Recycle Bin. Records Disposition 10 Adopted 12/14/2023 OC SAN 23-21-81 Procedure Number: 5.0 Orange County Sanitation District Effective Date: 12/14/2023 o„avoSSAN RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Supersedes: 03/22/2023 SUBJECT: RECORDS DISPOSITION Approved by: OC San Board of Directors Responsibil Action • Once purged from the Laserfiche Recycle Bin, the Laserfiche service account will delete the files from OC San's Laserfiche server. • The Assureon File Sync process will notice the deleted files and will verify authenticity of the deletion via two methods: Verify that the records were deleted by the Laserfiche application (If.exe) and verify that the records were deleted by the Laserfiche service account. • Assureon will mark the records as expired in the restorVault Trusted System cloud and will permanently delete the records after a holding period of seven (7) days. • The Clerk of the Board and/or designee will maintain the Certificate of Destruction in the appropriate files and update the Master Records Inventory with destruction information. Records Disposition 11 Adopted 12/14/2023 OC SAN 23-21-82 Procedure 5.0 Records Management Disposition Form Exhibit A OC SAN 23-21-83 w p ¢ 0 z ¢ 0 z ¢ 0 z ¢ 0 z ¢ 0 z ¢ 0 z ¢ 0 z ¢ 0 z ¢ 0 z ¢ 0 z ¢ 0 z ¢ 0 z ¢ 0 z ¢ 0 z ¢ 0 z ¢ 0 z ¢ 0 z ¢ 0 z ¢ 0 z ¢ 0 z ¢ 0 z ¢ 0 z ¢ 0 z ¢ 0 z ¢ 0 z ¢ 0 z ¢ 0 z ¢ 0 z ¢ 0 z Q 0 z a 0 ` E m e �Y a g `o `o `o `o `o `o `o `o `o `o `o `o `o `o `o `o `o `o `o `o `o `o `o `o `o `o `o `o c `o r`o « W u� �w� Gr °'�w� T,r T,r T,r 9 T,r T,r w� T,r T,r �w� T,r T,r �w� T,r T,r �w� T,r T,r �w� T,r T,r �w� T,r T,r �w� ESr T,r �w ESr dmo T,r wmo T,r °'�w� T,r T,r °'�w� T,r T,r °'m T,r wm T,r d T,r c d e « a m o m m 0 m m m. 0 m ml m. 0 m m 0 m m 0 m m m. 0 m m 0 m m 0 m ml m. 000 m m m 0 m m 0 0 N Z 15 Tirrd lo-lhlo-o — — — — — — — — ui � a �= m 'o m 0 n o n E m N 9 A u O U N V v O .g 0 m E N mg� azO � a FA c 0 LL c o Nm o n cQ O a U L a E L o w N v C � � a � E o u a y m N M a 'aa Aa E 1p LLt � m °o i E 0 z' Procedure 5.0 Request for Authorization to Destroy Records Form Exhibit B OC SAN 23-21-85 Request for Authorization to Destroy Records Instructions OC6SAN 1. Identify records that are eligible for destruction. ORANGE COUNTY SANITATION DISTRICT 2. Complete a Disposition Form indicating which records are requested for destruction. 3. Email the completed Disposition Form to Records Management. 4. Records Management will prepare the Request for Authorization to Destroy Records and attach it to the completed Disposition Form and route it for approval. 5. Records Management will obtain all required approvals & finalize request for destruction. Records Coordinators will receive a copy for reference. Please contact Tina Knapp at ext. 7190 for questions/assistance or you may send an email to RecordsManagement@OCSD.com. Division Total Number of Boxes for Number Destruction Complete this section for authorization to destroy records I certify that the OFFICIAL RECORDS AND COPIES identified on the corresponding Disposition Form are past the retention period specified by OC San's Records Retention Schedule and that all audit, business, and administrative requirements have been satisfied. Further, I certify that no HOLD has been placed on these OFFICIAL RECORDS AND COPIES due to any litigation, claim, negotiation, audit, or public records request and all legal, business, and administrative requirements have been satisfied. I certify that all information on this form is accurate and true to my knowledge by providing my signature. Required Approval Submitter's Name & Signature: (If different from Records Coordinator) Records Coordinator Name & Signature: Department/Division Supervisor Name & Signature: Department/Division Manager Name & Signature: Department/Division Director Name & Signature: Legal Counsel Name & Signature: Records Management Name & Signature: Name (Print) Signature Date Name (Print) Signature Date Name (Print) Signature Date Name (Print) Signature Date Name (Print) Signature Date Name (Print) Signature Date Name (Print) Signature Page 1 Destruction Authorization Form TEMPLATE 2021-02-04 OC SAN 23-21-86 Procedure 5.0 Certificate of Digital Record Destruction Exhibit C OC SAN 23-21-87 w U cc 4 r a z a �z H z m a oc� z , cc a .O O U z w 0 cD F:wz ry wL0 W 3:7- LL OZO � o� =W0 U H W Q � W z 0 LL LU z z 0 U LU�0� LL LU ZZ=z wZ)�0 =mQ z O000-cQ JOQ� QO U 0 Q W >- W Ewa Q J W 0-2 w �UQ W W LLJ 0000 � W w UQO W 2 � iC w m z z U) z 0 U 0 z 0 J J 0 LL _ 0 w LL w 0 w ❑ N ❑ 0 U w w ❑ Z a w _ w J IL X w 0 LL J w m H CO J w D H Z 0 LE z a U co w LL w H Q ❑ 0 0 00 N ch N z Q U) U O Procedure 5.0 Legal Counsel Written Consent Authorizing the Destruction of Video Surveillance Files Exhibit D OC SAN 23-21-89 OC6SAN Legal Counsel Written Consent ORANGE COUNTY SANITATION DISTRICT Authorizing the Destruction of Video Surveillance Files This written consent serves as authorization by Orange County Sanitation District's legal counsel to perform destruction of video surveillance recordings as detailed in OC San Records Management Program Procedure 5.0 and adopted by the OC San Board of Directors by Resolution, and attached hereto. Bradley R. Hogin General Counsel Date OC SAN 23-21-90 Procedure Number: 6.0 Orange County Sanitation District Effective Date: 12/14/2023 ., C 6- SAN onaacf CpymYBWNnpu dBrBCr RECORDS MANAGEMENT Supersedes: 03/22/2023 POLICY & PROCEDURE MANUAL SUBJECT: VITAL RECORDS Approved by: OC San Board of Directors 1.0 INTRODUCTION 1.1 Vital records are those documents that contain information that enables the Orange County Sanitation District (OC San) to continue vital and critical operations in the event of a major interruption to business. 1.2 Such interruptions could be natural disasters (for example, earthquake, pandemic, sudden and severe energy shortage, or flood) or man-made disasters (for example, accidental fire, cyberterrorism, arson, or civil unrest) which result in the loss of the normal means of access to vital records. 1.3 In most organizations, vital records comprise between two and five percent of the total record volume. Vital records are identified with a "V" on the OC San Records Retention Schedule (RRS). f+��>• 1�J:71�Z+� � 2.1 The purpose of vital records management is to ensure that vital records are identified, protected, and accessible during or shortly following a disaster or major interruption to business. 3.0 SCOPE 3.1 Vital records are either irreplaceable or very difficult to replace. 3.2 Absence of vital records, or the inability to locate or translate vital records (in the case of machine-readable or digital records), means that OC San may not be able to provide critical services to the public and its employees during a disaster or shortly thereafter. 3.3 Vital records are maintained and protected in the format (paper, digital, BOLDplanning, etc.) that is most appropriate for efficient retrieval. 3.4 Vital records include records that enable OC San to: 3.4.1 Provide required OC San safety and health services during and immediately following a disaster or other major interruption to business. Vital Records 1 Adopted 12/14/2023 OC SAN 23-21-91 Procedure Number: 6.0 Orange County Sanitation District Effective Date: 12/14/2023 6SAN RECORDS MANAGEMENT Supersedes: 03/22/2023 POLICY & PROCEDURE MANUAL SUBJECT: VITAL RECORDS Approved by: OC San Board of Directors 3.4.2 Meet the obligations to OC San employees and retirees. 3.4.3 Reconstruct legal obligations and rights. 3.4.4 Establish the financial position of OC San. 3.4.5 Reconstruct OC San's assets and ownership. E, :lei@]21B1llN2+-1 Responsibility Action Clerk of the Board or Develop procedures for protecting vital records, either designee digitization and/or storing them onsite in fire -resistive equipment or by sending copies offsite. Identify viable onsite or remote storage sites for records protection. Coordinate vital records protection procedures with OC San's Integrated Emergency Response Plan. Develop procedures for retrieving vital records within the identified time requirements following a disaster. Coordinate, identify, and develop agreements with vendors to provide records retrieval or recovery services required following a disaster. Work with the IT and Risk Managers to ensure that the management of vital records meets OC San's needs. Risk & IT Managers Review the vital records procedures to ensure that OC San's interests are protected and to ensure minimum exposure to risk in the event of a disaster. Department/Division Records Coordinator Identify vital records based on an evaluation of Department/Division business functions. Comply with procedures that protect vital records. Vital Records 2 Adopted 12/14/2023 OC SAN 23-21-92 Procedure Number: 6.0 Orange County Sanitation District Effective Date: 12/14/2023 ., C 6- SAN onaacf CpymYBWNnpu dBrBCr RECORDS MANAGEMENT Supersedes: 03/22/2023 POLICY & PROCEDURE MANUAL SUBJECT: VITAL RECORDS Approved by: OC San Board of Directors Determine the frequency with which vital records must be stored both onsite and offsite. Routinely copy and forward vital records to onsite or offsite protective storage facilities. 5.0 VITAL RECORDS CATEGORIES 5.1 The following is a list of records that are usually considered vital. If the Record Series/Record Type is indicated in the RRS, the Record Series/Record Type is identified as vital in the RRS. Financial Accounts Receivable Fixed Asset Records General Ledger Loan Payments Bank Statements Stock Certificates Payroll Tax Returns Negotiable Instruments OC San Benefit Contracts Bonds Employee Benefits Plans and Programs Notes Payroll Ownership Capital Investments Titles Vital Records 3 Adopted 12/14/2023 OC SAN 23-21-93 Procedure Number: 6.0 Orange County Sanitation District Effective Date: 12/14/2023 ,,SAN -.111111.-N °° I RECORDS MANAGEMENT Supersedes: 03/22/2023 POLICY & PROCEDURE MANUAL SUBJECT: VITAL RECORDS Approved by: OC San Board of Directors OC San Administration Board Meeting Minutes Continuity of Operations Plan (COOP) Delegation of Authority Formation Files & Annexation Files Grant Deeds Ordinances Property & Other Lease Agreements Resolutions Significant Agreements Significant Capital Improvements/Construction Contracts and Other Insurance Certificates of Insurance Engineering Drawings Specification Conformed Information Technology System and Software Documentation (Licenses, Source Code, Manuals (if created by OC San) 6.1 Select the format for protecting and maintaining vital records that ensures accessibility and usability during a disaster or emergency response: 6.1.1 Source document (original or designated official version, regardless of format). 6.1.2 Distributed copy (copy of record that is routinely distributed). 6.1.3 Reproduced copy (hard copy of record that is copied for OC San needs). 6.1.4 Scan (scanned version of vital records). 6.1.5 Magnetic Tape (digital version of vital record). Vital Records 4 Adopted 12/14/2023 OC SAN 23-21-94 Procedure Number: 6.0 Orange County Sanitation District Effective Date: 12/14/2023 ., C 6- SAN onaacf CpymYBWNnpu dBrBCr RECORDS MANAGEMENT Supersedes: 03/22/2023 POLICY & PROCEDURE MANUAL SUBJECT: VITAL RECORDS Approved by: OC San Board of Directors 6.2 Select Vital Records Protection Methods 6.2.1 Select the method most appropriate method to protect the vital record. 6.2.2 Verify existing dispersal of record and ensure that vital records are available in multiple, geographically separate locations as part of normal business activities. 6.2.3 Improve dispersal by initiating distribution of copies of vital records to a secure location at the time of document creation. 6.2.4 Duplicate records by reproducing copies of vital records in a medium appropriate to efficient storage and use and send to a secure location. 6.2.5 Move electronic vital records to Electronic Content Management System (Laserfiche). 6.2.6 Move hard copy vital records from active use areas once digitized and when no longer needed for active reference and send to a secure location. 6.2.7 Store vital records onsite in a secure location, such as the vault, that meets National Fire Protection Association (NFPA) standards for fire resistance. 6.3 Select Vital Records Update Frequency 6.3.1 Determine how often it is necessary to update vital records to ensure that the information is current. Vital Records 5 Adopted 12/14/2023 OC SAN 23-21-95 Orange County Sanitation District Procedure Number: 7.0 SAN RECORDS MANAGEMENT Effective Date: 12/14/2023 POLICY &PROCEDURE MANUAL Supersedes: 03/22/2023 SUBJECT: HISTORICAL RECORDS Approved by: OC San Board of Directors 1.0 INTRODUCTION 1.1 It is the policy of the Orange County Sanitation District (OC San) to identify and preserve records that have historical significance for OC San. 2.0 PURPOSE 2.1 The purpose of this procedure is to ensure that all OC San records are reviewed for historical value prior to destruction through the application of well -accepted appraisal criteria. 2.2 Historical Records are processed according to standard archival practices to ensure their preservation. 3.0 RESPONSIBILITY 3.1 The identification and review of Historical Records is administered under the authority of OC San's Records Management Program. 3.2 Both the Office of Record and OC San's Clerk of the Board and/or designee have a direct role in the implementation of identifying Historical Records. 4.0 OBJECTIVES 4.1 The objectives are: 4.1.1 Identify OC San records of historical value. 4.1.2 Process OC San records of historical value in a manner that will ensure that they are properly preserved. 4.1.3 To facilitate access to Historical Records by OC San and outside parties, OC San's Historical Records are identified as such on the Records Retention Schedule (RRS). 4.1.4 Promote the use of OC San's historical records in such areas as agency planning, management, development, public relations, and litigation support. Historical Records 1 Adopted 12/14/2023 OC SAN 23-21-96 Orange County Sanitation District Procedure Number: 7.0 SAN RECORDS MANAGEMENT Effective Date: 12/14/2023 POLICY &PROCEDURE MANUAL Supersedes: 03/22/2023 SUBJECT: HISTORICAL RECORDS Approved by: OC San Board of Directors 5.0 SCOPE 5.1 The scope includes the identification of records designated as historical on the RRS, the application of standard appraisal criteria at the end of the official retention period, and the processing and arrangement of historical records. 5.1.1 Processing and arrangement for paper records includes: 5.1.1.1 Removal of hardware (staples, brads, and other fasteners). 5.1.1.2 Placing documents in acid free folders and boxes that meet the standards for archival preservation. 5.1.1.3 Preparation of inventories and finding guides to the Historical Records. 6.0 PROCEDURE 6.1 The procedure applies to all OC San and contract staff who create, receive, or maintain OC San records. Historical Records 2 Adopted 12/14/2023 OC SAN 23-21-97 Procedure Number: 8.0 Orange County Sanitation District Effective Date: 12/14/2023 1SAN ORANGE COUNTY S""'T" NDISTRICT RECORDS MANAGEMENT Supersedes: 03/22/2023 PROCEDURE MANUAL SUBJECT: RECORDS MANAGEMENT PROGRAM Approved by: AUDIT AND COMPLIANCE REVIEW OC San Board of Directors 1.0 INTRODUCTION 1.1 The Records Management Program Compliance Audit reviews and monitors compliance with the Orange County Sanitation District's (OC San) Records Management Program (the Program). 1.2 Periodically, Records Management conducts a compliance audit with several Departments/Divisions. 1.3 All Departments/Divisions should complete the audit process every two years. 2.1 The purpose of the Program Compliance Audit is to ensure that all OC San records are created, received, maintained, and disposed of in accordance with the Board of Directors approved Records Management Policy and Procedure. 3.0 PROGRAM PROCEDURES Responsibility I Action Clerk of the Board Review how Department/Division records are kept, where and/or designee they are located, in what format (hardcopy or electronic), and security (who has access). Compare records eligible to be destroyed with those actually destroyed by the Department/Division. Note any record series destroyed prematurely or that have been retained beyond the approved destruction date. Review the Program, particularly the Records Retention Schedule and records disposition, with staff. Run a summary report of findings with recommended corrective action, if necessary, such as additional training or Audit & Compliance Review 1 Adopted 12/14/2023 OC SAN 23-21-98 Procedure Number: 8.0 Orange County Sanitation District Effective Date: 12/14/2023 SAN ORANGE COUNTY SANITATION DISTRICT RECORDS MANAGEMENT Supersedes: 03/22/2023 PROCEDURE MANUAL SUBJECT: RECORDS MANAGEMENT PROGRAM Approved by: AUDIT AND COMPLIANCE REVIEW OC San Board of Directors revisions to existing documentation. Submit the report to the Division Manager and Department Head. Department/Division Assist the Clerk of the Board and/or designee in conducting Records the records compliance review in the designated Coordinator Departments/Divisions. Respond to the summary audit report findings by identifying which corrective actions are planned or have been completed. Inform Records Management of changes within the Department/Division and business practices that potentially may have an effect on the Program. Audit & Compliance Review 2 Adopted 12/14/2023 OC SAN 23-21-99 Procedure Number: 9.0 Orange County Sanitation District Effective Date: 12/14/2023 1 SAN ORANGE COUNTY SANITATION DISTRICT RECORDS MANAGEMENT Supersedes: 03/22/2023 POLICY & PROCEDURE MANUAL SUBJECT: RECORDS HOLD AND RELEASE Approved by: OC San Board of Directors 1.0 INTRODUCTION 1.1 At any time during the life of a record, Record Series, or types of records, there may be circumstances that require the "holding" or suspension of destruction of certain Record Series or types of records from being disposed of due to reasons specified by Legal Counsel, auditors, or Department/Division management. 1.2 Destruction suspension is a hold placed on the scheduled destruction of records that may be relevant to foreseeable or pending litigation, governmental investigation, audit, special organizational requirements, or other business needs not contemplated when the records were originally scheduled for disposal. 1.2.1 ExamDles of holds are: A. RIM Hold — Used when there is cause for Records Management to research records for inconsistent, missing, or incorrect information. B. Legal/Regulatory Hold — Used for financial audits or tax purposes and anticipated or pending litigation. C. Department/Division Hold — Request to hold records from a Department/Division with justification. D. Historical Hold — Preservation of records with justification requested. E. Retention Schedule Change Hold — Used when a change, addition, or deletion is required until the time the Records Retention Schedule (RRS) can be changed. F. Public Records Request — Preservation of records may be needed in relation to Orange County Sanitation District's (OC San) response to any particular Public Records Request. 1.3 Depending upon the circumstances, a Records Hold may require the retention of all documents of a certain kind, whether they are hard copy records, electronic records, or non -records, as defined in Procedure 4.0. Records Hold and Release 1 Adopted 12/14/2023 OC SAN 23-21-100 Procedure Number: 9.0 Orange County Sanitation District Effective Date: 12/14/2023 1SAN ORANGE COUNTY "TAT'°"°'_'""' RECORDS MANAGEMENT Supersedes: 03/22/2023 POLICY & PROCEDURE MANUAL SUBJECT: RECORDS HOLD AND RELEASE Approved by: OC San Board of Directors 1.4 Once a Records Hold has been placed on particular records or Record Series, the records will not be disposed of until a Records Hold Release has been issued by a Records Hold Requester and all parties have been informed as detailed below. 2.0 PURPOSE 2.1 The purpose of this procedure is to describe the procedures for suspending destruction or placing a Hold on the destruction of records that may be relevant to foreseeable or pending litigation, governmental investigations, audits, or other special OC San requirements; and for releasing the Hold when it is no longer necessary. 2.2 This procedure requires that the Clerk of the Board and/or designee and Department/Division Records Coordinators be notified when holds on the destruction of certain records are necessary, in addition to other parties as detailed below. 2.3 This procedure ensures that records subject to holds for any purpose are maintained until resolution or conclusion of the matter. K��>EYK�1U 4 3.1 This Procedure documents the process of suspending destruction or placing a Hold on the destruction of records, and the related release of the Hold. 3.2 This Procedure applies to any record, non -record, or transitory record, in any format, at any time during the life of the record or transitory record. 4.0 PROCEDURES FOR REQUESTING RECORDS DESTRUCTION HOLD Responsibility Action Legal Counsel Upon becoming aware of the need for the suspension of Department/Division destruction of certain OC San records that may be relevant Management to foreseeable or pending litigation, governmental investigations, audits, other special OC San requirements, or other business reasons, notify the Clerk of the Board and/or designee. A form may be required for implementing the Hold (Records Hold & Records Hold Request Form, Exhibit A). Records Hold and Release 2 Adopted 12/14/2023 OC SAN 23-21-101 Procedure Number: 9.0 Orange County Sanitation District SAN Effective Date: 12/14/2023 ORANGE COUNTY SANITATION DISTRICT RECORDS MANAGEMENT Supersedes: 03/22/2023 POLICY & PROCEDURE MANUAL SUBJECT: RECORDS HOLD AND RELEASE Approved by: OC San Board of Directors Action Clerk of the Board IS Review all documentation submitted by Records Hold and/or designee Requester (Legal Counsel or Department/Division Management). If necessary, contact Records Hold Requester to clarify scope of requested Hold. • In collaboration with Legal Counsel, approve/authorize the Records Hold. • Upload all information to GovQA Records Hold functionality to reflect the Hold and the Estimated Date of Release. • Route Legal Hold to Legal Counsel, the EMT, IT, Manager, and Records Coordinators in all affected Departments/Divisions along with any specific instructions. Department/Division IS Review and file all Records Hold information forwarded by Records Coordinators Records Management. • Prior to purging files or requesting destruction of records, cross-reference records identified to be purged or destroyed against Records Hold Requests on file. Identify documents subject to a Records Hold. Do not purge or request destruction of any documents subject to a Records Hold. ECMS Administrator The Electronic Content Management System (ECMS) (IT) (Laserfiche) Administrator (IT) will place a Legal Hold on relevant records in the ECMS. Records Hold and Release 3 Adopted 12/14/2023 OC SAN 23-21-102 Procedure Number: 9.0 Orange County Sanitation District SAN Effective Date: 12/14/2023 ORANGE COUNTY SANITATION DISTRICT RECORDS MANAGEMENT Supersedes: 03/22/2023 POLICY & PROCEDURE MANUAL SUBJECT: RECORDS HOLD AND RELEASE Approved by: OC San Board of Directors 5.0 PROCEDURES FOR REQUESTING RECORDS HOLD RELEASE Responsibility Action Clerk of the Board Periodically review Records Hold & Records Hold Release and/or designee information in the GovQA portal and identify Estimated Dates of Release for previously placed Records Holds. Department/Division Records Coordinators ECMS Administrator (IT) • If the Estimated Date of Release on a Records Hold has passed, contact the Records Hold Requester to inquire whether release of the Hold is appropriate. If the Records Hold Requester indicates that release of the Hold is appropriate, the Form (Records Hold & Records Hold Release Request Form), as previously submitted for implementation of the Records Hold, will be routed to the Records Hold Requester and completion requested. In collaboration with Legal Counsel, approve/authorize the Records Hold Release. Upon completion and submission of the Form, upload Form to GovQA and update the entry as appropriate and notify the Record Coordinators in all affected Departments/Divisions and provide any specific instructions. Legal Counsel, the EMT, Manager, and IT shall also be notified. • If the Records Hold Requester indicates that release of the Hold is not yet appropriate, obtain and note the new Estimated Date of Release. Update all affected parties as indicated in the Holds process of this Procedure above. • Review Records Hold Release information forwarded by the Clerk of the Board and/or designee. • Identify documents within scope of the Records Hold Release and remove any notation of prior Hold. Any transitory records or records falling within the scope of the Records Hold Release may be purged or destroyed, following the appropriate process. • The ECMS Administrator (IT) will release the Hold in the ECMS. Records Hold and Release 4 Adopted 12/14/2023 OC SAN 23-21-103 Procedure 9.0 Records Hold & Records Hold Release Request Form Exhibit A OC SAN 23-21-104 6 SAN ORANGE COUNTY SANITATION DISTRICT Records Hold & Records Hold Release Request Form This form is for the purpose of both a Records Hold request and related Records Hold Release request. Records Hold Request: When specific types of records have been identified as needing to be held and disposal suspended, complete the Records Hold Request section of this form and send to Records Management. Records Management will return the completed form to the Requester for use, when appropriate, for the Release request. Division Number: Retention Number: Record Series/Record Type to Hold, Including Description: Record Dates: Reason for Hold (Select All That Apply): ❑ RIM Hold Litigation ❑ Audit ❑ Tax Purposes Department/Division Hold HHistorical RRS Change Public Records Request ❑ Other (Describe): Estimated Date of Records Hold Release: Reauester's Name & Sianature: Name (Print) Signature Date Hold Authorization: Legal Counsel Name & Signature: Name (Print) Signature Records Management Name & Signature: Name (Print) Signature For completion by Records Management Date Hold Entered in GovQA: Name of Records Coordinator & Date Informed of Hold: Name of Manager & Date Informed of Hold: Name of IT Staff & Date Informed of Hold: Date Date SAN ORANGE COUNTY SANITATION DISTRICT Records Hold & Records Hold Release Request Form This form is for the purpose of both a Records Hold request and related Records Hold Release request. Records Hold Release Request: This section should be completed and submitted when the records identified above (Records Hold Request section) no longer need to be held. Send the completed form to Records Management. Records Management will return the completed form to the Requester. Reason for Release (Select All That Apply): ❑ RIM Release ❑ Litigation Concluded ❑ Department/Division Release ❑ RRS Chang Completed ❑ Other (Describe): Date of Records Hold Release: Requester's Name & Signature: ❑ Audit Completed ❑ Historical Needs Met ❑ Public Records Reque []Tax Purposes Met t Completed Name (Print) Signature Date Hold Authorization: Legal Counsel Name & Signature: Name (Print) Signature Records Management Name & Signature: Name (Print) Signature For completion by Records Management Date Release Entered in GovQA: Name of Records Coordinator & Date Informed of Release: Name of Manager & Date Informed of Release: Name of IT Staff & Date Informed of Release: Date Date Procedure Number: 10.0 Orange County Sanitation District Effective Date: 12/14/2023 1SAN DRANGECOUNTY -TATIONDISTRICT RECORDS MANAGEMENT Supersedes: 03/22/23 POLICY & PROCEDURE MANUAL SUBJECT: PUBLIC RECORDS ACT - Approved by: RELEASE OF RECORDS TO THE OC San Board of Directors PUBLIC 1.0 STATEMENT OF POLICY AND LAW The California Public Records Act (Government Code §7920.000 et seq.) (the "CPRA", "PRA", or "Act") declares that access to information concerning the conduct of the people's business is a fundamental and necessary right of every person. In furtherance of that policy, the Act mandates, with specified exceptions, that public records are open to inspection at all times during the office hours of state and local agencies. The Act, however, recognizes a number of specific statutory exemptions to the general rule of public disclosure. The Act also authorizes local agencies to adopt procedures for making records available and for recovering the direct costs of duplicating those records. The spirit of the Act, and the policy of the Orange County Sanitation District (OC San), is to permit access to all disclosable public records in the possession of OC San, unless doing so would constitute an unwarranted invasion of personal privacy or the request calls for the production of records that are exempt from disclosure under the Act. Other records may be kept confidential on a case -by -case basis only after an OC San determination that the public interest served by non- disclosure clearly outweighs the public interest served by disclosure. An example of that type of record would be preliminary drafts of agreements prepared to facilitate discussion and/or negotiations if disclosure prior to final agreement would have an adverse effect on the negotiation process. However, such analysis will usually involve the assistance of General Counsel. In addition, California courts have also recognized that certain records need not be disclosed if disclosure would reveal the public agency's decision -making process in such a way as to discourage candid discussion within the agency, which would thereby undermine the agency's ability to perform its functions. 2.0 PROCEDURE 2.1 The Clerk of the Board/Custodian of Records and/or designee (PRA Team) receive and process all Public Records Requests (Request) in accordance with Government Code §7920.000 et seq., California Public Records Act, and OC San Board approved Resolution. The PRA Team interprets each Request in accordance with Government Code §7922.600 and attempts to assist members of the public to identify the record that contains the information requested. Public Records Act 1 Adopted 12/14/2023 OC SAN 23-21-107 Procedure Number: 10.0 Orange County Sanitation District Effective Date: 12/14/2023 `` $QN DRANGECOUNTY -Tp"ONDISTRICT RECORDS MANAGEMENT Supersedes: 03/22/23 POLICY & PROCEDURE MANUAL SUBJECT: PUBLIC RECORDS ACT - Approved by: RELEASE OF RECORDS TO THE OC San Board of Directors PUBLIC 2.2 OC San uses the GovQA Public Records Request Management Software (GovQA) to receive, correspond, route, track, and respond to Requests. 2.3 To ensure consistency with the process of Requests, if a Department/Division receives a request from the public or other party to provide public records, the Department/Division should direct the requestor to the OC San Public Records Portal link on the ocsan.gov website so that the request may be routed and tracked in the GovQA portal for response. The PRA team should be notified and will be able to assist. 3. PROCESS 3.1 Requests are received by OC San and placed in GovQA by either the requestor or in a few cases the PRA Team; and OC San staff users/approvers enter the portal to respond or upload documents to fulfill the request. 3.2 When a request is initially received, the PRA Team immediately responds to the requestor, via established, automated GovQA workflows, with an email receipt for the request that provides a legal explanation of the PRA process. The PRA Team determines if the request is complete or requires clarification (e.g., too broad, apparent typographical errors, etc.). If necessary, the PRA Team contacts the requestor for clarification. If the PRA Team and Department Head believe that employee rights or significant interests of OC San could be compromised by the requested disclosure, the PRA Team and Department Head shall discuss the request with General Counsel prior to making such disclosure. 3.3 TIMELINESS. Although OC San policy encourages a quicker response, the Act requires that the person requesting copies of OC San records be notified within ten (10) calendar days of OC San's determination as to whether the request, in whole or in part, calls for the production of disclosable, non -privileged records that are in the possession of OC San. Occasionally, where assistance of General Counsel is appropriate, for example, the full ten (10) calendar days maybe required in order to make the requisite determination. Public Records Act 2 Adopted 12/14/2023 OC SAN 23-21-108 Procedure Number: 10.0 Orange County Sanitation District Effective Date: 12/14/2023 1SAN DRANGECOUNTY -TATIONDISTRICT RECORDS MANAGEMENT Supersedes: 03/22/23 POLICY & PROCEDURE MANUAL SUBJECT: PUBLIC RECORDS ACT - Approved by: RELEASE OF RECORDS TO THE OC San Board of Directors PUBLIC Under the Act, OC San may also be entitled to an additional fourteen (14) calendar days in which to make its initial determination under the following four (4) circumstances: 3.3.1 There is a need to search for and collect the requested documents from other offices, or offsite storage, separate from the office processing the request; 3.3.2 There is a need to search for, collect, and examine a voluminous amount of separate and distinct records which are demanded in a single request; or 3.3.3 There is a need to consult with another Agency or Department having a substantial interest in the determination of the request. This includes requests for Certified Payroll from an OC San Contractor or Sub -Contractor. 3.3.4 In the case of electronic records, there is a need to compile data, write programming language or a computer program, or to construct a computer report to extract data. If the additional fourteen (14) calendar days are needed, either General Counsel or the PRA Team must notify the requestor, in writing, of the reason(s) for the fourteen (14) day extension and the date on which the determination is expected. If the final determination is to deny a request to inspect or copy OC San records, General Counsel or the PRA Team shall notify the requestor, in writing, of the reasons for the denial. 3.4 PARTIAL DISCLOSURE. If portions of the requested record(s) are determined to be exempt from disclosure and those portions can be reasonably segregated from the rest of the record(s) by deletion, redaction, or other means, the non-exempt portion shall be provided to the requestor. Public Records Act 3 Adopted 12/14/2023 OC SAN 23-21-109 Procedure Number: 10.0 Orange County Sanitation District Effective Date: 12/14/2023 1SAN DRANGECOUNTY -TATIONDISTRICT RECORDS MANAGEMENT Supersedes: 03/22/23 POLICY & PROCEDURE MANUAL SUBJECT: PUBLIC RECORDS ACT - Approved by: RELEASE OF RECORDS TO THE OC San Board of Directors PUBLIC 3.5 COST OF COPIES. Under the Act, OC San is entitled to be reimbursed by the requestor for the direct costs of duplication. OC San has, however, made a policy determination to not charge the requestor for the first ten (10) pages. If a PRA request calls for the production of records in excess of ten (10) pages, then the requestor shall be required to pay twenty-five cents per page for each additional page, which shall be reimbursement of OC San's direct costs for duplication. The reimbursement rate shall not include recovery of costs for staff time spent searching for, retrieving, reviewing, evaluating, and/or handling of responsive records. At the sole discretion of OC San, OC San may require the requestor to submit, in advance, a check based on the estimated direct duplication costs. Electronic records, which can easily be transmitted to the requestor via GovQA, are encouraged and will not be subject to the twenty-five cents per page copying charge. At the sole discretion of OC San, and depending on the estimated number of responsive records, the requestor or OC San may retain the professional reprographic services of a bonded copy service. The requestor shall be required to pay for or reimburse OC San for the direct costs of duplication associated with the use of a bonded copying service. In the event OC San approves of the use of a bonded copying service, the requestor may select and retain a bonded copying service; however, such selection shall be subject to OC San's approval. 3.6 COST OF VIDEOTAPES, AUDIOTAPES, COMPACT DISCS, OR THUMB DRIVES. The charge to the requestor for copies of videotapes, audiotapes, compact discs, DVD recordings, or thumb drives shall be at OC San's actual cost of reproduction and cost of device (videotape, audiotape, etc.). 3.7 MEDIA CONTACTS. Employees are encouraged to refer all media contacts and media inquiries to the Administration Manager. All information requests requiring production of records shall be processed in accordance with the terms of Public Records Act 4 Adopted 12/14/2023 OC SAN 23-21-110 Procedure Number: 10.0 Orange County Sanitation District Effective Date: 12/14/2023 1SAN DRANGECOUNTY —TATIONDISTRICT RECORDS MANAGEMENT Supersedes: 03/22/23 POLICY & PROCEDURE MANUAL SUBJECT: PUBLIC RECORDS ACT - Approved by: RELEASE OF RECORDS TO THE OC San Board of Directors PUBLIC this Procedure and, upon completion of the preparation of the copies, shall be delivered to the requesting media representative by the Administration Manager. Department Heads shall report any and all media contacts to the Administration Manager as soon as possible. The Administration Manager shall coordinate any action required by such contact with the Clerk of the Board and keep the appropriate Department Head, General Manager, and General Counsel informed. 3.8 FORMS. GovQA generated forms and letters shall be used by OC San staff for purposes of complying with this administrative procedure. [c >♦_[Ky* &� 2ri]19l1�01 No member of the public and no OC San employee, other than an employee of the Department/Division processing records, shall enter GovQA or any file cabinets, record storage areas, or containers that hold OC San records, except when authorized by the PRA Team or Department Head. When a requestor is reviewing physical files, a member of OC San staff must be present during the entire file review. This may be the Clerk of the Board, or designee, or staff member of the Department/Division that owns the records. The requestor may not remove any records during the file review. 3.10 REMOVAL OF RECORDS. The unauthorized removal of any record of OC San is a violation of California Government Code §6201, and is punishable by imprisonment, fine, or both. 3.11 LITIGATION DOCUMENTS. The charge for all copies of any OC San document or record produced pursuant to a subpoena or request for production of documents issued by a Court or an authorized administrative or regulatory agency or tribunal, shall be twenty-five ($0.25) cents per page to reimburse OC San for its costs Public Records Act 5 Adopted 12/14/2023 OC SAN 23-21-111 Procedure Number: 10.0 Orange County Sanitation District Effective Date: 12/14/2023 1SAN DRANGECOUNTY -TAT'ONDISTRICT RECORDS MANAGEMENT Supersedes: 03/22/23 POLICY & PROCEDURE MANUAL SUBJECT: PUBLIC RECORDS ACT - Approved by: RELEASE OF RECORDS TO THE OC San Board of Directors PUBLIC of research, retrieval, examination, handling, copying, and certification of the documents. In the event, due to size or volume of the responsive records, special reproduction services are required, the person making the request shall pay the actual charges incurred for either OC San's in-house copy service or an outside copy service. For large records requests, OC San shall require an advance deposit based on the estimated direct copying costs. Said deposit shall be paid by the requestor prior to OC San commencing any work to obtain and copy the requested records. Litigation document requests shall be handled by General Counsel and the Clerk of the Board, or designee. 4.0 ROUTINE REQUESTS 4.1 If the PRA Team determines the nature of the request to be routine (e.g., Environmental Site Assessments, stale check data requests, contract documents, etc.), the PRA Team will then determine which Department/Division should receive the request and route it accordingly via GovQA. The following types of requests route directly to the staff liaison that has been pre -designated by Department/Division management: A. Contracts and Purchasing. If a request is made to either Division, the entire Division, including the Supervisor and Manager, are notified. The request is fulfilled„ and the Supervisor or Manager approves prior to release. This prevents delays in turn -around due to absenteeism. Routine requests include RFP/RFQ bidder information, cumulative purchase order lists, and contract compliance. B. Environmental Services. Requests for Environmental Site Assessment data are routed to the Department Director, Environmental Services Managers, and designated administrative staff members in the Environmental Services Department. Public Records Act 6 Adopted 12/14/2023 OC SAN 23-21-112 Procedure Number: 10.0 Orange County Sanitation District Effective Date: 12/14/2023 `` $QN DRANGECOUNTY -Tp"ONDISTRICT RECORDS MANAGEMENT Supersedes: 03/22/23 POLICY & PROCEDURE MANUAL SUBJECT: PUBLIC RECORDS ACT - Approved by: RELEASE OF RECORDS TO THE OC San Board of Directors PUBLIC C. Finance Department. Routine requests for stale check data and Sewer Service Fees/Rebate information automatically route to a designated staff member as determined by the Director of Finance. D. Planning/Engineering. Requests for sewer connection/lateral maps and requests for Certified Payroll route to a designated staff member as determined by the Director of Engineering. E. Human Resources. Requests are sent to a designated staff member as determined by the Human Resources Manager. 5.0 NON -ROUTINE REQUESTS 5.1 Non -routine requests consist of a variety of things. Examples of these are: all email/correspondence for a certain staff member, which requires IT assistance for e-Discovery; requests from law offices; or any request that the Clerk of the Board and/or designee believes or determines is related to anticipated or current litigation. 5.2 Non -routine requests are sent to affected, appropriate staff and/or General Counsel before beginning the process. Each Department/Division will assist with the process for research and retrieval and approval of what is released to the public. 6.0 COMPLETION 6.1 Once a request has been completed by the affected Department/Division, the request routes back to the PRA Team for final review before release. The review consists of checks for accuracy, confidentiality, or personal information, and redaction prior to release. 6.2 The Clerk of the Board will provide a weekly summary containing the number of Requests received and processed with assigned Department detail to the Administration Manager and/or General Manager. Public Records Act 7 Adopted 12/14/2023 OC SAN 23-21-113 Procedure Number: 11.0 JC 1SAN ORANGE COUNTY SANITATION DISTRICT Orange County Sanitation District Effective Date: 12/14/2023 RECORDS MANAGEMENT Supersedes: 03/22/2023 POLICY & PROCEDURE MANUAL SUBJECT: ELECTRONIC COMMUNICATIONS Approved by: POLICY OC San Board of Directors 1.0 INTRODUCTION 1.1 The Electronic Communications Policy of the Records Management Program (the Program) controls the maintenance and storage of Orange County Sanitation District (OC San) electronic mail records, text messages, instant messages, voicemail, and social media. Following the retention procedures ensures compliance with pertinent statutory, regulatory, operating, and administrative recordkeeping requirements. In addition, it ensures that records needed to conduct OC San business are protected and accessible. The Records Retention Schedule (RRS) is the foundation of the Program and defines the periods required to maintain OC San records, including all electronic communications. �►��� 1�J:71�Z+� � 2.1 POLICY OBJECTIVES. 2.1.1 Provide clear and concise direction regarding use and retention of OC San's electronic communications systems, including electronic mail (email), text messaging, instant messages, and voicemail. 2.1.2 Comply with all applicable State and Federal laws and OC San Personnel Policy 5.10 related to the use of email and all other forms of electronic communication. 2.1.3 Address the California Supreme Court's 2017 decision in City of San Jose v. Superior Court of Santa Clara County, holding that a Public Agency employee's communications related to the conduct of public business are subject to the California Public Records Act, even if they were sent or received using a personal account or personal device. 3.0 SCOPE/BACKGROUND 3.1 This policy applies to all persons (including employees, appointed officials, interns, and contractors) who are permitted to use OC San's computing or network resources, particularly the email functions of the system ("Authorized Users"). "Email" means any electronic communication to or from any Authorized Users using the Email System, including all Electronic Communications Policy 1 Adopted 12/14/2023 OC SAN 23-21-114 Procedure Number: 11.0 1SAN ORANGE COUNTY SANITATION DISTRICT Orange County Sanitation District Effective Date: 12/14/2023 RECORDS MANAGEMENT Supersedes: 03/22/2023 POLICY & PROCEDURE MANUAL SUBJECT: ELECTRONIC COMMUNICATIONS Approved by: POLICY OC San Board of Directors information, data, and attachments to the electronic communication. "Email System" means the system of devices (including hardware, software, and other equipment) owned and controlled by OC San or the Authorized User for the purpose of facilitating the electronic transmission. "Electronic Communications" includes any and all electronic transmission, and every other means of recording upon any tangible thing in any form of communication or representation, including letters, words, pictures, sounds, symbols, or combinations thereof, and any record thereby created, regardless of the manner in which the record has been stored. Without limiting the nature of the foregoing, electronic communications include email, texts, instant messages, voicemails, and include communications on or within applications (apps) such as Facebook Messenger, Twitter, Microsoft Teams, etc. 4.0 POLICY 4.1 ROLES AND RESPONSIBILITIES. 4.1.1 The Board Services and Information Technology (IT) Divisions are responsible for administering this policy and procedure. 4.1.2 The OC San Clerk of the Board and/or designee, with the advice of General Counsel, will monitor compliance and make the final determination of official records of OC San. 4.1.3 All Authorized Users are responsible for compliance with this policy and procedure. 4.2 DEFINITION OF "OFFICIAL OC SAN RECORD" Under this Policy, the definition of "Official OC San Record" is the same as the definition provided in the California Public Records Act (Cal. Gov. Code §7920.000 et seq.) (Public Records Act) for "public records" and "writing": "... `Public records" include any writing containing information relating to the conduct of the public's business prepared, owned, used, or retained by any state or local agency regardless of physical form or characteristics... " Electronic Communications Policy 2 Adopted 12/14/2023 OC SAN 23-21-115 Procedure Number: 11.0 SAN ORANGE COUNTY SANITATION DISTRICT Orange County Sanitation District Effective Date: 12/14/2023 RECORDS MANAGEMENT Supersedes: 03/22/2023 POLICY & PROCEDURE MANUAL SUBJECT: ELECTRONIC COMMUNICATIONS Approved by: POLICY OC San Board of Directors 'Writing' means any handwriting, typewriting, printing, photostating, photographing, photocopying, transmitting by electronic mail or facsimile, and every other means of recording upon any tangible thing any form of communication or representation, including letters, words, pictures, sounds, or symbols, or combinations thereof, and any record thereby created, regardless of the manner in which the record has been stored. " 4.3 ELECTRONIC COMMUNICATION RELATED TO OC SAN BUSINESS IS AN OFFICIAL OC SAN RECORD. 4.3.1 Email and other forms of electronic communication, such as voicemail, texts, instant messaging, and social media posts, generate correspondence and other types of records that can be recognized as Official OC San Records and may be subject to disclosure under the Public Records Act. In addition, any Official OC San Record created through email and other forms of electronic communication must be protected and retained in accordance with records retention laws. 4.3.2 Messages transmitted using OC San's Email System or OC San - owned equipment with capabilities for text messaging and/or voicemail, should be messages which involve OC San business activities and contain information essential to accomplishment of business -related tasks, or can otherwise be recognized as Official OC San Records. Any incidental (personal) email, text, instant message, or voice messages are not considered public records, but may still be discoverable. All electronic communications are the property of OC San. Electronic Communications Policy 3 Adopted 12/14/2023 OC SAN 23-21-116 Procedure Number: 11.0 JC 6SAN ORANGE COUNTY SANITATION DISTRICT Orange County Sanitation District Effective Date: 12/14/2023 RECORDS MANAGEMENT Supersedes: 03/22/2023 POLICY & PROCEDURE MANUAL SUBJECT: ELECTRONIC COMMUNICATIONS Approved by: POLICY OC San Board of Directors 4.4 OC SAN EMAIL SYSTEM IS NOT FOR STORAGE OC San reserves the right to retrieve and make proper and lawful use of any and all electronic communications transmitted through OC San's Email System and any OC San -owned and subsidized equipment. Although the use of electronic communications is considered official OC San business, OC San's communications systems, including email, text messaging, instant messaging, and voicemail, are intended as a medium of communication only. Therefore, the Email System and any OC San -owned or subsidized equipment such as cell phones should not be used for the electronic storage or maintenance of documentation, including, but not limited to, Official OC San Records. Regarding email, the system administrator performs regular electronic back-up of OC San's Email System; however, the back-up is not a copy of all OC San email activity that occurred during any given period. 5.0 GUIDELINES FOR PROPER EMAIL USAGE 5.1 Authorized Users are responsible for managing their mailboxes, including organizing and deleting any non-OC San related messages that do not constitute Official OC San Records. Authorized Users are responsible for determining if emails contain substantive information regarding OC San business or may later be important or useful for carrying out OC San business, and thus could be considered as Official OC San Records. 6.0 USE OF OC SAN ELECTRONIC COMMUNICATIONS VIA PERSONAL ACCOUNTS 6.1 OC San accounts shall be used to conduct OC San business. Authorized Users should not use personal accounts for the creation, transmission, or storage of electronic communications regarding OC San business. 6.2 All Authorized Users shall, within 90 days following the adoption of this updated policy, search all private, non -governmental electronic messaging accounts to which they have user access and locate any electronic communications that might constitute an Official OC San Record. All such communications shall be forwarded to the Authorized User's OC San - provided account. To the extent the Authorized User believes that any part of such communications contains personal matter not related to the conduct Electronic Communications Policy 4 Adopted 12/14/2023 OC SAN 23-21-117 Procedure Number: 11.0 1SAN ORANGE COUNTY SANITATION DISTRICT Orange County Sanitation District Effective Date: 12/14/2023 RECORDS MANAGEMENT Supersedes: 03/22/2023 POLICY & PROCEDURE MANUAL SUBJECT: ELECTRONIC COMMUNICATIONS Approved by: POLICY OC San Board of Directors of the public's business, the Authorized User shall provide a declaration, as set forth in Exhibit A. 6.3 If an Authorized User receives an electronic message regarding OC San business on his/her non-OC San electronic messaging account, or circumstances require such person to conduct OC San business on a non- OC San account, the Authorized User shall either: (a) copy ("cc") any communication from an Authorized User's personal electronic messaging account to his/her OC San electronic messaging account; or (b) forward the associated electronic communication to his/her OC San account no later than 10 days after the original creation or transmission of the electronic communication. 6.4 Authorized Users shall endeavor to ask persons sending electronic communications regarding OC San business to a personal account to instead utilize the Authorized User's business account and, likewise, shall endeavor to ask a person sending an electronic communication regarding non-OC San business to use the Authorized User's personal or non-OC San electronic messaging account. 7.0 ELECTRONIC COMMUNICATIONS AND PRIVACY 7.1 NO EXPECTATION OF PRIVACY. 7.1.1 OC San Personnel Policy 5.10 states that OC San Electronic Communication devices are the exclusive property of OC San. Authorized Users have no right or expectation of privacy or confidentiality in any message created, sent, received, deleted, or stored using the OC San Email System or any OC San -owned or subsidized communication devices. All messages and any attachments on OC San's computer network, Email System, OC San -owned system or device, or OC San subsidized communication device are subject to OC San review and disclosure of electronic communications regarding OC San business. 7.1.2 Electronic communications regarding OC San business that are created, sent, received, or stored on an electronic messaging account may be subject to the Public Records Act, even if created, sent, received, or stored on a personal account or personal device. Electronic Communications Policy 5 Adopted 12/14/2023 OC SAN 23-21-118 Procedure Number: 11.0 JC 1SAN ORANGE COUNTY SANITATION DISTRICT Orange County Sanitation District Effective Date: 12/14/2023 RECORDS MANAGEMENT Supersedes: 03/22/2023 POLICY & PROCEDURE MANUAL SUBJECT: ELECTRONIC COMMUNICATIONS Approved by: POLICY OC San Board of Directors Most communications that include Authorized Users are not confidential communications; however, certain communications such as investigations, personnel records, or attorney -client communications may be confidential or contain confidential information. Questions about whether communications are confidential, and how they are to be preserved, should be discussed with the Clerk of the Board and/or designee. 7.2 USE CAUTION WITH CONFIDENTIAL INFORMATION All Authorized Users must exercise a greater degree of caution in sending confidential information on OC San's electronic communications systems than they take with other media because of the risk that such information may be copied and/or retransmitted. All email correspondence containing confidential information should be tagged as such and stored in a clearly labeled confidential folder to protect and preserve the privacy and confidentiality of the record. When in doubt, do not use email, text messaging, instant messaging, or voicemail as a means of confidential communication. 8.0 PUBLIC RECORDS REQUESTS, RETENTION, AND DESTRUCTION Electronic communications are a business tool which shall be used in accordance with generally accepted business practices and all Federal and State laws, including the California Public Records Act, to provide an efficient and effective means of intra-agency and interagency communication. Under most circumstances, communications sent electronically are public records, subject to disclosure under the California Public Records Act and subject to records retention laws applicable to a variety of government agencies. 8.1 PRESERVING ELECTRONIC MESSAGES - PUBLIC RECORDS ACT REQUESTS, SUBPOENAS, CLAIMS, AND POTENTIAL CLAIMS AGAINST OC SAN. OC San receives requests for inspection or production of documents pursuant to the Public Records Act, as well as subpoenas or court orders for documents. In the event such a request or demand includes electronic messages, Authorized Users who have control over or access to any such messages, once they become aware of the request or demand, shall use Electronic Communications Policy 6 Adopted 12/14/2023 OC SAN 23-21-119 Procedure Number: 11.0 SAN ORANGE COUNTY SANITATION DISTRICT Orange County Sanitation District Effective Date: 12/14/2023 RECORDS MANAGEMENT Supersedes: 03/22/2023 POLICY & PROCEDURE MANUAL SUBJECT: ELECTRONIC COMMUNICATIONS Approved by: POLICY OC San Board of Directors their best efforts, by reasonable means available, to temporarily preserve any such message until it is determined whether the message is subject to preservation, public inspection, or disclosure. Authorized Users shall contact the Clerk of the Board and/or designee regarding any such messages that are within their control. 8.2 CALIFORNIA PUBLIC RECORDS ACT. 8.2.1 In the event a Public Records Act request is received by OC San seeking electronic communications of Authorized Users, the Clerk of the Board, or designee, shall promptly transmit the request to the applicable Authorized User whose electronic communications are sought. The Clerk of the Board, or designee, shall communicate the scope of the information requested to the applicable Authorized User, and an estimate of the time within which the Clerk of the Board, or designee, intends to provide any responsive electronic communications to the requesting party. 8.2.2 It shall be the duty of each Authorized User receiving such a request from the Clerk of the Board, or designee, to promptly conduct a good faith and diligent search of all Business and Personal electronic messaging accounts and devices for responsive electronic communications. The Authorized User shall then promptly transmit any responsive electronic communications to the Clerk of the Board, or designee. Such transmission shall be provided in sufficient time to enable the Clerk of the Board, or designee, to adequately review and provide the disclosable electronic communications to the requesting party. If the Authorized User is unable to transmit the responsive communications, the IT Division has the ability to extract the pertinent communications and ensure the appropriate metadata is preserved. 8.2.3 Based on the nature of the Public Records Act request, the Clerk of the Board, or designee, may also request an eDiscovery of all electronic email records and instant messages through the IT Division. 8.2.4 In the event an Authorized User does not possess responsive electronic communications from OC San's owned or subsidized Electronic Communications Policy 7 Adopted 12/14/2023 OC SAN 23-21-120 Procedure Number: 11.0 SAN ORANGE COUNTY SANITATION DISTRICT Orange County Sanitation District Effective Date: 12/14/2023 RECORDS MANAGEMENT Supersedes: 03/22/2023 POLICY & PROCEDURE MANUAL SUBJECT: ELECTRONIC COMMUNICATIONS Approved by: POLICY OC San Board of Directors electronic messaging account, the Authorized User shall so notify the Clerk of the Board, or designee, by way of a written declaration (Exhibit A). 8.3 AUTOMATIC DELETION OF EMAIL. OC San's email system automatically deletes OC San emails, including any text messages that become emails, which are more than 24 months old from "Inbox" and "Sent" email folders of each OC San email user. Email in "Deleted" folders will be automatically removed after ninety (90) days. 8.4 EMAIL FOLDER MANAGEMENT 8.4.1 Authorized Users are responsible for the daily management of their email boxes and associated folders. To ensure maximum efficiency in the operation of the Email System, Authorized Users are directed to delete email messages that are NOT Official OC San Records from their inboxes on a weekly basis. These transitory email records, based on the content of the information which only have a retention value of a few days or weeks, can be deleted from the Email Inbox upon review and determination when the purpose of the information has been fulfilled - which can be any time up to 90 days. All email records moved to Deleted will be automatically purged by IT after 90 days. Examples of such messages are personal emails, solicitations, email advertisements/announcements, or newsletters. 8.4.2 If email messages that are not Official OC San Records are necessary for transitory work, preliminary drafts, or preparation of work product or personal notes, Authorized Users should either move the record to a dedicated email (working) folder, print the email and maintain the paper copy, or create a PDF version of the email (save as PDF) and store the file in an electronic folder on OC San's network drive (OneDrive, SharePoint, or SharePoint Online) to be deleted when no longer needed. 8.4.3 Attachments to email messages should be retained or disposed of according to the content of the attachment itself, not according to the email transmitting the attachment. Many email attachments are duplicates of existing documents or are draft versions of documents Electronic Communications Policy 8 Adopted 12/14/2023 OC SAN 23-21-121 Procedure Number: 11.0 SAN Orange County Sanitation District Effective Date: 12/14/2023 ORANGE COUNTY SANITATION D15Tfl1CT RECORDS MANAGEMENT Supersedes: 03/22/2023 POLICY & PROCEDURE MANUAL SUBJECT: ELECTRONIC COMMUNICATIONS Approved by: POLICY OC San Board of Directors that might not be retained by OC San after the final version of the document is complete. If you need help in determining whether an attachment to an email message must be retained, please contact the Clerk of the Board and/or designee. 8.5 DETERMINATION OF RECORD. In accordance with OC San's RRS, it is the responsibility of Authorized Users to determine if an electronic communication is an Official OC San Record which must be retained in accordance with OC San's RRS. Electronic communication messages (including any attachments) that are deemed to be Official OC San Records shall be preserved. Authorized Users shall consider the content of an electronic communication when determining if it is an Official OC San Record. The Clerk of the Board and/or designee can assist in making such a determination. In addition, following is a general guideline for determining whether an electronic communication is an Official OC San Record: Electronic Communications Policy 9 Adopted 12/14/2023 OC SAN 23-21-122 Procedure Number: 11.0 Orange County Sanitation District Effective Date: 12/14/2023 aE o ..=A ra.o osrA , RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Supersedes: 03/22/2023 SUBJECT: ELECTRONIC COMMUNICATIONS Approved by: POLICY OC San Board of Directors Electronic Communications that Electronic Communications that are generally considered as Public are generally NOT considered as Records (Official OC San Record) Public Records / in general not an Official OC San Record (Retention time is 2 years or more) (Retention time is no more than 90 days) Electronic Communication that is Personal messages and created or received in connection announcements not related to with official OC San business. official OC San business. Electronic Communication that Duplicate documents (copies or shows how an OC San policy was excerpts) distributed for created or how a decision was made convenience or reference. by OC San staff and/or the OC San Board of Directors. Electronic Communication that Transmittal messages that merely begins, authorizes, or completes an assist the flow of work. item or a transaction of official OC San business. Electronic Communication that Electronic Communications documents significant official containing preliminary drafts, notes, decisions or commitments reached or interagency or intra-agency verbally (person -to -person, by memos that are not retained in the phone, or in conference) and not ordinary course of business. otherwise documented in OC San Government Code §6254(a). files. Records that are normally retained do not qualify for this exemption. 8.6 ELECTRONIC COMMUNICATIONS UPON TERMINATION. Upon an Authorized User's retirement or termination, IT will forward the user's electronic communications to the immediate Supervisor for review. In accordance with the policy herein, it is the Supervisor's duty to review and determine which email/text messages, voicemails, etc. should be preserved, retained, or disposed of according to the content of the email and following OC San's approved RRS. Electronic Communications Policy 10 Adopted 12/14/2023 OC SAN 23-21-123 Procedure Number: 11.0 SAN ORANGE COUNTY SANITATION DISTRICT Orange County Sanitation District Effective Date: 12/14/2023 RECORDS MANAGEMENT Supersedes: 03/22/2023 POLICY & PROCEDURE MANUAL SUBJECT: ELECTRONIC COMMUNICATIONS Approved by: POLICY OC San Board of Directors Once determined, the Supervisor should either transfer the records to a dedicated email (working) folder in their email inbox, print the communication and maintain the paper copy, or create a PDF version of the email (save as PDF) and store the file in an electronic folder on OC San's network drive (OneDrive, SharePoint, or Share Point Online) to be retained or to be deleted when no longer needed. Once completed, IT will dispose of the entire mailbox after 90 days unless otherwise requested by the Supervisor. Electronic Communications Policy 11 Adopted 12/14/2023 OC SAN 23-21-124 Procedure 11.0 Declaration Regarding Search of Personal Electronic Messaging Accounts Exhibit A OC SAN 23-21-125 In the matter of: California Public Records Act Request Pursuant to Government Code §6250 et seq. Re Insert name of record request Request #: STATE OF CALIFORNIA COUNTY OF ORANGE ORANGE COUNTY SANITATION DISTRICT Declaration of: Print or type name of user DECLARATION REGARDING SEARCH OF PERSONAL ELECTRONIC MESSAGING ACCOUNTS I, declare: Print name received notice of a California Public Records Act ("CPRA") request regarding a search of my personal electronic messaging account(s). 2. 1 understand that the CPRA request seeks: Insert text of CPRA request. 3. 1 am the Owner or Authorized User of the following personal electronic messaging account and have the authority to certify the records: Insert description of personal electronic messaging account(s). 4. 1 have made a good faith, diligent, thorough, and complete search of the above mentioned personal electronic messaging account(s) for all electronic communications potentially responsive to the above mentioned CPRA request. 5. Any responsive electronic communications discovered, and referenced below, were prepared or used by me in the ordinary course of business at or near the time of the act, condition, or event. 6. Any responsive electronic communications discovered, and referenced below, are true copies of all records described in the above mentioned CPRA request. OC SAN 23-21-126 Check the applicable box: ❑ 1 certify that I do not possess responsive electronic communications. ❑ 1 certify that I cannot reasonably recover responsive electronic communications without technical assistance. Explain efforts to retrieve responsive electronic communications and why you were unable to recover responsive electronic communications. Add technical assistance required. ❑ 1 certify that I discovered potentially responsive electronic communications from my personal electronic messaging account, but I am withholding that information because the information is "personal" business. This is for the following reasons: Describe with sufficient facts why the contested information is personal business and not subject to the CPRA. Attach additional pages, if necessary. ❑ I certify that I discovered potentially responsive electronic communications from my personal electronic messaging account. I am providing all responsive information. However, some information is non -responsive, and I am withholding that information because the information is personal business. This is for the following reasons: Describe with sufficient facts why the contested information is personal business and not subject to the CPRA. Attach additional pages, if necessary. I declare under penalty of perjury under the laws of the State of California that the foregoing is true and correct and that I have personal knowledge of the facts set forth above. Executed this day of 20 , in , California. MI Print Name: OC SAN 23-21-127 Procedure Number: 12.0 SAN Orange County Sanitation District Effective Date: 12/14/2023 ORANGE COUNTY SAN ITATION DISTRICT RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Supersedes: 12/14/2023 SUBJECT: ESCROW OF BID DOCUMENTS Approved by: OC San Board of Directors This Procedure applies only to Invitation for Bids (IFBs) with an award amount of $10, 000, 000 or more, to the two lowest responsive, responsible bidders. 1.0 PRE -BID 1.1 If Escrow of Bid Documents (Escrow) is required (per Bid Requirements Form), the Contracts Administrator (CA) will notify Records Management (Clerk of the Board and/or designee) of the need for Escrow and will establish a time and date for Bidder(s) to submit their Bid Documents for escrow as specified in the Special Provisions, "Escrow of Bid Documents." a. This date and time of submission will be within the date and time set forth in the Contract's Special Provisions. b. The date must also be coordinated with Records Management's schedule. 1.2 CA submits a Meeting Planner to reserve a room in the Administration Building for receipt of the Escrow of Bid Documents Meeting (Meeting). 1.3 CA schedules the Meeting with Records Management, via Outlook Calendar, on the date and time scheduled for the Meeting. 1.4 Upon receipt of the Outlook meeting request, Records Management schedules the date for Offsite Storage (GRM) to transfer the Escrow Bid Documents to offsite storage. 2.0 BID OPENING 2.1 At Bid Opening, OC San announces the two (2) lowest Bidders who will be required to submit their Bid Documents for Escrow within the date and time set forth in the Special Provisions. 2.2 At the Bid Opening, Bidders shall be reminded that: 2.2.1 Failure to timely submit Bid Documents for Escrow may result in a Bidder being deemed non -responsive. 2.2.2 Escrowed Bid Documents must be delivered in a sealed container, marked with the project name and the words "Escrowed Bid Escrow of Bid Documents 1 Adopted 12/14/2023 OC SAN 23-21-128 Procedure Number: 12.0 ,SAID Orange County Sanitation District Effective Date: 12/14/2023 ORANGE COUNTY SANITATION DISTRICT RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Supersedes: 12/14/2023 SUBJECT: ESCROW OF BID DOCUMENTS Approved by: OC San Board of Directors Documents". If Bidders are not using a safe, Bidders should use a regular document storage size box (10"x12"x15"). Type of container should be communicated to CA, and via CA to Records Management, as required for scheduling GRM pick up. 2.3 The Escrowed Bid Documents shall be accompanied with a Bid Document Certification for Escrow document (sample image below), provided to each Bidder by the CA, signed by an individual authorized by the Bidder to execute the Bidding proposal, stating that the material in the Escrowed Bid Documents container constitutes the complete, only, and all documentary information used in preparation of the Bid and that he/she has personally examined the contents of the Escrowed Bid Documents container and has found that the documents in the container are complete. BID DOCUMENT CERTIFICATION FOR ESCROW 0 Pq-NNmben Cprg Name A. �nrernaueny The marginal h the FaonO ' ft DprxrrlenN con hlu the Complete, only, and all documentary information uwd in preperalion of the Sid and try dte aulhoRLed eignalum below Bidder mpreserke Mat he Or she hee personaey examined me contents of the Esaow Bid Documents oo.r and has fOund that the documents In Ire c rd—are —PI te. Signature of -n& d al suthoriaed by the Bidder to execula the Bs}ding Prupoeal Printed Name FMe Company Escrow of Bid Documents 2 Adopted 12/14/2023 OC SAN 23-21-129 Procedure Number: 12.0 SAIV Orange County Sanitation District Effective Date: 12/14/2023 ORANGE COUNTY SANITATION DISTRICT RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Supersedes: 12/14/2023 SUBJECT: ESCROW OF BID DOCUMENTS Approved by: OC San Board of Directors 3.0 POST BID OPENING 3.1 After Bid Opening, but no later than the date and time of the Meeting, Records Management will prepare an OC San Escrow Records Storage Facility Transfer Request & Tracking form (Form) (sample image below) for each Bidder's Escrowed Bid Documents. OC-San •Escrow•Records -Storage •Transfer•Request•&•Tracking Date:- 05/05/20211[ Project-Numberand-Name:-P1-128A,-Headworks -Complex -at•Plant-No. -1¶ Contractor: -Swinerton•Builders¶ Offsite-Storage •Location•&•Tracking• Requestor:-Digna•Olmos¶ Barcode:¶ Division -Name -and -Number:-Contracts •230¶ IF 4 AFFIX -BAR -CODE •HERE¶ Meeting/Transacting•Daten Transaction/Activitya Authorization -Sig natures= Comments/Notes= 9 ¶ Original -Records -lntake¶ Intake -of -Escrow -Bid- ¶ Information -Recorded -on - Escrow�lnventorya Contractor Representative -Print-Name¶ 05-05-2021 •/•9:00•a.m.a Documents•Meetingn 4 4 Contractor Representative -Sinatured 4 ¶ ¶ 05-05-2021¶ Escrow Bid Documents ¶ Information•Recorded•on- Escrow•Inventorya Records Management Print Name¶ Sent-Offsitea 4 a 4 Records -Mana ement-Si natures ¶ If. applicable,. escrow- records - Records -Management -Print -Name¶ n Document -Review •Meetin -Meeting Escrow -Bid -Documents. inspected b contractors and p y ( ) (If -Applicable)¶ Retrieval&Review¶ 4 OC- San- staff.- Documents- not• Records Management -Signature¶ ¶ ¶ officially- released and- will- be- Date&Time:¶ ❑ Check here if inventory of q resealed -and -sent-back-offsite.¶ Contractor Representative -Print -Name¶ 9 ¶ ¶ records -(Contracts document)- added -to -storage -containers ¶ Date-sent-offsite:¶ ¶ ❑ Contractor Representative -Signatureo a ¶ ¶ Contractor Representative Print Name¶ Date•Pending¶ Release of Escrow. Bid Documents-Meetinga 11 a 4 Contractor- Representative -Signatures Storage -intake -Approved -By: Date: •¶ OC SanRecords Management¶ Storage PyApprovedBy: Pe_ OU9.,ta>i-Date:¶ OC SanRecords Management¶ A separate Form is required for each Bidder's Escrowed Bid Documents due to the fact each Bidder's escrow box is assigned a separate bar code to be affixed to the Form. Also, each Bidder must sign the Form applicable to their documents. After the meeting, Records Management scans and saves a copy of all documents. Escrow of Bid Documents Adopted 12/14/2023 OC SAN 23-21-130 Procedure Number: 12.0 ,SAN Orange County Sanitation District Effective Date: 12/14/2023 ORANGE COUNTY SANITATION DISTRICT RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Supersedes: 12/14/2023 SUBJECT: ESCROW OF BID DOCUMENTS Approved by: OC San Board of Directors 3.2 In preparation for the arrival of Bidders for the Meeting, the CA shall prepare an Escrow of Bid Documents Meeting Attendance Record for record of attendance which will be completed by the representative of each company and all the OC San staff in attendance at the Meeting. A copy should be made and provided to each representative of the company delivering documents and the original kept on file by Records Management. 6SAN ORANGE COUNTY SANITATION OISTRiCT M Name. 9 ATTEN—NCE RECORD¶ Canpany~= » » + y fl Escr—f-Bid-ODc —ta Meeting¶ I Add'—' " - - - ' fl January 27,-2021— 10:30-a.m.1 Telephone:+ » fl J.F. Shea-Constrectian, lnu¶ fl Emall:a - fl PROJECTNO:P1-M-1 HEAOWORKS REHABILITATION AT PLANT Name: 4 n comvany: Td.phane: + fl Emaa:. » » ¶ Company. a fl Emaii:+ ¶ Emalh. fl Name: ¶ fl Company: - ¶ Adtlre fl Telephone. + ¶ Emall:+ fl fl Name: fl Company: + ¶ Adtlress: fl 9 Nerve: fl Company: -. _. fl Address. ¶ Telephone. 3.3 At the Meeting, the two lowest Bidders will hand deliver their Bid Documents to OC San Records Management and the CA. OC San Staff/Contractor will open and review the contents together at OC San. 3.4 Each Bidder will fill out and sign an Intake of Escrow Bid Documents Record of Receipt (sample image below) prepared prior to the Meeting by Records Management. Escrow of Bid Documents 4 Adopted 12/14/2023 OC SAN 23-21-131 Procedure Number: 12.0 SAN Orange County Sanitation District Effective Date: 12/14/2023 ORANGE COUNTY SAN ITATION DISTRICT RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Supersedes: 12/14/2023 SUBJECT: ESCROW OF BID DOCUMENTS Approved by: OC San Board of Directors '44SAN ORANGE COUNTY SANDATION DISTRICT kECORD-OF RECEIPT FOR:¶ .¶ I.WW O-EacroW Bid DDDutn-M May 5, 2021-9:00 a.m.¶ Swnnerton-BNlldersn 9 PROJECT -NO _ Pl-12SA¶ NEAGWORKSCOMPLEX AT- PLANT -NO. 19 NUMBER-OF-EO%ES:� � ¶ 9 Documents-0eliveredPv ¶ n n slenam�e, n 9 DDcumentsintakeBv¶ 9 Na q Company'. +Orange L¢unlySankafi¢nQlsNki • _ _ ¶ Add,.s - 10-4EIIia Avenue Fouulain Vallev CA 82]U6 • n Teleph-d: 3.5 After OC San approves of the documentation in the Bidders' Bid Documents, OC San Records Management will affix GRM bar codes and ID numbers on the OC San Escrow Records Storage Transfer Request & Tracking form (Form) and to each Bidder's Escrowed Bid Document box. The Bidders and Records Management shall all sign the completed Form. 3.6 Each Bidder, the CA, and Records Management will receive a copy of the completed Form for their records and future reference. 3.7 As arranged by Records Management, GRM will thereafter take possession of the apparent two low Bidder's Escrowed Bid Documents and transfer them to its document storage facility. 4.0 AFTER CONTRACT AWARD 4.1 Following the Award of the Contract, OC San will return the Escrowed Bid Documents to the unsuccessful Bidder(s) at a meeting to be scheduled at the convenience of all parties. In preparation of the meeting, Records Management will prepare the Release of Escrow Bid Documents Record of Receipt (sample image below). As appropriate, all parties will complete this Escrow of Bid Documents 5 Adopted 12/14/2023 OC SAN 23-21-132 Procedure Number: 12.0 ,SAN Orange County Sanitation District Effective Date: 12/14/2023 ORANGE COUNTY SANITATION DISTRICT RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Supersedes: 12/14/2023 SUBJECT: ESCROW OF BID DOCUMENTS Approved by: OC San Board of Directors Record of Receipt at the meeting, obtaining all of the required signatures. A copy of the completed Release of Escrow Bid Documents Record of Receipt will be provided to the Bidder and CA. Records Management keeps the original. ,SAN ORANGE COUNTY SANITATION DISTRICT RECORD-OF-RECE IPT. FOR:¶ 4 Release •of • Es crow -Bid -Documents¶ July-26,-2021 -7:30ra.m.¶ K iewibinfrastru ctu re-W est-C o.¶ 9 CON TRACT-NO.-P2.98A¶ A-SIDE-PRIMARY-CLARIFIERS-REPLACEME N T-AT-PLANT-NO.-21 OC-San Requester: Ludwigiapus ¶ 11 GRM-Bar-Code: , 003927536, ¶ (NUMBER OF BOXES: 1)¶ 9 Documents Returned To:¶ 9 Company: + Kiewit Infrastructure West Co. ¶ 4 Documents Released By OC San Board Services (Records Manaoement):¶ 9 Company: -r Oranae CountvSanitation District, I I I I I¶ Address: 10844 Ellis Avenue Fountain Valley CA 92708 - tI 5.0 EXCEPTIONS 5.1 In the event of a bid protest or other problem with the apparent low bid, the CA will contact the third and perhaps fourth apparent low bidders and complete the required steps of this Procedure above. 5.2 For Design -Build (DB) Projects, only the Proposal Documents of the successful proposer will be escrowed, after the award of contract by the Board of Directors. Escrow of Bid Documents 6 Adopted 12/14/2023 OC SAN 23-21-133 Procedure Number: 13.0 ,SSAN Orange County Sanitation District Effective Date: 12/14/2023 RECORDS MANAGEMENT Supersedes: 03/22/2023 POLICY & PROCEDURE MANUAL SUBJECT: DIGITIZATION OF RECORDS Approved by: OC San Board of Directors 1.0 POLICY OBJECTIVES AND BACKGROUND 1.01 The Orange County Sanitation District (OC San) has identified the following objectives for digitizing records: 1.01.1 Provide online access to OC San records 1.01.2 Make digitized material and metadata available 1.01.3 Advance the preservation of records by reducing wear and tear on the originals 1.01.4 Maintain a reduction in paper 1.02 To ensure that users have the ability to access digitized records, OC San has implemented an Electronic Content Management System (ECMS) (Laserfiche) which will be made available via SharePoint and on ocsan.gov, as well as a desktop application for designated staff members. Utilizing this management system ensures the authenticity, reliability, usability, and integrity of the digital copies. 1.03 The implementation of a paper reduced environment, including the incorporation of the ECMS and implementation of a fully digital process to reduce the use of paper is a continued goal in the General Manager's Work Plan. 1.04 OC San is pursuing a reduction in paper in the office environment. Digitization provides a means for preserving at -risk physical materials (including paper documents, maps, photos, etc.) as well as providing greater accessibility and security for those documents. To the extent practicable, OC San promotes electronic systems, electronic records, and paperless transactions to support OC San's transition to electronic government and enhanced transparency. 1.05 Digitization refers to the process that includes the following activities: 1.05.1 Identifying, selecting, and documenting physical materials for digitization; 1.05.2 Preparing physical materials for scanning (including locating, preserving, gathering, reviewing, and organizing for access; and screening for suitability to be digitized); Digitization of Records 1 Adopted 12/14/2023 OC SAN 23-21-134 Procedure Number: 13.0 4,SAIV . Orange County Sanitation District Effective Date: 12/14/2023 RECORDS MANAGEMENT Supersedes: 03/22/2023 POLICY & PROCEDURE MANUAL SUBJECT: DIGITIZATION OF RECORDS Approved by: OC San Board of Directors 1.05.3 Collecting basic descriptive and technical metadata sufficient to allow retrieval and management of the digital copies and to provide basic contextual information for the user; 1.05.4 Scanning the physical materials (also referred to as digital conversion), re -filing, or disposing; 1.05.5 Quality control (validation) of digital copies and metadata; 1.05.6 Providing access to reliable and authentic copies for business purposesto internal users as well as the public; and 1.05.7 Maintaining digital copies and metadata. 2.0 POLICY RESPONSIBILITY 2.1 The Board Services and Information Technology (IT) Divisions have overall responsibility for this policy. The OC San Board of Directors adopts this policy, IT manages the Electronic Content Management System, and the Custodian of Records implements and oversees this policy on behalf of the Board of Directors. 3.0 APPLICABILITY 3.1 This policy provides guidance and requirements for digitizing physical media. 3.2 This policy applies to all records of physical materials being considered for digitization. These records fall into three categories: 3.2.1 Vital or Historical Records with permanent or life of organization retention; 3.2.2 Inactive records that have not met their retention schedule (especially records that are voluminous or have a long retention schedule) and are not regularly accessed. These may be considered for digitization due to constraints of physical storage space or costs of maintaining the physical record collection; and Digitization of Records 2 Adopted 12/14/2023 OC SAN 23-21-135 Procedure Number: 13.0 C � SAN Orange County Sanitation District Effective Date: 12/14/2023 RECORDS MANAGEMENT Supersedes: 03/22/2023 POLICY & PROCEDURE MANUAL SUBJECT: DIGITIZATION OF RECORDS Approved by: OC San Board of Directors 3.2.3 Active records that are initially produced in paper or similar physical media as part of the business process, e.g., requiring a physical signature, and are regularly accessed for a continuing business purpose. Digitization may provide for access among multiple users across multiple locations. 4.0 TERMS AND DEFINITIONS 4.1 As used in this policy, the following terms and definitions apply: 4.1.1 Custodian of Records: The custodian of records for OC San is the Clerk of the Board. 4.1.2 Digitization: The act of scanning an analog document into digital form, as well as the series of activities that results in a digital copy being made available to end users via the intranet, internet, or other means for a sustained length of time. 4.1.3 Electronic Content Management System (ECMS): Computerized/digital means for collecting, organizing, and categorizing information to facilitate its preservation, retrieval, use, and disposition. 4.1.4 Electronic Signature: A method of signing an electronic document that identifies and authenticates a particular person as the source of the signature and indicates such person's intent to sign the document. 4.1.5 Office of Record: The Department/Division that, by definition of its mission or function, has primary responsibility for maintenance and retention of the record. 5.0 POLICY GOAL AND CONSIDERATIONS 5.01 The goal of this policy is to expand public and internal access to important vital, historical, and long-term documents through digitization. OC San does not require all records in physical media be digitized unless theyare at risk of damage or destruction, which may result in the loss of the record. However, based upon business analysis by the Office of Record and Digitization of Records 3 Adopted 12/14/2023 OC SAN 23-21-136 Procedure Number: 13.0 4,SAIV . Orange County Sanitation District Effective Date: 12/14/2023 RECORDS MANAGEMENT Supersedes: 03/22/2023 POLICY & PROCEDURE MANUAL SUBJECT: DIGITIZATION OF RECORDS Approved by: OC San Board of Directors Custodian of Records, digitization may be an effective way to maintain and manage a record collection that exists only in physical media form. 5.02 Before undertaking a digitization project, the Office of Record should considerthe following: A. Volume of the record collection; B. Cost to digitize (budgeted in each Department/Division); C. Need/Demand for availability (sharing) of the documents; D. Quality of the originals (including handwritten notes, degradation of original medium, etc.); and E. Need to preserve the originals after digitization for historical or other purposes. 5.03 The legal validity of electronic signatures in the context of electronic transactions (i.e., actions between two or more persons relating to the conduct of business, consumer, commercial, or governmental affairs) must be well -recognized and approved by the Secretary of State of California. 6.0 POLICY EXCEPTIONS 6.01 Exceptions to this policy may be necessary based on legitimate business needs, legal, or compliance requirements. Any exceptions must be documented, reviewed, and approved by the Custodian of Records, Management, and General Counsel. 6.02 This policy guidance does not apply when the digitization is merely to provide a reference or convenience copy in limited circumstances, i.e., a single document rather than conversion of an entire collection for purposes of lifecycle management. Digitization of Records 4 Adopted 12/14/2023 OC SAN 23-21-137 Procedure Number: 13.0 4,SAIV . Orange County Sanitation District Effective Date: 12/14/2023 RECORDS MANAGEMENT Supersedes: 03/22/2023 POLICY & PROCEDURE MANUAL SUBJECT: DIGITIZATION OF RECORDS Approved by: OC San Board of Directors 7.0 RESPONSIBILITES 7.01 Board Services Division: Coordinates the overall program. Provides guidance and assistance to all OC San Departments/Divisions with lifecycle management and coordinates required records reviews, evaluations, and reports. 7.02 Reprographic Center: Provides digitization/scanning services to the Office of Record for their paper document record collections. For larger projects the need for additional services may be required. 7.03 Managers/Supervisors: Effectively manage information assets within their area of responsibility in a consistent manner to ensure the integrity, security, and availability of information assets. Managers/Supervisors are also responsible, through their organization, for documenting a digitization plan that ensures their digitization projects meet the requirements of this policy. IF_1Z117_1NDRY-11kiI1la:Z9Z91:4B1llz1*1 8.01 The Office of Record, under the direction of the Custodian of Records, must develop a digitization plan to meet the following requirements: 8.01.1 Authorization. Digital Records may be maintained as the only copy of a record if approved by General Counsel and the Board of Directors, as may be required, following the laws of California. They are viewed as being functionally equivalent to the original paper version if the intent to preserve the document only in digital form is documented and authorized by the Custodian of Records and General Counsel. Once approved this authorization and notation must be included in the Records Retention Schedule. 8.01.2 Document Preparation. This includes a review of the documents to be digitized to ensure that digitization will not compromise the readability of the content. This is particularly important for documents that include "marginalia" (handwritten notes or additions to the content of the document). Moreover, an inventory of the records must be prepared, especially in instances where the actual digitization is performed by someone else. Finally, in some instances, a clean copy may be necessary if the original paper has been degraded to the point that, in its original form, a valid digital copy would not be possible. Digitization of Records 5 Adopted 12/14/2023 OC SAN 23-21-138 Procedure Number: 13.0 C � SAN Orange County Sanitation District Effective Date: 12/14/2023 RECORDS MANAGEMENT Supersedes: 03/22/2023 POLICY & PROCEDURE MANUAL SUBJECT: DIGITIZATION OF RECORDS Approved by: OC San Board of Directors 8.01.3 Digitization. As part of the actual digitization process, a single scanned image type (see list below) must be chosen for the records. Consideration must be given to the ability of a particular scanned image type to be searched. In addition, a consistent set of metadata should be incorporated into the scanned image to assist in organizing and managing the digital collection. "Scanned image" types include: a) gif —graphics interchange format; b) tiff — tagged image file format; c) biif — basic image interchange format; d) prig — portable network graphics; or e) pdf — portable document format. 8.01.4 Validation. Throughout the digitization process, the scanned images must be validated to ensure that a clean, readable image has been produced, that the content of the document set is the same as the original (number of pages), and that the metadata attached is accurate. The Office of Record may choose to do an initial series of documents as a test case. If so, choose a sample that will cover the range of quality and other attributes of the originals, e.g., differing font sizes or layouts. It is recommended that every scanned image be validated; however, if the original documents are of highly consistent quality, format, and content, sampling validation may be appropriate. 8.01.5 Disposition of Originals. Once the records have been digitized and validated, the paper original may be destroyed as long as the destruction is documented as part of the digitization plan, in accordance with the Records Retention Schedule and has been authorized by the Office of Record, Supervisor, Manager, Executive Director, General Counsel, and the Custodian of Records. Special consideration must be given to physical records with historical value content. OC San's Custodian of Records can provide assistance and guidance to divisions in determining the historical value of original physical media records. 8.01.6 Digital Storage. The ECMS (Laserfiche), designated for maintenance and management of OC San's digital records, meets the integrity, security, and availability requirements. Using Digitization of Records 6 Adopted 12/14/2023 OC SAN 23-21-139 Procedure Number: 13.0 C � SAN Orange County Sanitation District Effective Date: 12/14/2023 RECORDS MANAGEMENT Supersedes: 03/22/2023 POLICY & PROCEDURE MANUAL SUBJECT: DIGITIZATION OF RECORDS Approved by: OC San Board of Directors Laserfiche for digital records is preferred because this system prevents manipulation and unauthorized deletion of the scanned images and Laserfiche provides enhanced security and permission restrictions to aid management of the digital collection. In addition, OC San uses Restorvault which allows the Laserfiche application to meet the definition of a trusted system. The State of California defines a trusted system as, "a combination of techniques, policies, and procedures for which there is no plausible scenario in which a document retrieved from or reproduced by the system could differ substantially from the document that is originally stored". (Source: California Government Code §12168.7(c)) 9.0 PERFORMANCE & MONITORING 9.01 The Custodian of Records and IT Division are responsible for the performance standards and monitoring plans contained in this policy. 0XiyM=-1'*Td"NWTiTMWIM, iTFWoV 9.02.1 Cost effectiveness of digitization projects: 9.02.1.1 Increased availability of OC San records to the public and appropriate personnel with a need for access. 9.02.1.2 Reduced risk of damage or inaccessibility to OC San records currently maintained in paper format. 9.03 Monitoring Plans 9.03.1 Sampling and validating digitized collections for integrity, security, and availability. 9.03.1.1 Scheduling (for retention) and reviewing ECMS used to maintain digitized collections. Digitization of Records 7 Adopted 12/14/2023 OC SAN 23-21-140 Resolution No. OC SAN 23-21 Final Audit Report Created: 2023-12-18 By: Kelly Lore (klore@ocsan.gov) Status: Signed Transaction ID: CBJCHBCAABAAv29djlHOPNlx4gJZkMugjVHzg8aQmmJk "Resolution No. OC SAN 23-21" History Document created by Kelly Lore (klore@ocsan.gov) 2023-12-18 - 6:59:54 PM GMT- IP address: 65.206.195.5 Document e-signed by Kelly Lore (klore@ocsan.gov) Signature Date: 2023-12-18 - 7:02:15 PM GMT - Time Source: server- IP address: 65.206.195.5 2023-12-18 Document emailed to Ryan Gallagher (rgallagher@mknassociates.us) for signature 2023-12-18 - 7:02:18 PM GMT Email viewed by Ryan Gallagher (rgallagher@mknassociates.us) 2023-12-18 - 7:02:37 PM GMT- IP address: 172.176.114.168 Document e-signed by Ryan Gallagher (rgallagher@mknassociates.us) Signature Date: 2023-12-18 - 7:03:51 PM GMT - Time Source: server- IP address: 68.15.94.190 Agreement completed. 2023-12-18 - 7:03:51 PM GMT Powered by iS Adobe ORANGE COUNTY SAN ITATION 01 STRICT Acrvbat5ign